SEC Bars Gilman CEO for One Year

Tuesday, 06 July 2010
News

gilman logoThe SEC has issued an initial decision barring Michael Ryan, CEO of Gilman Ciocia and chief compliance officer Rose Rudden from serving in a supervisory capacity at any broker, dealer or investment adviser for one year. Fines were also imposed on the two and on two current and two former employees. The executives and the two current employees are considering alternatives that include filing a petition for review of the decision.

Read more...

Visit other PMG Sites:
Template Settings
Theme

Color

For each color, the params below will give default values
Tomato Green Blue Cyan Dark_Red Dark_Blue

Body

Background Color
Link Color
Text Color

Header

Background Color
Background Image
pattern1 pattern2 pattern3 pattern4 pattern5

Footer

Background Color
Background Image
pattern1 pattern2 pattern3 pattern4 pattern5
Layout
Select layout
Menu
Select menu
Typography
Google Font
Body Font-size
Body Font-family
Direction
Reset
PMG360 is committed to protecting the privacy of the personal data we collect from our subscribers/agents/customers/exhibitors and sponsors. On May 25th, the European's GDPR policy will be enforced. Nothing is changing about your current settings or how your information is processed, however, we have made a few changes. We have updated our Privacy Policy and Cookie Policy to make it easier for you to understand what information we collect, how and why we collect it.
Ok Decline