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
Affiliations
- Former: Broker/Registered Representative at Ferris, Baker Watts, Inc. (January 2003—November 2005)
Violations Alleged
•
Failure to supervise under Section 15(b) Exchange 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 6 months
First Resolution Date
Headline Total Penalty and Disgorgement
$66,627
