Defendant Name: Richard S. Strong

Defendant Type: Individual

Document Reference: 34-49741

Document Details

Legal Case Name In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato
Document Name Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders Pursuant to Sections 15(b)(4), 15(b)(6), 15B(c)(4), 17A(c)(3), and 17A(c)(4)(C) of the Securities Exchange Act of 1934, Sections 203(e), 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 20-May-2004
Document Format Administrative Proceeding
File Number 3-11498
Allegation Type Investment Advisers/Investment Companies
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Bars:
  • Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
  • Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter (of unspecified duration)
Monetary Penalties:

Disgorgement

Individual:     $30,000,000.00 Shared:    

Civil Penalty

Individual:     $30,000,000.00 Shared:    

Related Documents:

34-81064_3-11498 30-Jun-2017 Administrative Proceeding
Notice of Name Change of Appointed Tax Administrator

Related Actions:

In the Matter of Strong Capital Management, Inc.