SEC files Administrative Proceeding Against Christopher Baron

SEC files Administrative Proceeding Against Christopher Baron

Washington, DC (STL.News) Securities and Exchange Commission (SEC) has filed Administrative Proceeding against Christopher Barone pursuant to Section 8A of the Securities Act of 1933, Sections 12(b) and 21C of the Securities Act of 1934, and Section 9 (b) of The Investment Company Act of 1940, making findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order.

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