SEC – Administrative Proceeding – Securities America Advisors

Washington, DC (STL.News) The U.S. Securities and Exchange Commission filed an Administrative Proceeding (File No. 3-20150) on January 3, 2021, in the matter of Securities America Advisor, Inc. for Notice of Proposed Plan of Distribution and Opportunity for Comment.

The Net Available Fair Fund comprises $603,776 in disgorgement, prejudgment interest, and civil money penalties paid by the Respondent, plus interest and income earned.

Click to read the Filing – PDF