Defendant Name: James D. Hopkins

Defendant Type: Individual

Document Reference: id438bpm

Document Details

Legal Case Name In the Matter of John P. Flannery and James D. Hopkins
Document Name Initial Decision
Document Date 28-Oct-2011
Document Format Administrative Proceeding
File Number 3-14081
Administrative Law Judge Brenda P. Murray
Allegation Type Securities Offering
Document Summary

Disgorgement & Penalty Information

Resolutions
NO REMEDIAL ACTION IS APPROPRIATE; ORDER THAT THE PROCEEDING IS DISMISSED

Related Documents:

33-9147 30-Sep-2010 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
33-9689 15-Dec-2014 Commission Order and Opinion
Opinion of the Commission: Cease-and-Desist Proceeding, Investment Advisers Proceeding, Investment Company Proceeding

Other Defendants in Action:

John P. Flannery

Related Actions:

SEC v. State Street Bank and Trust Company
State Street Bank and Trust Company
In the Matter of State Street Bank and Trust Company
State Street Bank and Trust Company