SEC Issues Order Involving Sean Kelly
April 13, 2021
April 13, 2021
WASHINGTON, April 13 -- The Securities and Exchange Commission issued the following order (Admin. Proc. File No. 3-19323) involving Sean Kelly:
In the Matter of SEAN KELLY
ORDER TO SHOW CAUSE
On August 7, 2019, the Securities and Exchange Commission issued an order instituting administrative proceedings ("OIP") against Sean Kelly pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1 . . .
In the Matter of SEAN KELLY
ORDER TO SHOW CAUSE
On August 7, 2019, the Securities and Exchange Commission issued an order instituting administrative proceedings ("OIP") against Sean Kelly pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1 . . .