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
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Fair Funds
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:
$195,300.00
Shared:
Civil Penalty
Individual:
$150,000.00
Shared:
Pre-Judgment Interest
Individual:
$23,291.00
Shared:
