Order Instituting Administrative Proceedings Pursuant to Section 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/2oJaqKv via IFTTT
Tag Archives: Admin
SEC: IFS Securities
Order Directing Payment of Certain Funds Received by the Commission and Directing the Transfer of Remaining Funds to Treasury from SEC.gov Updates: Administrative Proceedings https://ift.tt/2nbxHUY via IFTTT
SEC: Sarkauskas, Associates, Inc. and James M. Sarkauskas
Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the U.S. Treasury, Discharging Fund Administrator, Cancelling Administrator’s Bond, and Terminating the Fair Fund from SEC.gov Updates: Administrative Proceedings https://ift.tt/2ncOMhb via IFTTT
SEC: Marla P. Manowitz, CPA, Thomas R. Vreeland, CPA and Kenneth J. Gralak, CPA
Order Instituting Public Administrative and Cease- And-Desist Proceedings Pursuant to 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/2n8Tg8F via IFTTT
SEC: Outset Global LLP
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, a Censure, and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2nRgDDH via IFTTT
SEC: Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice and Notice of Hearing from SEC.gov Updates: Administrative Proceedings https://ift.tt/2oFKqzI via IFTTT
SEC: Essex Financial Services, Inc.
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 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 from SEC.gov Updates: Administrative Proceedings https://ift.tt/2nTljsI via IFTTT
SEC: Folger Nolan Fleming Douglas Capital Management, Inc.
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 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 from SEC.gov Updates: Administrative Proceedings https://ift.tt/2nSWugE via IFTTT
SEC: Equity Services, Inc.
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 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 from SEC.gov Updates: Administrative Proceedings https://ift.tt/2mhrG8G via IFTTT
SEC: Wedbush Securities, Inc.
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 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 from SEC.gov Updates: Administrative Proceedings https://ift.tt/2oFOBeP via IFTTT
SEC Investigations 