Defendant Name: Kevin W. Quinn

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Kevin W. Quinn
First Document Date 01-Dec-2006
Initial Filing Format Administrative Action
File Number 3-12496
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Related Violations Alleged

Kevin W. Quinn is alleged to have aided and abetted DELETE's violation of Sec 17(a)(1) of the Securities Act (willfully/knowingly).
Kevin W. Quinn is alleged to have aided and abetted DELETE's violation of Section 17(e)(1) Investment Company Act; Rule 17a-3 Exchange Act (willfully/knowingly).

Resolutions

Bars:
First Resolution Date 01-Dec-2006

Related Documents:

34-54862 01-Dec-2006 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 9(b) and 9(f) of the Investment Company Act of 1940
34-63511 09-Dec-2010 Administrative Proceeding
Order Supplementing Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 9(b) and 9(f) of the Investment Company Act of 1940

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In the Matter of Jefferies & Co., Inc. and Scott Jones
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith
Scott E. DeSano
Thomas H. Bruderman
Timothy J. Burnieika
Robert L. Burns
David K. Donovan
Edward S. Driscoll
Jeffrey D. Harris
Christopher J. Horan
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