SEC Charges Advisory Firm Navy Capital With Misrepresenting Its Anti-Money Laundering Procedures to Investors
January 16, 2025
January 16, 2025
WASHINGTON, Jan. 16 -- The Securities and Exchange Commission issued the following news release on Jan. 14, 2025:
The Securities and Exchange Commission today charged Connecticut-based investment adviser Navy Capital Green Management, LLC with making misrepresentations related to its anti-money laundering (AML) procedures and for compliance failures. Navy Capital agreed to settle the SEC's charges and pay a $150,000 civil penalty.
The SEC's order finds that, f . . .
The Securities and Exchange Commission today charged Connecticut-based investment adviser Navy Capital Green Management, LLC with making misrepresentations related to its anti-money laundering (AML) procedures and for compliance failures. Navy Capital agreed to settle the SEC's charges and pay a $150,000 civil penalty.
The SEC's order finds that, f . . .