Sears, Wanda Pittman
License or Case Number: 2011030171
Date of Initial Action: 04/08/2011
Defendants/Respondents: Wanda Pittman Sears
- Statement Of Issues And Accusation In Support Of Notice Of Intention To Issue Orders
- Order Denying The Investment Adviser Certificate Application Of Wanda Pittman Sears And Barring Wanda Pittman Sears From Any Position Of Employment, Management Or Control Of Any Investment Adviser, Broker-Dealer Or Commodity Adviser
- Stipulation to Orders
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