sieb_8k.htm
|
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
| |
|
FORM 8-K
CURRENT REPORT
|
| |
|
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
|
| |
|
Date of Report (Date of earliest event reported): February 27, 2015
|
| |
|
SIEBERT FINANCIAL CORP.
(Exact name of registrant as specified in its charter)
|
|
New York
|
0-5703
|
11-1796714
|
| |
|
|
|
(State or other jurisdiction of
incorporation)
|
(Commission File Number)
|
(IRS Employer Identification
Number)
|
|
885 Third Avenue, New York, New York
|
|
10022
|
|
(Address of principal executive offices)
|
|
(Zip Code)
|
|
Registrant’s telephone number, including area code:
|
(212) 644-2400
|
| |
|
(Former name or former address, if changed since last report.)
|
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
|
o
|
Written communications pursuant to Rule 425 under the Securities Act
|
| |
|
|
o
|
Soliciting material pursuant to Rule 14a-12 under the Exchange Act
|
| |
|
|
o
|
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act
|
| |
|
|
o
|
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act
|
Item 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers.
Suzanne Shank has resigned from her position as Acting Chief Executive Officer of Siebert Financial Corporation effective as of February 27, 2015 to devote full time to her position as Chief Executive Officer of Siebert Branford Shank. Joseph M. Ramos, our Executive Vice President and Chief Financial Officer, will be performing a similar function as a principal executive officer to those previously performed by Ms. Shank.
Mr. Ramos has been our Executive Vice President, Chief Financial Officer and Assistant Secretary since February 10, 2003 and Chief Financial Officer of Siebert, Brandford, Shank, & Co., L.L.C. since April 20, 2009. From May 1999 to February 2002, Mr. Ramos served as Chief Financial Officer of Internet Financial Services, Inc. From November 1996 to May 1999, Mr. Ramos served as Chief Financial Officer of Nikko Securities International, Inc. From September 1987 to March 1996, Mr. Ramos worked at Cantor Fitzgerald and held various accounting and management positions, the last as Chief Financial Officer of their registered broker-dealer based in Los Angeles. From October 1982 to September 1987, Mr. Ramos was an audit manager for Deloitte & Touche LLP, a public accounting firm. Mr. Ramos is a Certified Public Accountant licensed in the State of New York.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
99.1 Press Release, dated March 3, 2015.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| |
SIEBERT FINANCIAL CORP.
|
|
| |
|
|
|
|
|
By:
|
/s/ Joseph M. Ramos, Jr. |
|
| |
|
Joseph M. Ramos, Jr. |
|
| |
|
Executive Vice President, Chief Operating and |
|
| |
|
Chief Financial Officer |
|