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
Affiliations
- Former: Registered Investment Adviser at No Specified Entity (May 2008—November 2016)
- Former: Registered representative in NY and NJ at No Specified Entity (May 2008—November 2016)
Violations Alleged
•
Sections 206(1), 206(2) Advisers Act
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of permanent duration)
- Bar from participating in any penny stock offering (of permanent duration)
First Resolution Date
