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Posted On: 02/15/2022 10:37:45 AM
Post# of 7802
Re: Coat Tail Rider #6537
Kennedy willfully aided and abetted and caused Old Dominion's violation of Section 15(b)(6)(
(ii) of the Exchange Act, which prohibits a broker or dealer to permit a person barred by the Commission to become or remain associated with the broker or dealer without the consent of the Commission.
https://www.sec.gov/litigation/admin/34-47403.htm
The jury also found Spartan, Island, Dilley and Eldred not liable for violating or aiding and abetting alleged violations of Section 17(a) of the Securities Act of 1933 ("Securities Act"
and Rules 10b-5(a) and (c) of the Exchange Act, and not liable for violating Sections 5(a) and 5(c) of the Securities Act.
(ii) of the Exchange Act, which prohibits a broker or dealer to permit a person barred by the Commission to become or remain associated with the broker or dealer without the consent of the Commission. https://www.sec.gov/litigation/admin/34-47403.htm
The jury also found Spartan, Island, Dilley and Eldred not liable for violating or aiding and abetting alleged violations of Section 17(a) of the Securities Act of 1933 ("Securities Act"
and Rules 10b-5(a) and (c) of the Exchange Act, and not liable for violating Sections 5(a) and 5(c) of the Securities Act. 
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