Defendant Name: Barry R. Bekkedam

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Barry R. Bekkedam
First Document Date 05-May-2020
Initial Filing Format Administrative Action
File Number 3-19784
Allegation Type Investment Advisers/Investment Companies

Affiliations

Resolutions

Bars:
First Resolution Date

Related Documents:

IA-5497 05-May-2020 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

Related Actions:

In the Matter of TD Bank, N.A.
SEC v. Frank Spinosa
SEC v. George G. Levin and Frank J. Preve
SEC v. Barry R. Bekkedam
In the Matter of Douglas L. Bates
Douglas L. Bates
In the Matter of Christina M. Kitterman
Christina M. Kitterman
In the Matter of Richard L. Pearson
Richard L. Pearson