SEC Charges 11 Institutional Investment Managers With Failing to Report Certain Securities Holdings

Excerpt:  “The Securities and Exchange Commission today announced charges against 11 institutional investment managers for failing to file reports, known as Forms 13F, that they were required to file because they have discretion over more than $100 million in certain securities.”

• Order – Ashton Thomas Private Wealth, LLC
• Order – Azzad Asset Management, Inc.
• Order – Bulltick Wealth Management, LLC
• Order – Dixon Mitchell Investment Counsel Inc.
• Order – Financial Synergies Wealth Advisors, Inc.
• Order – Focus Financial Network, Inc.
• Order – Mason Investment Advisory Services, Inc.
• Order – Nationale-Nederlanden Powszechne Towarzystwo Emerytalne S.A.
• Order – NEPC, LLC
• Order – TD Private Client Wealth LLC
• Order – Traphagen Investment Advisors, LLC