Administrative proceeding

Results: 2501



#Item
971Investor / Collective investment scheme / Financial economics / Funds / Investment

ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Paul Pomfret,

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Source URL: www.scag.gov

Language: English - Date: 2014-05-07 11:07:28
972Financial regulation / Plaintiff / Securities Act / Law

ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: )

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Source URL: www.scag.gov

Language: English - Date: 2014-05-07 11:07:11
973Cease and desist / Securities Act / Securities regulation in the United States / Registered Investment Advisor / Financial regulation / Law / Financial services / United States securities law / 73rd United States Congress / New Deal

ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF:

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Source URL: www.scag.gov

Language: English - Date: 2013-09-16 15:16:07
974Plaintiff

ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: )

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Source URL: www.scag.gov

Language: English - Date: 2014-05-07 11:07:11
    975Financial system / Securities Act / Security / Selling away / Covered security / United States securities law / Financial economics / Financial regulation

    ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: William Martin Fjeran, Jr.,

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    Source URL: www.scag.gov

    Language: English - Date: 2013-09-16 15:16:02
    976United States Securities and Exchange Commission / United States securities law / Financial regulation / 73rd United States Congress / New Deal / Securities Act

    ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF:

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    Source URL: www.scag.gov

    Language: English - Date: 2014-05-07 11:07:34
    977

    ADMINISTRATIVE PROCEEDING BKFORETHE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF:

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    Source URL: www.scag.gov

    Language: English - Date: 2014-05-07 11:07:08
      978United States Securities and Exchange Commission / United States securities law / Financial regulation / 73rd United States Congress / New Deal / Securities Act

      ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Allen Charles Johnson and Joy Enterprise Inc.

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      Source URL: www.scag.gov

      Language: English - Date: 2014-05-07 11:07:16
      979Finance / Collective investment schemes / Funds / Rate of return / Interest rate / Financial economics / Investment / Financial services

      ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Robert E. Smithfield

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      Source URL: www.scag.gov

      Language: English - Date: 2013-09-16 15:16:08
      980

      ADMINISTRATIVE PROCEEDING BE FORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Cambridge Credit, Inc., and

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      Source URL: www.scag.gov

      Language: English - Date: 2013-09-16 15:16:00
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