Defendant Name: John G. Stumpf

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of John G. Stumpf
First Document Date 13-Nov-2020
Initial Filing Format Administrative Action
File Number 3-20148
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a)(3)

Resolutions

First Resolution Date 13-Nov-2020
Headline Total Penalty and Disgorgement $2,500,000

Related Documents:

33-10887 13-Nov-2020 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

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