Defendant Name: Barry F. Connell

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Barry F. Connell
First Document Date 03-Feb-2017
Initial Filing Format Civil Proceeding
Case Number 17-cv-00831
Allegation Type Investment Advisers/Investment Companies
Federal District Court New York, Southern District of New York

Violations Alleged

Other
• Sections 206(1), 206(2) Investment Advisers Act

Resolutions

First Resolution Date 30-Dec-2020
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

2017-41 03-Feb-2017 Press Release--Civil Action
SEC Charges Financial Adviser With Stealing From Client Accounts
comp-pr2017-41 03-Feb-2017 Complaint
Complaint
court_doc51_17-cv-00831 30-Dec-2020 Court Docket Document
Final Judgment as to Defendant Barry F. Connell

Related Actions:

In the Matter of Morgan Stanley Smith Barney LLC
Morgan Stanley Smith Barney LLC
In the Matter of Barry F. Connell
Barry F. Connell