Defendant Name:
James R. Glover
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill
First Document Date
13-Aug-2015
Initial Filing Format
Civil Proceeding
Case Number
15-cv-02401
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
Maryland, District of Maryland
Affiliations
- Former: Registered Investment Adviser at Signator Investors, Inc. (May 1, 1998—May 11, 2012)
- Former: Broker/Registered Representative at Signator Investors, Inc. (May 1, 1998—May 11, 2012)
- Former: Managing Member at Colonial Tidewater Realty Income Partners, LLC (From April 1, 2004)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Sections 206(1), 206(2) Advisers Act
Resolutions
First Resolution Date
20-Aug-2015
Headline Total Penalty and Disgorgement
$1,354,105
Other Defendants in Action:
