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.
THE SECURITIES AND EXCHANGE COMMISSION (“SEC”)
SUSPENDS
HERITAGE CAPITAL MARKETS LTD The Securities and Exchange Commission (“SEC”) on Wednesday December 21, 2016 suspended Heritage Capital Markets Ltd together with its Directors and Sponsored Individuals in connection with the unauthorized sale of shares belonging to an investor and its refusal to comply with the Commission’s directives in that regard. In view of the above, the general public is hereby INFORMED that the suspension is indefinite and shall remain in force pending the resolution of the matter against the Operator. SIGNED MANAGEMENT