Defendant Name:
Gwen Snorteland
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Xavier Capdepon and Gwen Snorteland
First Document Date
18-Jul-2012
Initial Filing Format
Administrative Action
File Number
3-14954
Allegation Type
Securities Offering
Affiliations
- Former: Undetermined at Mizuho Securities USA Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
- Bar from participating in any penny stock offering for 1 year
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 1 year
First Resolution Date
18-Jul-2012
Other Defendants in Action:
