Defendant Name:
Robert Lawson
Defendant Type:
Individual
Document Reference:
33-10334
Document Details
Legal Case Name
In the Matter of Lawson Financial Corporation and Robert Lawson
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b), 15B(c) and 21C Of The Securities Exchange Act Of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
05-Apr-2017
Document Format
Administrative Proceeding
Allegation Type
Securities Offering
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
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 3 years
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 3 years
Monetary Penalties:
Disgorgement
Individual:
Shared:
$178,750.00
Shared with: Lawson Financial Corporation
Civil Penalty
Individual:
$80,000.00
Shared:
Pre-Judgment Interest
Individual:
Shared:
$19,576.06
Shared with: Lawson Financial Corporation
Other Defendants in Action:
