Defendant Name: Barry F. Connell

Defendant Type: Individual

Document Reference: court_doc51_17-cv-00831

Document Details

Legal Case Name SEC v. Barry F. Connell
Document Name Final Judgment as to Defendant Barry F. Connell
Document Date 30-Dec-2020
Document Format Civil Proceeding
Case Number 17-cv-00831
Federal District Court New York, Southern District of New York
Federal District Judge Lorna G. Schofield
Allegation Type Investment Advisers/Investment Companies
Document Summary

Disgorgement & Penalty Information

Resolutions
Enjoinment
Monetary Penalties:

Disgorgement

Individual:     $5,148,651.43 Shared:    

Related Documents:

2017-41 03-Feb-2017 Press Release--Civil Action
SEC Charges Financial Adviser With Stealing From Client Accounts
comp-pr2017-41 03-Feb-2017 Complaint
Complaint

Related Actions:

In the Matter of Morgan Stanley Smith Barney LLC
Morgan Stanley Smith Barney LLC
In the Matter of Barry F. Connell
Barry F. Connell