34-73442.pdf (173.13 KB)
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, IMPOSING A CEASE-AND DESIST ORDER AND REMEDIAL S\
ANCTIONS , AND NOTICE OF HEARING