Defendant Name: Daniel R. Leland

Defendant Type: Individual

Document Reference: 34-51002

Document Details

Legal Case Name In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh
Document Name Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, and Instituting Cease-And-Desist Proceedings and Imposing a Cease-And-Desist Order, Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 9(f) of the Investment Company Act of 1940
Document Date 10-Jan-2005
Document Format Administrative Proceeding
File Number 3-11793
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Resolutions
Censured
Other Compliance Related Undertaking
Fair Funds
Bars:
  • Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
Monetary Penalties:

Disgorgement

Individual:     $1.00 Shared:    

Civil Penalty

Individual:     $200,000.00 Shared:    

Pre-Judgment Interest

(Penalty was noted in document, but no amount was listed)

Total Penalty

Individual:     $200,001.00 Shared:    

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In the Matter of Scott B. Gann
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