SEC: Cetera Investment Advisers LLC

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2mWiJSh via IFTTT

SEC: PPG Industries, Inc.

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2nAKDDD via IFTTT

SEC: Mahesh Agarwal

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2nC827O via …

SEC: G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC

Order Directing Sixth Disbursement of Fair Fund from SEC.gov Updates: Administrative Proceedings https://ift.tt/2nwd6ug via IFTTT