Defendant Name: Douglas L. Bates

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Douglas L. Bates
First Document Date 02-Sep-2014
Initial Filing Format Administrative Action
File Number 3-16048
Allegation Type Securities Offering

Resolutions

Bars:
First Resolution Date 02-Sep-2014

Related Documents:

34-72951 02-Sep-2014 Administrative Proceeding
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice

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