Defendant Name: Francis Parisi

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Francis Parisi
First Document Date 07-Mar-2016
Initial Filing Format Administrative Action
File Number 3-17155
Allegation Type Other

Affiliations

Violations Alleged

Securities Act
Sec 17(a)(2)

Resolutions

Bars:
First Resolution Date 07-Mar-2016
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-10050 07-Mar-2016 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 15E of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

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In the Matter of Standard & Poor's Ratings Services