Defendant Name:
Brad E. Parish
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Brad E. Parish
First Document Date
28-Apr-2009
Initial Filing Format
Administrative Action
File Number
3-13457
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at Royal Alliance Associates, Inc. (1993—2004)
- Current: Broker/Registered Representative at an unidentified individual or entity (From January 2005)
Violations Alleged
•
Failure to supervise under Section 15(b) Exchange Act
Resolutions
Bars:
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
First Resolution Date
