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Detailed Report
GUY WILLIAM GANE JR
CRD#: 703273
PR
Previously Registered Broker
BARRED
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The SEC has barred this individual from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public.
Registration History
19801985199019952000200520103 FIRMS1980 - 1984 (4 years)2 FIRMS1988 - 1989 (1 year)2 FIRMS1990 - 1990 (<1 year)BWALL AND COMPANY SECURITIES, INC. (CRD# 40894)2006 - 2007 (<1 year)BAOS, INC. (CRD# 128605)2005 - 2006 (<1 year)BNEXT FINANCIAL GROUP, INC. (CRD# 46214)2002 - 2005 (3 years)BCADARET, GRANT & CO., INC. (CRD# 10641)2001 - 2002 (1 year)BSECURITIES AMERICA, INC. (CRD# 10205)1996 - 2001 (4 years)BCOMMUNITY SECURITIES, INC. (CRD# 10431)1995 - 1996 (1 year)BKEY INVESTMENTS INC. (CRD# 15873)1994 - 1995 (1 year)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1990 - 1993 (3 years)BPOWER SECURITIES CORPORATION (CRD# 15527)1988 - 1988 (<1 year)BNORTH AMERICAN INVESTMENT CORP. (CRD# 7568)1986 - 1988 (1 year)BEMPIRE NATIONAL SECURITIES, IN... (CRD# 7361)1984 - 1986 (2 years)
Disclosure(s)
View By:
2/15/2013
Regulatory
Final
3/25/2010
Criminal
Final Disposition
12/31/2008
Regulatory
Final
5/14/2008
Civil
Final
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/14/2006 - 04/04/2007 WALL AND COMPANY SECURITIES, INC. (CRD#:40894) AMHERST, NY
B
 12/21/2005 - 05/15/2006 AOS, INC. (CRD#:128605) CHICAGO, IL
B
 10/22/2002 - 12/19/2005 NEXT FINANCIAL GROUP, INC. (CRD#:46214) W. AMHERST, NY
B
 02/01/2001 - 10/22/2002 CADARET, GRANT & CO., INC. (CRD#:10641) SYRACUSE, NY
B
 09/05/1996 - 02/06/2001 SECURITIES AMERICA, INC. (CRD#:10205) LAVISTA, NE
B
 07/25/1995 - 08/08/1996 COMMUNITY SECURITIES, INC. (CRD#:10431) ROCHESTER, NY
B
 03/11/1994 - 07/17/1995 KEY INVESTMENTS INC. (CRD#:15873) CLEVELAND, OH
B
 07/20/1990 - 12/21/1993 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
 06/29/1990 - 07/28/1990 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 06/29/1990 - 07/28/1990 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
B
 08/25/1988 - 10/23/1989 MONY SECURITIES CORP. (CRD#:4386) NEW YORK, NY
B
 08/25/1988 - 10/23/1989 THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (CRD#:2873) NEW YORK, NY
B
 03/07/1988 - 06/22/1988 POWER SECURITIES CORPORATION (CRD#:15527)
FINRA expelled the firm on 03/16/1990
B
 08/14/1986 - 01/27/1988 NORTH AMERICAN INVESTMENT CORP. (CRD#:7568)
B
 08/30/1984 - 08/22/1986 EMPIRE NATIONAL SECURITIES, INCORPORATED (CRD#:7361)
B
 01/15/1980 - 08/21/1984 IDS LIFE INSURANCE COMPANY (CRD#:6321)
B
 01/15/1980 - 08/21/1984 IDS MARKETING CORPORATION (CRD#:6363)
B
 01/15/1980 - 08/21/1984 IDS/AMERICAN EXPRESS INC. (CRD#:6320)
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

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.

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