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


Violations Alleged

Section 206(1), 206(2) Advisers Act


First Resolution Date 12-Dec-2013
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

IA-3735 12-Dec-2013 Administrative Proceeding
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Related Actions:

In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated
In the Matter of Harding Advisory LLC and Wing F. Chau