Defendant Name: John P. Flannery

Defendant Type: Individual

Document Reference: 33-9689

Document Details

Legal Case Name In the Matter of John P. Flannery and James D. Hopkins
Document Name Opinion of the Commission: Cease-and-Desist Proceeding, Investment Advisers Proceeding, Investment Company Proceeding
Document Date 15-Dec-2014
Document Format Administrative Proceeding
File Number 3-14081
Allegation Type Securities Offering
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Bars:
  • Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
Monetary Penalties:

Civil Penalty

Individual:     $6,500.00 Shared:    

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
id438bpm 28-Oct-2011 ALJ Initial Decision
Initial Decision

Other Defendants in Action:

James D. Hopkins

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