Tag Archives: U.S. Securities and Exchange Comission

SEC Charges Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b)(4) 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/2HYyK1p via IFTTT

SEC Charges Sica Wealth Management, LLC and Jeffrey C. Sica

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/2HXU4Ef via IFTTT

SEC Charges Fortress Investment Management, LLC, William M. Malloy, III

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 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/3a2RPeO via IFTTT

SEC Charges Steven E. Fishman

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 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 Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/2VrMw4s via IFTTT

SEC Charges Axiom Corp., et al.

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Veracity Management Global, Inc. n/k/a Santa Fe Resource Development, Inc. from SEC.gov Updates: Administrative Proceedings https://ift.tt/2waiBDg via IFTTT