Defendant Name: Jefferies LLC

Defendant Type: Subsidiary of Public Company

Document Reference: 34-63510

Document Details

Legal Case Name In the Matter of Jefferies & Co., Inc. and Scott Jones
Document Name Order Supplementing Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934
Document Date 09-Dec-2010
Document Format Administrative Proceeding
File Number 3-12495
Allegation Type Broker Dealer
Document Summary On December 9, 2010, the Commission ordered that: "the Division of Enforcement shall not be required to submit a proposed plan for the administration and distribution of a Fair Fund in this matter." According to the SEC: "The Commission has subsequently determined that a Fair Fund is not appropriate in this matter."

Related Documents:

34-54861 01-Dec-2006 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934
On December 1, 2006, the SEC instituted settled administrative and cease-and-desist proceedings against Jefferies & Co., Inc. and Scott Jones. According to the SEC: "This proceeding concerns [Kevin] Quinn's provision of approximately $2 million in extensive travel, entertainment and gifts to certain employees of an investment adviser (the 'Fund Adviser') to a family of mutual funds (the 'Funds'). The employees included several securities traders, whose responsibilities included directing securities transactions for the Funds to brokerage firms for execution, and the head of the Fund Adviser's global equity trading desk ('Head of Equity Trading'), who supervised the securities traders and decided which securities brokerage firms would be approved to handle equity transactions for the Funds." Kevin Quinn was an account executive and senior vice president, equity and sales, at Jefferies until his termination on October 11, 2004.

Other Defendants in Action:

Scott Jones

Related Actions:

In the Matter of Kevin W. Quinn
Kevin W. Quinn
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith
Scott E. DeSano
Thomas H. Bruderman
Timothy J. Burnieika
Robert L. Burns
David K. Donovan
Edward S. Driscoll
Jeffrey D. Harris
Christopher J. Horan
Steven P. Pascucci
Kirk C. Smith