Defendant Name:
Dayl W. Pearson
Defendant Type:
Individual
Document Reference:
34-68307
Document Details
Legal Case Name
In the Matter of KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Civil Penalties and a Cease-and-Desist Order
Document Date
28-Nov-2012
Document Format
Administrative Proceeding
AAER
3425
Allegation Type
Issuer Reporting and Disclosure
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Monetary Penalties:
Civil Penalty
Individual:
$50,000.00
Shared:
Other Defendants in Action:
