Defendant Name:
James L. Hertz
Defendant Type:
Individual
Document Reference:
34-64831
Document Details
Legal Case Name
In the Matter of James L. Hertz
Document Name
Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Document Date
07-Jul-2011
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 (of unspecified duration)
