Defendant Name: Jean Bernhard Buttner

Defendant Type: Individual

Document Reference: 33-9081

Document Details

Legal Case Name In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
Document Name Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b)(4), 15(b)(6) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940
Document Date 04-Nov-2009
Document Format Administrative Proceeding
File Number 3-13675
Allegation Type Investment Advisers/Investment Companies
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Censured
Fair Funds
Bars:
  • Bar from acting as Director or Officer of a public company (of unspecified duration)
  • 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:     $1,000,000.00 Shared:    

Related Documents:

34-81064_3-13675 30-Jun-2017 Administrative Proceeding
Notice of Name Change of Appointed Tax Administrator