Defendant Name:
Barr M. Rosenberg
Defendant Type:
Individual
Document Reference:
IA-3285
Document Details
Legal Case Name
In the Matter of Barr M. Rosenberg
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 9(b) of the Investment Company Act of 1940, and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
22-Sep-2011
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
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 (of unspecified duration)
- 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 (of unspecified duration)
Monetary Penalties:
Civil Penalty
Individual:
$2,500,000.00
Shared:
