Defendant Name:
Benjamin H. Gordon
Defendant Type:
Individual
Document Reference:
33-10651
Document Details
Legal Case Name
In the Matter of Benjamin H. Gordon
Document Name
Order Instituting Administrative And Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the 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
20-Jun-2019
Document Format
Administrative Proceeding
Allegation Type
Issuer Reporting and Disclosure
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 12 months
- Bar from participating in any penny stock offering for 12 months
- 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 12 months
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
