SEC Charges E. Herbert Hafen

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions from SEC.gov Updates: Administrative Proceedings https://ift.tt/3ctUBf2 via IFTTT

SEC Charges Daniel B. Vazquez, Sr.

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing from SEC.gov Updates: Administrative Proceedings https://ift.tt/2vA8aZQ via IFTTT

SEC Charges Yaniv Avnon, Ran Armon and G Six Trading Y.R Ltd.

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing from SEC.gov Updates: Administrative Proceedings https://ift.tt/2TkTIwC via IFTTT

SEC Charges Shawn Severson

Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order from SEC.gov Updates: Administrative Proceedings https://ift.tt/32yp9I7 via IFTTT

SEC Charges Cardinal Health, Inc.

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/39cb45I via IFTTT

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

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