Defendant Name:
Francis Parisi
Defendant Type:
Individual
Document Reference:
33-10050
Document Details
Legal Case Name
In the Matter of Francis Parisi
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 15E of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
07-Mar-2016
Document Format
Administrative Proceeding
Allegation Type
Other
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Bars:
- Bar on association with any nationally recognized statistical rating organization (of unspecified duration)
Monetary Penalties:
Civil Penalty
Individual:
$25,000.00
Shared:
