Defendant Name: Lawson Financial Corporation

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Lawson Financial Corporation and Robert Lawson
First Document Date 05-Apr-2017
Initial Filing Format Administrative Action
File Number 3-17901
Allegation Type Securities Offering

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)
Other
• Section 15(c)(2) Exchange Act; Rule 15c2-12 Exchange Act
Additionally, Robert Lawson is alleged to have aided and abetted Lawson Financial Corporation's violation of Section 15(c)(2) Exchange Act; Rule 15c2-12 Exchange Act (willfully/knowingly).

Resolutions

First Resolution Date 05-Apr-2017
Headline Total Penalty and Disgorgement $198,326

Related Documents:

33-10334 05-Apr-2017 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b), 15B(c) and 21C Of The Securities Exchange Act Of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Robert Lawson

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