SEC – Administrative Proceeding against Benjamin F. Edwards & Company

Washington, DC (STL.News) The US Securities and Exchange Commission (SEC) has filed an Administrative Proceeding against Benjamin F. Edwards & Company, Inc. pursuant to Section 15(b) of the Securities and Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, making findings and imposing remedial sanctions in addition to a Cease-and-Desist Order.

CLICK to VIEW FILING – PDF

 

Published by STLNEWSBLOG

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