Defendant Name:
Arthur W. Lewis
Defendant Type:
Individual
Document Reference:
33-9869
Document Details
Legal Case Name
In the Matter of Arthur W. Lewis
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Initial Proceeding
Document Date
23-Jul-2015
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
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 1 year
Monetary Penalties:
Civil Penalty
Individual:
$50,000.00
Shared:
