Defendant Name: L.S. Smith

Defendant Type: Individual

Document Reference: 34-73582

Document Details

Legal Case Name In the Matter of Dr. L.S. Smith
Document Name Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Document Date 12-Nov-2014
Document Format Administrative Proceeding
File Number 3-16270
AAER 3596
Allegation Type Issuer Reporting and Disclosure
Document Summary

Disgorgement & Penalty Information

Cease and Desist Order
Reimburse DGSE a total of $106,250 and 59,738 shares of DGSE stock
Monetary Penalties:

Clawback reimbursement to DGSE + "59,738 shares of DGSE stock"

Individual:     $106,250.00 Shared:    

Related Actions:

SEC v. DGSE Companies Inc. and I. John Benson
In the Matter of I. John Benson, CPA