Defendant Name: David A. Finnerty

Defendant Type: Individual

Document Reference: 33-9033

Document Details

Legal Case Name In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr.
Document Name Order Making Findings, Imposing Remedial Sanctions, and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b)(6), 21C and 11(b) of the Securities Exchange Act of 1934 and Rule 11b-1 thereunder as to David A. Finnerty
Document Date 28-May-2009
Document Format Administrative Proceeding
File Number 3-11893
Allegation Type Broker Dealer
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 (of permanent duration)
Monetary Penalties:

Civil Penalty

Individual:     $150,000.00 Shared:    

Related Documents:

33-8566-o_3-11446 12-Apr-2005 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and Sections 15(B), 21c and 11(B) of the Securities Exchange Act of 1934 and Rule 11b-1 Thereunder

Related Actions:

In the Matter of Fleet Specialist, Inc.