Defendant Name:
Patrick J. Vaughan
Defendant Type:
Individual
Document Reference:
34-59375A
Document Details
Legal Case Name
In the Matter of Patrick J. Vaughan
Document Name
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Document Date
10-Feb-2009
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
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 6 months
Monetary Penalties:
Disgorgement
Individual:
$12,721.00
Shared:
Civil Penalty
Individual:
$50,000.00
Shared:
Pre-Judgment Interest
Individual:
$3,906.00
Shared:
