Defendant Name:
KMS Financial Services, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Ladenburg Thalmann Financial Services Inc.
SIC Code:
6211
CUSIP:
50575Q10
Initial Case Details
Legal Case Name
In the Matter of KMS Financial Services, Inc.
First Document Date
19-Jul-2017
Initial Filing Format
Administrative Action
File Number
3-18068
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(2), 206(4), 207 Advisers Act; Rule 206(4)-7 Advisers Act
Resolutions
First Resolution Date
19-Jul-2017