Defendant Name:
Jason Maiher
Defendant Type:
Individual
Document Reference:
34-78607
Document Details
Legal Case Name
In the Matter of Jason Maiher
Document Name
Order Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order Pursuant to Sections 4C, 15(b) and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice
Document Date
17-Aug-2016
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Bars:
- Bar on practicing before the SEC as an Accountant for 2 years
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
