Defendant Name:
Sanford Michael Katz
Defendant Type:
Individual
Document Reference:
IA-4679
Document Details
Legal Case Name
In the Matter of Sanford Michael Katz
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
04-Apr-2017
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Fair Funds
Monetary Penalties:
Disgorgement
Individual:
$1,124,858.89
Shared:
Civil Penalty
Individual:
$850,000.00
Shared:
Pre-Judgment Interest
Individual:
$197,587.38
Shared:
