Defendant Name:
Craig S. Lax
Defendant Type:
Individual
Document Reference:
34-74582
Document Details
Legal Case Name
In the Matter of Craig S. Lax
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
25-Mar-2015
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Bars:
- Bar from participating in any penny stock offering for 5 years
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
