0001620072-22-000006.txt : 20220629
0001620072-22-000006.hdr.sgml : 20220629
20220629170741
ACCESSION NUMBER: 0001620072-22-000006
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
GANCI,RICHARD,JOSEPH,
FILED AS OF DATE: 20220629
DATE AS OF CHANGE: 20220629
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Capital Markets Advisors, LLC
CENTRAL INDEX KEY: 0001620072
IRS NUMBER: 020582108
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-I/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-03461
FILM NUMBER: 221055440
BUSINESS ADDRESS:
STREET 1: ONE GREAT NECK ROAD
STREET 2: SUITE ONE
CITY: GREAT NECK
STATE: NY
ZIP: 10021
BUSINESS PHONE: 716-662-3910
MAIL ADDRESS:
STREET 1: ONE GREAT NECK ROAD
STREET 2: SUITE ONE
CITY: GREAT NECK
STATE: NY
ZIP: 10021
MA-I/A
1
primary_doc.xml
MA-I/A
0001620072
XXXXXXXX
Richard Ganci
7166623910
rganci@capmark.org
rganci@capmark.org
cshortall@capmark.org
N
0001620072-14-000005
N
Richard
Joseph
Ganci
N
1
0001620072
Capital Markets Advisors, LLC
03-07-2005
N
09-23-2014
0001620072
LOCATED
03-07-2005
4211 North Buffalo Street
Suite 19
Orchard Park
NY
14127
03-2005
Capital Markets Advisors, LLC
Orchard Park
NY
14127
Y
N
Senior Vice President and Principal
09-2004
03-2005
M&T Bank
Buffalo
NY
14203
N
N
Treasury Analyst
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
06-29-2022
Rick Ganci
Exec VP
6H(2)
SEC
Y
Capital Markets Advisors, LLC, Richard Ganci and Richard Tortora
Y
CivilAdminPenaltyFine
Disgorgement
none
06-14-2022
06-14-2022
Federal Court
United States District Court Western District of New York
Case No. 22-cv-6273
Kenneth B Keating Fed Bldg, 100 State St
Rochester
NY
14614
SEC Plaintiff, vs. City of Rochester, New York, Rosiland Brooks-Harris, Capital Markets Advisors, LLC, Richard Ganci, and Richard Tortora
Capital Markets Advisors
867-00807
Other
Municipal Advisory
The City's Offering Documents were material misleading. Failure to disclose conflict of interest. Breached Fiduciary duty.
06-14-2022
N