tufts

More chilling

🧊

Than Fiction

DAVID TUFTS
Branch Manager

DIRECT SUPERVISOR

FINRA & OPCO Disclosures

Emails Disclosures
Between Us

1 - 650,000 Bridge
2 - Small Round
3 - Small Raise & "Happy to Help"
4 - "Your Advise"

650,000

Small Equity

Your Advise

Mr. B

Compliance Control Room

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

Can’t Find it

Referrals Fee

Talk to FA

Request

Yale Club Meetings

1 - OneScreen
2 - Banking / Asset MGMT
3 - Batmasian (3 Times)

6 – Timeline

Disclosure Recordings .mp3

"Nothing I Need To Do"
"Fuck The Chinese Wall"
"Leave It Alone"

Transcripts

Requested FINRA Disclosure
"Get This Fucking Thing Done"
Small Round Disclosure Email

View Transcript

Book Reviews

Clients, Positions, Activity
Commissions & Fees Review
Review Disclosures

2 – Timeline

FINRA
BARRED

Failure To Appear for "On The Record" (OTR) Interview

View PDF       FINRA – Broker Check
2008
July 25

Engagement Letter

Michael Lenoce

Clark Spurrier

I got Signed

 

View PDF

Aug 12

Engagement Letter

David Tufts requests signed copy

"CC" Tara Chenweth (Corp Services)

Michael Lenoce / Clark Spurrier

EARLY Major Disclosure

 

View PDF

Aug 19

David Tufts email

90 Million Shares Received

Stock Certificates Deposited

 

View PDF

2009
Feb 9

Email to David Tufts

Deal Update & Disclosure & Stock

Disclosure Again of BOTH Deals

 

View PDF

2010
May 9

$10 Million Series A Offering

Refused To Disclose Me

 

View PDF

May 17

Compliance Memo (I Refused to backdate!)

David Tufts - Branch Manager Email to me...

Harry Blackham - Compliance Control Desk

"Officially Complete this Process"

Tara Chenoweth - Executive Services

 

View PDF

May 19

Referral Fee Form

My Involvement Since Inception

Harry Blackham

Tara Chenoweth

 

View PDF

Oct 15

David Tufts - Branch Manager

Brian Reichberg - Branch Manager

Michael Lenoce - Investment Banker

"Not be due a fee for this fundraising"

 

View PDF

Nov 1

David Tufts
Brian Reichberg

FULL WRITTEN DISCLOSURE...
Opco Employees, Shareholders AND Deposits

 

View PDF

Nov 5

Email confirming my positions

David Tufts

Brian Reichberg

Screenshot of some clients


View PDF

2011
Sep 11

Yale Club

David Tufts

Offers Assistance for OneScreen IB

 

View PDF

Dec 16

Yale Club

David Tufts

OneScreen Update

 

View PDF

2012
April 10

Yale Club - David Tufts

Stock Deposited - OneScreen

Firm WON'T PAY ME - Referral Fee

 

View PDF

July 11
David Tufts & Gregg Templeton
3 Minute Recording 
 

View Transcript 

Dec 13

Yale Club

David Tufts & Todd Simon

OneScreen Pitch Ideas to Bring Deal Back In 

 

View PDF

2013
May 7

Meeting

David Tufts

Todd Simon

"Realigning" company

 

View PDF

May 23

Yale Club

David Tufts

Todd Simon

Ideas to Bring OneScreen back into Banking


May 30

David Tufts

Referral Fee Resolution from 2010 Investment Banking Referral. 

Commission Increase 60%

 

View PDF

Sep 19

Yale Club

David Tufts

Discussed Contract to Stay

OneScreen Funding Update

 

View PDF

Oct 30

David Tufts

Jerry Wolf

OneScreen Updates & Capital Raise

Atul Patel (OneScreen CEO)

 

View PDF

Dec 16

David Tufts Office

Mr B. - Called David Tufts to discuss

How much of stock offering was left?


Dec 19

Book Review

David Tufts

Mr. B. - OneScreen - $10 million

 

View PDF

2014
March 11

David Tufts

Peter Cadaret

Takis Sparragis - Hedge Fund Manager

Would NOT Accept 10m Transfer

Because of Fee Arbitrage

Cost Client 130,000 a year


Oct 30

Conference Room

Bryan Myers Debit & OneScreen

David Tufts

Mike Marchassalla

Brian Reichberg

Jerry Wolf


  • New York, NY
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