Defendant Name: J. Michael Scarborough

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of J. Michael Scarborough and Royal Alliance Associates, Inc.
First Document Date 08-Jul-2004
Initial Filing Format Administrative Action
File Number 3-11538
Allegation Type Broker Dealer

Affiliations

Violations Alleged

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

Resolutions

Bars:
First Resolution Date 08-Jul-2004
Headline Total Penalty and Disgorgement $2,311,085

Related Documents:

33-8438 08-Jul-2004 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934
34-81064_3-11538 30-Jun-2017 Administrative Proceeding
Notice of Name Change of Appointed Tax Administrator

Other Defendants in Action:

Royal Alliance Associates, Inc.