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United States securities law / Financial services / 76th United States Congress / United States Securities and Exchange Commission / Investment Advisers Act / Securities Act / Exchange-traded fund / Stock fund / Mutual fund / Financial economics / Investment / Finance


[TEMPLATE FOR SETTLED ORDER IN COMBINED CEASE AND DESIST AND ADMINISTRATIVE PROCEEDING]
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Document Date: 2012-12-21 13:46:00


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File Size: 157,67 KB

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City

Mesa / New York / /

Company

The Opportunity Prospector Inc. / Top Fund Management Inc. / Background A. ZSF’s Disclosure Documents Limited / Z Seven Fund Inc. / Options FX Equities / /

Country

United States / /

Currency

USD / /

Event

Product Recall / Product Issues / FDA Phase / Reorganization / Bankruptcy / /

MusicGroup

the Commission / /

Organization

Seven Fund / Maryland Department of Assessments and Taxation / Division of Enforcement / Securities and Exchange Commission / /

Person

Barry C. Ziskin / /

Position

principal underwriter / dealer / investment adviser / Murphy Secretary / officer / director / member of an advisory board / investment adviser / broker / dealer / municipal securities dealer / municipal advisor / president / and sole control person / president / treasurer / and interested director / director / member of an advisory board / investment adviser / investment adviser / municipal securities dealer / /

Product

registration with the Commission / Board / /

ProvinceOrState

Maryland / Arizona / /

RadioStation

TFM / /

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