Administrative Proceeding File No. 3-15285
Respondents
Whitman, Douglas F.
Release Date | Release Number | Other Release Numbers | Name of Document |
---|---|---|---|
IA-5019 | Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars | ||
IA-4405 | Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars | ||
IA-3589 | Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions |