TITLE

SEC Bars Pennsylvania's Kieran Dale From Investment Advisory Business

AUTHOR(S)
Hume, Lynn
PUB. DATE
April 2006
SOURCE
Bond Buyer;4/21/2006, Vol. 356 Issue 32365, p31
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports on the prohibition ordered by the Securities and Exchange Commission (SEC) against Kieran J. Dale of Downingtown, Pennsylvania from the investment advisory business. This is in connection with the settlement scheme by SEC for the securities fraud cases filed against her. It involves her misappropriation acts of more than 9 million dollar from a private equity venture capital fund, whose biggest investors were state and local public pension funds.
ACCESSION #
20952668

 

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