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


Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 5(a)
Sec 5(c)
Sec 17(a) (Not specified)
Sections 206(1), 206(2) Advisers Act


First Resolution Date

Related Documents:

34-75760 25-Aug-2015 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

Related Actions:

In the Matter of Signator Investors, Inc. and Gregory J. Mitchell
SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill
In the Matter of Cory D. Williams