Defendant Name:
Douglas F. Drennan
Defendant Type:
Individual
Document Reference:
33-10199
Document Details
Legal Case Name
In the Matter of Douglas F. Drennan
Document Name
Notice That Initial Decision Has Become Final
Document Date
26-Aug-2016
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
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 permanent duration)
Monetary Penalties:
Disgorgement
Individual:
Shared:
$482,381.00
Shared with: J.S. Oliver Capital Management, L.P.; Ian O. Mausner
Civil Penalty
Individual:
$410,000.00
Shared:
Other Defendants in Action:
