Defendant Name: Gregory J. Mitchell

Defendant Type: Individual

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 15(b)(4)(E) Exchange Act; Section 203(e)(6) Advisers Act


First Resolution Date 13-Aug-2015
Headline Total Penalty and Disgorgement

See Related Documents

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

Other Defendants in Action:

Related Actions:

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In the Matter of Cory D. Williams