Category Archives: Administrative Proceedings

SEC: Jeffrey Ikahn (f/k/a Jeffrey S. Santulan) Fraud

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/zkwVrQ0 via IFTTT

SEC: Quantstamp, Inc. Fraud

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/rJEy3Dq via IFTTT

SEC: Monroe Capital Management Advisors, LLC Fraud

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C 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. Leave a like and a comment on the blog to spread the word of this case. …

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SEC: Digital World Acquisition Corp. Fraud

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative …

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SEC: Value Line, Inc., et al. Fraud

Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: …

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SEC: Kevin R. Harris, CPA Fraud

Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/LOM31HG via IFTTT

SEC: Legendary Partners, LLC and Scott L. Snyder Fraud

SEC Seeks Court Approval for Settlement That Includes Antifraud Injunctions, Officer and Director Bar, and Monetary Relief. Leave a like and a comment on the blog to spread the word of this case. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/FK4aWLu via IFTTT