Current Sanctions

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144 Results
  • Ibukun Adebayo-Adedayo
    Nigeria Permanent Summary Suspension Sanctioned on 24 Apr 2017

    Adebayo-Adedayo violated Standards I(B) – Independence and Objectivity, I(D) – Misconduct, V(A) – Reasonable Basis, V(B) – Communication with Clients, and V(C) – Record Retention of the CFA Institute Code of Ethics and Standards of Professional Conduct (2005).

    Adebayo-Adedayo authored at least 59 issuer-paid “research reports” for Beacon Equity Research from December 2006 through August 2009. These reports were for small-cap and microcap companies that were traded in the over the counter (OTC) markets. Springer rated all 59 companies as “speculative buys.” Her research reports were widely circulated and available to the investing public via the internet.

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  • Spyridon G. “Sam” Adondakis
    U.S Permanent Revocation Sanctioned on 03 Aug 2017

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  • Shawn D. Baldwin
    U.S Permanent Summary Suspension Sanctioned on 15 Feb 2011

    Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur. Excepteur sint occaecat cupidatat non proident, sunt in culpa qui officia deserunt mollit anim id est laborum.

  • Margaret Lisa Springer
    U.S Permanent Revocation Sanctioned on 22 Nov 2010

    Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur. Excepteur sint occaecat cupidatat non proident, sunt in culpa qui officia deserunt mollit anim id est laborum.