Defendant Name:
Shawn Patrick McMurtry
Defendant Type:
Individual
Document Reference:
33-9349
Document Details
Legal Case Name
In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, 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
14-Aug-2012
Document Format
Administrative Proceeding
Allegation Type
Municipal Securities & Public Pensions
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 for 6 months
- Bar from participating in any penny stock offering for 6 months
- 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 6 months
Monetary Penalties:
Civil Penalty
Individual:
$25,000.00
Shared:
Other Defendants in Action:
