Defendant Name: New York Recovery Advisors, LLC

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of New York REIT, Inc. and New York Recovery Advisors, LLC
First Document Date 21-Jun-2017
Initial Filing Format Administrative Action
File Number 3-18040
Allegation Type Issuer Reporting and Disclosure

Violations Alleged

Related Violations Alleged

New York Recovery Advisors, LLC is alleged to have caused New York REIT, Inc.'s violation of Rule 12b-20 of the Exchange Act.
New York Recovery Advisors, LLC is alleged to have caused New York REIT, Inc.'s violation of Sec 15(d) of the Exchange Act.
New York Recovery Advisors, LLC is alleged to have caused New York REIT, Inc.'s violation of Rule 15d-1 Exchange Act.

Resolutions

First Resolution Date 21-Jun-2017
Headline Total Penalty and Disgorgement $165,000

Related Documents:

34-80992 21-Jun-2017 Administrative Proceeding
Order Instituting Cease-and- Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, Imposing Civil Penalties, and a Cease-and-Desist Order

Other Defendants in Action: