Defendant Name:
Wendy Katz
Defendant Type:
Individual
Document Reference:
33-10677
Document Details
Legal Case Name
In the Matter of Wendy Katz
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
29-Aug-2019
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Bars: bar is not automatically removed, respondent has "the right to apply for reentry after eighteen (18) months to the appropriate self-regulatory organization, or if there is none, to the Commission." Reentry may be conditioned on satisfaction of: disgorgement, arbitration, restitution order
Cooperation Before the Resolution
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 18 months
Monetary Penalties:
Civil Penalty
Individual:
$20,000.00
Shared:
