Amerigo Asset Management Corporation

Allegations: FINOP REGISTRATION, NET CAPITAL VIOLATION, LATE FOCUS REPORTING Status: Final Sanction Detail: FINE AND CENSURE Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, STEVE BURKS CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE A FINE AND CENSURE WAS ISSUED.

Allegations: FINRA ALLEGES VIOLATIONS OF NASD CONDUCT RULES 3010, 3110 AND 2110 AND FINRA RULE 2010. FINRA ALLEGES AS A REGISTERED PRINCIPAL OF THE FIRM A FAILURE TO CONDUCT ADEQUATE DUE DILIGENCE OF A PRIVATE PLACEMENT PURSUANT TO REGULATION D, FAILURE TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM, CONDUCTING SECURITIES BUSINESS WHILE THE FIRM WAS IN NET CAPITAL DEFICIENCY AND FAILING TO PREPARE THROUGH THE FIRMS FINOP ACCURATE MONTH END NET CAPITAL COMPUTATIONS AND QUARTERLY FOCUS FILINGS FROM JANUARY 1, 2009 THROUGH SEPTEMBER 30, 2009. Status: Final Sanction Detail: FINE OF $10,000 AND SUSPENDED IN ALL PRINCIPAL CAPACITIES FOR SIX MONTHS STARTING 3/21/2011 AND ENDING 9/20/2011 Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, STEVE BURKS CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE A FINE OF $10,000 AND SUSPENSION IN ALL PRINCIPAL CAPACITIES FOR SIX MONTHS STARTING 3/21/2011 AND ENDING 9/20/2011 WAS ISSUED.