Defendant Name:
Joseph G. Parish III
Defendant Type:
Individual
Document Reference:
IA-3735
Document Details
Legal Case Name
In the Matter of Joseph G. Parish III and Scott H. Shannon
Document Name
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
12-Dec-2013
Document Format
Administrative Proceeding
Allegation Type
Securities Offering
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 12 months
- 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 12 months
Monetary Penalties:
Disgorgement
Individual:
$116,553.00
Shared:
Civil Penalty
Individual:
$75,000.00
Shared:
Pre-Judgment Interest
Individual:
$24,109.00
Shared:
Total Penalty
Individual:
$215,662.00
Shared:
Other Defendants in Action:
