Defendant Name:
Stephen Cheryl Bauman
Defendant Type:
Individual
Document Reference:
34-60326
Document Details
Legal Case Name
In the Matter of Stephen Cheryl Bauman
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Document Date
17-Jul-2009
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Other Compliance Related Undertaking
Cooperate with SEC investigation: Produce requested documents, get interviewed by SEC, testify in depositions
