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
- Former: Senior Vice President at Jefferies & Co., Inc. (May 2002—October 2004)
- Former: Account Executive at Jefferies & Co., Inc. (May 2002—October 2004)
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:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter (of unspecified duration)
First Resolution Date
01-Dec-2006
Headline Total Penalty and Disgorgement
$468,001
