2015-12-23
112
6
2015-08-31
2015-09-04
Securities Act of 1933
33
9899
9900
Securities Exchange Act of 1934
34
75792
75848
Accounting and Auditing Enforcement Release
AAER
3680
3688
Administrative Proceedings
AP
3080
3097
Investment Advisers Act of 1940
IA
4186
4190
Investment Company Act of 1940
IC
31801
31806
Initial Decisions (ALJ)
ID
875
875
Litigation Releases
LR
23330
23334
33-9899
http://www.sec.gov/rules/other/2015/33-9899.pdf
34-75812
265-27
2015-09-02
Notice of Meeting
Notice
SEC Advisory Committee on Small and Emerging Companies
http://www.federalregister.gov/citation/80-FR-53904
80-FR-53904
33-9900
http://www.sec.gov/litigation/admin/2015/33-9900.pdf
34-75833
3-16781
2015-09-03
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
McDonnell, Kevin
N/A
34-75792
http://www.sec.gov/rules/sro/ise/2015/34-75792.pdf
SR-ISE-2015-26
2015-08-31
Notice / Immediate Effectiveness Adopting a Principles-Based Approach to Prohibit the Misuse of Material, Non-public Information by Market Makers by Deleting Rule 810
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/80-FR-53601
80-FR-53601
34-75793
http://www.sec.gov/rules/sro/nyse/2015/34-75793.pdf
SR-NYSE-2015-37
2015-08-31
Notice / Immediate Effectiveness to Amend its Price List to Raise the NYSE Crossing Session II Fee Cap
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/80-FR-53600
80-FR-53600
34-75794
http://www.sec.gov/rules/sro/phlx/2015/34-75794.pdf
SR-PHLX-2015-74
2015-08-31
Notice / Immediate Effectiveness Regarding FLEX No Minimum Value Pilot
SRO Filing
NASDAQ OMX PHLX LLC
http://www.federalregister.gov/citation/80-FR-53606
80-FR-53606
34-75795
http://www.sec.gov/litigation/admin/2015/34-75795.pdf
AAER-3680
3-16773
2015-08-31
Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Diericx, Bradley Scott, CPA
Johnson Lambert LLP
N/A
34-75796
http://www.sec.gov/litigation/suspensions/2015/34-75796.pdf
500-1
2015-09-01
Trading Suspension
Trading Suspension
China Fruits Corporation
http://www.federalregister.gov/citation/80-FR-53358
80-FR-53358
34-75797
http://www.sec.gov/litigation/admin/2015/34-75797.pdf
3-16456
2015-09-01
Notice That Initial Decision Has Become Final
Notice
Sino Clean Energy, Inc.
N/A
34-75798
http://www.sec.gov/litigation/admin/2015/34-75798.pdf
3-16579
2015-09-01
Notice That Initial Decision Has Become Final
Notice
Guardian Zone Technology, Inc. (f/k/a Curtis Acquisition, Inc.)
Klein Retail Centers, Inc.
Lightfirst, Inc.
N/A
34-75799
http://www.sec.gov/litigation/admin/2015/34-75799.pdf
3-16597
2015-09-01
Notice That Initial Decision Has Become Final
Notice
Enterologics, Inc.
Midas Medici Group Holdings, Inc.
SEFE, Inc.
N/A
34-75800
http://www.sec.gov/rules/sro/nysearca/2015/34-75800.pdf
SR-NYSEARCA-2015-58
2015-09-01
Notice / Designation of a Longer Period for Action Adopting New Equity Trading Rules Relating to Trading Halts, Short Sales, Limit Up-Limit Down, and Odd Lots and Mixed Lots to Reflect the Implementation of Pillar, the Exchange's New Trading Technology
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/80-FR-53911
80-FR-53911
34-75801
http://www.sec.gov/rules/sro/nysearca/2015/34-75801.pdf
SR-NYSEARCA-2015-56
2015-09-01
Notice / Designation of a Longer Period for Action Adopting New Equity Trading Rules Relating to Orders and Modifiers and the Retail Liquidity Program to Reflect the Implementation of Pillar, the Exchange's New Trading Technology Platform
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/80-FR-53905
80-FR-53905
34-75802
http://www.sec.gov/litigation/admin/2015/34-75802.pdf
3-16564
2015-09-01
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
Haryman, Gerard
N/A
34-75803
http://www.sec.gov/rules/exorders/2015/34-75803.pdf
TP 15-14
2015-09-01
Order
Order
Greenbacker Renewable Energy Company LLC
http://www.federalregister.gov/citation/80-FR-53905
80-FR-53905
34-75804
http://www.sec.gov/rules/sro/isegemini/2015/34-75804.pdf
SR-ISEGEMINI-2015-14
2015-09-01
Notice / Immediate Effectiveness Adopting a Principles-Based Approach to Prohibit the Misuse of Material, Non-public Information by Market Makers by Deleting Rule 810
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/80-FR-53906
80-FR-53906
34-75805
http://www.sec.gov/litigation/admin/2015/34-75805.pdf
3-16658
2015-09-01
Order Extending Time in Which to File Briefs
Order
Dipietro, Michael Albert
N/A
34-75806
http://www.sec.gov/litigation/admin/2015/34-75806.pdf
3-75806
3-16774
2015-09-01
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
GW One, Inc.
Pacific Power Group, Inc.
PFF Bancorp, Inc.
Robert Acquisitons II, Inc. (CIK No. 154622)
Robertson Acquisitions II, Inc. (CIK No. 1554100)
N/A
34-75807
http://www.sec.gov/litigation/admin/2015/34-75807.pdf
3-16775
2015-09-01
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Calico Commerce, Inc. (a/k/a CCI Liquidation Corp.)
China Fuhua New Material Holdings, Inc.
China Multimedia, Inc.
China Water & Drinks, Inc.
CMR Mortgage Fund II, LLC
N/A
34-75808
http://www.sec.gov/litigation/admin/2015/34-75808.pdf
3-16021
2015-09-02
Notice That Initial Decision Has Become Final
Notice
Flying Eagle Pu Technical Corp. (f/k/a Sooner Holdings, Inc.)
N/A
34-75809
http://www.sec.gov/rules/sro/nyse/2015/34-75809.pdf
SR-NYSE-2015-38
2015-09-02
Notice / Immediate Effectiveness Amending Section 202.06 of the NYSE Listed Company Manual
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/80-FR-54362
80-FR-54362
34-75810
http://www.sec.gov/litigation/admin/2015/34-75810.pdf
3-16354
2015-09-02
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings
AP Settled
Salovay, Michael J.
N/A
34-75811
http://www.sec.gov/rules/sro/nysearca/2015/34-75811.pdf
SR-NYSEARCA-2015-01
2015-09-02
Notice / Amendment No. 1 to Amend NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 Relating to Listing of Investment Company Units Based on Municipal Bond Indexes
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/80-FR-54357
80-FR-54357
34-75812
http://www.sec.gov/rules/other/2015/33-9899.pdf
33-9899
265-27
2015-09-02
Notice of Meeting
Notice
SEC Advisory Committee on Small and Emerging Companies
http://www.federalregister.gov/citation/80-FR-53904
80-FR-53904
34-75813
http://www.sec.gov/rules/sro/nysearca/2015/34-75813.pdf
SR-NYSEARCA-2015-02
2015-09-02
Notice / Designation of Longer Period for Action to Amend NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/80-FR-54330
80-FR-54330
34-75814
http://www.sec.gov/litigation/admin/2015/34-75814.pdf
IA-4186
IC-31803
3-16776
2015-09-02
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders
AP Settled
Taberna Capital Management, LLC
N/A
34-75815
http://www.sec.gov/rules/sro/nasdaq/2015/34-75815.pdf
SR-NASDAQ-2015-103
2015-09-02
Notice / Immediate Effectiveness to Amend Nasdaq Rule 5745
SRO Filing
The NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/80-FR-54349
80-FR-54349
34-75816
http://www.sec.gov/rules/sro/chx/2015/34-75816.pdf
SR-CHX-2015-03
2015-09-02
Notice / Amendment No. 1 to Implement CHX SNAP, an Intra-day and On-demand Auction Service
SRO Filing
Chicago Stock Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-54331
80-FR-54331
34-75817
http://www.sec.gov/rules/sro/nasdaq/2015/34-75817.pdf
SR-NASDAQ-2015-075
2015-09-02
Notice / Designation of a Longer Period for Action Relating to the Listing and Trading of Shares of the First Trust SSI Strategic Convertible Securities ETF of First Trust Exchange-Traded Fund IV
SRO Filing
The NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/80-FR-54351
80-FR-54351
34-75818
http://www.sec.gov/litigation/opinions/2015/34-75818.pdf
3-16502
2015-09-02
Order Dismissing Untimely Petition for Review
Order
Luminary Acquisition Corp.
N/A
34-75819
http://www.sec.gov/litigation/admin/2015/34-75819.pdf
3-16777
2015-09-02
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Waters, Janet L.
N/A
34-75820
http://www.sec.gov/litigation/opinions/2015/34-75820.pdf
IA-4187
IC-31804
3-15215
2015-09-02
Order Granting Motion to Amend Order Instituting Proceedings
Order
Tagliaferri, James S.
N/A
34-75821
http://www.sec.gov/litigation/admin/2015/34-75821.pdf
3-16778
2015-09-02
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
High Point Transport, Inc.
Kohler Capital III, Corporation
Mega Group, Inc.
Merci, Inc.
Our Glass, Inc.
Synthetic Industries, LP
N/A
34-75822
http://www.sec.gov/litigation/opinions/2015/34-75822.pdf
3-16285
2015-09-02
Order Denying Request for Oral Argument
Order
Cloyd, Harvey C., Jr.
Electronic Transaction Clearing Inc.
Murphy, Kevin
N/A
34-75823
http://www.sec.gov/litigation/admin/2015/34-75823.pdf
3-16779
2015-09-02
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
INverso Corp.
Madison Venture Capital Group, Inc.
Plantation Lifecare Developers, Inc.
Prins Recycling Corp.
SCN Holdings, Inc.
Skin Nutrition International, Inc.
Tecfin Corporation
N/A
34-75824
http://www.sec.gov/rules/sro/edgx/2015/34-75824.pdf
SR-EDGX-2015-40
2015-09-03
Notice / Filing and Immediate Effectiveness to Amend Rule 11.21(d), Relating to the Routing of Retail Orders
SRO Filing
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-54638
80-FR-54638
34-75825
http://www.sec.gov/rules/sro/occ/2015/34-75825.pdf
SR-OCC-2015-014
2015-09-03
Notice / Filing to Amend The Options Clearing Corporation's Schedule of Fees to Allow a Clearing Fee Waiver for Exchange New Products
SRO Filing
Options Clearing Corporation
http://www.federalregister.gov/citation/80-FR-54628
80-FR-54628
34-75826
http://www.sec.gov/rules/sro/box/2015/34-75826.pdf
SR-BOX-2015-29
2015-09-03
Notice / Filing and Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC Options Facility
SRO Filing
BOX Options Exchange LLC
http://www.federalregister.gov/citation/80-FR-54621
80-FR-54621
34-75827
http://www.sec.gov/rules/sro/bx/2015/34-75827.pdf
SR-BX-2015-032
2015-09-03
Notice / Filing to Establish a New Auction, BX PRISM
SRO Filing
NASDAQ OMX BX, Inc.
http://www.federalregister.gov/citation/80-FR-54601
80-FR-54601
34-75828
http://www.sec.gov/rules/sro/box/2015/34-75828.pdf
SR-BOX-2015-30
2015-09-03
Notice / Filing and Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC Options Facility
SRO Filing
BOX Options Exchange LLC
http://www.federalregister.gov/citation/80-FR-54625
80-FR-54625
34-75829
http://www.sec.gov/rules/other/2015/34-75829.pdf
265-29
2015-09-03
Notice of Meeting
Notice
Equity Market Structure Advisory Committee
http://www.federalregister.gov/citation/80-FR-54365
80-FR-54365
34-75830
http://www.sec.gov/rules/sro/bx/2015/34-75830.pdf
SR-BX-2015-054
2015-09-03
Notice / Filing and Immediate Effectiveness Regarding NASDAQ Last Sale Plus
SRO Filing
NASDAQ OMX BX, Inc.
http://www.federalregister.gov/citation/80-FR-54640
80-FR-54640
34-75831
http://www.sec.gov/rules/sro/byx/2015/34-75831.pdf
SR-BYX-2015-38
2015-09-03
Notice / Filing to Amend Rules 1.5(r) and 11.1 and Adopt New Rule 11.1(a)(1)
SRO Filing
BATS Y-Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-54631
80-FR-54631
34-75832
http://www.sec.gov/rules/sro/bats/2015/34-75832.pdf
SR-BATS-2015-69
2015-09-03
Notice / Filing to Amend Rules 1.5(r), 11.1(a), 11.23, 14.6, 14.11, and 14.12 and Adopt Rule 11.1(a)(1)
SRO Filing
BATS Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-54614
80-FR-54614
34-75833
http://www.sec.gov/litigation/admin/2015/33-9900.pdf
33-9900
3-16781
2015-09-03
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
McDonnell, Kevin
N/A
34-75834
http://www.sec.gov/rules/sro/edgx/2015/34-75834.pdf
SR-EDGX-2015-41
2015-09-03
Notice / Filing to Amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8
SRO Filing
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-54617
80-FR-54617
34-75835
http://www.sec.gov/rules/sro/edga/2015/34-75835.pdf
SR-EDGA-2015-36
2015-09-03
Notice / Filing to Amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8
SRO Filing
EDGA Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-54635
80-FR-54635
34-75836
http://www.sec.gov/rules/sro/icc/2015/34-75836.pdf
SR-ICC-2015-013
2015-09-03
Notice /
SRO Filing
ICE Clear Credit LLC
http://www.federalregister.gov/citation/80-FR-54627
80-FR-54627
34-75837
http://www.sec.gov/litigation/opinions/2015/34-75837.pdf
IA-4190
IC-31806
3-15006
2015-09-03
Opinion
Opinion
Lucia, Raymond J., Sr.
Raymond J. Lucia Companies, Inc.
N/A
34-75838
http://www.sec.gov/litigation/opinions/2015/34-75838.pdf
3-15916
2015-09-03
Opinion
Opinion
Olson, Denise M.
N/A
34-75839
http://www.sec.gov/litigation/opinions/2015/34-75839.pdf
3-16230
2015-09-03
Opinion
Opinion
Grey, Anthony A.
N/A
34-75840
http://www.sec.gov/litigation/opinions/2015/34-75840.pdf
3-15993
2015-09-04
Opinion
Opinion
Accredited Business Consolidators Corporation
N/A
34-75841
http://www.sec.gov/litigation/suspensions/2015/34-75841.pdf
500-1
2015-09-04
Trading Suspension
Trading Suspension
Advanced Lighting Solutions, Inc.
http://www.federalregister.gov/citation/80-FR-54353
80-FR-54353
34-75842
http://www.sec.gov/litigation/admin/2015/34-75842.pdf
3-16782
2015-09-04
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Dunoff, Moshe Yehuda
N/A
34-75843
http://www.sec.gov/litigation/admin/2015/34-75843.pdf
AAER-3681
3-16783
2015-09-04
Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Holmdahl, Raymon, CPA
N/A
34-75844
http://www.sec.gov/litigation/opinions/2015/34-75844.pdf
AAER-3682
3-15659
2015-09-04
Opinion
Opinion
Melvin, Thomas D., CPA
N/A
34-75845
http://www.sec.gov/rules/proposed/2015/34-75845.pdf
S7-15-15
2015-09-04
Proposed rule
Proposed Rule
Jo
http://www.federalregister.gov/citation/80-FR-55182
80-FR-55182
34-75846
http://www.sec.gov/rules/sro/nysearca/2015/34-75846.pdf
SR-NYSEARCA-2015-78
2015-09-04
Notice / Immediate Effectiveness Amending Section 3 of NYSE Arca Equities Rule 8 to extend the effectiveness of the ETP Incentive Program for additional one-year pilot period, ending September 4, 2016
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/80-FR-54646
80-FR-54646
34-75847
http://www.sec.gov/litigation/admin/2015/34-75847.pdf
3-16784
2015-09-04
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order
AP Settled
Hanner, Robert A.
N/A
34-75848
http://www.sec.gov/litigation/admin/2015/34-75848.pdf
3-16785
2015-09-04
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
Robar, Donald E.
N/A
AAER-3680
http://www.sec.gov/litigation/admin/2015/34-75795.pdf
34-75795
3-16773
2015-08-31
Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Diericx, Bradley Scott, CPA
Johnson Lambert LLP
N/A
AAER-3681
http://www.sec.gov/litigation/admin/2015/34-75843.pdf
34-75843
3-16783
2015-09-04
Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Holmdahl, Raymon, CPA
N/A
AAER-3682
http://www.sec.gov/litigation/opinions/2015/34-75844.pdf
34-75844
3-15659
2015-09-04
Opinion
Opinion
Melvin, Thomas D., CPA
N/A
AAER-3688
http://www.sec.gov/litigation/litreleases/2015/lr23334.htm
LR-23334
2:15-CV--01429
2015-09-04
Enforcement Case
Summit Asset Strategies Investment Management
Yoo, Chris
N/A
AP-3080
http://www.sec.gov/alj/aljorders/2015/ap-3080.pdf
3-16745
2015-08-31
Order to Show Cause
Order
Austin Funding.com Corporation
N/A
AP-3081
http://www.sec.gov/alj/aljorders/2015/ap-3081.pdf
3-16223
2015-08-31
Order on Motions for Summary Disposition
Order
Kelly Christopher
Sands Brothers Asset Management, LLC
Sands, Martin
Sands, Steven
N/A
AP-3082
http://www.sec.gov/alj/aljorders/2015/ap-3082.pdf
3-16055
2015-08-31
Order to Show Cause
Order
Isdera North America, Inc.
N/A
AP-3083
http://www.sec.gov/alj/aljorders/2015/ap-3083.pdf
3-16399
2015-08-31
Order Following Final Prehearing Conference
Order
Halpern & Associates LLC
Halpern, Barbara, CPA
N/A
AP-3084
http://www.sec.gov/alj/aljorders/2015/ap-3084.pdf
3-16223
2015-08-31
Order Directing Conference on Procedural Schedule
Order
Kelly, Christopher
Sands Brothers Asset Management, LLC
Sands, Martin
Sands, Steven
N/A
AP-3085
http://www.sec.gov/alj/aljorders/2015/ap-3085.pdf
3-16723
2015-08-31
Order on Procedural Schedule and Directing Status Report and Service of this Order on Respondent
Order
Mosley, Charles K.
N/A
AP-3086
http://www.sec.gov/alj/aljorders/2015/ap-3086.pdf
3-16497
2015-08-31
Order Denying Stay Request
Order
Peden, R. Scott, Esq.
N/A
AP-3087
http://www.sec.gov/alj/aljorders/2015/ap-3087.pdf
3-16747
2015-09-01
Order to Show Cause, Postponing Hearing, and Scheduling Prehearing Conference
Order
Mattmar Minerals, Inc.
Strategic Mining Corporation
Thomas Pharmaceuticals, Ltd.
N/A
AP-3088
http://www.sec.gov/alj/aljorders/2015/ap-3088.pdf
3-16705
2015-09-01
Order to Show Cause
Order
IFuture.Com, Inc.
Interlotto International Holdings, Inc.
Isee3d, Inc.
KAW AcquisitionCorp.
Lane Co. #7, Inc.
N/A
AP-3089
http://www.sec.gov/alj/aljorders/2015/ap-3089.pdf
3-16763
2015-09-01
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Hitcom Corp.
Iberian Group, Inc.
International Commodity Logistics, Inc.
Jet Cheer Investments Ltd.
Legend Marketing Corp.
N/A
AP-3090
http://www.sec.gov/alj/aljorders/2015/ap-3090.pdf
3-16462
2015-09-01
Order
Order
Patriarch Partners XV, LLC
Patriarch Partners VIII, LLC
Patriarch Partners XIV, LLC
Patriarch Partners, LLC
Tilton, Lynn
N/A
AP-3091
http://www.sec.gov/alj/aljorders/2015/ap-3091.pdf
3-16746
2015-09-02
Order
Order
Storm Cat Energy Corp.
Univision Engneering Limited
World Gaming PLC
N/A
AP-3092
http://www.sec.gov/alj/aljorders/2015/ap-3092.pdf
3-16721
2015-09-02
Post-Prehearing Conference Order
Order
Solar Acquisition Corp.
N/A
AP-3093
http://www.sec.gov/alj/aljorders/2015/ap-3093.pdf
3-16706
2015-09-03
Order to Show Cause and Directing Division to Respond to Respondent's Motion
Order
Uppal, Sachin K.
N/A
AP-3094
http://www.sec.gov/alj/aljorders/2015/ap-3094.pdf
3-16386
2015-09-03
Post-Hearing Order
Order
Anderson, Traci J., CPA
Carnahan, Timothy W.
Cyios Corporation
N/A
AP-3095
http://www.sec.gov/alj/aljorders/2015/ap-3095.pdf
3-16761
2015-09-03
Order to Show Cause and Rescheduling Prehearing Conference
Order
Internal Fixation Systems, Inc.
N/A
AP-3096
http://www.sec.gov/alj/aljorders/2015/ap-3096.pdf
3-16722
2015-09-03
Order
Order
Bloom, Eric A.
N/A
AP-3097
http://www.sec.gov/alj/aljorders/2015/ap-3097.pdf
3-16765
2015-09-04
Order to Show Cause and Postponement Order
Order
Avalon Digital Marketing Systems, Inc.
Computerized Thermal Imaging, Inc.
Daw Technologies, Inc.
N/A
IA-4186
http://www.sec.gov/litigation/admin/2015/34-75814.pdf
34-75814
IC-31803
3-16776
2015-09-02
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders
AP Settled
Taberna Capital Management, LLC
N/A
IA-4187
http://www.sec.gov/litigation/opinions/2015/34-75820.pdf
34-75820
IC-31804
3-15215
2015-09-02
Order Granting Motion to Amend Order Instituting Proceedings
Order
Tagliaferri, James S.
N/A
IA-4188
http://www.sec.gov/litigation/admin/2015/ia-4188.pdf
3-16780
2015-09-03
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Finding, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
Mackensen & Company, Inc.
Mackensen, Warren J.
N/A
IA-4189
http://www.sec.gov/litigation/admin/2015/ia-4189.pdf
3-16556
2015-09-03
Order Making Findings and Imposing Remedial Sanctions
AP Settled
Colangelo, Stephen A., Jr.
N/A
IA-4190
http://www.sec.gov/litigation/opinions/2015/34-75837.pdf
34-75837
IC-31806
3-15006
2015-09-03
Opinion
Opinion
Lucia, Raymond J., Sr.
Raymond J. Lucia Companies, Inc.
N/A
IC-31801
http://www.sec.gov/rules/ic/2015/ic-31801.pdf
812-14484
2015-08-31
Notice
Notice
Glenmede Investment Management LP
Glenmede Portfolios
http://www.federalregister.gov/citation/80-FR-53593
80-FR-53593
IC-31802
http://www.sec.gov/rules/ic/2015/ic-31802.pdf
812-14456
2015-09-01
Notice
Notice
Brookfield Global Listed Infrastructure Income Fund Inc., et al.
http://www.federalregister.gov/citation/80-FR-54353
80-FR-54353
IC-31803
http://www.sec.gov/litigation/admin/2015/34-75814.pdf
34-75814
IA-4186
3-16776
2015-09-02
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders
AP Settled
Taberna Capital Management, LLC
N/A
IC-31804
http://www.sec.gov/litigation/opinions/2015/34-75820.pdf
34-75820
IA-4187
3-15215
2015-09-02
Order Granting Motion to Amend Order Instituting Proceedings
Order
Tagliaferri, James S.
N/A
IC-31805
2015-09-03
INTENTIONALLY OMITTED
IC-31806
http://www.sec.gov/litigation/opinions/2015/34-75837.pdf
34-75837
IA-4190
3-15006
2015-09-03
Opinion
Opinion
Lucia, Raymond J., Sr.
Raymond J. Lucia Companies, Inc.
N/A
ID-875
http://www.sec.gov/alj/aljdec/2015/id875jeg.pdf
3-16540
2015-09-02
Initial Decision
Initial Decision
Kirkland, Stephen L.
N/A
LR-23330
http://www.sec.gov/litigation/litreleases/2015/lr23330.htm
1:14-CV-10163
2015-09-01
Enforcement Case
Navistar International Corporation
N/A
LR-23331
http://www.sec.gov/litigation/litreleases/2015/lr23331.htm
11-CIV-7033
2015-09-02
Enforcement Case
Aaron, Frederic
Aronson, Eric
Buonauro, Vincent
N/A
LR-23332
http://www.sec.gov/litigation/litreleases/2015/lr23332.htm
2:15CV00098
2015-09-02
Enforcement Case
Bliss, Rober S.
N/A
LR-23333
http://www.sec.gov/litigation/litreleases/2015/lr23333.htm
12-CV-10783-DJC
2015-09-03
Enforcement Case
Waters, Janet L.
N/A
LR-23334
http://www.sec.gov/litigation/litreleases/2015/lr23334.htm
AAER-3688
2:15-CV--01429
2015-09-04
Enforcement Case
Summit Asset Strategies Investment Management
Yoo, Chris
N/A