Defendant Name: Judy K. Wolf

Defendant Type: Individual

Document Reference: id851ce

Document Details

Legal Case Name In the Matter of Judy K. Wolf
Document Name Initial Decision
Document Date 05-Aug-2015
Document Format Administrative Proceeding
File Number 3-16195
Administrative Law Judge Cameron Elliot
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Resolutions
Other Compliance Related Undertaking
Defendant is guilty of violations, but no sanctions imposed and proceeding dismissed

Related Documents:

34-73350 15-Oct-2014 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Notice of Hearing
34-75969 23-Sep-2015 Administrative Proceeding
Notice that Initial Decision Has Become Final

Related Actions:

In the Matter of Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLC
SEC v. Waldyr Da Silva Prado Neto
Waldyr Da Silva Prado Neto
In the Matter of Waldyr Da Silva Prado Neto
Waldyr Da Silva Prado Neto
SEC v. Igor Cornelsen and Bainbridge Group Inc.
Igor Cornelsen
Bainbridge Group Inc.