Defendant Name:
Phillip Dennis Murphy
Defendant Type:
Individual
Document Reference:
34-73968
Document Details
Legal Case Name
In the Matter of Phillip Dennis Murphy
Document Name
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
Document Date
31-Dec-2014
Document Format
Administrative Proceeding
Allegation Type
Municipal Securities & Public Pensions
Disgorgement & Penalty Information
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)
- Bar from participating in any penny stock offering (of unspecified duration)
