Defendant Name:
Scott H. Shannon
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Joseph G. Parish III and Scott H. Shannon
First Document Date
12-Dec-2013
Initial Filing Format
Administrative Action
File Number
3-15643
Allegation Type
Securities Offering
Affiliations
- Former: Managing Partner at NIR Capital Management, LLC
Violations Alleged
•
Section 206(1), 206(2) Advisers Act
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 2 years
First Resolution Date
12-Dec-2013
Headline Total Penalty and Disgorgement
$472,877
Other Defendants in Action:
