Defendant Name: Richard L. Pearson

Defendant Type: Individual

Document Reference: 34-75619

Document Details

Legal Case Name In the Matter of Richard L. Pearson
Document Name Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Document Date 05-Aug-2015
Document Format Administrative Proceeding
File Number 3-16728
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Resolutions
None Specified
Bars:
  • Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
  • Bar from participating in any penny stock offering (of unspecified duration)

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