Saturday - November 18, 2017
SEC Issues Administrative Proceeding on Jeremy A. Licht
September 12, 2017
WASHINGTON, Sept. 12 -- The Securities and Exchange Commission issued the following administrative proceeding (File No. 3-18171) involving Jeremy A. Licht on an order instituting administrative and cease-and-desist proceedings, pursuant to section 21c of the Securities Exchange Act of 1934, sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and section 9(b) of the Investment Company Act of 1940, making findings and imposing remedial sanctions and a cease-and-desist order:
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