Defendant Name: Mark Shaw

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Mark Shaw
First Document Date 14-Jan-2011
Initial Filing Format Administrative Action
File Number 3-14192
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)

Resolutions

Bars:
First Resolution Date 14-Jan-2011
Headline Total Penalty and Disgorgement $368,591

Related Documents:

33-9174 14-Jan-2011 Administrative Proceeding
Corrected Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and A Cease-And-Desist Order
34-81064_3-14192 30-Jun-2017 Administrative Proceeding
Notice of Name Change of Appointed Tax Administrator

Related Actions:

In the Matter of BNY Mellon Securities
BNY Mellon Securities LLC