SEC Issues Administrative Proceeding on Wm Smith & Co
June 26, 2017
June 26, 2017
WASHINGTON, June 26 -- The Securities and Exchange Commission issued the following administrative proceeding (File No. 3-18046) involving Wm Smith and Co and William S. Smith:
In the Matter of WM SMITH & CO., and WILLIAM S. SMITH, Respondents.
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER
. . .
In the Matter of WM SMITH & CO., and WILLIAM S. SMITH, Respondents.
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER
. . .