Defendant Name:
Kirk C. Smith
Defendant Type:
Individual
Document Reference:
ia-2715-o
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
Corrected Order Instituting Administrative Cease-and-Desist Proceedings and Notice of Hearing Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940
Document Date
05-Mar-2008
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Other Defendants in Action:
