Defendant Name:
Anthony Portelli
Defendant Type:
Individual
Document Reference:
34-80996
Document Details
Legal Case Name
In the Matter of Anthony Portelli
Document Name
Order Instituting Administrative Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Document Date
22-Jun-2017
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Censured
Cooperation Before the Resolution
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 18 months
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
