Defendant Name: Barbara Duka

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Barbara Duka
First Document Date 21-Jan-2015
Initial Filing Format Administrative Action
File Number 3-16349
Allegation Type Other

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a)(3)
• Sec 17(a) (Not specified)

Related Violations Alleged

Barbara Duka is alleged to have aided and abetted Standard & Poor's Ratings Services's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Barbara Duka is alleged to have caused Standard & Poor's Ratings Services's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Barbara Duka is alleged to have aided and abetted Standard & Poor's Ratings Services's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Barbara Duka is alleged to have caused Standard & Poor's Ratings Services's violation of Sec 17(a) (Not specified) of the Securities Act.
Barbara Duka is alleged to have aided and abetted Standard & Poor's Ratings Services's violation of Sections 15E(c)(3), Rule 17g-6(a)(2), 17g-2(a)(2)(iii), 17g-2(a)(6) Exchange Act (willfully/knowingly).
Barbara Duka is alleged to have caused Standard & Poor's Ratings Services's violation of Sections 15E(c)(3), Rule 17g-6(a)(2), 17g-2(a)(2)(iii), 17g-2(a)(6) Exchange Act.

Resolutions

First Resolution Date 21-Dec-2018
Headline Total Penalty and Disgorgement $7,500

Related Documents:

33-9706 21-Jan-2015 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15E(d) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
33-10599 21-Dec-2018 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15E(d) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940

Related Actions:

In the Matter of Standard & Poor's Ratings Services
Standard & Poor's Ratings Services