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


Violations Alleged

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.


First Resolution Date 15-Jun-2015
Headline Total Penalty and Disgorgement

See Related Documents

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:

Related Actions:

In the Matter of Brian J. Ourand
In the Matter of Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA