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FROM ON OR ABOUT APRIL 16, 2006 TO ON OR ABOUT MAY 31, 2007, CHARLES DAVID SCAVONE RENDERED SERVICES AS AN INVESTMENT ADVISER REPRESENTATIVE IN TEXAS FOR ROCK RIDGE CAPITAL, L.P. AT A TIME WHEN CHARLES DAVID SCAVONE WAS NOT REGISTERED AS AN INVESTMENT ADVISER REPRESENTATIVE OF ROCK RIDGE, CAPITAL L.P. WITH THE SECURITIES COMMISSIONER.
Resolution
Order
Sanctions
Monetary/Fine
Amount
$2,500.00
Sanctions
Revocation/Expulsion/Denial
Sanctions
REPRIMAND
Sanction Details
NO OTHER SANCTIONS FOLLOW.
Broker Comment
ROCK RIDGE CAPITAL LP AND CHARLES DAVID SCAVONE WERE REPRIMANDED. ROCK RIDGE CAPITAL LP WAS ASSESSED AN ADMINISTRATIVE FINE IN THE AMOUNT OF $2500. ROCK RIDGE CAPITAL LP AND CHARLES DAVID SCAVONE AGREED TO NOT ASSESS OR COLLECT ANY MANAGEMENT FEES FOR THE PERIOD FROM 06/01/07 THROUGH 08/14/07. ROCK RIDGE CAPITAL LP PAID THE ADMINISTRATIVE FINE ON 8/14/07.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.