Defendant Name: Patrick J. Vaughan

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Patrick J. Vaughan
First Document Date 10-Feb-2009
Initial Filing Format Administrative Action
File Number 3-13367
Allegation Type Broker Dealer


Violations Alleged

Failure to supervise under Section 15(b) Exchange Act


First Resolution Date
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-59375A 10-Feb-2009 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

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