Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

2014-02-10 107 20 2014-01-06 2014-01-10 Securities Act of 1933 33 9508 9508 Securities Exchange Act of 1934 34 71234 71287 Accounting and Auditing Enforcement Release AAER 3525 3527 Administrative Proceeding AP 1147 1161 Investment Advisers Act of 1940 IA 3750 3752 Investment Company Act of 1940 IC 30853 30853 Initial Decision ID 547 550 Litigation Release LR 22901 22902 SIPA SIPA 172 172 33-9508 http://www.sec.gov/litigation/admin/2014/33-9508.pdf 34-71264 AAER-3526 3-15674 2014-01-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Mendes, Michael N/A 34-71234 http://www.sec.gov/litigation/admin/2014/34-71234.pdf 3-15665 2014-01-06 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated China Metallic Resources, Inc. China Timber Work Enterprises, Inc. Linda Illumination, Inc. Premier International Hotel Group, Inc. N/A 34-71235 http://www.sec.gov/litigation/admin/2014/34-71235.pdf 3-15666 2014-01-06 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Asia Growth Private Equity 1, Ltd. Asia Growth Private Equity 2, Ltd. Asia Growth Private Equity 3, Ltd. Asia Health & Beauty Treasure, Inc. Asia Private Equity SPAC 1 Asia Private Equity SPAC 2 Asia Private Equity SPAC 3 N/A 34-71236 http://www.sec.gov/rules/sro/phlx/2014/34-71236.pdf SR-PHLX-2014-01 2014-01-06 Notice / Immediate Effectiveness to Clarify that an Extranet Access Fee is Not Charged SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-1906 79 FR 1906 34-71237 http://www.sec.gov/rules/pcaob/2014/34-71237.pdf PCAOB-2013-03 2014-01-06 Notice / to Conform the Board's Rules and Forms to the Dodd-Frank Act and Make Certain Updates and Clarifications Notice Public Company Accounting Oversight Board http://www.federalregister.gov/citation/79-FR-6272 79 FR 6272 34-71238 http://www.sec.gov/rules/final/2014/34-71238.pdf NO FILE NUMBER 2014-01-06 Final Rule Final Rule Responsibilities of the General Counsel http://www.federalregister.gov/citation/79-FR-1734 79 FR 1734 34-71239 http://www.sec.gov/litigation/admin/2014/34-71239.pdf IA-3750 3-15667 2014-01-06 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Durrett, John N/A 34-71240 http://www.sec.gov/litigation/admin/2014/34-71240.pdf 3-15668 2014-01-06 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Axius Holdings, LLC Robertelli, Henry N/A 34-71241 http://www.sec.gov/litigation/admin/2014/34-71241.pdf 3-15669 2014-01-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Environmental Energy Services, Inc. IDI Global, Inc., Inform Worldwide Holdings, Inc Iptimize, Inc. NGEN, Inc. (a/k/a Nanogen, Inc.) Patron Systems, Inc. N/A 34-71242 http://www.sec.gov/litigation/suspensions/2014/34-71242.pdf 500-1 2014-01-07 Trading Suspension Trading Suspension Environmental Energy Services, Inc. IDI Global, Inc. Inform Worldwide Holdings, Inc. Iptimize, Inc. NGEN, Inc. (a/k/a Nanogen, Inc.) Patron Systems, Inc. http://www.federalregister.gov/citation/79-FR-1665 79 FR 1665 34-71243 http://www.sec.gov/litigation/admin/2014/34-71243.pdf 3-15670 2014-01-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Matech Corp. MNC Corporation, (a/k/a Monaco Coach Corporation) Pacific Fuel Cell Corp. Penn Octane Corporation N/A 34-71244 http://www.sec.gov/litigation/suspensions/2014/34-71244.pdf 500-1 2014-01-07 Trading Suspension Trading Suspension Matech Corp. MNC Corporation, (a/k/a Monaco Coach Corporation) Pacific Fuel Cell Corp. Penn Octane Corporation http://www.federalregister.gov/citation/79-FR-1665 79 FR 1665 34-71245 http://www.sec.gov/rules/sro/nysemkt/2014/34-71245.pdf SR-NYSEMKT-2013-107 2014-01-07 Notice / Immediate Effectiveness Amending Rule 123C(7)(b) -- Equities to Provide that G Orders with A Price Equal to the Closing Price Are the Last Interest Eligible To Be Used to Offset A Closing Imbalance SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-2234 79 FR 2234 34-71246 http://www.sec.gov/rules/sro/nyse/2014/34-71246.pdf SR-NYSE-2013-84 2014-01-07 Notice / Immediate Effectiveness Amending NYSE Rule 123C(7)(b) to Provide that G Orders with A Price Equal to the Closing Price Are the Last Interest Eligible To Be used to Offset A Closing Imbalance SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/79-FR-2231 79 FR 2231 34-71247 http://www.sec.gov/rules/sro/nms/2014/34-71247.pdf 4-631 2014-01-07 Notice / Sixth Amendment to the National Market System Plan to Address Extraordinary Market Volatility Notice Joint Industry Plan http://www.federalregister.gov/citation/79-FR-2204 79 FR 2204 34-71248 http://www.sec.gov/rules/sro/cboe/2014/34-71248.pdf SR-CBOE-2013-113 2014-01-07 Notice / Designation of a Longer Period for Commission Action Relating to Multi-Class Spread Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-2239 79 FR 2239 34-71249 http://www.sec.gov/rules/sro/byx/2014/34-71249.pdf SR-BYX-2014-001 2014-01-07 Notice / Immediate Effectiveness to Extend the Pilot Period for the Retail Price Improvement Program SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/79-FR-2229 79 FR 2229 34-71250 http://www.sec.gov/rules/exorders/2014/34-71250.pdf SR-BYX-2012-019 2014-01-07 Order / Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/79-FR-2234 79 FR 2234 34-71251 http://www.sec.gov/rules/sro/nscc/2014/34-71251.pdf SR-NSCC-2013-11 2014-01-07 Order / to Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse ("OW") Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/79-FR-2237 79 FR 2237 34-71252 http://www.sec.gov/rules/sro/nysemkt/2014/34-71252.pdf SR-NYSEMKT-2013-106 2014-01-07 Notice / Immediate Effectiveness Amending NYSE Rule 928NY to Expand the Scope of the Existing Risk Limitation Mechanism to Address Multiple, Successive Triggers of the Risk Limitation Mechanism SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-2224 79 FR 2224 34-71253 http://www.sec.gov/rules/sro/nysearca/2014/34-71253.pdf SR-NYSEARCA-2013-148 2014-01-07 Notice / Immediate Effectiveness Amending NYSE Arca Options Rule 6.40 to Expand the Scope of the Existing Risk Limitation Mechanism to Address Multiple, Successive Triggers of the Risk Limitation Mechanism SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-2219 79 FR 2219 34-71254 http://www.sec.gov/rules/sro/nasdaq/2014/34-71254.pdf SR-NASDAQ-2014-004 2014-01-08 Notice / to Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-2493 79 FR 2493 34-71255 http://www.sec.gov/rules/sro/msrb/2014/34-71255.pdf SR-MSRB-2013-09 2014-01-08 Notice / as Modified by Amendment No. 1, Consisting of Amendments to MSRB Rules A-12, on Initial Fee, G-14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination; Deletion of Rules A-14, on Annual SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/79-FR-2483 79 FR 2483 34-71256 http://www.sec.gov/rules/sro/phlx/2014/34-71256.pdf SR-PHLX-2013-124 2014-01-08 Notice / Immediate Effectiveness Relating to Multiply Listed Options Fees SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-2501 79 FR 2501 34-71257 http://www.sec.gov/rules/sro/phlx/2014/34-71257.pdf SR-PHLX-2014-03 2014-01-08 Notice / Immediate Effectiveness Relating to the Customer Rebate Program SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-2489 79 FR 2489 34-71258 http://www.sec.gov/rules/sro/phlx/2014/34-71258.pdf SR-PHLX-2013-125 2014-01-08 Notice / Immediate Effectiveness Relating to Routing Fees SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-2498 79 FR 2498 34-71259 http://www.sec.gov/rules/sro/topaz/2014/34-71259.pdf SR-TOPAZ-2014-01 2014-01-08 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing Topaz Exchange, LLC http://www.federalregister.gov/citation/79-FR-2496 79 FR 2496 34-71260 http://www.sec.gov/litigation/admin/2014/34-71260.pdf IA-3752 3-15672 2014-01-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Aggarwal, Sandeep N/A 34-71261 http://www.sec.gov/litigation/admin/2014/34-71261.pdf AAER-3525 3-15673 2014-01-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Alcoa Inc. N/A 34-71262 http://www.sec.gov/rules/sro/finra/2014/34-71262.pdf SR-FINRA-2013-050 2014-01-09 Notice / Designation of Longer Period for Commission Action Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-2723 79 FR 2723 34-71263 http://www.sec.gov/rules/sro/nysearca/2014/34-71263.pdf SR-NYSEARCA-2013-121 2014-01-09 Order / Relating to the Listing and Trading of Shares of AdvisorShares Sage Core Reserves ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-2715 79 FR 2715 34-71264 http://www.sec.gov/litigation/admin/2014/33-9508.pdf 33-9508 AAER-3526 3-15674 2014-01-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Mendes, Michael N/A 34-71265 http://www.sec.gov/rules/sro/ficc/2014/34-71265.pdf SR-FICC-2013-10 2014-01-09 Order / to Establish the Minimum Financial Requirements for the Existing Membership Category of Registered Investment Company Netting Members in the Government Securities Division SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/79-FR-2735 79 FR 2735 34-71266 http://www.sec.gov/rules/sro/nysearca/2014/34-71266.pdf SR-NYSEARCA-2013-144 2014-01-09 Notice / Relating to Listing and Trading of Shares of the ETSpreads HY Long Credit Fund, the ETSpreads HY Short Credit Fund, the ETSpreads IG Long Credit Fund and the ETSpreads IG Short Credit Fund under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-2705 79 FR 2705 34-71267 http://www.sec.gov/rules/sro/nysemkt/2014/34-71267.pdf SR-NYSE-2013-72 SR-NYSEMKT-2013-91 2014-01-09 Notice / Designation of a Longer Period for Commission Action to Establish an Institutional Liquidity Program on a One-Year Pilot Basis SRO Filing New York Stock Exchange LLC NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-2738 79 FR 2738 34-71268 http://www.sec.gov/rules/sro/occ/2014/34-71268.pdf SR-OCC-2013-23 2014-01-09 Notice / as Modified by Amendment No. 1, to Provide OCC With Authority in Emergency Circumstances to Extend, Waive, or Suspend the Operation of its By-Laws, Rules, Policies and Procedures, or any Other Rules issued by OCC SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/79-FR-2739 79 FR 2739 34-71269 http://www.sec.gov/rules/sro/nysearca/2014/34-71269.pdf SR-NYSEARCA-2013-135 2014-01-09 Notice / to List and Trade Shares of db-X Ultra-Short Duration Fund and db-X Managed Municipal Bond Fund under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-2725 79 FR 2725 34-71270 http://www.sec.gov/litigation/admin/2014/34-71270.pdf 3-15675 2014-01-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Spillson, Marcus S. N/A 34-71271 http://www.sec.gov/rules/sro/nysearca/2014/34-71271.pdf SR-NYSEARCA-2013-122 2014-01-09 Notice / Designation of a Longer Period for Commission Action Relating to the Use of Derivative Instruments by PIMCO Total Return Exchange Traded Fund SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-2736 79 FR 2736 34-71272 http://www.sec.gov/rules/sro/finra/2014/34-71272.pdf SR-FINRA-2013-056 2014-01-09 Notice / Immediate Effectiveness to Amend FINRA Rule 2251, Which Includes Fees for Processing and Forwarding Proxy and Other Issuer Communications to Beneficial Owners, and Establish a Fee Under Certain Conditions for an Enhanced Brokers' Internet SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-2741 79 FR 2741 34-71273 http://www.sec.gov/rules/sro/nyse/2014/34-71273.pdf SR-NYSE-2013-83 2014-01-09 Notice / Immediate Effectiveness Making Effective as of January 1, 2014 Recently Approved Changes to NYSE Rules 451 and 465, and the Related Provisions of Section 402.10 of the NYSE Listed Company Manual Concerning Charges by Member Organizations for SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/79-FR-2702 79 FR 2702 34-71274 http://www.sec.gov/litigation/admin/2014/34-71274.pdf 3-11359 2014-01-09 Order Amending the Plan of Distribution Order Alliance Capital Management, LP N/A 34-71275 http://www.sec.gov/rules/sro/nysemkt/2014/34-71275.pdf SR-NYSEMKT-2014-04 2014-01-09 Notice / Immediate Effectiveness Amending the NYSE Amex Options Fee Schedule for Firms to Increase the Transaction Fee for Certain Proprietary Electronic Executions of Standard Option Contracts that Fall Within the First of the Volume-Based Tiers for SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-2723 79 FR 2723 34-71276 http://www.sec.gov/rules/other/2014/34-71276.pdf 4-669 2014-01-09 Order / Declaring Effective a Minor Rule Violation Plan for Topaz Exchange, LLC SRO Filing Topaz Exchange, LLC http://www.federalregister.gov/citation/79-FR-2919 79 FR 2919 34-71277 http://www.sec.gov/litigation/opinions/2014/34-71277.pdf 3-15601 2014-01-09 Extension Order Order Fillet, Mitchell H. N/A 34-71278 http://www.sec.gov/rules/sro/c2/2014/34-71278.pdf SR-C2-2013-043 2014-01-09 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-2737 79 FR 2737 34-71279 http://www.sec.gov/rules/sro/nasdaq/2014/34-71279.pdf SR-NASDAQ-2013-166 2014-01-09 Notice / Immediate Effectiveness to Make Modifications to Fees and Credits under Rules 7014 and 7018 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-2733 79 FR 2733 34-71280 http://www.sec.gov/litigation/admin/2014/34-71280.pdf 3-15650 2014-01-10 Order Making Findings and Revoking Registration AP Settled Wits Basin Precious Minerals, Inc. N/A 34-71281 http://www.sec.gov/litigation/admin/2014/34-71281.pdf 3-15596 2014-01-10 Order Making Findings and Revoking Registration AP Settled Most Home Corp. N/A 34-71282 http://www.sec.gov/rules/sro/finra/2014/34-71282.pdf SR-FINRA-2013-046 2014-01-10 Notice / Designation of a Longer Period for Commission Action Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-2924 79 FR 2924 34-71283 http://www.sec.gov/rules/sro/miax/2014/34-71283.pdf SR-MIAX-2013-63 2014-01-10 Notice / Immediate Effectiveness to Continue its Priority Customer Rebate Program on an Ongoing Basis SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/79-FR-2914 79 FR 2914 34-71284 http://www.sec.gov/rules/sro/bats/2014/34-71284.pdf SR-BATS-2014-002 2014-01-10 Notice / Immediate Effectiveness to Extend the Applicability of the Competitive Liquidity Provider Program SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-2921 79 FR 2921 34-71285 http://www.sec.gov/rules/sro/cboe/2014/34-71285.pdf SR-CBOE-2013-130 2014-01-10 Notice / Immediate Effectiveness Relating to the PULSe Workstation SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-2916 79 FR 2916 34-71286 http://www.sec.gov/rules/sro/bx/2014/34-71286.pdf SR-BX-2013-065 2014-01-10 Notice / Immediate Effectiveness to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share of More SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-2922 79 FR 2922 34-71287 http://www.sec.gov/rules/sro/finra/2014/34-71287.pdf SR-FINRA-2014-001 2014-01-10 Notice / Immediate Effectiveness to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-2924 79 FR 2924 AAER-3525 http://www.sec.gov/litigation/admin/2014/34-71261.pdf 34-71261 3-15673 2014-01-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Alcoa Inc. N/A AAER-3526 http://www.sec.gov/litigation/admin/2014/33-9508.pdf 33-9508 34-71264 3-15674 2014-01-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Mendes, Michael N/A AAER-3527 http://www.sec.gov/litigation/litreleases/2014/lr22902.htm LR-22902 3:14-CV-00122 2014-01-09 Enforcement Case Diamond Foods, Inc. Neil, Steven N/A AP-1147 http://www.sec.gov/alj/aljorders/2014/ap-1147.pdf 3-15249 2014-01-06 Stay Order Order Kern, John B. N/A AP-1148 http://www.sec.gov/alj/aljorders/2014/ap-1148.pdf 3-15255 2014-01-06 Order Order Jarkesy, George R., Jr. John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC N/A AP-1149 http://www.sec.gov/alj/aljorders/2014/ap-1149.pdf 3-15625 2014-01-07 Order Setting Prehearing Schedule Order Ambassador Capital Management, LLC Oglesby, Derek H. N/A AP-1150 http://www.sec.gov/alj/aljorders/2014/ap-1150.pdf 3-15522 2014-01-07 Order Order Left Behind Games, Inc. N/A AP-1151 http://www.sec.gov/alj/aljorders/2014/ap-1151.pdf 3-15556 2014-01-08 Order Taking Official Notice of a Material Fact Order Geidel, Timothy J. N/A AP-1152 http://www.sec.gov/alj/aljorders/2014/ap-1152.pdf 3-15526 2014-01-08 Order Order Franz, George B., III Ruby Corporation N/A AP-1153 http://www.sec.gov/alj/aljorders/2014/ap-1153.pdf 3-15579 2014-01-09 Postponement Order Order Gagnon, Stephen E. N/A AP-1154 http://www.sec.gov/alj/aljorders/2014/ap-1154.pdf 3-15648 2014-01-09 Postponement Order Order Anglin, Ronald Gene N/A AP-1155 http://www.sec.gov/alj/aljorders/2014/ap-1155.pdf 3-15617 2014-01-09 Scheduling Order Order Adams, Gregory J. Grossman, Larry C. N/A AP-1156 http://www.sec.gov/alj/aljorders/2014/ap-1156.pdf 3-15514 2014-01-09 Order Order Chiappone, Frank Lex, William F. Livingston, Thomas E. Mayer, Brian T. Munno, M. William Rabinovich, Philip S. Rogers, Ryan C. N/A AP-1157 http://www.sec.gov/alj/aljorders/2014/ap-1157.pdf 3-15619 2014-01-10 Order Following Prehearing Conference Order Daniels, William J. Doxey, Joseph P. N/A AP-1158 http://www.sec.gov/alj/aljorders/2014/ap-1158.pdf 3-15619 2014-01-10 Order to Show Cause Order Daniels, Willam J. N/A AP-1159 http://www.sec.gov/alj/aljorders/2014/ap-1159.pdf 3-15657 2014-01-10 Order to Show Cause and Scheduling Prehearing Conference Order Compusonics Video Corporation N/A AP-1160 http://www.sec.gov/alj/aljorders/2014/ap-1160.pdf 3-15625 2014-01-10 General Prehearing Order Order Ambassador Capital Management, LLC Oglesby, Derek H. N/A AP-1161 http://www.sec.gov/alj/aljorders/2014/ap-1161.pdf 3-15628 2014-01-10 Order Order Imperato, Daniel N/A IA-3750 http://www.sec.gov/litigation/admin/2014/34-71239.pdf 34-71239 3-15667 2014-01-06 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Durrett, John N/A IA-3751 http://www.sec.gov/litigation/admin/2014/ia-3751.pdf 3-15671 2014-01-08 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Rooney, Patrick G. N/A IA-3752 http://www.sec.gov/litigation/admin/2014/34-71260.pdf 34-71260 3-15672 2014-01-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Aggarwal, Sandeep N/A IC-30853 http://www.sec.gov/rules/ic/2014/ic-30853.pdf 812-14090 2014-01-08 Order Order Wells Fargo Funds Management, LLC Wells Fargo Funds Trust Wells Fargo Master Trust Wells Fargo Variable Trust N/A ID-547 http://www.sec.gov/alj/aljdec/2014/id547cff.pdf 3-15633 2014-01-06 Initial Decision Initial Decision Catch By Gene, Inc. Four Star Holdings, Inc. Great Spirits, Inc. Shatrusen, Inc. Solid Management Corp. Texas Sweet Crude Oil Corp. N/A ID-548 http://www.sec.gov/alj/aljdec/2014/id548ce.pdf 3-15632 2014-01-08 Initial Decision Initial Decision Community Alliance, Inc. Defi Global, Inc. Easy Energy, Inc. Industry Concept Holdings, Inc. Transworld Benefits International, Inc. N/A ID-549 http://www.sec.gov/alj/aljdec/2014/id549cff.pdf 3-15656 2014-01-10 Initial Decision Making Findings and Revoking Registrations by Default Initial Decision Bank of Florida Corp. CLS Capital Group, Inc. FGBC Bancshares, Inc. Gobal Resource Corp. Tritec Industries, Inc. UTG Communications International, Inc. N/A ID-550 http://www.sec.gov/alj/aljdec/2014/id550ce.pdf 3-15302 2014-01-10 Initial Decision of Default Initial Decision Basset Enterprises, Inc. N/A LR-22901 http://www.sec.gov/litigation/litreleases/2014/lr22901.htm 11 CIV. 7033 2014-01-06 Enforcement Case Aaron, Fredric Aronson, Caroline Aronson, Eric Buonauro, Vincent N/A LR-22902 http://www.sec.gov/litigation/litreleases/2014/lr22902.htm AAER-3527 3:14-CV-00122 2014-01-09 Enforcement Case Diamond Foods, Inc. Neil, Steven N/A SIPA-172 http://www.sec.gov/rules/other/2014/sipa-172.pdf SIPC-2012-01 2014-01-09 Final rule Final Rule Rules of the Securities Investor Protection Corporation http://www.federalregister.gov/citation/79-FR-2779 79 FR 2779