Defendant Name:
Joseph Palombo
Defendant Type:
Individual
Document Reference:
IA-2352
Document Details
Legal Case Name
In the Matter of Joseph Palombo
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to 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
Other Compliance Related Undertaking
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 6 months
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 6 months
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
