1. Home
  2. Browse Decisions
  3. F.Supp.2d
  4. 646 F.Supp.2d
  5. 646 F.Supp.2d 161 (2009)
 

U.S. S.E.C. v. HOWARD

Civil Action No. 07-11302-NMG.

646 F.Supp.2d 161 (2009)

UNITED STATES SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. Daniel R. HOWARD, Defendant.

United States District Court, D. Massachusetts.

July 31, 2009.

Attorney(s) appearing for the Case

Kenya M. Gregory, Thomas J. Karr, Securities & Exchange Commission, Washington, DC, for Plaintiff.

Daniel R. Howard, Lynn, MA, pro se.

MEMORANDUM & ORDER

GORTON, District Judge.

The defendant, Daniel R. Howard ("Howard"), was fined by the National Association of Securities Dealers ("NASD," which has since changed its name to the Financial Industry Regulatory Authority, or "FINRA") in the amount of $28,484.25 for improper recommendations to his clients and reporting violations. His appeals of that fine to the United States Securities and Exchange Commission ("the SEC") were unsuccessful...

Let's get started

Leagle.com

Welcome to the leading source of independent legal reporting
Sign on now to see your case.
Or view more than 10 million decisions and orders.

  • Updated daily.
  • Uncompromising quality.
  • Complete, Accurate, Current.

Listed below are the cases that are cited in this Featured Case. Click the citation to see the full text of the cited case. Citations are also linked in the body of the Featured Case.

Cited Cases

  • No Cases Found

Listed below are those cases in which this Featured Case is cited. Click on the case name to see the full text of the citing case.

Citing Cases