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/2YKl6GV via IFTTT
Tag Archives: Finance
SEC: Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr. Fraud
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) 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. Leave a like and a comment on the blog to spread …
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SEC: Richard T. Diver 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/2YUZkkb via IFTTT
SEC: Louis Navellier and Navellier & Associates, Inc. Fraud
Order Instituting Administrative Proceedings Pursuant to Sections 203(e) and 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing. 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/2AwK6cF via IFTTT
SEC: ChatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc. Fraud
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Dts8 Coffee Company, Ltd.. 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/37oAxse via IFTTT
SEC: Jana Faith Kiena, CPA Fraud
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. Leave a like and a comment on the blog to spread the word of this …
SEC: Douglas Leighton 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/2Y98bhu via IFTTT
SEC: Jeremy A. Licht d/b/a JL Capital Management Fraud
Order Directing Disbursement of 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: Administrative Proceedings https://ift.tt/3czHgR5 via IFTTT
SEC: Fifth Street Management, 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/3dCyvar via IFTTT
SEC: Tamara Steele 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 …
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