Defendant Name:
Barry F. Connell
Defendant Type:
Individual
Document Reference:
34-90848
Document Details
Legal Case Name
In the Matter of Barry F. Connell
Document Name
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions
Document Date
05-Jan-2021
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of permanent duration)
- Bar from participating in any penny stock offering (of permanent duration)
