Defendant Name: Sanford Michael Katz 

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Sanford Michael Katz
First Document Date 04-Apr-2017
Initial Filing Format Administrative Action
File Number 3-17900
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Other
• Section 206(2) Advisers Act

Resolutions

First Resolution Date 04-Apr-2017
Headline Total Penalty and Disgorgement $2,172,446

Related Documents:

IA-4679 04-Apr-2017 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Related Actions:

In the Matter of Credit Suisse Securities (USA) LLC
Credit Suisse Securities (USA) LLC