Sunday, October 02, 2022 6:59:25 PM
The complaint charges Brewer with violating the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and the broker-dealer registration provision of Section 15(a) of the Exchange Act, and with aiding and abetting BCM's violations of Section 204A of the Investment Advisers Act and Rule 204A-1 thereunder. The SEC seeks a permanent injunction, disgorgement with prejudgment interest, a civil penalty, and a penny stock bar.
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