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
Other Defendants in Action:
