Defendant Name: Associated Investment Management, Inc.

Defendant Type: Other

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

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Other
• Sections 206(1), 206(2), 206(4), 207 Advisers Act; Rule 206(4)-1(a)(5) Advisers Act
Additionally, 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 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).
Gary L. Winn 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).
Gary L. Winn 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

First Resolution Date 20-May-2004
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-8280 04-Sep-2003 Press Release--Administrative Proceeding
Proceedings Instituted Against Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, and Gary L. Winn
33-8426 20-May-2004 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Orders Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940

Other Defendants in Action:

Freedom Financial Group, Inc.
Freedom Financial, Inc.
Freedom Track, Inc.
Jon Patrick Pierce
Gary L. Winn

Related Actions:

SEC v. Presidents Trust Company, LLC, Jon Patrick Pierce, and David D. Klasna
Presidents Trust Company, LLC
Jon Patrick Pierce
David D. Klasna