Defendant Name:
D. Jonathan Merriman
Defendant Type:
Individual
Document Reference:
34-60976
Document Details
Legal Case Name
In the Matter of Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist ORder
Document Date
10-Nov-2009
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Other Compliance Related Undertaking
Cooperation Before the Resolution
Bars:
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
Monetary Penalties:
Civil Penalty
Individual:
$75,000.00
Shared:
Other Defendants in Action:
