Defendant Name:
Keith W. Stokes
Defendant Type:
Individual
Document Reference:
court_doc4_16-cv-00107
Document Details
Legal Case Name
SEC v. Keith W. Stokes
Document Name
Final Judgment as to Defendant Keith W. Stokes
Document Date
22-Mar-2016
Document Format
Civil Proceeding
Case Number
16-cv-00107
Federal District Court
Rhode Island, District of Rhode Island
Federal District Judge
John J. McConnell Jr.
Allegation Type
Municipal Securities & Public Pensions
Disgorgement & Penalty Information
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of permanent duration)
Monetary Penalties:
Civil Penalty
Individual:
$25,000.00
Shared:
Other Defendants in Action:
