CORP :: Enforcement Actions:Marina Capital Management, Inc.

Enforcement Actions: Civil Actions, Desist & Refrain Orders

Case Number: 923-4200, 131178

Date of Initial Action:

Defendants/Respondents: Marina Capital Management, Inc.

Order to Discontinue Violations Pursuant to Corporations Code section 25249
Statement in Support of Order Levying Administrative Penalties Pursuant to Corporations Code section 25242
Statement in Support of Order to Discontinue Violations Pursuant to Corporations Code section 25249 and Commissioner's Intention to Make Order Final
Accusation Re: Intent to Issue Order Revoking the Investment Adviser Certificate of Marina Capital Management, Inc. Pursuant to Corporations Code Section 25232
Order to revoke investment advisor certificate for failing to maintain the required minimum net worth under the Corporate Securities Law of 1968