Defendant Name:
Mark A. Beeson
Defendant Type:
Individual
Document Reference:
IA-2254
Document Details
Legal Case Name
In the Matter of Banc One Investment Advisors Corporation and Mark A. Beeson
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), 203(f), 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
29-Jun-2004
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
- 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 for 2 years
- "For three years from the date of the Order, Beeson: 1. Shall not serve as an employee, officer, or director of any registered investment company; and 2. Shall not serve as a chairman, director, or officer of any investment adviser" for 3 years
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
Other Defendants in Action:
