Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/32yp9I7 via IFTTT
Category Archives: Administrative Proceedings
SEC Charges Cardinal Health, Inc.
Order Instituting Cease-And- Desist Proceedings Pursuant to 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/39cb45I via IFTTT
SEC Charges Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934 and 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/2HYyK1p via IFTTT
SEC Charges Sica Wealth Management, LLC and Jeffrey C. Sica
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) 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/2HXU4Ef via IFTTT
SEC Charges Fortress Investment Management, LLC, William M. Malloy, III
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e), 203(f) and 203(k) 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/3a2RPeO via IFTTT
SEC Charges Steven E. Fishman
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(f) and 203(k) 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/2VrMw4s via IFTTT
SEC Charges Axiom Corp., et al.
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Veracity Management Global, Inc. n/k/a Santa Fe Resource Development, Inc. from SEC.gov Updates: Administrative Proceedings https://ift.tt/2waiBDg via IFTTT
SEC Charges Steven Seagal
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/3chGMR0 via IFTTT
SEC Charges Brett Pittsenbargar
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions from SEC.gov Updates: Administrative Proceedings https://ift.tt/2VwcrIt via IFTTT
SEC Charges RSM US LLP (f/k/a/ Mcgladrey LLP)
Order Instituting Public Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions from SEC.gov Updates: Administrative Proceedings https://ift.tt/393Civa via IFTTT
SEC Investigations 