Defendant Name:
David Henigson
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
First Document Date
04-Nov-2009
Initial Filing Format
Administrative Action
File Number
3-13675
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Director—No Specific Position Named in Document at Value Line, Inc.
- Former: Director—No Specific Position Named in Document at Value Line Securities, Inc.
- Former: Vice President at Value Line, Inc.
- Former: Vice President at Value Line Securities, Inc. (Until February 2009)
- Former: Chief Compliance Officer at Value Line, Inc. (Until June 2008)
- Former: Treasurer at Value Line, Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
•
Section 34(b) Investment Company Act
Related Violations Alleged
David Henigson is alleged to have aided and abetted
Value Line, Inc.'s violation of Section 206(1), 206(2) Advisers Act (willfully/knowingly).
David Henigson is alleged to have caused
Value Line, Inc.'s violation of Section 206(1), 206(2) Advisers Act.
Resolutions
Bars:
- Bar from acting as Director or Officer of a public company (of unspecified duration)
- 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 unspecified duration)
First Resolution Date
04-Nov-2009
Headline Total Penalty and Disgorgement
See Related Documents
Other Defendants in Action:
