Defendant Name:
Wing F. Chau
Defendant Type:
Individual
Document Reference:
33-10705
Document Details
Legal Case Name
In the Matter of Harding Advisory LLC and Wing F. Chau
Document Name
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
Document Date
27-Sep-2019
Document Format
Administrative Proceeding
Allegation Type
Securities Offering
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
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
Monetary Penalties:
Disgorgement
Individual:
Shared:
$95,490.00
Shared with: Harding Advisory LLC
Civil Penalty
Individual:
$90,000.00
Shared:
Other Defendants in Action:
