Defendant Name:
Robert Lawson
Defendant Type:
Individual
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
Affiliations
- CEO at Lawson Financial Corporation
- President at Lawson Financial Corporation
- Chief Compliance Officer at Lawson Financial Corporation
- Founder at Lawson Financial Corporation
Related Violations Alleged
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
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 3 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 3 years
First Resolution Date
05-Apr-2017
Headline Total Penalty and Disgorgement
$476,652
Other Defendants in Action:
