Defendant Name:
Associated Investment Management, Inc.
Defendant Type:
Other
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
The Commission ordered that: "Respondent AIM shall pay disgorgement of $150,000 plus prejudgment interest, but payment of all but $26,223 of such amount is waived based upon Respondent's sworn representations in its Statement of Financial Condition dated March 8, 2004 and other documents submitted to the Commission."
Fair Funds
Monetary Penalties:
Disgorgement
Individual:
$150,000.00
Shared:
Other Defendants in Action:
Freedom Financial, Inc.
