Defendant Name: Mark Shaw

Defendant Type: Individual

Document Reference: 33-9174

Document Details

Legal Case Name In the Matter of Mark Shaw
Document Name Corrected Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and A Cease-And-Desist Order
Document Date 14-Jan-2011
Document Format Administrative Proceeding
File Number 3-14192
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Cease and Desist Order
Fair Funds
  • 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:


Individual:     $195,300.00 Shared:    

Civil Penalty

Individual:     $150,000.00 Shared:    

Pre-Judgment Interest

Individual:     $23,291.00 Shared:    

Related Documents:

34-81064_3-14192 30-Jun-2017 Administrative Proceeding
Notice of Name Change of Appointed Tax Administrator

Related Actions:

In the Matter of BNY Mellon Securities