Defendant Name:
Wing F. Chau
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Harding Advisory LLC and Wing F. Chau
First Document Date
18-Oct-2013
Initial Filing Format
Administrative Action
File Number
3-15574
Allegation Type
Securities Offering
Affiliations
- Current: CEO at Harding Advisory LLC (From 2006)
- Current: Chief Compliance Officer at Harding Advisory LLC (From 2006)
- Current: Manager at Harding Advisory LLC (From 2006)
- Current: Managing Member at Harding Advisory LLC (From 2006)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Sections 206(1), 206(2) Advisers Act
Related Violations Alleged
Wing F. Chau is alleged to have aided and abetted
Harding Advisory LLC's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Wing F. Chau is alleged to have caused
Harding Advisory LLC's violation of Sec 17(a) (Not specified) of the Securities Act.
Wing F. Chau is alleged to have aided and abetted
Harding Advisory LLC's violation of Section 206(1), 206(2) Advisers Act (willfully/knowingly).
Wing F. Chau is alleged to have caused
Harding Advisory LLC's violation of Section 206(1), 206(2) Advisers Act.
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 1 year
First Resolution Date
27-Sep-2019
Headline Total Penalty and Disgorgement
$90,000
Other Defendants in Action:
