Defendant Name: Wendy Katz 

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Wendy Katz
First Document Date 29-Aug-2019
Initial Filing Format Administrative Action
File Number 3-19395
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Securities Act
• Sec 17(a)(3)

Resolutions

Bars:
First Resolution Date 29-Aug-2019
Headline Total Penalty and Disgorgement $20,000

Related Documents:

33-10677 29-Aug-2019 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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