Defendant Name:
Daniel C. Tracy
Defendant Type:
Individual
Document Reference:
34-92370
Document Details
Legal Case Name
In the Matter of Hilltop Securities Inc. and Daniel C. Tracy
Document Name
Order Instituting Administrative and Cease-And-Desist Proceeding Pursuant to Sections 15(b), 15(c), and 21(c) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order
Document Date
09-Jul-2021
Document Format
Administrative Proceeding
Allegation Type
Municipal Securities & Public Pensions
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 for 12 months
Monetary Penalties:
Civil Penalty
Individual:
$25,000.00
Shared:
Other Defendants in Action:
