SEC Bars Gilman CEO for One Year
- Tuesday, 06 July 2010
- News
The 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.
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