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Ex SEC examiner urges revocation of Billings Associates license
The former SEC examiner Warren Blair recommended revocation of Billings Associates Inc broker-dealer registration in Syracuse and sanctions against seven individuals for antifraud violations. He proposed barring Billings and Judson Dockstader from future securities firm work with one-year supervision, suspensions for four and three months for two salesmen, and bar losses for two non-employees. Billings rejected the action as reviewable and noted a Buffalo stock transaction involving 39 investors and $1 million in stock that led to losses and a later lawsuit triggering SEC scrutiny.
MENTIONED IN THIS ARTICLE
Washington
Securities and Exchange Commission
Billings Associates, Inc
S. Salina St
Syracuse
N.Y
Warren FE. Blair
Blair
SISC
SEC
Pearne Billings
Billings
Judson Dockstader
William J. Irving
Arthur S. Laudenstalter
Hedley Moore
Mitccel’ Sickler
Morris Cohen
The
Herald Journal
Examiner
Buffalo
Ani
SIEC