Christopher B. Ferguson and Brian P. McFadden
No reply on file from Christopher B. Ferguson and Brian P. McFadden on this matter.
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"The SEC’s complaint, filed in federal court in the Southern District of New York, charges Ferguson with violating Section 17(a)(3) of the Securities Act of 1933 and McFadden with violating Sections 17(a)(2) and (3) of the Securities Act."
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"Without admitting or denying the allegations in the SEC’s complaint, Ferguson and McFadden consented to the entry of final judgments, subject to court approval, that would permanently enjoin them from violating the charged provisions of the federal securities law, impose a civil penalty of $50,000 against each of them, prohibit them for five years from serving as an officer or director of a public company, and order McFadden to pay disgorgement of $75,208 with prejudgment interest of $28,209."