Defendant Name:
Virginia Holliday
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Banc of America Investment Services, Inc. and Virginia Holliday
First Document Date
22-Oct-2009
Initial Filing Format
Administrative Action
File Number
3-13664
Allegation Type
Broker Dealer
Affiliations
- Former: Market Director for Texas Office of Supervisory Jurisdiction at Banc of America Investment Services, Inc (February 2005—July 2007)
Violations Alleged
•
Sections 15(b)(4)(E), 15(b)(4)(6)(A) Exchange Act
Related Violations Alleged
Virginia Holliday is alleged to have aided and abetted Brent Lemons's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Resolutions
Bars:
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
First Resolution Date
Other Defendants in Action:
