0001179791-17-000005.txt : 20170515
0001179791-17-000005.hdr.sgml : 20170515
20170515165348
ACCESSION NUMBER: 0001179791-17-000005
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20170515
DATE AS OF CHANGE: 20170515
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CIM INVESTMENT MANGEMENT INC
CENTRAL INDEX KEY: 0001179791
IRS NUMBER: 251738846
STATE OF INCORPORATION: PA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-I/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04582
FILM NUMBER: 17845248
BUSINESS ADDRESS:
STREET 1: 239 FOURTH AVE SUITE 1302
CITY: PITTSBURGH
STATE: PA
ZIP: 15222
BUSINESS PHONE: 4127652771
MAIL ADDRESS:
STREET 1: 239 FOURTH AVENUE
STREET 2: SUITE 1302
CITY: PITTSBURGH
STATE: PA
ZIP: 15222
MA-I/A
1
primary_doc.xml
MA-I/A
0001179791
XXXXXXXX
Antoine Smalls
4127652771
asmalls@ciminvests.com
N
N
Maurice
Thomas
Murphy
jr
001901835
Y
1
0001179791
CIM INVESTMENT MANGEMENT INC
08-15-2013
N
09-30-2014
0001179791
LOCATED
SUPERVISED
08-15-2013
239 FOURTH AVE SUITE 1302
PITTSBURGH
PA
15222
08-2013
CIM Investment Management
Pittsburgh
PA
15222
Y
Y
Director of Business Development
09-2008
05-2013
WK Solar Group
Perrysburg
OH
43551
N
N
Director Of Sales/Marketing
04-2004
09-2008
Merrill Lynch
Pittsburgh
PA
15222
Y
Y
Director GMI
N
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
05-15-2017
Antoine Smalls
Chief Compliance Officer
In 2011 I was was a partner in a Solar Company which was failing. I invested everything I had in the venture and I was losing everything and I began drinking heavily to escape the issues. Unfortunately I was in an accident while drunk and was charged with Vehicular Assult, which is what happens in Ohio when someone who is driving drunk causes an accident and someone is injured. Thankfully the injuries were reltivly minor, and it caused me to reevaluate my life. I haven't had a drink since 11/16/11 and am trying to rebuild my life both financially and spiritually.
6A(1)(a)
6B(1)(a)
Y
Common Pleas
Common Pleas of Wood Co. Ohio
2012cr005
One Courthouse Sq
Bowling Green
OH
43402
2012cr0005
01-16-2012
I don't have the exact date of the charge, but the accident occurred on 11/16/11, and my first court appearance was on 1/23/12. Charge 1 was misdemeanor DUI and not investment related. Charge 2 was reduced to Vehicular Assault a 4th degree felony due to the fact that an injury was associated with the accident. The injury was a broken arm which is by no means insignificant, but not life threatening or investment related. Both these charges were amended/reduced on 6/28/12 and all jail/community service/fines/counseling were completed by 5/15/14. I haven't had a drink since the accident and have tried to rebuild my life. EDGAR prevented me from including the associated paperwork and it was forwarded by our Compliance Officer, Antoine Smalls, via e-mail.
I don't have the exact date of the charge, but the accident occurred on 11/16/11, and my first court appearance was on 1/23/12. Charge 1 was misdemeanor DUI and not investment related. This charge was amended/reduced on 6/28/12 and all jail/community service/fines/counseling were completed by 5/15/14. I haven't had a drink since the accident and have tried to rebuild my life. EDGAR prevented me from including the associated paperwork and it was forwarded by our Compliance Officer, Antoine Smalls, via e-mail
1
Guilty
06-28-2012
Pled guilty
Along with my Felony I was charged with misdemeanor DUI.
01-16-2012
72 hours in County Jail, license suspended except for work for 1 year, 300 hours of community service, alcohol counciling
180
07-13-2012
07-15-2012
1000.00
05-15-2014
1000.00
Y
06-28-2012