Defendant Name:
Signator Investors, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Manulife Financial Corporation
SIC Code:
6311
CUSIP:
56501R10
Initial Case Details
Legal Case Name
In the Matter of Signator Investors, Inc. and Gregory J. Mitchell
First Document Date
13-Aug-2015
Initial Filing Format
Administrative Action
File Number
3-16753
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Section 206(4) Advisers Act; Rule 206(4)-7 Advisers Act
Resolutions
First Resolution Date
13-Aug-2015
Headline Total Penalty and Disgorgement
$450,000
Related Documents:
34-75690
13-Aug-2015
Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
The SEC issued an order against Signator Investors, Inc., stating: "These proceedings arise out of Respondents' failure reasonably to supervise James R. Glover ('Glover') and Cory D. Williams ('Williams'), former registered representatives and investment adviser representatives (collectively referred to as 'financial representatives') at Signator, with a view to preventing and detecting Glover's and Williams' violations of the federal securities laws."
34-88005
17-Jan-2020
Administrative Proceeding
Order Appointing Tax Administrator
The SEC appointed Miller Kaplan Arase LLP as tax administrator in proceedings against Signator Investors, Inc. establishing distribution funds.
34-90836
31-Dec-2020
Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity for Comment
The Commission stated: "Notice is hereby given . . . that the Division of Enforcement has submitted
to the Commission a proposed plan of distribution (the “Plan”) for the distribution of monies
paid in the above-captioned matters, and monies recovered by the Commission in a related
federal district court civil action."
Proposed Plan of Distribution
The SEC stated: "The Division of Enforcement (“Division”) submits this proposed plan
of distribution (the “Plan”) . . . the Plan provides for the distribution of the disgorgement, prejudgment
interest, and civil money penalties paid by Signator Investors, Inc. (“Signator”), Gregory J.
Mitchell (“Mitchell”) and Cory D. Williams (“Williams”) (collectively, the “Respondents”) in
the above-captioned matters, and monies recovered by the Commission in a related federal
district court civil action."
34-91111
11-Feb-2021
Administrative Proceeding
Order Approving Plan of Distribution
The Commission stated: "On December 31, 2020, the Commission published a Notice of Proposed Plan of
Distribution and Opportunity for Comment . . . The Division of Enforcement now requests that the Commission approve the Plan . . . Accordingly, it is hereby ORDERED . . . that the Plan is approved."
Plan of Distribution
The Commission stated: "The Division of Enforcement (“Division”) has prepared this Plan of Distribution (the “Plan”) . . . the Plan provides for the distribution of the disgorgement, prejudgment
interest, and civil money penalties paid by Signator Investors, Inc. (“Signator”), Gregory J. Mitchell (“Mitchell”) and Cory D. Williams (“Williams”) (collectively, the “Respondents”) in the above-captioned matters, and monies recovered by the Commission in a related federal
district court civil action."
34-91589
16-Apr-2021
Administrative Proceeding
Order Directing Disbursement of Fair Fund
The SEC stated: "it is hereby ORDERED, that Commission staff shall direct the payment of $975,788.48 from the Fair Fund to the Fair Fund's escrow account at Alerus Financial, N.A. for distribution in accordance with the Plan."
Other Defendants in Action:
