Tag Archives: Ziv Investment Company

Ziv Investment Company Fined For Failure To Supervise

October 03, 2017  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Ziv Investment Company, a broker-dealer headquartered in Chicago, Illinois, and Peter Gordon Ziv, president, chief compliance officer and principal of Ziv Investment Company, were fined $75,000.00 and $10,000.00, respectively, for failing to supervise, inter alia, transactions and discretionary trading by stockbrokers at Ziv Investment Company’s branch office. Letter of Acceptance, Waiver and Consent, No. 2014039231701 […]

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