Washington, DC (STL.News) The Securities and Exchange Commission (SEC) filed an Administrative Proceed against SQN Capital Management, LLC pursuant to Sections 203(3) and 203(k) of the Investment Advisers Act of 1940, making findings, and imposting a Remedial Sanctions and a Cease-and-Desist Order.
Release No. 5573
Administrative Proceeding File No. 3-19964