Mighty Oak Strong America Investment Company

Allegations: MIGHTY OAK STRONG AMERICA WAS REQUIRED TO FILE ITS INITIAL FORM CRS WITH THE COMMISSION AS PART 3 OF ITS FORM ADV AND TO BEGIN DELIVERING ITS FORM CRS TO PROSPECTIVE AND NEW RETAIL INVESTOR CLIENTS, AS APPLICABLE, BY JUNE 30, 2020. MIGHTY OAK STRONG AMERICA WAS FURTHER REQUIRED TO DELIVER ITS FORM CRS TO EXISTING RETAIL INVESTOR CLIENTS BY JULY 30, 2020. RESPONDENT FAILED TO FILE AND DELIVER FORM CRS BY THESE DEADLINES, NOT BECOMING COMPLIANT UNTIL IN OR AFTER LATE MARCH 2021. Status: Final Sanction Detail: THIS RESULTED IN A PENALTY AGAINST THE FIRM OF $25,000 TO BE PAID WITHIN 10 BUSINESS DAYS OF JULY 26, 2021. Summary: ON JULY 26, 2021, THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC"), ENTERED AN ORDER FINDING THAT MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY (THE "FIRM") WILLFULLY VIOLATED SECTION 204 OF THE ADVISERS ACT AND RULES 204-1 AND 205-5 THEREUNDER WHICH, REQUIRED THE FIRM TO FILE A FORM CRS BY JUNE 30, 2020. ADDITIONALLY, THE FIRM WAS CENSURED, ORDERED TO CEASE AND DESIST FROM FURTHER VIOLATING OR VIOLATING IN THE FUTURE, RULES 204-1 AND 205-5 AND ORDERED TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT $25,000. NO CLIENTS WERE HARMED AS A RESULT OF THE RULES VIOLATION AND ANY AND ALL INFORMATION AND DISCLOSURES REQUIRED BY FORM CRS, IS ALREADY DISCLOSED THROUGHOUT THE FIRM'S FORM ADV PARTS 1 AND 2.

Allegations: MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY WAS REQUIRED TO FILE ITS INITIAL FORM CRS WITH THE COMMISSION AS PART 3 OF ITS FORM ADV AND TO BEGIN DELIVERING ITS FORM CRS TO PROSPECTIVE AND NEW RETAIL INVESTOR CLIENTS, AS APPLICABLE, BY JUNE 30, 2020. MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY WAS FURTHER REQUIRED TO DELIVER ITS FORM CRS TO EXISTING RETAIL INVESTOR CLIENTS BY JULY 30, 2020. RESPONDENT FAILED TO FILE AND DELIVER FORM CRS BY THESE DEADLINES, NOT BECOMING COMPLIANT UNTIL IN OR AFTER LATE MARCH 2021. Status: Final Sanction Detail: THIS RESULTED IN A PENALTY AGAINST THE FIRM OF $25,000 TO BE PAID WITHIN 10 BUSINESS DAYS OF JULY 26, 2021. Summary: ON JULY 26, 2021, THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC"), ENTERED AN ORDER FINDING THAT MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY (THE "FIRM") WILLFULLY VIOLATED SECTION 204 OF THE ADVISERS ACT AND RULES 204-1 AND 205-5 THEREUNDER WHICH, REQUIRED THE FIRM TO FILE A FORM CRS BY JUNE 30, 2020. ADDITIONALLY, THE FIRM WAS CENSURED, ORDERED TO CEASE AND DESIST FROM FURTHER VIOLATING OR VIOLATING IN THE FUTURE, RULES 204-1 AND 205-5 AND ORDERED TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT $25,000. NO CLIENTS WERE HARMED AS A RESULT OF THE RULES VIOLATION AND ANY AND ALL INFORMATION AND DISCLOSURES REQUIRED BY FORM CRS, IS ALREADY DISCLOSED THROUGHOUT THE FIRM'S FORM ADV PARTS 1 AND 2.