Defendant Name: Signator Investors, Inc.

Defendant Type: Subsidiary of Public Company
Public Company Parent: Manulife Financial Corporation
SIC Code: 6311
CUSIP: 56501R10

Document Reference: 34-75690

Document Details

Legal Case Name In the Matter of Signator Investors, Inc. and Gregory J. Mitchell
Document Name Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Document Date 13-Aug-2015
Document Format Administrative Proceeding
File Number 3-16753
Allegation Type Investment Advisers/Investment Companies
Document Summary The SEC issued an order against Signator Investors, Inc., stating: "These proceedings arise out of Respondents' failure reasonably to supervise James R. Glover ('Glover') and Cory D. Williams ('Williams'), former registered representatives and investment adviser representatives (collectively referred to as 'financial representatives') at Signator, with a view to preventing and detecting Glover's and Williams' violations of the federal securities laws."

Disgorgement & Penalty Information

Resolutions
Censured
Remedial Acts or Efforts Before the Resolution
Fair Funds
Monetary Penalties:

Civil Penalty

Individual:     $450,000.00 Shared:    

Related Documents:

34-88005 17-Jan-2020 Administrative Proceeding
Order Appointing Tax Administrator
The SEC appointed Miller Kaplan Arase LLP as tax administrator in proceedings against Signator Investors, Inc. establishing distribution funds.
34-90836 31-Dec-2020 Administrative Proceeding
Notice of Proposed Plan of Distribution and Opportunity for Comment
The Commission stated: "Notice is hereby given . . . that the Division of Enforcement has submitted to the Commission a proposed plan of distribution (the “Plan”) for the distribution of monies paid in the above-captioned matters, and monies recovered by the Commission in a related federal district court civil action."
34-90836-dp 31-Dec-2020 Administrative Proceeding
Proposed Plan of Distribution
The SEC stated: "The Division of Enforcement (“Division”) submits this proposed plan of distribution (the “Plan”) . . . the Plan provides for the distribution of the disgorgement, prejudgment interest, and civil money penalties paid by Signator Investors, Inc. (“Signator”), Gregory J. Mitchell (“Mitchell”) and Cory D. Williams (“Williams”) (collectively, the “Respondents”) in the above-captioned matters, and monies recovered by the Commission in a related federal district court civil action."
34-91111 11-Feb-2021 Administrative Proceeding
Order Approving Plan of Distribution
The Commission stated: "On December 31, 2020, the Commission published a Notice of Proposed Plan of Distribution and Opportunity for Comment . . . The Division of Enforcement now requests that the Commission approve the Plan . . . Accordingly, it is hereby ORDERED . . . that the Plan is approved."
34-91111-dp 11-Feb-2021 Administrative Proceeding
Plan of Distribution
The Commission stated: "The Division of Enforcement (“Division”) has prepared this Plan of Distribution (the “Plan”) . . . the Plan provides for the distribution of the disgorgement, prejudgment interest, and civil money penalties paid by Signator Investors, Inc. (“Signator”), Gregory J. Mitchell (“Mitchell”) and Cory D. Williams (“Williams”) (collectively, the “Respondents”) in the above-captioned matters, and monies recovered by the Commission in a related federal district court civil action."
34-91589 16-Apr-2021 Administrative Proceeding
Order Directing Disbursement of Fair Fund
The SEC stated: "it is hereby ORDERED, that Commission staff shall direct the payment of $975,788.48 from the Fair Fund to the Fair Fund's escrow account at Alerus Financial, N.A. for distribution in accordance with the Plan."

Other Defendants in Action:

Related Actions:

In the Matter of James R. Glover
SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill
In the Matter of Cory D. Williams