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Sunday, March 26, 2017 5:45:11 PM
See for yourself right here on page 1.
https://www.scribd.com/document/336123650/Orrv-Nevada-Secretary-of-State-Docs
Now read the statute itself.
http://law.justia.com/codes/nevada/2010/title7/chapter78/nrs78-347.html
Quote:
(d) A full disclosure of any and all previous criminal, administrative, civil or National Association of Securities Dealers, Inc., or Securities and Exchange Commission investigations, violations or convictions concerning the applicant and any affiliate or subsidiary of the applicant.
Quote:
Now read up on Tracy.
https://www.scribd.com/document/317748103/Tracy-SEC-1
Quote:
This action has become necessary due to the continued contumacy of Respondents Securities Compliance Group, Ltd. (“Securities Compliance”), Megan M. Ruettiger (“Ruettiger”) and Adam S. Tracy (“Tracy”) with respect to 6 Commission-issued subpoenas over an extended period of approximately 9 months. Respondents have refused to even partially comply with the subpoenas requiring them to produce documents and to appear for testimony in connection with the Commission's ongoing investigation of certain public companies, as well as Securities Compliance, and persons associated with those issuers. As reflected in the Commission’s Memorandum in Support and the attachments thereto, Respondents have been given numerous opportunities for late compliance and have refused in every instance. 2.
The Commission is investigating whether Securities Compliance, through Tracy, its managing partner, and/or other officers, directors, employees or agents, including Ruettiger, may have violated and may be violating, inter alia, Section 17(a) of the Securities Act of 1933 (“Securities Act”)
https://www.scribd.com/document/317748167/Tracy-SEC-1-1
Quote:
The subpoenas relate to an investigation concerning possible violations by Respondents including, among other things, engaging in, or intending to engage in, offering frauds based upon potential misstatements and omissions of material fact in pending or recently effective Form S-1
registration statements and amendments.
And a couple more great reads here:
https://www.securitieslawyer101.com/tag/adam-s-tracy/
http://investorshub.advfn.com/boards/read_msg.aspx?message_id=123774205
Whether or not Tracy is under SEC investigation and failed to disclose this to the Nevada court in the custodianship application is not a matter of debate, it is a MATTER OF FACT.
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