Defendant Name:
William Keith Phillips
Defendant Type:
Individual
Document Reference:
34-61278
Document Details
Legal Case Name
In the Matter of William Keith Phillips
Document Name
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 15(b)(6) of the Securities Exchange Act of 1934
Document Date
04-Jan-2010
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
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 for 4 months
Monetary Penalties:
Civil Penalty
Individual:
$80,000.00
Shared:
