Defendant Name:
Eugene S. Mason
Defendant Type:
Individual
Document Reference:
IA-4116
Document Details
Legal Case Name
Name In the Matter of SFX Financial Advisory Management Enterprises, Inc. and Eugene S. Mason
Document Name
Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Sections 203(e), 203(f), And 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-And-Desist Order
Document Date
15-Jun-2015
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$25,000.00
Shared:
Other Defendants in Action:
