Category Archives: Administrative Proceedings

SEC Charges National Stock Exchange and David Colker

Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 19(h) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Sanctions as to National Stock Exchange from SEC.gov Updates: Administrative Proceedings https://ift.tt/2u2yafI via IFTTT

SEC Charges Marc A. Celello, Esq.

Order Instituting Public Administrative Proceedings Pursuant to 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/39pANaq via IFTTT

SEC Charges Bpu Investment Management, Inc.

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) 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/3bEXoBU via IFTTT

SEC Charges Martin J. Kinchloe

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/2UOmd8o via IFTTT

SEC Charges Randall Goulding, Esq.

Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(a) and (b) of the Commission’s Rules of Practice from SEC.gov Updates: Administrative Proceedings https://ift.tt/2HgJUON via IFTTT

SEC Charges Thomas Troy Brooks

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/376Abov via IFTTT

SEC Charges Joseph A. Meyer, Jr.

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing from SEC.gov Updates: Administrative Proceedings https://ift.tt/2Uyovs3 via IFTTT