Defendant Name: Daniel R. Leland

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh
First Document Date 10-Jan-2005
Initial Filing Format Administrative Action
File Number 3-11793
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Other
• Section 15(b)(4)(E) Exchange Act

Resolutions

Bars:
First Resolution Date 10-Jan-2005
Headline Total Penalty and Disgorgement $10,275,003

Related Documents:

34-51002 10-Jan-2005 Administrative Proceeding
Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, and Instituting Cease-And-Desist Proceedings and Imposing a Cease-And-Desist Order, Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 9(f) of the Investment Company Act of 1940

Other Defendants in Action:

Southwest Securities, Inc.
Kerry M. Rigdon
Kevin J. Marsh

Related Actions:

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Scott B. Gann
George B. Fasciano
In the Matter of Scott B. Gann
Scott B. Gann