Securities Enforcement Empirical Database (SEED)

Defendant Name: James R. Glover

Defendant Type: Individual

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

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

Exchange Act

• Sec 10(b) + Rule 10b-5

Securities Act

• Sec 5(a)

• Sec 5(c)

• Sec 17(a) (Not specified)

Other

• Sections 206(1), 206(2) Advisers Act

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

In the Matter of Signator Investors, Inc. and Gregory J. Mitchell

Signator Investors, Inc.

Gregory J. Mitchell

SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill

James R. Glover

Colonial Tidewater Realty Income Partners, LLC

Sherman T. Hill

In the Matter of Cory D. Williams

Cory D. Williams