Defendant Name:
Theodore Charles Sihpol III
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Theodore Charles Sihpol III
First Document Date
16-Sep-2003
Initial Filing Format
Administrative Action
File Number
3-11261
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Broker/Registered Representative at Banc of America Securities, LLC
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Theodore Charles Sihpol III is alleged to have aided and abetted Banc of America Securities LLC's violation of Section 17(a), Rule 17a-3, 17a-4 Exchange Act; Rule 22c-1 Investment Company Act (willfully/knowingly).
Theodore Charles Sihpol III is alleged to have aided and abetted an unidentified individual or entity's violation of Section 17(a), Rules 17a-3, 17a-4 Exchange Act; Rule 22c-1 Investment Company Act (willfully/knowingly).
Theodore Charles Sihpol III is alleged to have caused an unidentified individual or entity's violation of Section 17(a), Rules 17a-3, 17a-4 Exchange Act; Rule 22c-1 Investment Company 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 5 years
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 5 years
First Resolution Date
16-Sep-2003
