Defendant Name: Harding Advisory LLC

Defendant Type: Other

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

Violations Alleged

Securities Act
• Sec 17(a)(2)
• Sec 17(a) (Not specified)
Other
• Sections 206(1), 206(2) Investment Advisers Act
Additionally, 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

First Resolution Date 27-Sep-2019
Headline Total Penalty and Disgorgement $850,000

Related Documents:

33-9467 18-Oct-2013 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
33-10705 27-Sep-2019 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940

Other Defendants in Action:

Wing F. Chau

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