SEC Issues Administrative Proceeding on Banca IMI Securities
August 18, 2017
August 18, 2017
WASHINGTON, Aug. 18 -- The Securities and Exchange Commission issued the following administrative proceeding (File No. 3-18118) involving Banca IMI Securities Corp. on an order instituting administrative and cease-and-desist proceedings, pursuant to section 8a of the Securities Act of 1933, and section 15(b) of the Securities Exchange Act of 1934, making findings, and imposing remedial sanctions and a cease-and-desist order:
In the Matter of
Banca IMI Securities Corp.,< . . .
In the Matter of
Banca IMI Securities Corp.,< . . .