Defendant Name: James D. Hopkins

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of John P. Flannery, and James D. Hopkins
First Document Date 30-Sep-2010
Initial Filing Format Administrative Action
File Number 3-14081
Allegation Type Securities Offering

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a)(1)
• Sec 17(a)(2)
• Sec 17(a)(3)

Resolutions

Bars:
First Resolution Date 28-Oct-2011
Headline Total Penalty and Disgorgement $71,500

Related Documents:

33-9147 30-Sep-2010 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
id438bpm 28-Oct-2011 ALJ Initial Decision
Initial Decision
33-9689 15-Dec-2014 Commission Order and Opinion
Opinion of the Commission: Cease-and-Desist Proceeding, Investment Advisers Proceeding, Investment Company Proceeding

Other Defendants in Action:

John P. Flannery

Related Actions:

SEC v. State Street Bank and Trust Company
State Street Bank and Trust Company
In the Matter of State Street Bank and Trust Company
State Street Bank and Trust Company