Defendant Name:
Thomas A. Hooker, Jr.
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato
First Document Date
20-May-2004
Initial Filing Format
Administrative Action
File Number
3-11498
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Chief Compliance Officer at Strong Capital Management, Inc. (December 2001—February 2004)
- Former: Director of Compliance at Strong Capital Management, Inc. (1996—November 2001)
Violations Alleged
•
Strong and SCM: Section 206(2) Advisers Act
Related Violations Alleged
Thomas A. Hooker, Jr. is alleged to have aided and abetted
Strong Capital Management, Inc.'s violation of Section 206(2) Advisers Act (willfully/knowingly).
Thomas A. Hooker, Jr. is alleged to have aided and abetted
Richard S. Strong's violation of Section 206(2) Advisers Act (willfully/knowingly).
Thomas A. Hooker, Jr. is alleged to have caused
Richard S. Strong's violation of Section 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)
- 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
20-May-2004
Headline Total Penalty and Disgorgement
$140,800,000
Other Defendants in Action:
