Wells Fargo Clearing Services, LLC.
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Wynn Charlebois et al.
SEC Charges Charlotte, North Carolina Business Consultant and His Company with Operating $7 Million Ponzi Scheme
FCA US LLC and Fiat Chrysler Automobiles N.V.
Notice of Proposed Plan of Distribution and Opportunity for Comment
First Republic Investment Management, Inc.
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 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
Sohrab (“Sam”) Sharma, et al.
SEC Obtains Final Judgments Against Defendants in Fraudulent ICO Scheme
Thomas F. Plaut
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC
Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, 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 as to Kimberly...
Michael Staisil
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Anthony Salandra
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Digi Outdoor Media, Inc.
Order Instituting Administrative Proceedings Pursuant to Section 8(d) of the Securities Act of 1933, Making Findings and Issuing Stop Order