Defendant Name:
Gary S. Klein
Defendant Type:
Individual
Document Reference:
34-92611
Document Details
Legal Case Name
In the Matter of Gary S. Klein
Document Name
Order Instituting Cease-And-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order
Document Date
09-Aug-2021
Document Format
Administrative Proceeding
AAER
4241
Allegation Type
Issuer Reporting and Disclosure
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Monetary Penalties:
Civil Penalty
Individual:
$20,000.00
Shared:
