Important Documents

For additional information, click on the documents listed below.

• • June 4, 2018: 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
  • August 17, 2020: Order Approving Modified Plan of Distribution
  • August 17, 2020: Modified Plan of Distribution