Defendant Name: Michael K. Brugman

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Michael K. Brugman
First Document Date 11-Jun-2008
Initial Filing Format Administrative Action
File Number 3-13063
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5

Resolutions

Bars:
First Resolution Date 14-Jan-2009
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-57947-o 11-Jun-2008 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Adviser Act of 1940, and Section 9(b) of the Investment Company Act of 1940
34-59249 14-Jan-2009 Administrative Proceeding
Corrected Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940

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