Category Archives: Administrative Proceedings

SEC Charges Dale Scott Pearlman

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/37hHP0M via IFTTT

SEC Charges China Longyi Group International Holdings Ltd., Leo Motors, Inc. and LNPR Group, Inc.

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Leo Motors, Inc. from SEC.gov Updates: Administrative Proceedings https://ift.tt/2CWoDra via IFTTT

SEC Charges Sebastian Pinto-Thomaz

Order Instituting Administrative Proceedings Pursuant to Section 15E(d)(1) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions from SEC.gov Updates: Administrative Proceedings https://ift.tt/2NKeGUd via IFTTT

SEC Charges Morgan Stanley Smith Barney LLC

Order Instituting Aministrative and Cease-And- Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, and Section 203(e) 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/2JXvYe2 via IFTTT

SEC Charges American Rare Earths, et al.

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to PureSafe Water Systems, Inc. from SEC.gov Updates: Administrative Proceedings https://ift.tt/2PRsaPo via IFTTT

SEC Charges NXChain, et al.

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to NXChain, Inc. f/k/a Agrivest Americas, Inc. from SEC.gov Updates: Administrative Proceedings https://ift.tt/2JUTbO4 via IFTTT