SEC Issues Administrative Proceeding on VCAP Securities
January 19, 2017
January 19, 2017
WASHINGTON, Jan. 19 -- The Securities and Exchange Commission issued the following administrative proceeding (File No. 3-16389) involving VCAP Securities and Brett Thomas Graham on disbursement of fair fund:
On February 19, 2015, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b)(4), 15(b)(6) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of t . . .
On February 19, 2015, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b)(4), 15(b)(6) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of t . . .