0000948395-15-000006.txt : 20150211 0000948395-15-000006.hdr.sgml : 20150211 20150211111318 ACCESSION NUMBER: 0000948395-15-000006 CONFORMED SUBMISSION TYPE: MA PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GVC CAPITAL LLC CENTRAL INDEX KEY: 0000948395 IRS NUMBER: 841309970 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA SEC ACT: 1934 Act SEC FILE NUMBER: 867-01643 FILM NUMBER: 15597591 BUSINESS ADDRESS: STREET 1: 5350 SO. ROSLYN ST. STREET 2: SUITE 400 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111-2124 BUSINESS PHONE: 303-694-0862 MAIL ADDRESS: STREET 1: 5350 SO. ROSLYN ST. STREET 2: SUITE 400 CITY: GREENWOOD VILLAGE STATE: CO ZIP: 80111-2124 FORMER COMPANY: FORMER CONFORMED NAME: BATHGATE CAPITAL PARTNERS LLC DATE OF NAME CHANGE: 20020515 FORMER COMPANY: FORMER CONFORMED NAME: BATHGATE MCCOLLEY CAPITAL GROUP LLC DATE OF NAME CHANGE: 20020515 FORMER COMPANY: FORMER CONFORMED NAME: BATHGATE MCCOLLEY CAPITAL GROUP LLC /BD DATE OF NAME CHANGE: 20020220 MA 1 primary_doc.xml MA 0000948395 XXXXXXXX Andrea Kidd 720-488-4728 akidd@gvccap.com akidd@gvccap.com GVC CAPITAL LLC 000038923 84-1309970 866-01549-00 008-48465 000038923 5350 SO. ROSLYN ST. SUITE 400 GREENWOOD VILLAGE CO 80111-2124 303-694-0862 N 5350 SO. ROSLYN ST. SUITE 400 GREENWOOD VILLAGE CO 80111-2124 www.gvccap.com Vicki Dawn Edwards-Barone

5350 S. Roslyn St. Suite 400 Greenwood Village CO 80111

303-694-0862 720-488-4757 vbarone@gvccap.com Andrea Joy Kidd

5350 S. Roslyn St. Suite 400 Greenwood Village CO 80111

720-488-4728 720-488-4757 akidd@gvccap.com December CO 06-09-1995 N 33 2 2 0 0 1 Municipal Entities Non-profit organizations 0 0 0 Not Applicable Contingent Fees Other success fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Y Y Y Y AK, AR, AZ, CA, CO, CT, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY N 0 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 Y N N N N N N Y N Y N GVC Partners LLC N 84-1303793 Holding Company 06-01-1995 E Y Vicki Dawn Edwards-Barone Senior Managing Partner 01-01-2006 NA Y 001160946 Steven Mark Bathgate Senior Managing Partner 06-01-1995 NA Y 000853937 Gregory Gale Fulton Senior Managing Partner 04-01-2007 NA Y 000215757 Richard Tyson Huebner Senior Managing Partner 02-01-2002 NA Y 001080361 Andrea Joy Kidd Chief Compliance Officer- Retail 07-01-2012 NA Y 003228174 GVC Partners LLC Steven Mark Bathgate Manager 06-01-1995 F Y 000853937 GVC Partners LLC David Holmes Drennen Member 01-01-2003 F N 000719539 GVC Partners LLC Vicki Dawn Edwards-Barone Manager 10-01-2006 F Y 001160946 GVC Partners LLC Gregory Gale Fulton Manager 04-01-2007 F Y 000215757 GVC Partners LLC Richard Tyson Huebner Manager 01-01-2003 F Y 001080361 GVC Partners LLC Jonathan Bruce Kruljac Member 01-01-2007 F N 001415639 GVC Partners LLC Katherine Louise Walker Member 04-01-2007 F N 003041608 9-E2 GVC Capital LLC 000038923 1350006 9-E2 GVC Capital LLC 000038923 1501343 9-E2 GVC Capital LLC 000038923 1541705 9-H1c District Court, City & County of Denver, Colorado 06CV6505 1437 Bannock St Room 256 Denver CO 80202 Bathgate Capital settled for $75,000 and was released from any further involvement. The settlement did not include reps Signer and Quoy. 06-23-2006 Private Plantiff Kalb & Peck Private Client Trust II and Kalb & Peck Private Client Trust III Y Bathgate Capital Partners LLC (n/k/a GVC Capital), Steven Signer, Sands Brothers & Co, and Steven Quoy Y Money Damage(s) (Private/Civil Complaint) 06-27-2006 Debt - Government Clients opened accounts with rep Signer in 2001 to trade US Treasuries on margin and transferred accounts upon registration with Bathgate Capital. Clients alleged they were not advised of the losses in their accounts nor of liquidations in response to margin calls. Bathgate Capital was named for lack of supervision. 06-02-2008 Settled N Vicki D. E. Barone Vicki D. E. Barone Senior Managing Partner 01-15-2015 000038923 N N N N N Y N N N N N N N N N N N N Y N