Defendant Name:
Summit Financial Group, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
RCS Capital Corp.
SIC Code:
6153
CUSIP:
74937W10
Initial Case Details
Legal Case Name
In the Matter of Summit Financial Group, Inc.
First Document Date
11-Mar-2019
Initial Filing Format
Administrative Action
File Number
3-19071
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(2), 207 Advisers Act
Resolutions
First Resolution Date
11-Mar-2019