Defendant Name:
Stephen M. Folan
Defendant Type:
Individual
Document Reference:
34-66127
Document Details
Legal Case Name
In the Matter of Stephen M. Folan
Document Name
Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Document Date
10-Jan-2012
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
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 for 3 years
- Bar from participating in any penny stock offering for 3 years
