Regulatory Alerts2016-12-24
Investors Alert! Suspension of Heritage Capital Markets Ltd
The Securities and Exchange Commission indefinitely suspends Heritage Capital Markets Ltd, along with its Directors and Sponsored Individuals, due to the unauthorized sale of an investor's shares and non-compliance with regulatory directives. This indefinite suspension remains in force until the matter against the Operator is fully resolved. The order effectively halts the suspended entity's operations to protect investors while compliance issues are addressed.
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