Defendant Name:
Tim Leissner
Defendant Type:
Individual
Document Reference:
34-87750
Document Details
Legal Case Name
In the Matter of Tim Leissner
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
16-Dec-2019
Document Format
Administrative Proceeding
AAER
4108
Allegation Type
Foreign Corrupt Practices Act
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)
- Bar from participating in any penny stock offering (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:
$43,700,000.00
Shared:
