SEC Administrative Proceeding: Stephen Mazuchowski (re: SEA Sections 15(b) and 21C; ICA Section 9(c))

The sanctioned individual was involved with, among other things, "selling away" violations. In addition, the individual was charged with trying to conceal what were essentially brokerage-type services under the rubric of their being "consulting" services as to hide the fact that they were services that should have been performed by an SEC-registered broker-dealer.

Cross Reference(s): Exchange Act Sections 15(b) and 21C; Investment Company Act Section 9(c). For a general description of the activities requiring broker-dealer registration, see Lofchie's Guide to Broker-Dealers, Chapter 2.

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