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/2mjUduk via IFTTT
Tag Archives: SEC.gov Updates: Administrative Proceedings
SEC: Henley & Company Wealth Management, LLC
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/2mlEg73 via IFTTT
SEC: Comprehensive 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/2oyj7qO via IFTTT
SEC: Virtu Americas LLC (f/k/a KCG Americas LLC)
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 and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2oEotkz via IFTTT
SEC: Adama Technologies Corp., Geobio Energy, Inc. and Powerdyne International, Inc.
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Powerdyne International, Inc. from SEC.gov Updates: Administrative Proceedings https://ift.tt/2nWPy1L via IFTTT
SEC: GFI Securities LLC
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2mrDdSV via IFTTT
SEC: Jonathan E. Shoucair
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 from SEC.gov Updates: Administrative Proceedings https://ift.tt/2mpwPM4 via IFTTT
SEC: iQuantifi, Inc. and Thomas F. White
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2nSeyY4 via IFTTT
SEC: BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp.
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and 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/2nWfaMr via IFTTT
SEC: Omgeo Matching Services US, LLC (n/k/a DTCC ITP Matching (US) LLC)
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 from SEC.gov Updates: Administrative Proceedings https://ift.tt/2mnfFyE via IFTTT
SEC Investigations 