Cadaret and Grant & Co., Inc.
Order Authorizing the Transfer of Remaining Funds, and Any Funds Returned to the Fair Fund in the Future, to the U.S. Treasury and Terminating the Fair Fund
Cadaret and Grant & Co., Inc.
Order Instituting Administrative and Cease-and-Desist Proceedings 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, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order