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