Defendant Name: William S. Costas

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of William S. Costas
First Document Date 20-Jul-2020
Initial Filing Format Administrative Action
File Number 3-19884
Allegation Type Municipal Securities & Public Pensions


Violations Alleged

MSRB Rules G-17, G-11(k)


First Resolution Date 20-Jul-2020
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-89346 20-Jul-2020 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

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