Defendant Name:
Christie A. Andersen
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells
First Document Date
30-Jun-2009
Initial Filing Format
Administrative Action
File Number
3-13532
Allegation Type
Broker Dealer
Affiliations
- Former: Undetermined at Gilman Ciocia, Inc. (2004—October 2006)
- Former: Chief Compliance Officer at Prime Capital Services, Inc. (2004—October 2006)
- Former: Broker/Registered Representative at Prime Capital Services, Inc. (2002—October 2006)
- Former: Compliance Officer at Prime Capital Services, Inc. (2002—October 2006)
Violations Alleged
•
Sections 15(b)(6), 15(b)(4)(E) Exchange Act
Resolutions
Bars:
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
First Resolution Date
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
