Defendant Name:
John J. Marvin
Defendant Type:
Individual
Document Reference:
34-89347
Document Details
Legal Case Name
In the Matter of John J. Marvin
Document Name
Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) 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
20-Jul-2020
Document Format
Administrative Proceeding
Allegation Type
Municipal Securities & Public Pensions
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Bars:
- "Respondent shall not offer, purchase, or sell negotiated new issue municipal securities on behalf of (1) any broker, dealer, investment adviser, or municipal securities dealer, or (2) any customer or client of any broker, dealer, investment adviser, or municipal securities dealer" for 12 months
Monetary Penalties:
Disgorgement
Individual:
$23,821.00
Shared:
Civil Penalty
Individual:
$25,000.00
Shared:
Pre-Judgment Interest
Individual:
$4,145.00
Shared:
