Defendant Name: Michael F. Stern

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

Resolutions

Bars:
First Resolution Date 27-Nov-2007
Headline Total Penalty and Disgorgement $460,544

Related Documents:

33-8566-o_3-11449 12-Apr-2005 Administrative Proceeding
Order Instituting Administrative 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
33-8862 27-Nov-2007 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 Michael F. Stern

Other Defendants in Action:

Patrick J. McGagh, Jr.
Joseph Bongiorno
Michael J. Hayward
Warren E. Turk
Gerard T. Hayes
Richard P. Volpe
Robert A. Scavone, Jr.

Related Actions:

In the Matter of Van der Moolen Specialists USA, LLC
Van der Moolen Specialists USA, LLC