Defendant Name:
Kevin W. Quinn
Defendant Type:
Individual
Document Reference:
34-54862
Document Details
Legal Case Name
In the Matter of Kevin W. Quinn
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 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 9(b) and 9(f) of the Investment Company Act of 1940
Document Date
01-Dec-2006
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Fair Funds
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- 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 (of unspecified duration)
Monetary Penalties:
Disgorgement
Individual:
$1.00
Shared:
Civil Penalty
Individual:
$468,000.00
Shared:
