Defendant Name:
Brian J. Ourand
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Brian J. Ourand
First Document Date
15-Jun-2015
Initial Filing Format
Administrative Action
File Number
3-16590
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: President at SFX Financial Advisory Management Enterprises, Inc.
- Former: Vice President at SFX Financial Advisory Management Enterprises, Inc.
Violations Alleged
•
Sections 206(1), 206(2) Advisers Act
Related Violations Alleged
Brian J. Ourand is alleged to have aided and abetted an unidentified individual or entity's violation of Sections 206(1), 206(2) Advisers Act (willfully/knowingly).
Brian J. Ourand is alleged to have caused an unidentified individual or entity's violation of Sections 206(1), 206(2) Advisers Act (willfully/knowingly).
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)
- 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 (of permanent duration)
First Resolution Date
29-Mar-2016
Headline Total Penalty and Disgorgement
$971,367
