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
File Number 3-14192
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Resolutions
On June 30, 2017, the SEC announced a Name Change of Appointed Tax Administrator.

Related Documents:

33-9174 14-Jan-2011 Administrative Proceeding
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

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In the Matter of BNY Mellon Securities
BNY Mellon Securities LLC