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SILVIA v. SECURITIES DIVISION

No. 02-P-785.

61 Mass. App. Ct. 350 (2004)

810 N.E.2d 825

JOHN SILVIA, JR. v. SECURITIES DIVISION.

Appeals Court of Massachusetts, Bristol.

June 21, 2004.

Attorney(s) appearing for the Case

John Silvia, Jr., pro se.

Juliana deHaan Rice, Assistant Attorney General (Timothy R. McGuire, Assistant Attorney General, with her) for the defendant.

Present: BECK, GRASSO, & COWIN, JJ.

COWIN, J.

The Securities Division (division) of the Secretary of the Commonwealth (Secretary) charged the plaintiff with violations of G. L. c. 110A, §§ 101,1 102,2 201,3 and 301,4 in the following respects: transacting business in securities without being registered as a broker-dealer or...

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