Defendant Name:
Harding Advisory LLC
Defendant Type:
Other
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
Monetary Penalties:
Disgorgement
Individual:
Shared:
$95,490.00
Shared with: Wing F. Chau
Civil Penalty
Individual:
$850,000.00
Shared:
Other Defendants in Action:
