Defendant Name: David A. Finnerty

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr.
First Document Date 12-Apr-2005
Initial Filing Format Administrative Action
File Number 3-11893
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)
Other
• Section 11(b) Exchange Act; Rule 11b-1 Exchange Act; Rules 104, 92, 123B, 401, 476(a)(6) NYSE

Resolutions

Bars:
First Resolution Date 28-May-2009
Headline Total Penalty and Disgorgement $150,000

Related Documents:

33-8566-o_3-11446 12-Apr-2005 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and Sections 15(B), 21c and 11(B) of the Securities Exchange Act of 1934 and Rule 11b-1 Thereunder
33-9033 28-May-2009 Administrative Proceeding
Order Making Findings, Imposing Remedial Sanctions, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b)(6), 21C and 11(b) of the Securities Exchange Act of 1934 and Rule 11b-1 thereunder as to David A. Finnerty

Other Defendants in Action:

Thomas J. Murphy, Jr.
Donald R. Foley II
Scott G. Hunt

Related Actions:

In the Matter of Fleet Specialist, Inc.
Fleet Specialist, Inc.