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
Affiliations
- Former: Registered Investment Adviser at Signator Investors, Inc. (April 30, 1998—March 7, 2013)
- Former: Broker/Registered Representative at Signator Investors, Inc. (April 30, 1998—March 7, 2013)
Violations Alleged
•
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)
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter (of unspecified duration)
First Resolution Date
13-Aug-2015
Headline Total Penalty and Disgorgement
$198,236
