Category Archives: Administrative Proceedings

SEC Charges Steven M. Des Champs, CPA

Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to Be Filed with the Commission from SEC.gov Updates: Administrative Proceedings https://ift.tt/36sZrVD via IFTTT

SEC Charges Catalyst Capital Advisors, LLC and Jerry Szilagyi

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/38IBNGb via IFTTT

SEC Charges Robert S. “Lute” Davis, Jr.

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/36vyVLp via IFTTT

SEC Charges Gregory W. Anderson

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/2RVdUo2 via IFTTT

SEC Charges Jay Zola Scoratow

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/2tNw3fx via IFTTT

SEC Charges Scott Charles Messier

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/37ph7D3 via IFTTT

SEC Charges Leonardo Cornide and Jorge Falcon

Amended Order Instituting Cease-And- Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease- And-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2Rseb2Z via IFTTT

SEC Charges Medigreen Holdings Corporation (a/k/a Rapid Fire Marketing, Inc.)

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 from SEC.gov Updates: Administrative Proceedings https://ift.tt/2RlIFn8 via IFTTT