Defendant Name:
Kevin J. Walsh
Defendant Type:
Individual
Document Reference:
id398cff
Document Details
Legal Case Name
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevn J. Walsh, and Mark W. Wells
Document Name
Initial Decision
Document Date
25-Jun-2010
Document Format
Administrative Proceeding
File Number
3-13532
Administrative Law Judge
Carol Fox Foelak
Allegation Type
Broker Dealer
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 (of permanent duration)
Monetary Penalties:
Disgorgement
Individual:
$24,790.00
Shared:
Civil Penalty
Individual:
$130,000.00
Shared:
Other Defendants in Action:
