Fabrice+Tourre

Fabrice+Tourre - BrokerCheck Report FABRICE TOURRE CRD#...

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Unformatted text preview: BrokerCheck Report FABRICE TOURRE CRD# 4435872 Report #86616-74565, data current as of Friday, April 16, 2010. Section Title Report Summary Broker Qualifications Registration and Employment History About this BrokerCheck Report Page(s) 1 2-5 6 7 Dear Investor: FINRA has generated the following BrokerCheck report for FABRICE TOURRE. The information contained within this report has been provided by a FINRA member firm(s) and securities regulators as part of the securities industry's registration and licensing process and represents the most current information reported to the Central Registration Depository (CRD¿) system. FINRA regulates the securities markets for the ultimate benefit and protection of the investor. FINRA believes the general public should have access to information that will help them determine whether to conduct, or continue to conduct, business with a FINRA member firm or any of the member's associated persons. To that end, FINRA has adopted a public disclosure policy to make certain types of information available to you. Examples of information FINRA provides on currently registered individuals and individuals who were registered during the past two years include: actions by regulators, investmentrelated civil suits, customer disputes that contain allegations of sales practice violations against brokers, all felony charges and convictions, misdemeanor charges and convictions relating to securities violations, and financial events such as bankruptcies, compromises with creditors, judgments, and liens. FINRA also provides certain information on individuals whose registrations terminated more than two years ago. When evaluating this report, please keep in mind that it may include items that involve pending actions or allegations that may be contested and have not been resolved or proven. Such items may, in the end, be withdrawn or dismissed, or resolved in favor of the firm or broker, or concluded through a negotiated settlement with no admission or finding of wrongdoing. The information in this report is not the only resource you should consult. FINRA recommends that you learn as much as possible about the individual broker or brokerage firm from other sources, such as professional references, local consumer and investment groups, or friends and family members who already have established investment business relationships. FINRA BrokerCheck is governed by federal law, Securities and Exchange Commission (SEC) regulations and FINRA rules approved by the SEC. State disclosure programs are governed by state law, and may provide additional information on brokers and firms licensed by the state. Therefore, you should also consider requesting information from your state securities regulator. Refer to www.nasaa.org for a complete list of state securities regulators. Thank you for using FINRA BrokerCheck. Using this site/information means that you accept the FINRA BrokerCheck Terms and Conditions. A complete list of Terms and Conditions can be found at brokercheck.finra.org For additional information about the contents of this report, please refer to the User Guidance or www.finra.org/brokercheck. It provides a glossary of terms and a list of frequently asked questions, as well as additional resources. For more information about FINRA, visit www.finra.org. www.finra.org/brokercheck User Guidance FABRICE TOURRE CRD# 4435872 Currently employed by and registered with the following FINRA Firms: GOLDMAN, SACHS & CO. 200 WEST STREET NEW YORK, NY 10282-2198 CRD# 361 Registered with this firm since: 10/10/2001 Report Summary for this Broker The report summary provides an overview of the broker's professional background and conduct. The individual broker, a FINRA-registered firm(s), and/or securities regulator(s) have provided the information contained in this report as part of the securities industry's registration and licensing process. The information contained in this report was last updated by the broker, a previous employing brokerage firm, or a securities regulator on 04/09/2010. Broker Qualifications This broker is registered with: 10 Self-Regulatory Organizations 52 U.S. states and territories Is this broker currently suspended or inactive with any regulator? No This broker has passed: 0 Principal/Supervisory Exams 1 General Industry/Product Exam 1 State Securities Law Exam Disclosure of Customer Disputes, Disciplinary, and Regulatory Events This section includes details regarding disclosure events reported by or about this broker to CRD as part of the securities industry registration and licensing process. Examples of such disclosure events include formal investigations and disciplinary actions initiated by regulators, customer disputes, certain criminal charges and/or convictions, as well as financial disclosures, such as bankruptcies and unpaid judgments or liens. Are there events disclosed about this broker? No Registration and Employment History This broker was previously registered with the following FINRA member firms: No information reported. For additional registration and employment history details as reported by the individual broker, refer to the Registration and Employment History section of this report. ©2010 FINRA. All rights reserved. Report# 86616-74565 about FABRICE TOURRE. Data current as of Friday, April 16, 2010. 1 www.finra.org/brokercheck User Guidance Broker Qualifications Registrations This section provides the self-regulatory organizations (SROs), states and U.S. territories the broker is currently registered and licensed with, the category of each registration, and the date on which the registration became effective. This section also provides the physical location of each branch that the individual broker is associated with for each listed employment. This individual is currently registered with 10 SROs and is licensed in 52 U.S. states and territories through his or her employer. Employment 1 of 1 Firm Name: GOLDMAN, SACHS & CO. Main Office Address: 200 WEST STREET NEW YORK, NY 10282-2198 Firm CRD#: 361 SRO FINRA American Stock Exchange Chicago Board Options Exchange International Securities Exchange NASDAQ OMX BX, Inc. NASDAQ OMX PHLX, Inc. NASDAQ Stock Market NYSE Arca, Inc. National Stock Exchange New York Stock Exchange U.S. State/ Territory Alabama Alaska Arizona Arkansas California Category Agent Agent Agent Agent Agent Status APPROVED APPROVED APPROVED APPROVED APPROVED Category General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative General Securities Representative Date 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 U.S. State/ Territory Colorado Connecticut Delaware District of Columbia Florida ©2010 FINRA. All rights reserved. Status Date APPROVED 10/10/2001 APPROVED 10/10/2001 APPROVED 10/10/2001 APPROVED 12/03/2007 APPROVED 01/15/2009 APPROVED 10/10/2001 APPROVED 07/12/2006 APPROVED 10/10/2001 APPROVED 11/20/2008 APPROVED 10/10/2001 Category Agent Agent Agent Agent Agent Status APPROVED APPROVED APPROVED APPROVED APPROVED Date 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 2 Report# 86616-74565 about FABRICE TOURRE. Data current as of Friday, April 16, 2010. www.finra.org/brokercheck User Guidance Broker Qualifications Employment 1 of 1, continued U.S. State/ Territory Georgia Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky Louisiana Maine Maryland Massachusetts Michigan Minnesota Mississippi Missouri Montana Nebraska Nevada Category Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Status APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED Date 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/10/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/04/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/08/2002 10/10/2001 01/07/2002 01/03/2002 3 U.S. State/ Territory Ohio Oklahoma Oregon Pennsylvania Puerto Rico Rhode Island South Carolina South Dakota Tennessee Texas Utah Vermont Virginia Washington West Virginia Wisconsin Wyoming Category Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Agent Status APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED APPROVED Date 01/04/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/08/2002 01/03/2002 01/03/2002 01/04/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 01/03/2002 New Hampshire Agent New Jersey New Mexico New York North Carolina North Dakota Agent Agent Agent Agent Agent ©2010 FINRA. All rights reserved. Report# 86616-74565 about FABRICE TOURRE. Data current as of Friday, April 16, 2010. www.finra.org/brokercheck User Guidance Broker Qualifications Employment 1 of 1, continued Branch Office Locations This individual does not have any registered Branch Office where the individual is located. ©2010 FINRA. All rights reserved. Report# 86616-74565 about FABRICE TOURRE. Data current as of Friday, April 16, 2010. 4 www.finra.org/brokercheck User Guidance Broker Qualifications Industry Exams this Broker has Passed This section includes all current principal/supervisory, general product/industry, and/or state securities law exams that the broker has passed. Under certain, limited circumstances, a broker may receive a waiver of an exam requirement based on a combination of previous exams passed and qualifying work experience. Likewise, a new exam requirement may be grandfathered based on a broker's specific qualifying work experience. Information regarding instances of exam waivers or the grandfathering of an exam requirement are not included as part of the BrokerCheck report. This individual has passed 0 principal/supervisory exams, 1 general industry/product exam, and 1 state securities law exam. Principal/Supervisory Exams Exam No information reported. Category Date General Industry/Product Exams Exam General Securities Representative Examination Category Series 7 Date 10/09/2001 State Securities Law Exams Exam Uniform Securities Agent State Law Examination Category Series 63 Date 08/18/2001 Additional information about the securities industry's qualifications and continuing education requirements, as well as the examinations administered by FINRA to brokers and other securities professionals can be found at http://www.finra.org/Industry/Compliance/Registration/QualificationsExams/index.htm. ©2010 FINRA. All rights reserved. Report# 86616-74565 about FABRICE TOURRE. Data current as of Friday, April 16, 2010. 5 www.finra.org/brokercheck User Guidance Registration and Employment History Previously Registered with the Following FINRA Firms FINRA records show this broker previously held FINRA registrations with the following firms: Registration Dates Firm Name CRD# Branch Location No information reported. Employment History This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filed Form U4. Please note that the broker is required to provide this information only while registered with a FINRA firm and the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of "Present" may not reflect the broker's current employment status. Employment Dates Employer Name 10/2007 - Present 07/2001 - 10/2007 09/2000 - 06/2001 06/2000 - 09/2000 09/1999 - 06/2000 GOLDMAN SACHS SERVICES LIMITED GOLDMAN SACHS AND CO STANFORD UNIVERSITY BOUYGUES ECOLE CENTRALE PARIS Employer Location NEW YORK, NY NEW YORK, NY STANFORD, CA PARIS, FRANCE CHATENAY-MALABRY, FRANCE Affiliations This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and is recognized as tax exempt. No information available. ©2010 FINRA. All rights reserved. Report# 86616-74565 about FABRICE TOURRE. Data current as of Friday, April 16, 2010. 6 www.finra.org/brokercheck User Guidance About this BrokerCheck Report BrokerCheck reports are part of a FINRA initiative to disclose information about FINRA-registered firms and individual brokers to help investors determine whether to conduct, or continue to conduct, business with these firms and brokers. The information contained within these reports is collected through the securities industry's registration and licensing process. Who provides the information in BrokerCheck? Information made available through BrokerCheck is obtained from CRD as reported through the industry registration and licensing process. The forms used by brokerage firms, to report information as part of the firms registration and licensing process, Forms BD and BDW, are established by the SEC and adopted by all state securities regulators and SROs. FINRA and the North American Securities Administrators Association (NASAA) establish the Forms U4 and U5, the forms that are used for the registration and licensing process for individual brokers. These forms are approved by the SEC. Regulators report disciplinary information for firms and individual brokers via Form U6. How current is the information contained in BrokerCheck? Brokerage firms and brokers are required to keep this information accurate and up-to-date (typically not later than 30 days after learning of an event). BrokerCheck data is updated when a firm, broker, or regulator submits new or revised information to CRD. Generally, updated information is available on BrokerCheck Monday through Friday. What information is NOT disclosed through BrokerCheck? Information that has not been reported to CRD or that is not required to be reported through the registration and licensing process is not disclosed through BrokerCheck. Examples of events that are not required to be reported or are no longer reportable include: judgments and liens originally reported as outstanding that have been satisfied and bankruptcy proceedings filed more than 10 years ago. Conversely certain customer complaint information that is not required to be reported may be disclosed provided certain criteria are met. Additional information not disclosed through BrokerCheck includes Social Security Numbers, residential history information, and physical description information. On a case-by-case basis, FINRA reserves the right to exclude information that contains confidential customer information, offensive and potentially defamatory language or information that raises significant identity theft or privacy concerns that are not outweighed by investor protection concerns. FINRA Rule 8312 describes in detail what information is and is not disclosed through BrokerCheck. Under FINRA's current public disclosure policy, in certain limited circumstances, most often pursuant to a court order, information is expunged from CRD. Further information about expungement from CRD is available in FINRA notices 99-09, 99-54, 01-65, and 04-16 at www.finra.org. For further information regarding FINRA's BrokerCheck program, please visit FINRA's Web site at www.finra.org/brokercheck or call the FINRA BrokerCheck Hotline at (800) 289-9999. This hotline is open Monday through Friday from 8:00 a.m. to 8:00 p.m., Eastern Time (ET). For more information about the following, select the associated link: About BrokerCheck Reports: http://www.finra.org/brokercheck_reports Glossary: http://www.finra.org/brokercheck_glossary Questions Frequently Asked about BrokerCheck Reports: http://www.finra.org/brokercheck_faq Terms and Conditions: http://brokercheck.finra.org/terms.aspx ©2010 FINRA. All rights reserved. Report# 86616-74565 about FABRICE TOURRE. Data current as of Friday, April 16, 2010. 7 ...
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