Defendant Name:
Neil M.M. Morrison
Defendant Type:
Individual
Document Reference:
34-69627
Document Details
Legal Case Name
In the Matter of Neil M.M. Morrison
Document Name
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b)(6), 15B(c)(4) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
Document Date
23-May-2013
Document Format
Administrative Proceeding
Allegation Type
Municipal Securities & Public Pensions
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 5 years
- Bar from participating in any penny stock offering for 5 years
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 5 years
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
