Defendant Name:
James R. Glover
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of James R. Glover
First Document Date
25-Aug-2015
Initial Filing Format
Administrative Action
File Number
3-16770
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Registered Investment Adviser at Signator Investors, Inc. (May 1998—May 2012)
- Former: Broker/Registered Representative at Signator Investors, Inc. (May 1998—May 2012)
- Former: Managing Member at Colonial Tidewater Realty Income Partners, LLC
Violations Alleged
•
Sec 17(a) (Not specified)
•
Sections 206(1), 206(2) Advisers Act
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date