Defendant Name:
Hector A. May
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Hector A. May
First Document Date
14-Feb-2019
Initial Filing Format
Administrative Action
File Number
3-18998
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: President at Executive Compensation Planners, Inc. (1982—May 1, 2018)
- Former: Chief Compliance Officer at Executive Compensation Planners, Inc. (1982—May 1, 2018)
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
14-Feb-2019
