1. Financial Industry Regulatory Authority         (FINRA) Snapshot Report 1979- 2009


 
MAY 19, 2009
JOHN SAKOWICZ
1201 EL DORADO ROAD
UKIAH, CA 95482
Dear JOHN SAKOWICZ:
Attached is the Snapshot Report that you requested on May 19., 2009. Please disregard the numbering on the pages; it is for internal use only. If you are planning to forward this report, please retain a copy for your records.

For future requests, please complete and submit the Snapshot Report Request Form available on the FINRA Web Site at http:J/www.finra.org/snapshot. A copy of the form is attached for your convenience.

If you need additional assistance, you may contact the Gateway Call Center at 301.590.6500.

Sincerely,

Paraskevoula Hays
Associate Director, Registration Management Registration and Disclosure Department
Investor protection. Market integrity.    9509 Key West Avenue    t  301 590 6500
Rockville. MD    f ·240 386 5340
20850    www.finra.org

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CRD® or IARD(SM) System    Current As Of:    05/18/2009 Snapshot • lndlvidual

CRD® or IARD(SM) System Report provided to: FINRA
Request Submitted:    5/19/2009 10:44:26 AM    Page 1 Of 6

Notice
CRD® or IARD(SM) Information: This report contains information from the CRD (Central Registration Depository) system, or the IARD system (Investment Advisers Registration Depository), which are operated by FINRA, a national securities association registered under the Securities Exchange Act of 1934. The CRD system primarily contains information submitted on uniform broker-dealer and agent registration forms and certain other information related to registration and licensing.The IARD system primarily contains information submitted on uniform investment adviser and agent registration forms and certain other information related to registration and licensing. The information on Uniform Forms filed with the CRD or IARD is deemed to have been filed with each regulator with which the applicant seeks to be registered or licensed and shall be the joint property of the applicant and such regulators. The compilation constituting the CRD database as a whole is the property of FINRA. Neither FINRA nor a participating regulator warrants or guarantees the accuracy or the completeness of the CRD or IARD information. CRD information consists of reportable and non-reportable information.

FINRA operates the CRD system in its capacity as a registered national securities association and pursuant to an agreement with the North American Securities Administrators Association, Inc. (NASAA).

FINRA operates the IARD system as a vendor pursuant to a contract with the Securities and Exchange Commission and undertakings with NASAA and participating state regulators.

Reportable lnformation: Information that is required to be reported on the current version of the uniform registration forms.

Non-Reportable lnformation: Information that is not currently reportable on a uniform registration form. Information typically is not reportable because it is out-of-date; it was reported in error; or some change occurred either in the disposition of the underlying event after it was reported or in the question on the form that elicited the information.
Although not currently reportable, this information was once reported on a uniform form and, consequently, may have become a state record. Users of this information should recognize that filers have no obligation to update non­ reportable data; accordingly, it may not reflect changes that have occurred since it was reported.

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CRD® or IARD(SM) System    Current As Of:    05/18/2009 Snapshot - Individual

CRD® or IARD(SM) System Report provided to: FINRA

Request Submitted:    5/19/2009 10:44:26 AM    Page 2 Of 6
CRD® or IARO(SM) System    Current As Of:    05/18/2009
Snapshot - Individual
CRD® or IARD(SM) System Report provided to:  FINRA
Request Submitted:   5/19/2009 10:44:26 AM    Page 2 Of 6
Details for Request#: 6017901
Report: Snapsot- Individual
Requested By: MZ

Parameter Name                                                                  Value
Request by CRD # or SSN:                                                    CRD#
Individual CRD # or SSN                                                         871589
Include Personal Information?                                             No
Include All Registrations with Employments:                     Both Current and                                                                                                                          Previous Employments

Include All Registrations for Current and/or Previous Employments with: All                                                                                                                                                    Regulators
 Include Professional Designations?                                     Yes
Include Employment History?                                                Yes
Include Other Business.                                                          Yes
Include  Exam Information?                                                   Yes
Include Continuing Education Information? (CRD Only)   Yes
 Include Filing History? (CRD Only)                                        Yes
Include Current Reportable Disclosure Information?        Yes
Include Regulator Archive and Z Record Information? (CRD Only) ·                                                                                                                                         No

Is this a Pre-Registration Report Request? (CRD Only)      No


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CRD® or IARD(SM) System    Curret As Of:    05/18/2009 

Snapshot • lndividual
CRD® or IARD(SM) System Report provided to: FINRA
Request Submitted:    5/19/2009 10:44:26 AM                Page 3 Of  6
 Individual    871589 • SAKOWICZ JR, JOHN JOSEPH
AdministrativeInformation Composite Information
Full Legal Name               SAKOWICZ JR, JOHN JOSEPH
Year of Birth                      1952
State of Residence            CA

Active Employments        « No Current Active Employments found for this Individual.»
Reportable Disclosures?   The specified individual has no disclosure that qualifies for                                                                    reporting under this section (i.e.,disclosure required to be reported                                                     on Form U-4 or Form U-5).
                                                Regulatory and Broker/Dealer Users: Please note that there are                                                           three types of disclosure in Web CRD: Reportable, Legacy and                                                             Archive disclosure. An individual with no reportable disclosure may                                                   or may not have Legacy or Archive disclosure. Investment Adviser                                                       Users:Please note that IARD.does not include Legacy  disclosure.                                                          Information reported on previous form filings through IARD is                                                            available under Filing History.

Statutory Disqualification?                        BLNK
Registered With Multiple Firms?              No
Material Difference In Disclosure?          No
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Registrations with Current Employer(s)

<<No Registrations with Current Employer(s) foundfor thisIndividual.>> Registrations with Previous Employer(s)
From    12/27/2004    To    03/31/2006    UBS FINANCIAL SERVICES INC.(8174)
Reasonfor Termination    Other
Termination Comment    REGISTRATION NO LONGER REQUIRED.  EMPLOYEE ON LEAVE.OF ABSENCE.
-
 
Regulator           Registration Category     Status Date     Registration Status     Approval Date 

AMEX                      GS                                  03/31/2006                 T_NOREG          
ARCA                       GS                                  03/31/2006                 T_NOREG           
CA                            AG                                  03/31/2006                 T_NOREG           
CA                            RA                                   03/31/2006                 T_NOREG           
CBOE                       GS                                   03/31/2006                 T_NOREG           
FINRA                      GS                                   03/31/2006                 T_NOREG           
NJ                             AG                                   03/31/2006                 T_NOREG           
NYSE                       GS                                    03/31/2006                 T_NOREG           
PHUC                      GS                                    03/31/2006                 T_NOREG         

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Professional Designations

<<No ProfessionalDesignations found for this Individual.>>

CRD® or IARD(SM) System Report - See notice regarding CRD Data on cover page

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CRDor IARD(SM) System    Current As Of:  05/18/2009 Snapshot  • Individual

CRD® or IARD(SM) System Report provided to;   FINRA
Request Submitted:    5/19/2009 10:44:26 AM                                                               Page 4 Of 6

Individual    871589 • SAKOWICZ JR, JOHN JOSEPH    

Administrative Information
    
Employment History

From    12/2004    To    Present           Name UBS FINANCIAL SERVICES INC
                                                                  Location

                                                                  Investment Related    Yes

From    01/200         To ·   08/2004   Name
                                                              Location
                                                             Position
                                                              Investment related

                                                         
From      06/1988        To    07/2004   Name          BATTLE MOUNTAIN RESEARCH GROUP
                                                                Location      GRAND CAYMAN, CAYMAN ISLANDS
                                                                Position       PARTNER
                                                                Investment  Related          Yes

Office of Employment History 
From       12/2004              To 03/2006
Name                            UBS FINANCIAL SERVICES INC. (8174)
Independent Contractor
Office of Employment Address
CRD    NYSE Branch   Firm Billing Registered  Private     Address     Address  Type     
Branch#    Code#    Code         Location?   Residence? Start Date  End Date of Office


                     2004K             No                     No            12/27/2004  03/31/2006 Located 

At  Address    6570 OAKMONT DRIVE    ,
                          SANTA ROSA, CA 95409 USA
Other Business
<<No Other Business found for thisIndividual.>>
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Examination       Information
Exam    Status                       Status Date      Exam Date     Grade        Score Window Dates

     S3           EXPIRED            4/15/1986                                          0
     S66         EXPIRED            7/1/2005                                                                3/2/2005-6/30/2005
     S63        OFFICIAL_RESULT 11/16/1979       11/16/1979      PASSED   90
     S7          OFFICIAL_RESULT  9/15/1979         9/15/1979      PASSED   220
     S7          EXPIRED             7/1/2005                                                                3/2/2005-6/30/2005
.... ..
CRD® orIARD(SM) System Report --See notice regarding-CRD Data-on cover page.

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CRD® or IARD(SM) System       Current As Of:       05/18/2009

Snapshot - Individual
CRD® or IARD(SM) System Report provided to:               FINRA
Request Submitted:    5/19/2009 10:44:26 AM                                                              Page 6 Of 6

Individual    871589 - SAKOWICZ JR, JOHN JOSEPH
Reportable Events
«No Reportable Events found for this Individual.»
CRD® orIARD(SM) System Report -- See notice regarding CRD Data on cover page

5.  Appointment as Public Appointee to Oversight Board, Mendocino County Redevelopment Successor Agency , California, 2012. 

2.  Commonwealth of Massachusetts Citations, 1990

4.  Appointment as Member to Retirement Board, Mendocino County, California, 2012

3.  Appointment as Director  to TEAM Board in Colorado, 1995

6.  Certificates of Training: 

  Ethics in Public Service Training 2012



     


 







 CALAPERS Training  in Public Pension Management- 2012, 2013, 2015

















 







Ethics in Public Service 2016

Judy Zeller - Fwd. ethics training crtificate

From:    <sako4@comcast.net>
To:    "Ze11er, Judy" <ze11erj@co.mendocino.ca.us>
Date:    10/6/2016 6:46 PM
Subject:   Fwd. ethics training crtificate

Control No: 347226
Public Service Ethics Education
Online Proof of Participation Certificate Date of Completion: Oct 06, 2016

This course is an overview course on all public service ethics issues necessary to satisfy the requirements
of Article 2.4 of Chapter 2 of Part 1 of Division 2 of Title 5 of the Government Code, including the following:
•    Laws relating to personal financial gain by public servants, including, but not limited to, laws prohibiting bribery and conflict-of-interest laws.
•    Laws relating to claiming perquisites ("perks") of office, including, but not limited to, gift and travel restrictions, prohibitions against the use of public resources for personal or political purposes, prohibitions against gifts of public funds, mass mailing restrictions, and prohibitions against acceptance of free or discounted transportation by transportation companies.
•    Government transparency laws, including, but not limited to, financial interest disclosure requirements and open government laws.
•    Laws relating to fair processes, including, but not limited to, common law bias prohibitions, due process requirements, incompatible offices, competitive bidding requirements for public contracts, and disqualification from participating in decisions affecting family members; and
•    General ethical principles relating to public service.

The Fair Political Practices Commission and Attorney General have reviewed this course for course sufficiency and accuracy.

By signing below, I certify that I fully reviewed the content of the entire online AB 1234 course approved by the Attorney General and Fair Political Practices Commission and am entitled to claim two hours of public service ethics law and principles credit.

---John
Sakowicz---------------------------------------------------------------------------
Participant Signature Participant Name

MCERA----------------------------------
Agency Name

NOTE TO PARTICIPANT: Please provide a copy of this proof of participation to the custodian for such records at
your agency. In addition, we recommend you make a copy of this proof of participation for your own records to
retain for at least five years. To preserve the integrity of the online certification process; these
certificates are only
available upon completing the online session. * To satisfy AB 1234 requirements, this certificate must reflect that
the public official spent two hours or more reviewing the materials presented in the online course. If the certificate
reflects less than two hours, the participant should have on file additional certificates demonstrating that the official
has satisfied the entire two hour requirement.

John Sakowicz
October 6. 2016
341208.
MCERA pe your paragraph here.

John  Sakowicz

Employment Background Credentials:  Selected official financial documents, citations, and certificates of achievement.

Table of Contents:
1.  Financial Industry Regulatory Authority (FINRA) Snapshot Report, from 1979 - 2009​
2.  Commonwealth of Massachusetts Citations, 1990
3.  Appointment as Director  to TEAM Board in Colorado, 1995
4.  Appointment as Member to Retirement Board, Mendocino County, California, 2012
5.  Appointment as Public Appointee to Oversight Board, Mendocino County Redevelopment Successor     Agency , California, 2012
6.  Certificates of Training: 
    Ethics in Public Service, Manatt, Phelps &Phillips, LLP,  2012;
    Principles of Pension Management for Trustees, Stanford University Law School, 2012; 
    Public Pension Investment Management Program, Haas School of Business, University of California, Berkeley, 2013;
    Advanced Principles of Pension Management for Trustees, John E.   Anderson Graduate School of Management, University of California, Los Angeles, 2015
    Ethics in Public Service 2016