Defendant Name:
Mark Shaw
Defendant Type:
Individual
Document Reference:
34-81064_3-14192
Document Details
Legal Case Name
In the Matter of Mark Shaw
Document Name
Notice of Name Change of Appointed Tax Administrator
Document Date
30-Jun-2017
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
On June 30, 2017, the SEC announced a Name Change of Appointed Tax Administrator.