Defendant Name: Richard Kozuback

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of The Greater Wenatchee Regional Events Center Public Facilities District, Allison Williams, Global Entertainment Corporation, and Richard Kozuback
First Document Date 05-Nov-2013
Initial Filing Format Administrative Action
File Number 3-15602
Allegation Type Municipal Securities & Public Pensions

Affiliations

Violations Alleged

Securities Act
• Sec 17(a)(3)

Resolutions

First Resolution Date 05-Nov-2013
Headline Total Penalty and Disgorgement $40,000

Related Documents:

33-9471 05-Nov-2013 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Global Entertainment Corporation
The Greater Wenatchee Regional Events Center Public Facilities District
Allison Williams

Related Actions:

In the Matter of Piper Jaffray & Co. and Jane Towery
Piper Jaffray & Co.
Jane Towery