Defendant Name: Thomas H. Bruderman

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith
First Document Date 05-Mar-2008
Initial Filing Format Administrative Action
File Number 3-12978
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Other
• Section 17(e)(1) Investment Company Act

Related Violations Alleged

Thomas H. Bruderman is alleged to have caused FMR Co., Inc.'s violation of Section 206(2) Advisers Act (willfully/knowingly).
Thomas H. Bruderman is alleged to have caused Fidelity Management & Research Company's violation of Section 206(2) Advisers Act (willfully/knowingly).

Resolutions

First Resolution Date 11-Apr-2008
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

ia-2715-o 05-Mar-2008 Administrative Proceeding
Corrected Order Instituting Administrative Cease-and-Desist Proceedings and Notice of Hearing Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940
IA-3184 11-Apr-2008 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940 as to Thomas H. Bruderman

Other Defendants in Action:

Robert L. Burns
Scott E. DeSano
Timothy J. Burnieika
David K. Donovan
Edward S. Driscoll
Jeffrey D. Harris
Christopher J. Horan
Steven P. Pascucci
Kirk C. Smith

Related Actions:

In the Matter of Jefferies & Co., Inc. and Scott Jones
Jefferies & Co., Inc.
Scott Jones
In the Matter of Kevin W. Quinn
Kevin W. Quinn
In the Matte of Fidelity Management & Research Company and FMR Co., Inc.
Fidelity Management & Research Company
FMR Co., Inc.