Tag Archives: SEC.gov Updates: Administrative Proceedings

SEC: Atlas Resources Series 33-2013 L.P. Fraud

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934. 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/389SwFj via IFTTT

SEC: Howard Hideshima Fraud

Corrected Order Instituting Cease-and-Desist Proceedings Pursuant to 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 Proceedings https://ift.tt/2Yx6StZ via IFTTT

SEC: Alan D. Seidel Fraud

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, 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/3edd5Sw via IFTTT

SEC: Bethany Liou and Golden California Regional Center, LLC Fraud

Order Extending Time to Enter an Order Approving or Disapproving 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/2HJGWpy via IFTTT

SEC: Steven L. Henning, CPA Fraud

Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. 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/3e9JhGf via IFTTT

SEC: an Application Filed Under Rule 193 of the Commission’s Rules of Practice and Section 203(f) of the Investment Advisers Act On Behalf of Eric D. Wanger for Consent to Associate with Burling Acquisition Group, LLC Fraud

Order Granting Consent to Associate. 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/2J1TybW via IFTTT

SEC: Mohammed Ali Rashid Fraud

Order Instituting Administrative Proceedings Pursuant to Section 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/34x35Qs via IFTTT

SEC: Cory Adam Leshner Fraud

Order of Forthwith Suspension Pursuant to Commission Rule of Practice 102(e)(2). 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/34m1YTU via IFTTT

SEC: Tradenet Capital Markets Ltd. d/b/a Tradenet 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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