UNITED STATES SECURITIES AND EXCHANGE COMMISSION vs Roger Bernstein

Filing Date:December 07, 2015

Case:SEC Vs. ROGER A. BERNSTEIN

Jurisdiction:Securities & Exchange Commission

Status:Resolved

Civil / Criminal:Civil

Cause(s) of Action:

Securities Violations

Description:

ORDER INSTITUTING CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER

Files
Dec
14
2015

Case Details

Roger.pdf
Attorneys, Regional Centers and Firms
Barr Law GroupUNITED STATES SECURITIES AND EXCHANGE COMMISSIONRoger BernsteinAboard America Regional Center

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