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.

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SEC files Administrative Proceeding against John G. Stumpf

Washington, DC (STL.News) The US Securities and Exchange Commission has filed an Administrative Proceeding against John G. Stumpf pursuant to Section 8A of the Securities Act of 1933, and imposing a Cease-and-Desist Order.

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SEC Files Administrative Proceeding Against Mohammed Ali Rashid

Washington, DC (STL.News) The US Securities and Exchange Commission filed an Administrative Proceeding against Mohammed Ali Rashid pursuant to Section 203(f) of the Investment Advisers Act of 1940 and given notice of hearing.

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SEC files Administrative Proceeding against Paul Horton Smith, Sr.

Washington, DC (STL.News) The US Securities and Exchange Commission (SEC) has filed an Administrative Proceeding against Paul Horton Smith, Sr. pursuant to the Investment Advisers Act of 1940 and Notice of Hearing.

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SEC files Administrative Proceeding against Mustafa David Sayid, Esq.

Washington, DC (STL.News) The US Securities and Exchange Commission (SEC) has filed an Administrative Proceeding against Mustafa David Sayid, Esq. pursuant to Rule 102(e)(3)(i) of the commissions’s Rules of Practice.

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SEC files Administrative Proceeding Against The Goldman Sachs Group

Washington, DC (STL.News) The US Securities and Exchange Commission filed an Administrative Proceeding against the giant brokerage firm, The Goldman Sachs Group, Inc. pursuant to Section 21C of the Securities Exchange Act of 1934 imposing a Cease-and-Desist Order.

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SEC Files Administrative Proceeding Against Anthony Goldstein

Washington, DC (STL.News) The US Securities and Exchange Commission filed an Administrative Proceeding (File No. 3-20019) against Anthony Goldstein (Respondent) pursuant to Section 15(b) of the Securities Exchange Act of 1934.

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SEC files Administrative Proceeding against Michael Schneider, CPA

Washington, DC (STL.News) The US Securities and Exchange Commission issued an Administrative Proceeding and Cease-and-Desist Proceeding against Michael Schneider, CPA pursuant to Section *A 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.

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SEC files Administrative Proceeding against David C. Coggins

Washington, DC (STL.News) The US Securities and Exchange Commission file an Administrative Proceeding, File No. 3-20095 against David C. Coggins, pursuant to 203(f) of the Investment Advisors Act of 1940.

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SEC files Administrative Proceeding against JP Morgan Securities, LLC

Washington, DC (STL.News) The US Securities and Exchange Commission has filed an Administrative Proceeding against JP Morgan Securities, LLC pursuant to Section 8A of the Securities Act of 1933 and sections 15(b) of the Securities Exchange Act of 1934.

Administrative Proceeding File No. 3-20094

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SEC files an Administrative Proceeding against Morgan Wilshire Securities, Inc.

Washington, DC (STL.News) The US Securities and Exchange Commission has filed an Administrative Proceeding (File No. 3-20054) against Morgan Wilshire Securities, Inc. pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934.

Release No. 89979

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SEC files Administrative Proceeding against Northern Trust Hedge Fund Services, LLC

Washington, DC (STL.News) The US Securities and Exchange Commission filed an Administrative Proceeding, File No. 3-20030, against Northern Trust Hedge Fund Services, LLC and Northern Trust Global Fund Services Cayman Limited pursuant to Section 203(k) of the Investment Advisers Act of 1940 imposing a Cease-and-Desist Order.

Release No. 5585

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