Defendant Name: John F. Kendrick

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of John F. Kendrick
First Document Date 24-Mar-2010
Initial Filing Format Administrative Action
File Number 3-13830
Allegation Type Municipal Securities & Public Pensions

Affiliations

Violations Alleged

Other
• Rule G-37(c) MSRB
• Southwest: Rule G-37(b) MSRB; Section 15B(c)(1) Exchnage Act

Related Violations Alleged

John F. Kendrick is alleged to have caused Southwest Securities, Inc.'s violation of Section 15B(c)(1) Exchange Act; Rule G-37(b) MSRB (willfully/knowingly).

Resolutions

First Resolution Date 14-Jul-2010
Headline Total Penalty and Disgorgement $10,000

Related Documents:

34-61767 24-Mar-2010 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b), 15B(c)(4) and 21C of the Securities Exchange Act of 1934 and Notice of Hearing
34-62500 14-Jul-2010 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b), 15B(c)(4) and 21C of the Securities Exchange Act of 1934

Related Actions:

In the Matter of Southwest Securities, Inc.
Southwest Securities, Inc.