Amended Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b), 17A and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/35ICOwI via IFTTT
Tag Archives: SEC.gov Updates: Administrative Proceedings
SEC Charges Michael J. Woodford, Esq.
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions from SEC.gov Updates: Administrative Proceedings https://ift.tt/2qXHm3j via IFTTT
SEC Charges Ronald R. Roaldsen, Jr.
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions from SEC.gov Updates: Administrative Proceedings https://ift.tt/2M0In1I via IFTTT
SEC Charges Tim Leissner
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) 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 Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2PoU5p4 via …
SEC Charges Randall S. Goulding
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing from SEC.gov Updates: Administrative Proceedings https://ift.tt/2YUW6g9 via IFTTT
SEC Charges Stonemor Partners L.P. and Stonemor Gp LLC
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 from SEC.gov Updates: Administrative Proceedings https://ift.tt/2YJvBKn via IFTTT
SEC Charges China Longyi Group International Holdings Ltd., Leo Motors, Inc. and LNPR Group, Inc.
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Lnpr Group, Inc. from SEC.gov Updates: Administrative Proceedings https://ift.tt/2taxzI9 via IFTTT
SEC Charges Kornitzer Capital Management, Inc. and John C. Kornitzer
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) 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/2t4CcTX via IFTTT
SEC Charges Jefferies LLC
Order Instituting Administrative Proceedings, Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions from SEC.gov Updates: Administrative Proceedings https://ift.tt/2Rzoant via IFTTT
SEC Charges Jatindar Kapur, CPA
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, 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/2PiKLlp via IFTTT
SEC Investigations 