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


Violations Alleged

Failure to supervise under Section 15(b) Exchange Act


First Resolution Date
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-59831 28-Apr-2009 Administrative Proceeding
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934

Related Actions:

SEC v. David L. McMillan
David L. McMillan
In the Matter of Royal Alliance Associates, Inc.