Case Number: 2011030171

Date of Initial Action: 04/08/2011

Defendants/Respondents: Wanda Pittman Sears


  • Statement Of Issues And Accusation In Support Of Notice Of Intention To Issue Orders
  • Order Denying The Investment Adviser Certificate Application Of Wanda Pittman Sears And Barring Wanda Pittman Sears From Any Position Of Employment, Management Or Control Of Any Investment Adviser, Broker-Dealer Or Commodity Adviser
  • Stipulation to Orders