Defendant Name:
D. Jonathan Merriman
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar
First Document Date
10-Nov-2009
Initial Filing Format
Administrative Action
File Number
3-13681
Allegation Type
Broker Dealer
Affiliations
- Former: CEO at Merriman Curhan Ford & Co. (Until June 30, 2009)
- Former: Founder at Merriman Curhan Ford & Co. (Until June 30, 2009)
Violations Alleged
•
Failure to supervise within the meaning of Sections 15(b)(4)(E) and 15(b)(6)(A) Exchange Act
Related Violations Alleged
D. Jonathan Merriman is alleged to have aided and abetted
Merriman Curhan Ford & Co.'s violation of Section 15(b)(7) Exchange Act; Rule 15b7-1 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 12 months
First Resolution Date
10-Nov-2009
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
