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
AAER
3596
Allegation Type
Issuer Reporting and Disclosure
Disgorgement & Penalty Information
Resolutions
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:
