SEC Proceeding – Guillaume David Boccara

WASHINGTON, DC (STL.News) The U.S. Securities and Exchange Commission (SEC) filed an Administrative Proceeding (File No. 3-20667) against Guillaume David Boccara (Respondent) on December 2, 2021, for Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisors Act of 1940, Making Findings and Imposing Remedial Sanctions.

STL.News Article – Published December 5, 2021