Defendant Name:
Lisa B. Premo
Defendant Type:
Individual
Document Reference:
id476bpm
Document Details
Legal Case Name
In the Matter of Lisa B. Premo
Document Name
Initial Decision
Document Date
26-Dec-2012
Document Format
Administrative Proceeding
File Number
3-14697
Administrative Law Judge
Brenda P. Murray
Allegation Type
Investment Advisers/Investment Companies
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 for 5 years
