GPS Capital Management, LLC
License or Case Number
Date of Initial Action
07/24/2024
Date of Most Recent Action
12/16/2024
Defendant/Respondent
GPS Capital Management, LLC; Wu, Daniel; Chen, Dennis
Documents
- 7/24/24 – Desist and Refrain Order (PDF)
- 7/24/24 – Support of Order Levying Administrative Penalties (PDF)
- 7/24/24 – Order to Revoke (PDF)
- 7/24/24 – Order to Bar (PDF)
- 12/16/24 – Settlement Agreement (PDF)
About the Regulated Entity
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