Defendant Name:
Richard L. Pearson
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Richard L. Pearson
First Document Date
05-Aug-2015
Initial Filing Format
Administrative Action
File Number
3-16728
Allegation Type
Broker Dealer
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
05-Aug-2015
