Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young


November 11, 2022

Type of alert:

SEC Final Judgment  

A federal district court entered final judgments against Ambassador Advisors, LLC, Bernard Bostwick, Robert Kauffman, and Adrian Young, its principals. This orders them to pay over $2 in disgorgement and penalties after allegedly failing to adopt reasonably designed policies and procedures.

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