Defendant Name: Anthony Portelli

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Anthony Portelli
First Document Date 22-Jun-2017
Initial Filing Format Administrative Action
File Number 3-18042
Allegation Type Broker Dealer


Violations Alleged

Failure to supervise under Section 15(b) Exchange Act


First Resolution Date 22-Jun-2017
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-80996 22-Jun-2017 Administrative Proceeding
Order Instituting Administrative Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of ITG Inc.
In the Matter of Wendy Katz