Defendant Name:
Dean Zenon Pinard
Defendant Type:
Individual
Document Reference:
34-65909
Document Details
Legal Case Name
In the Matter of Dean Zenon Pinard
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
08-Dec-2011
Document Format
Administrative Proceeding
Allegation Type
Municipal Securities & Public Pensions
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
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)
Monetary Penalties:
Disgorgement
Individual:
$32,489.00
Shared:
Pre-Judgment Interest
Individual:
$9,294.00
Shared:
