Defendant Name: Cory D. Williams

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Cory D. Williams
First Document Date 13-Aug-2015
Initial Filing Format Administrative Action
File Number 3-16754
Allegation Type Investment Advisers/Investment Companies


Violations Alleged

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


First Resolution Date 13-Aug-2015
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-75691 13-Aug-2015 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Related Actions:

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