Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Unified Signal, Inc. from SEC.gov Updates: Administrative Proceedings https://ift.tt/2POmvt0 via IFTTT
Category Archives: Administrative Proceedings
SEC Charges Richard Johnathan Eden
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/2Sevvt4 via IFTTT
SEC Charges Christopher Michael Neumann
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/398VVCy via IFTTT
SEC Charges Cadaret, Grant & Co., Inc., et al.
Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury and Terminating the Fair Fund from SEC.gov Updates: Administrative Proceedings https://ift.tt/2SfGUbY via IFTTT
SEC Charges Serge Matta
Extension Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/391aQP6 via IFTTT
SEC Charges Quantum Corporation
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/398VLuW via IFTTT
SEC Charges Kenneth S. Gross
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 from SEC.gov Updates: Administrative Proceedings https://ift.tt/2ExfbLV via IFTTT
SEC Charges Joseph (a/k/a Jay) Ludovico
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/2PYpcaa via IFTTT
SEC Charges MetLife, 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/2PXHXKN via IFTTT
SEC Charges Bluefin Trading, LLC
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2tx5JpA via IFTTT
SEC Investigations 