Defendant Name:
Dean Zenon Pinard
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Dean Zenon Pinard
First Document Date
08-Dec-2011
Initial Filing Format
Administrative Action
File Number
3-14655
Allegation Type
Municipal Securities & Public Pensions
Affiliations
- Former: Marketer of Investment Agreements and Other Municipal Finance Contracts at Banc of America Securities LLC (April 1999—January 2003)
- Former: Marketer of Investment Agreements and Other Municipal Finance Contracts at Bank of America, N.A. (April 1999—January 2003)
Violations Alleged
•
BAS: Section 15(c)(1)(A) Exchange Act
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)
First Resolution Date
08-Dec-2011
Headline Total Penalty and Disgorgement
$41,783
