Defendant Name:
Barbara Duka
Defendant Type:
Individual
Document Reference:
33-10599
Document Details
Legal Case Name
In the Matter of Barbara Duka
Document Name
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15E(d) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
Document Date
21-Dec-2018
Document Format
Administrative Proceeding
Allegation Type
Other
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Monetary Penalties:
Civil Penalty
Individual:
$7,500.00
Shared:
