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Finance / 73rd United States Congress / United States Securities and Exchange Commission / 76th United States Congress / Investment Advisers Act / U.S. Securities and Exchange Commission / Securities Exchange Act / Financial adviser / Securities and Exchange Commission / Financial economics / Government / United States securities law


UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 23, 2015 INVESTMENT ADVISERS ACT OF 1940
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Document Date: 2015-04-23 13:32:33

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File Size: 80,45 KB

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City

Lubbock / /

Company

Uncommon Financial Services LC / /

Country

United States / /

Currency

USD / /

Event

Judicial Event / /

Facility

District Court / /

Organization

Securities and Exchange Commission / 364th District Court / FINRA / /

Person

TRACY MORGAN SPAETH / /

Position

broker / dealer / municipal securities dealer / municipal advisor / investment adviser representative / consultant / registered representative / dealer / investment adviser / Texas Securities Commissioner / Brent J. Fields Secretary / investment adviser / investment adviser / municipal securities dealer / /

ProvinceOrState

Texas / Lubbock County / /

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