Defendant Name:
Jon Patrick Pierce
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., John Patrick Pierce, and Gary L. Winn
First Document Date
04-Sep-2003
Initial Filing Format
Administrative Action
File Number
3-11246
Allegation Type
Issuer Reporting and Disclosure
Affiliations
- CEO at Freedom Financial Group, Inc.
- CEO at Freedom Financial, Inc.
- CEO at Freedom Track, Inc.
- Former: President at Freedom Financial, Inc.
- Former: President at Freedom Track, Inc.
- Former: President at Associated Investment Management, Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Jon Patrick Pierce is alleged to have aided and abetted
Freedom Financial, Inc.'s violation of Sec 15(c) of the Exchange Act (willfully/knowingly).
Jon Patrick Pierce is alleged to have caused
Freedom Financial, Inc.'s violation of Sec 15(c) of the Exchange Act (willfully/knowingly).
Jon Patrick Pierce is alleged to have aided and abetted
Freedom Financial, Inc.'s violation of Sections 15(b), 17(a) Exchange Act; Rules 15b1-1, 15b3-1, 15c3-1, 15c3-3, 17a-5(a) Exchange Act (willfully/knowingly).
Jon Patrick Pierce is alleged to have aided and abetted
Associated Investment Management, Inc.'s violation of Sections 206(1), 206(2), 206(4) Advisers Act; Rule 206(4)-1(a)(5) Advisers Act (willfully/knowingly).
Jon Patrick Pierce is alleged to have caused
Freedom Financial, Inc.'s violation of Sections 15(b), 17(a) Exchange Act; Rules 15b1-1, 15b3-1, 15c3-1, 15c3-3, 17a-5(a) Exchange Act (willfully/knowingly).
Jon Patrick Pierce is alleged to have caused
Associated Investment Management, Inc.'s violation of Sections 206(1), 206(2), 206(4) Advisers Act; Rule 206(4)-1(a)(5) Advisers Act (willfully/knowingly).
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
First Resolution Date
20-May-2004
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
Freedom Financial, Inc.
