Defendant Name: Barry F. Connell

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Barry F. Connell
First Document Date 05-Jan-2021
Initial Filing Format Administrative Action
File Number 3-20197
Allegation Type Investment Advisers/Investment Companies


Violations Alleged

Sections 206(1), 206(2) Advisers Act


First Resolution Date

Related Documents:

34-90848 05-Jan-2021 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions

Related Actions:

In the Matter of Morgan Stanley Smith Barney LLC
SEC v. Barry F. Connell