Glen Galemmo FINRA Report

BrokerCheck ReportGLEN ALLAN GALEMMO

Report #56811-40394, data current as of Tuesday, January 28, 2014.

Section TitleReport Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 2399152

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About BrokerCheck

BrokerCheck offers information on all current-and many former-FINRA-registered securities brokers, and all current andformer FINRA-registered securities firms. FINRA strongly encourages investors to use BrokerCheck to check thebackground of securities brokers and brokerage firms before deciding to conduct, or continue to conduct, business withthem.

What is included in a BrokerCheck report?BrokerCheck reports for individual brokers include information such as employment history, professionalqualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheckreports for brokerage firms include information on a firms profile, history, and operations, as well as many of thesame disclosure events mentioned above.Please note that the information contained in a BrokerCheck report may include pending actions or allegationsthat may be contested, unresolved or unproven. In the end, these actions or allegations may be resolved in favorof the broker or brokerage firm, or concluded through a negotiated settlement with no admission or finding ofwrongdoing.

Where did this information come from?The information contained in BrokerCheck comes from FINRAs Central Registration Depository, or CRD and isa combination of:

o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers andbrokerage firms to submit as part of the registration and licensing process, and

o information that regulators report regarding disciplinary actions or allegations against firms or brokers. How current is this information?

Generally, active brokerage firms and brokers are required to update their professional and disciplinaryinformation in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokersand regulators is available in BrokerCheck the next business day.

What if I want to check the background of an investment adviser firm or investment adviserrepresentative?To check the background of an investment adviser firm or representative, you can search for the firm or individualin BrokerCheck. If your search is successful, click on the link provided to view the available licensing andregistration information in the SEC's Investment Adviser Public Disclosure (IAPD) website athttp://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your statesecurities regulator at http://www.nasaa.org.

Are there other resources I can use to check the background of investment professionals?FINRA recommends that you learn as much as possible about an investment professional before deciding to workwith them. Your state securities regulator can help you research brokers and investment adviser representativesdoing business in your state.

Thank you for using FINRA BrokerCheck.

For more information aboutFINRA, visit www.finra.org.

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For additional information aboutthe contents of this report, pleaserefer to the User Guidance orwww.finra.org/brokercheck. Itprovides a glossary of terms and alist of frequently asked questions,as well as additional resources.

brokercheck.finra.org

GLEN A. GALEMMOCRD# 2399152

This broker is not currently registered with FINRA.

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:Type CountRegulatory Event 1

Broker QualificationsThis broker is not currently registered withFINRA.

This broker has passed:2 Principal/Supervisory Exams1 General Industry/Product Exam1 State Securities Law Exam

Registration HistoryThis broker was previously registered with thefollowing FINRA firm(s):

LANDMARK INVESTMENT GROUP, INCCRD# 44602SECAUCUS, NJ12/2009 - 09/2012

LIGHTSPEED PROFESSIONAL TRADING LLCCRD# 39293NEW YORK, NY04/2004 - 12/2007

ESSEX & YORK, INC.CRD# 118495NEW YORK, NY03/2002 - 11/2003

www.finra.org/brokercheck User Guidance

12014 FINRA. All rights reserved. Report# 56811-40394 about GLEN A. GALEMMO. Data current as of Tuesday, January 28, 2014.



RegistrationsThis section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currentlyregistered and licensed with, the category of each license, and the date on which it became effective. This section alsoprovides, for every brokerage firm with which the broker is currently employed, the address of each branch where thebroker works.This broker is not currently registered with FINRA.




Industry Exams this Broker has Passed

This individual has passed 2 principal/supervisory exams, 1 general industry/product exam, and 1 statesecurities law exam.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a brokermay attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying workexperience. Any exam waivers that the broker has received are not included below.

Exam Category Date

Principal/Supervisory Exams

General Securities Sales Supervisor Examination (Options Module & GeneralModule)

12/19/1994Series 8

General Securities Principal Examination 05/16/1997Series 24

Exam Category Date

General Industry/Product Exams

General Securities Representative Examination 10/26/1993Series 7

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 11/04/1993Series 63

Additional information about the above exams or other exams FINRA administers to brokers and other securitiesprofessionals can be found at www.finra.org/brokerqualifications/registeredrep/.




Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following FINRA firms:

12/2009 - 09/2012 LANDMARK INVESTMENT GROUP, INC 44602 SECAUCUS, NJ

04/2004 - 12/2007 LIGHTSPEED PROFESSIONAL TRADING LLC 39293 NEW YORK, NY

03/2002 - 11/2003 ESSEX & YORK, INC. 118495 NEW YORK, NY

05/2001 - 03/2002 WESTMOORE TRADING COMPANY 44948 ANAHIEM, CA

03/1999 - 05/1999 RM STARK & CO INC. 7612 DELRAY BEACH, FL

09/1998 - 01/1999 EVEREN SECURITIES, INC. 19616 ST. LOUIS, MO

08/1998 - 10/1998 H.J. MEYERS & CO., INC. 15609 ROCHESTER, NY

01/1997 - 09/1998 R. H. YORK & COMPANY, INC. 30099 COVINGTON, KY

11/1995 - 12/1996 J.B. OXFORD & COMPANY 14343 SHERMAN OAKS, CA

10/1993 - 10/1995 OLDE DISCOUNT CORPORATION 5979 DETROIT, MI

Employment History

Employment Dates Employer Name Employer Location

Below is the broker's employment history for up to the last 10 years.

Please note that the broker is required to provide this information only while registered with FINRA and theinformation is not updated after the broker ceases to be registered. Therefore, an employment end date of"Present" may not reflect the broker's current employment status.

11/2009 - Present LANDMARK INVESTMENT GROUP, INC. CHEEKTOWAGA, NY

04/2005 - Present QUEEN CITY HEDGE FUND II, LLC CINCINNATI, OH

07/2006 - 12/2007 LIGHTSPEED PROFESSIONAL TRADING, LLC CINCINNATI, OH

04/2004 - 07/2006 E*TRADE PROFESSIONAL TRADING, LLC CINCINNATI, OH

04/1999 - 04/2005 GALEMMO INVESTMENT GROUP CINCINNATI, OH




Other Business ActivitiesThis section includes information, if any, as provided by the broker regarding other business activities the broker iscurrently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This sectiondoes not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and isrecognized as tax exempt.

QUEEN CITY HEDGE FUND II, LLCINVESTMENT RELATEDTHE BUSINESS IS A HEDGE FUNDTITLE/POSITION - MANAGING DIRECTORFULL TIME EMPLOYMENT



Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customercomplaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings, and criminal or civiljudicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular

criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules

or conduct governing the industry and that the activity resulted in damages of at least $5,000.

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers,

brokerage firms and regulators. When more than one of these sources reports information for the samedisclosure event, all versions of the event will appear in the BrokerCheck report. The different versionswill be separated by a solid line with the reporting source labeled.

4. There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final.

A "pending" event involves allegations that have not been proven or formally adjudicated. An event that is "on appeal" involves allegations that have been adjudicated but are currently

being appealed. A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved. An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or

(2) an administrative panel in an action brought by a regulator that is contested by the partycharged with some alleged wrongdoing.

A "settled" matter generally involves an agreement by the parties to resolve the matter. Pleasenote that brokers and brokerage firms may choose to settle customer disputes or regulatorymatters for business or other reasons.

A "resolved" matter usually involves no payment to the customer and no finding of wrongdoingon the part of the individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker.Further information regarding these events can be found in the subsequent pages of this report. You also maywish to contact the broker to obtain further information regarding these events.

Final On AppealPendingRegulatory Event 0 1 0



Disclosure Event DetailsWhen evaluating this information, please keep in mind that a discloure event may be pending or involve allegationsthat are contested and have not been resolved or proven. The matter may, in the end, be withdrawn, dismissed,resolved in favor of the broker, or concluded through a negotiated settlement for certain business reasons (e.g., tomaintain customer relationships or to limit the litigation costs associated with disputing the allegations) with noadmission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fieldscontained in the report may be blank if the information was not provided to CRD.

Regulatory - FinalThis type of disclosure event may involves (1) a final, formal proceeding initiated by a regulatory authority (e.g., a statesecurities agency, self-regulatory organization, federal regulatory such as the Securities and Exchange Commission,foreign financial regulatory body) for a violation of investment-related rules or regulations; or (2) a revocation orsuspension of a broker's authority to act as an attorney, accountant, or federal contractor.Disclosure 1 of 1Reporting Source: RegulatorRegulatory Action InitiatedBy:

FINRA

Sanction(s) Sought: Suspension

Date Initiated: 11/05/2013

Docket/Case Number: 2013037799301

Employing firm when activityoccurred which led to theregulatory action:

N/A

Product Type: No Product

Allegations: RESPONDENT GLEN GALEMMO FAILED TO RESPOND TO FINRA REQUESTFOR INFORMATION

Current Status: Final

Resolution: LETTER

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?



Resolution Date: 11/29/2013Sanctions Ordered:

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?

No

Suspension

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

No

(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?

(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or



Summary: PURSUANT TO FINRA RULE 9552 AND IN ACCORDANCE WITH FINRA'SINTENT TO SUSPEND LETTER DATED NOVEMBER 5, 2013, GALEMMO ISSUSPENDED ON NOVEMBER 29, 2013 FROM ASSOCIATING WITH ANYFINRA MEMBER FIRM IN ANY CAPACITY. IF GALEMMO FAILS TO REQUESTTERMINATION OF THE SUSPENSION WITHIN THREE MONTHS OF THE DATEOF THE NOTICE OF INTENT, HE WILL AUTOMATICALLY BE BARRED ONFEBRUARY 10, 2014 FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANYCAPACITY PURSUANT TO FINRA RULE 9552(H).

(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or

(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?

Capacities Affected: ANY CAPACITY

Duration: N/A

Start Date: 11/29/2013

End Date:

Sanction 1 of 1

Sanction Type: Suspension



Summary: PURSUANT TO FINRA RULE 9552 AND IN ACCORDANCE WITH FINRA'SINTENT TO SUSPEND LETTER DATED NOVEMBER 5, 2013, GALEMMO ISSUSPENDED ON NOVEMBER 29, 2013 FROM ASSOCIATING WITH ANYFINRA MEMBER FIRM IN ANY CAPACITY. IF GALEMMO FAILS TO REQUESTTERMINATION OF THE SUSPENSION WITHIN THREE MONTHS OF THE DATEOF THE NOTICE OF INTENT, HE WILL AUTOMATICALLY BE BARRED ONFEBRUARY 10, 2014 FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANYCAPACITY PURSUANT TO FINRA RULE 9552(H).



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Report SummaryBroker QualificationsRegistration and Employment HistoryDisclosure EventsDisclosure InformationRegulatory - FinalDisclosure #1

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Glen Galemmo FINRA Report