Defendant Name:
Peter Martin
Defendant Type:
Individual
Document Reference:
33-8537
Document Details
Legal Case Name
In the Matter of Peter Martin
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940
Document Date
09-Feb-2005
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Monetary Penalties:
Disgorgement
Individual:
$10,000.00
Shared:
Civil Penalty
Individual:
$50,000.00
Shared:
