SEC Issues Order Involving Gregory Alan Smith
June 27, 2020
June 27, 2020
WASHINGTON, June 27 -- The Securities and Exchange Commission issued the following order (No. 3-19837) involving Gregory Alan Smith:
In the Matter of GREGORY ALAN SMITH, Respondent.
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it appropriate and in the public . . .
In the Matter of GREGORY ALAN SMITH, Respondent.
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS
I.
The Securities and Exchange Commission ("Commission") deems it appropriate and in the public . . .