Defendant Name:
Stephen M. Folan
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. Stephen M. Folan
First Document Date
15-Dec-2011
Initial Filing Format
Civil Proceeding
Case Number
11-cv-08905
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
Illinois, Northern District of Illinois
Affiliations
- Former: Broker/Registered Representative at FTN Financial Securities Corp. (January 2005—March 2011)
- Former: Salesperson at FTN Financial Securities Corp. (January 2005—March 2011)
Violations Alleged
Related Violations Alleged
Stephen M. Folan is alleged to have aided and abetted Sentinel Management Group, Inc.'s violation of Section 206(2) Advisers Act.
Stephen M. Folan is alleged to have aided and abetted an unidentified individual or entity's violation of Section 206(2) Investment Advisers Act.
Resolutions
First Resolution Date
16-Dec-2011
