Defendant Name: Eugene S. Mason

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of SFX Financial Advisory Management Enterprises, Inc. and Eugene S. Mason
First Document Date 15-Jun-2015
Initial Filing Format Administrative Action
File Number 3-16591
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Other
• Section 207 Advisers Act

Related Violations Alleged

Eugene S. Mason is alleged to have caused SFX Financial Advisory Management Enterprises, Inc.'s violation of Section 206(4), Rule 206(4)-7 Advisers Act.

Resolutions

First Resolution Date 15-Jun-2015
Headline Total Penalty and Disgorgement $175,000

Related Documents:

IA-4116 15-Jun-2015 Administrative Proceeding
Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Sections 203(e), 203(f), And 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-And-Desist Order

Other Defendants in Action:

SFX Financial Advisory Management Enterprises, Inc.

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