Defendant Name:
Charles J. Marquardt
Defendant Type:
Individual
Document Reference:
34-61723
Document Details
Legal Case Name
In the Matter of Charles J. Marquardt
Document Name
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Document Date
17-Mar-2010
Document Format
Administrative Proceeding
Allegation Type
Insider Trading
Disgorgement & Penalty Information
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
