Defendant Name:
Claire P. Shaughnessy
Defendant Type:
Individual
Document Reference:
IA-6535
Document Details
Legal Case Name
In the Matter of Claire P. Shaughnessy
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
25-Jan-2024
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Fair Funds
Monetary Penalties:
Civil Penalty
Individual:
$30,000.00
Shared:
