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


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.


First Resolution Date 16-Dec-2011
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

comp22197 15-Dec-2011 Complaint
court_doc7_11-cv-08905 16-Dec-2011 Court Docket Document
Final Judgment as to Defendant Stephen M. Folan

Related Actions:

In the Matter of FTN Financial Securities Corp.
In the Matter of Stephen M. Folan