Defendant Name:
Robert L. Burns
Defendant Type:
Individual
Document Reference:
2011-412_3-12978
Document Details
Legal Case Name
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith
Document Name
Initial Decision as to Robert L. Burns
Document Date
18-Jan-2011
Document Format
Administrative Proceeding
File Number
3-12978
Administrative Law Judge
Robert G. Mahony
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Disgorgement
Individual:
$135,281.45
Shared:
Civil Penalty
Individual:
$40,000.00
Shared:
Other Defendants in Action:
