Subject: Peter Mancuso

Subject of Interest

Peter Mancuso is the Managing Director, Equity Trading. He started Peter Mancuso and Company in 1991 which would continue operations until 2019. As an agency only BD, Mancuso’s responsibilities included all aspects of trade execution including optimizing use of the NYSE parity order types, eQuote and dQuote, and supporting Algorithmic trading to ensure best execution for customers including bulge bracket and boutique firms. Mr. Mancuso was most recently Senior Vice President with Tullett Prebon. He has been an NYSE member since 1991 and served as a Floor Official. Mr. Mancuso holds FINRA Series 4, 7, 9, 10, 14, 19, 24, 27, 55 and 63 registrations and is a graduate of Lehigh University. He is also serves as a director for NYSE Floor Member Emergency Fund and as Chairman of the NYSE Safety and Security Committee.

Biography

Think Equity

Fordham Financial Management, Inc

Subject: Philip P. Quartuccio

Subject of Interest

Philip P. Quartuccio is the Managing Director, Head of Global Trading and runs ThinkEquity’s global trading operations, including the NYSE Trading Floor. Quartuccio has over 20 years of trading experience including running his own NYSE floor brokerage firm, Illustro Trading. He has held senior positions at Janney Montgomery Scott, Arnhold & S. Bleichroeder, and most recently, Tullet Prebon ICAP. As a member of the NYSE technology committee. Quartuccio has focused his experience with the NYSE’s trading technology. This focus includes the development of the NYSE Third Party Algo (TPA) program that enables algorithmic access to the NYSE Parity order types for quantitative automated trading. Mr. Quartuccio holds FINRA Series 7, 24, 99 and 63 registrations.

Biography

Think Equity

Fordham Financial Management, Inc

Subject: Jeff Singer

Subject of Interest

Jeffrey Singer is the Head of Debt Capital Markets at Think Equity. Singer is involved in the financing of a broad range of public and private companies across almost every industry with a strong focus on technology, energy, specialty finance/FinTech, IT services, digital commerce, ed-tech, healthcare services and consumer brands. Prior to joining ThinkEquity, Jeff served as Head of Debt Capital Markets at Joseph Gunnar & Co. for two years and as Managing Director of Dragonfly Capital Partners, where he ran the New York office of the firm for over 10 years. Singer holds a BS from University of Wisconsin and his MBA from Fordham University Graduate School of Business.

Biography

Linkedin

Think Equity

Fordham Financial Management, Inc

 

Subject: Charles Giordano

Subject of Interest

Charles Giordano was the former Investment Executive at Fordham Financial Management from May 2001- October 2014. From there, he worked for Empire Asset Management Company, registered Investment Advisor until Dec. 2015. He is now a financial advisor for Masiello, Nicolosi & Associates, a private wealth advisory practice of Ameriprise Financial Services, LLC. He graduated from Pace University- Lubin School of Business, Bachelors of Business Administration in 2001.

Biography

Masiello, Nicolosi & Associates

Fordham Financial Management, Inc

Article: Nano Dimension’s stock tumbles after share offering prices at deep discount — did ThinkEquity and Fordham Financial Screw Their Customer?

Article - Media

Nano Dimension’s stock tumbles after share offering prices at deep discount

Tomi Kilgore

MarketWatch, 20 May 2020

Shares of Nano Dimension Ltd. pulled a sharp U-turn to trade down 22% in premarket trading, to pullback from the previous session’s more-than 4-fold rally, after the Israel-based 3D printing company priced a share offering at a deep discount. The stock had been up as much as 91% early in the premarket session.

Continue reading “Article: Nano Dimension’s stock tumbles after share offering prices at deep discount — did ThinkEquity and Fordham Financial Screw Their Customer?”

Fine: Fordham Financial Management Fined by FINRA

Fined

Fordham Financial Management Fined by FINRA

FINRA, August 2012

Fordham Financial Management submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $10,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it improperly reported Execution or Combined Order/Execution Reports to OATS with a reporting exception code of “M.” The findings stated that the firm transmitted reports to OATS that contained inaccurate capacity codes.

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