Defendant Name: Scott A. Eisler

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Scott A. Eisler
First Document Date 23-Jul-2015
Initial Filing Format Administrative Action
File Number 3-16699
Allegation Type Broker Dealer


Violations Alleged

Securities Act
Sec 5
Sec 5(a)
Sec 5(c)


First Resolution Date 23-Jul-2015
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-9868 23-Jul-2015 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) 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

Related Actions:

In the Matter of Oppenheimer & Co. Inc.
SEC v. Gibraltar Global Securities, Inc., and Warren A. Davis
In the Matter of Arthur W. Lewis
In the Matter of Warren A. Davis