Defendant Name:
Rose M. Rudden
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
- Current: Undetermined at Gilman Ciocia, Inc.
- Current: Chief Compliance Officer at Prime Capital Services, Inc. (From April 2005)
Violations Alleged
•
Sections 15(b)(6), 15(b)(4)(E) Exchange Act
Resolutions
Bars:
- Bar from association in a supervisory capacity with any broker, dealer, or investment adviser for 1 year
First Resolution Date
Headline Total Penalty and Disgorgement
$1,330,570
Other Defendants in Action:
