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. 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 …
Tag Archives: Finance
SEC: Geluk Capital Management Ltd. and Douglas Gerald Fathers Fraud
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a …
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SEC: Robinhood Financial, LLC Fraud
Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses. 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/K2RVOlz via IFTTT
SEC: GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc Fraud
Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses. 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/rzJ5WeE via IFTTT
SEC: The Brink’s Company Fraud
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, 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. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/wYrF1hc via IFTTT
SEC: Aaron B. Fletcher Fraud
Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B of the Securities Exchange Act of 1934 and Rule 15Bc4-1 Thereunder and 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 …
SEC: Egan-Jones Ratings Company and Sean Egan Fraud
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15E(d) and 21C of the Securities Exchange Act of 1934, 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. How bad was it? from SEC.gov Updates: Administrative Proceedings https://ift.tt/SgEkBa0 …
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SEC: American Cryptofed Dao LLC Fraud
Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933. 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/jBNf7eM via IFTTT
SEC: Erin Verespy Fraud
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. 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 …
SEC: Sica Wealth Management, LLC and Jeffrey C. Sica Fraud
Order Approving Plan of Distribution. 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/R52FhkS via IFTTT
SEC Investigations 