Defendant Name: Susan E. Walker

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Susan E. Walker
First Document Date 18-Sep-2018
Initial Filing Format Administrative Action
File Number 3-18781
Allegation Type Broker Dealer



First Resolution Date

Related Documents:

34-84182 18-Sep-2018 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing
33-11198_3-18781 02-Jun-2023 Administrative Proceeding
Order Dismissing Proceedings

Related Actions:

In the Matter of Ameriprise Financial Services, Inc.
In the Matter of Jennifer R. Johnson
In the Matter of Jeffrey Scott Davis