Defendant Name: Kirk C. Smith

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

Resolutions

First Resolution Date 11-Dec-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-2819 11-Dec-2008 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940 as to Kirk C. Smith

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
Thomas H. Bruderman

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FMR Co., Inc.