Defendant Name:
Gary L. Winn
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
- Current: President at Associated Investment Management, Inc.
- Former: CFO at Freedom Financial, Inc.
- Former: CFO at Freedom Track, Inc.
Violations Alleged
•
Section 207 Advisers Act
Related Violations Alleged
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
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
First Resolution Date
20-May-2004
Other Defendants in Action:
Freedom Financial, Inc.
