Defendant Name: Benjamin H. Gordon 

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Benjamin H. Gordon
First Document Date 20-Jun-2019
Initial Filing Format Administrative Action
File Number 3-19210
Allegation Type Issuer Reporting and Disclosure


Violations Alleged

Exchange Act
Sec 14(a)
Rule 14a-9
Securities Act
Sec 17(a)(2)


First Resolution Date 20-Jun-2019
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-10651 20-Jun-2019 Administrative Proceeding
Order Instituting Administrative And Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, And Imposing Remedial Sanctions and a Cease-and-Desist Order

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