Defendant Name:
Gregory J. Mitchell
Defendant Type:
Individual
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
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Respondent Mitchell shall provide to the Commission, within 10 days after the end of the twelve (12) month suspension period described above, an affidavit that he has complied fully with the sanctions
Fair Funds
Bars:
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
Monetary Penalties:
Civil Penalty
Individual:
$15,000.00
Shared:
Other Defendants in Action:
