LEGAL

Deception

Shyster

More chilling

🧊

Than Fiction

Bud Lowenthal

CEO

Jack McGuire

CHIEF COUNSEL

Don Corbett

Executive Counsel

Diana Sur

Senior Counsel

OPPENHEIMER 
Legal Department

DISCHARGED - 7-31-15

"MR. TEMPLETON WAS TERMINATED AFTER AN INTERNAL REVIEW CONCLUDED THAT HE ENGAGED IN COMPENSATED CONSULTING SERVICES, INCLUDING CAPITAL RAISING, FOR A COMPANY WITHOUT PROPER DISCLOSURE TO AND WITHOUT PROPER APPROVALS FROM OPPENHEIMER & CO. INC"

Damaged Professional Reputation
Filed False And Misleading Reports with FINRA

Over 100 DISCLOSURES

SUBMITTED TO OPPENHEIMER

Annual Compliance

5 - Yearly Disclosure

1 - Written Requested FINRA Disclosure

FA Questionnaire

FINRA DISCLOSURE

Investment Banking

Intro - Engagement
Fees Collected
Bridge Loan Disc
Happy To Help

100,000 Fee

BRIDGE LOAN

Small Raise

Equity Advise

Executive Services

1 - Finders Fee Talk
2 - Compliance Memo
3 - Talk To FA
4 - Commission Adjustment

REFERRAL FEE Form

Compliance Memo

IB FEE Discussion

Comm Adj

Audio Recordings

"Nothing I Need To Do"
"Fuck the Chinese Wall"
"Leave it Alone"

SEE EACH

CHAPTERS AUDIO

Compliance Control Room

1 - Requested FINRA Disclosure
2 - "Over The Wall"Warning
3 - "Talk To FA"

View Document

Audio Transcripts

2013
2014

2013

2014

Pre-Audit
Questionnaire

2014

2014

Annual
Book Reviews

Clients | Positions
Commissions | Fees

View

2008
Jan 28

Oppenheimer Financial Advisor

Compensation Program 2008

Finders Fees - Page 8

 

View PDF

June 11
NDA Email from Investment Banking
Requesting Signature from company
July
Introduced Adaptive Media
(Previously VidShadow & OneScreen)
July 25

Clark Spurrier - Managing Director

Engagement Letter - Signed

"Greg. We will need the retainer paid before we begin formal work. Thnx."

 

View PDF

July 28

Michael Lenoce

Introduced Adaptive Media - Previously OneScreen

Banking Forwarded Me Invoice to Collect Fees

$100,000

 

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Aug 12

David Tufts - Branch Manager

Tara Chenoweth - Executive Services

Email Chain Discussing Banking Fees

10 - 15% - Finders Fees

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Aug 20

David Tufts Email

Stock Certificates Received

$125,000,000 million

Oct 16

Michael Lenoce - Emails Update
25 Seperate Companies

Entertainment, Media & Publishers


View PDF

Oct 20

Michael Lenoce - Director of Banking
AOL & Viacom Updates



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Oct
VidShadow - Confidential Executive Summary
2009
Feb 9

David Tufts - Managing Director

Requests Update - Vid/Onscreen & DHR

Disclosure - Independently Involved

 

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2010
May 9

OneScreen Teaser

Confidential Executive Summary

3 Managing Directors

May 9

10 Million Private Placement

Series B Preferred Shares

Opco - 698 pages

Refused to Disclose Me

View PDF

May 14

Compliance Memo - Can't Find It

Harry Blackham - Compliance Control Desk

Tara Chenoweth - Executive Services

David Tufts - Branch Manager

"Officially complete this process"

View PDF

May 19

Referral Fee Form

Harry Blackham

Tara Chenoweth

My Involvement since Inception

View PDF

May 26

Michael Lenoce

Bridge Loan Disclosure to Banking


View PDF

Oct 26

Michael Lenoce

"Notice of No Fee for fundraising"


View PDF

Nov 1

David Tufts

Briand Reichberg

COMPLETE EMAIL DISCLOSURE

View PDF

Nov 5

Brian Reichberg

Disclosed All Positions

Legal - Closing It Out


View PDF

2011
March 4
Debbie Martinez email - JCM Approval. She's the one who approved it
Dec 15
IB Referral & Fee Schedule - Tufts & Chenoweth
2012
Jan 29

Annual Compliance Questionnaire

Outside Business Activity
Disclosed OneScreen
Requested Firm To Disclosure To FINRA

View PDF

March 9

Brian Reichberg - Branch Manager

Requested FINRA Disclosure
Contacted National Compliance

View PDF

March 22

Jack Cimino - Note - "Talk To F/A"

National Branch Compliance Examiner
11:45 & 5:05 - Answered all Questions
Located my 4 Outside Business Approvals

View PDF

April 18

David Tufts - Finders Payment Solution

Payout Adjustment

60% payout for 7 months

 

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June 7

Brian Reichberg

Book Review
Email Requested Updates

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June 29

David Tufts email

OneScreen Update

$650,000 - Raised Disclosed

View PDF

July 11

David Tufts - Transcription

Voice Recording

"Nothing I need to do"

View PDF

Aug 15

David Tufts- Email

Todd Simon - "Happy To Help"

"Small Equity Raise"

View PDF

Nov 5 & 8

David Tufts email

Todd Simon

As per yours advise "I will be raising them a small round..."

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2013
Jan 29

Annual Compliance Questionnaire
Outside Business Activity
Disclosed OneScreen

 

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Dec 12

Code of Ethics Questionnaire
Disclosed OneScreen


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2014
Jan 30

Annual Compliance Questionnaire
Outside Business Activity
Disclosed OneScreen

 

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Oct 7

Pre-Audit Questionnaire
Disclosure OneScreen - Consultant
2008, 2010, 2013 Disclosures
ALL Clients Stock on Deposit

View PDF

Dec 28

Code of Ethics Questionnaire

Complete Recap of OneScreen

 

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2015
Jan 9

Annual Compliance Questionnaire
Outside Business Activity
Disclosed OneScreen

 

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Jan 27

Robert "Bud" Lowenthal email

Management Committee Conference Call

SEC - Regulatory Settlements

$20 Million - Payment Plan with SEC

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Aug 11

Malecki (my lawyer) Email

Donald Corbett - Executive Director, Senior Counsel

Diana Sur - Managing Director
U5 Language Suggestion

 

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  • New York, NY
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