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Sunday, August 21, 2022 5:12:55 PM
And FYI its called a Wells Notice and it is not a finding of guilt.
A Wells notice is a letter that the U.S. Securities and Exchange Commission (SEC) sends to people or firms when it is planning to bring an enforcement action against them. It is issued at the conclusion of an SEC Investigation notifying the people or firm in question that the SEC has concluded that they should be charged with violation of the securities laws .
https://en.wikipedia.org/wiki/Wells_notice
If you have received a Wells Notice, it means the SEC enforcement attorneys believe you have been violating securities laws and regulations, it is not a finding of guilt. https://www.secatty.com/legal-blog/wells-notice/
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