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


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.


First Resolution Date

Related Documents:

34-60870 22-Oct-2009 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Other Defendants in Action:

Related Actions:

SEC v. Brent Lemons
In the Matter of Brent Lemons