Category Archives: Administrative Proceedings

SEC Charges Kornitzer Capital Management, Inc. and John C. Kornitzer

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/2t4CcTX via IFTTT

SEC Charges Jatindar Kapur, CPA

Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2PiKLlp via IFTTT

SEC Charges Warren Clamen, CPA

Order Instituting Public Administrative and Cease- And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/38ap0Nn via …

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SEC Charges Raymon Holmdahl, 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 and as an Independent Accountant from SEC.gov Updates: Administrative Proceedings https://ift.tt/362Fhlt via IFTTT

SEC Charges Cynthia Holder, CPA

Order Making Findings and Imposing Remedial Sanctions and And- and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice from SEC.gov Updates: Administrative Proceedings https://ift.tt/2OvYKVK via IFTTT

SEC Charges Ronald J. Roach

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, Making Findings, and Imposing Remedial Sanctions from SEC.gov Updates: Administrative Proceedings https://ift.tt/2OLipQA via IFTTT

SEC Charges International Investment Group, LLC

Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions from SEC.gov Updates: Administrative Proceedings https://ift.tt/34pTPv7 via IFTTT