#administrative proceeding

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SEC files Administrative Proceeding Against Tierion, Inc.

SEC files Administrative Proceeding Against Tierion, Inc.

Washington, DC (STL.News) The US Securities and Exchange Commission (SEC) has filed an Administrative Proceeding (No. 3-20188) against Tierion, Inc. for instituting Cease-and-Desist proceeding pursuant t to Section 8A of The Securities Act of 1933, making findings, and imposing penalties and a cease-and-desist order. CLICK to VIEW FILING

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SEC Files Administrative Proceeding Against ITC Canada Corp

SEC Files Administrative Proceeding Against ITC Canada Corp

Washington, DC (STL.News) The US Securities and Exchange Commission filed an Administrative Proceeding against ITG Canada Corp. n/k/a Virtu ITG Canada Corp. for Oder instituting a Cease-and-Desist Proceeding pursuant to Section 21C of The Securities Exchange Act of 1934, making findings, and imposing Remedial Sanctions and a Cease-and-Desist Order. CLICK to VIEW FILING

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SEC Files Administrative Proceeding Against Munish Sood

SEC Files Administrative Proceeding Against Munish Sood

Washington, DC (STL.News) The US Securities and Exchange Commission (SEO) filed an Administrative Proceeding (File No. 3-20184) against Munish Sood for Order instituting Administrative Proceedings pursuant to Section 2013(f) of The Investment Advisers Act of 1940 and Section 15(b(6) of the Securities Exchange Act of 1934 and Notice of Hearing. CLICK to VIEW FILING – PDF

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SEC Files Administrative Proceeding Against ShipChain, Inc.

SEC Files Administrative Proceeding Against ShipChain, Inc.

Washington, DC (STL.News) The US Securities and Exchange Commission (SEO) filed an Administrative Proceeding (File No. 3-20185) against ShipChain, Inc. for a Cease-and-Desist Proceeding pursuant to Section 8A of The Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order. CLICK to VIEW FILING – PDF

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SEC Files Administrative Proceeding Against Cormark Securities

SEC Files Administrative Proceeding Against Cormark Securities

Washington, DC (STL.News) The US Securities and Exchange Commission (SEO) filed an Administrative Proceeding on December 21, 2020 (File No. 3-20181) against Cormark Securities, Inc. for a Cease-and-Desist Proceeding pursuant to Section 21(c) of The Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order. CLICK to VIEW FILING – PDF

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SEC Files Administrative Proceeding Against Voya Financial Advisors, Inc.

SEC Files Administrative Proceeding Against Voya Financial Advisors, Inc.

Washington, DC (STL.News) The US Securities and Exchange Commission (SEO) filed an Administrative Proceeding (File No. 3-20183) against Voya Financial Advisors, Inc. for a Cease-and-Desist Proceeding 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. CLICK to VIEW FILING

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SEC Files Administrative Proceeding Against India Globalization Capital

SEC Files Administrative Proceeding Against India Globalization Capital

SEC Files Administrative Proceeding Against India Globalization Capital and Ramachandra “Ram” Mukunda Washington, DC (STL.News) The US Securities and Exchange Commission (SEC) has filed an Administrative Proceeding against India Globalization Capital, Inc., and Ramachandra “Ram” Mukunda pursuant to Section 8A of the Securitiess Act of 1933, Making Findings, and Imposing a Ceases-and-Desist…

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SEC Files Administrative Proceeding Against Roger E. Dobrovodsky

SEC Files Administrative Proceeding Against Roger E. Dobrovodsky

Washington, DC (STL.News) The US Securities and Exchange Commission (SEC) has filed an Administrative Proceeding (File No. 3-20178) on December 18, 2020 against Roger E. Dobrovodsky pursuant to Section 15(b) of The Securities Exchange Act of 1934 and Section 203(f) of The Investment Advisors Act of 1940, making findings and imposing Remedial Sanctions. CLICK to VIEW FILING

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