Defendant Name:
Jon Patrick Pierce
Defendant Type:
Individual
Document Reference:
33-8426
Document Details
Legal Case Name
In the Matter of Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn
Document Name
Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Orders Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940
Document Date
20-May-2004
Document Format
Administrative Proceeding
Allegation Type
Issuer Reporting and Disclosure
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
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)
Monetary Penalties:
Civil Penalty
Individual:
$50,000.00
Shared:
Other Defendants in Action:
Freedom Financial, Inc.
