These documents are not legal documents but are placed here for reference purposes only. For a legal copy please contact the department.

George Jones Lincoln IV and CCO Investment Services Corp.

Order
Monday, February 24, 2014
Docket No. 13-046-S
AttachmentSize
George Lincoln IV Consent Order223.57 KB

Summary- The Department issued a Consent Order that censures and suspends Lincoln and requires him to pay $70,000 in penalties, plus costs.  The Department determined that Lincoln violated Vermont law by (a) making and keeping inaccurate and misleading books and records and (b) by recommending that certain customers purchase Sector Funds in amounts that were not suitable for them based on their other securities holdings, investment objectives, financial situations and needs.