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
Affiliations
- Former: Registered Investment Adviser at Signator Investors, Inc. (December 2014—June 2015)
- Former: Broker/Registered Representative at Signator Investors, Inc. (December 2014—June 2015)
- Former: Director of Compliance for Signator's Vienna and Signator's Towson at Signator Investors, Inc. (January 2004—December 2014)
Violations Alleged
•
Section 15(b)(4)(E) Exchange Act; Section 203(e)(6) Advisers Act
Resolutions
Bars:
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
First Resolution Date
13-Aug-2015
Headline Total Penalty and Disgorgement
$15,000
Other Defendants in Action:
