Defendant Name:
Eric J. Brown
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.
- Former: Broker/Registered Representative at Prime Capital Services, Inc. (1998—2006)
Violations Alleged
•
Sec 17(a) (Not specified)
Related Violations Alleged
Eric J. Brown is alleged to have aided and abetted
Prime Capital Services, Inc.'s violation of Section 17(a), Rule 17a-3 Exchange Act (willfully/knowingly).
Eric J. Brown is alleged to have caused
Prime Capital Services, Inc.'s violation of Section 17(a), Rule 17a-3 Exchange Act (willfully/knowingly).
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)
First Resolution Date
25-Jun-2010
Headline Total Penalty and Disgorgement
$1,330,570
Other Defendants in Action:
