Order Denying Petition for Interlocutory Review

2014-03-10 108 3 2014-01-27 2014-01-31 Securities Act of 1933 33 9519 9522 Securities Exchange Act of 1934 34 71397 71464 Accounting and Auditing Enforcement Release AAER 3531 3531 Administrative Proceeding AP 1202 1212 Investment Advisers Act of 1940 IA 3762 3770 Investment Company Act of 1940 IC 30893 30901 Initial Decision ID 554 559 Litigation Release LR 22910 22914 33-9519 http://www.sec.gov/litigation/opinions/2014/33-9519.pdf 34-71415 IA-3764 IC-30894 3-15255 2014-01-28 Order Denying Petition for Interlocutory Review Order Jarkesy, George R., Jr. John Thomas Capital Management Group LLC d/b/a Patriot28 LLC N/A 33-9520 http://www.sec.gov/alj/aljdec/2014/33-9520.pdf 34-71431 IA-3766 IC-30896 3-15249 2014-01-28 Notice that Initial Decision Has Become Final Notice Assensus Capital Management, LLC Assensus Capital, LLC Face Off Acquisitions LLC Face Off Management, LLC, a/k/a Face Off Acquisitions Management, LLC Ventures Trust Asset Fund LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust Management LLC Ventures Trust V LLC Ventures Trust VI LLC N/A 33-9521 http://www.sec.gov/litigation/admin/2014/33-9521.pdf IA-3767 IC-30897 3-15707 2014-01-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Grimaldi, Mark A. Navigator Money Management, Inc. N/A 33-9522 http://www.sec.gov/litigation/admin/2014/33-9522.pdf 34-71461 3-15712 2014-01-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Colak, Gonul Kostov, Milen K. N/A 34-71397 http://www.sec.gov/litigation/suspensions/2014/34-71397.pdf 500-1 2014-01-27 Trading Suspension Trading Suspension Hi Score Corp. Olie, Inc. http://www.federalregister.gov/citation/79-FR-4798 79 FR 4798 34-71398 http://www.sec.gov/litigation/admin/2014/34-71398.pdf 3-15690 2014-01-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Brody, Kevin Patrick N/A 34-71399 http://www.sec.gov/litigation/admin/2014/34-71399.pdf 3-15691 2014-01-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated James A. Rathgeber N/A 34-71400 http://www.sec.gov/rules/sro/chx/2014/34-71400.pdf SR-CHX-2014-02 2014-01-27 Notice / Immediate Effectiveness to Offer Risk Management Tools Designed to Allow Participants to Monitor and Address Exposure to Risk SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/79-FR-5502 79 FR 5502 34-71401 http://www.sec.gov/rules/sro/c2/2014/34-71401.pdf SR-C2-2014-001 2014-01-27 Notice / Immediate Effectiveness to Amend the Bylaws of its Parent Company SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-5504 79 FR 5504 34-71402 http://www.sec.gov/rules/sro/cboe/2014/34-71402.pdf SR-CBOE-2014-006 2014-01-27 Notice / Immediate Effectiveness to Amend the Bylaws of its Parent Company SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-5479 79 FR 5479 34-71403 http://www.sec.gov/rules/sro/cme/2014/34-71403.pdf SR-CME-2014-03 2014-01-27 Notice / Immediate Effectiveness to Amend the Fee Schedule Applicable to its OTC Credit Default Swap Clearing Offering SRO Filing Chicago Mercantile Exchange, Inc. http://www.federalregister.gov/citation/79-FR-5501 79 FR 5501 34-71404 http://www.sec.gov/rules/sro/chx/2014/34-71404.pdf SR-CHX-2014-01 2014-01-27 Notice / Immediate Effectiveness to Amend the Order Cancellation Fee SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/79-FR-5476 79 FR 5476 34-71405 http://www.sec.gov/rules/sro/topaz/2014/34-71405.pdf SR-TOPAZ-2014-05 2014-01-27 Notice / Immediate Effectiveness Regarding System Protections SRO Filing Topaz Exchange, LLC http://www.federalregister.gov/citation/79-FR-5491 79 FR 5491 34-71406 http://www.sec.gov/rules/sro/ise/2014/34-71406.pdf SR-ISE-2014-05 2014-01-27 Notice / Immediate Effectiveness Regarding System Protections SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-5495 79 FR 5495 34-71407 http://www.sec.gov/rules/sro/finra/2014/34-71407.pdf SR-FINRA-2013-031 2014-01-27 Order / Relating to Participation on the Alternative Display Facility SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-5472 79 FR 5472 34-71408 http://www.sec.gov/rules/sro/nysemkt/2014/34-71408.pdf SR-NYSEMKT-2014-08 2014-01-27 Notice / Amending Various Sections of Both the Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of June 29, 2011 and the Members Agreement Dated as of June 29, 2011 By and Among the Company, NYSE MKT, NYSE Euronext, Banc of America SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-5481 79 FR 5481 34-71409 http://www.sec.gov/rules/sro/nysearca/2014/34-71409.pdf SR-NYSEARCA-2014-06 2014-01-27 Notice / Immediate Effectiveness to Increase Its Options Regulatory Fee SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-5499 79 FR 5499 34-71410 http://www.sec.gov/rules/sro/nysemkt/2014/34-71410.pdf SR-NYSEMKT-2014-09 2014-01-27 Notice / Immediate Effectiveness to Increase Its Options Regulatory Fee SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-5506 79 FR 5506 34-71411 http://www.sec.gov/litigation/admin/2014/34-71411.pdf 3-15692 2014-01-28 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Covenant Bancshares, Inc. N/A 34-71412 http://www.sec.gov/litigation/admin/2014/34-71412.pdf 3-15693 2014-01-28 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Colorado 2001C Limited Partnership (f/k/a PDC 2001-C Limited Partnership) N/A 34-71413 http://www.sec.gov/litigation/admin/2014/34-71413.pdf 3-15694 2014-01-28 Order Instituting Proceedings Making Findings, and Revoking Registration AP Settled Colorado 2001D Limited Partnership (f/k/a PDC 2001-D Limited Partnership) N/A 34-71414 http://www.sec.gov/litigation/admin/2014/34-71414.pdf 3-15695 2014-01-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Enea, Michael R. N/A 34-71415 http://www.sec.gov/litigation/opinions/2014/33-9519.pdf 33-9519 IA-3764 IC-30894 3-15255 2014-01-28 Order Denying Petition for Interlocutory Review Order Jarkesy, George R., Jr. John Thomas Capital Management Group LLC d/b/a Patriot28 LLC N/A 34-71416 http://www.sec.gov/rules/sro/phlx/2014/34-71416.pdf SR-PHLX-2014-05 2014-01-28 Notice / Immediate Effectiveness to Inbound Routing of Options Orders SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-6244 79 FR 6244 34-71417 http://www.sec.gov/rules/sro/phlx/2014/34-71417.pdf SR-PHLX-2014-04 2014-01-28 Notice / Immediate Effectiveness to Outbound Routing SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-6253 79 FR 6253 34-71418 http://www.sec.gov/rules/sro/nasdaq/2014/34-71418.pdf SR-NASDAQ-2014-008 2014-01-28 Notice / Immediate Effectiveness to Inbound Routing of Options Orders SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-6262 79 FR 6262 34-71419 http://www.sec.gov/rules/sro/nasdaq/2014/34-71419.pdf SR-NASDAQ-2014-007 2014-01-28 Notice / Immediate Effectiveness to Outbound Routing SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-6247 79 FR 6247 34-71420 http://www.sec.gov/rules/sro/bx/2014/34-71420.pdf SR-BX-2014-004 2014-01-28 Notice / Immediate Effectiveness to Inbound Routing of Options Orders SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-6256 79 FR 6256 34-71421 http://www.sec.gov/rules/sro/bx/2014/34-71421.pdf SR-BX-2014-003 2014-01-28 Notice / Immediate Effectiveness to Outbound Routing SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-6264 79 FR 6264 34-71422 http://www.sec.gov/rules/sro/occ/2014/34-71422.pdf SR-OCC-2013-22 2014-01-28 Order / to Make a Non-Material Housekeeping Rule Change so that OCC's Membership Qualifications Accurately Reflect Current Operational Practices SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/79-FR-6246 79 FR 6246 34-71423 http://www.sec.gov/rules/sro/cboe/2014/34-71423.pdf SR-CBOE-2014-008 2014-01-28 Notice / Immediate Effectiveness to Amend its Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-6251 79 FR 6251 34-71424 http://www.sec.gov/rules/sro/cboe/2014/34-71424.pdf SR-CBOE-2014-004 2014-01-28 Notice / Immediate Effectiveness to Extend a Pilot Program to List and Trade P.M.-Settled S&P 500 Index Option Products SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-6249 79 FR 6249 34-71425 http://www.sec.gov/rules/sro/nysearca/2014/34-71425.pdf SR-NYSEARCA-2014-04 2014-01-28 Notice / to Amend its Rules by Revising the Order of Priority of Bids and Offers when Executing Orders in Open Outcry SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-6258 79 FR 6258 34-71426 http://www.sec.gov/litigation/admin/2014/34-71426.pdf 3-11726 2014-01-28 Order Discharging Fund Administrator, Transfer of Residual and Terminating Fair Fund Order Fremont Investment Advisors, Inc. N/A 34-71427 http://www.sec.gov/litigation/admin/2014/34-71427.pdf 3-15696 2014-01-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Hegedus, Shawn C. N/A 34-71428 http://www.sec.gov/litigation/admin/2014/34-71428.pdf 3-15697 2014-01-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Conradt, Thonas C., Esq. N/A 34-71429 http://www.sec.gov/litigation/admin/2014/34-71429.pdf IA-3765 3-15698 2014-01-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Conradt, Thomas C. N/A 34-71430 http://www.sec.gov/litigation/admin/2014/34-71430.pdf 3-15699 2014-01-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Aaron, Fredric, Esq. N/A 34-71431 http://www.sec.gov/alj/aljdec/2014/33-9520.pdf 33-9520 IA-3766 IC-30896 3-15249 2014-01-28 Notice that Initial Decision Has Become Final Notice Assensus Capital Management, LLC Assensus Capital, LLC Face Off Acquisitions LLC Face Off Management, LLC, a/k/a Face Off Acquisitions Management, LLC Ventures Trust Asset Fund LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust Management LLC Ventures Trust V LLC Ventures Trust VI LLC N/A 34-71432 http://www.sec.gov/litigation/opinions/2014/34-71432.pdf 3-15271 2014-01-28 Order Granting Cross-Petition for Review and Extending Briefing Schedule Order Scammell, Toby G. N/A 34-71433 http://www.sec.gov/litigation/admin/2014/34-71433.pdf 3-15615 2014-01-29 Notice that Initial Decision Has Become Final Notice HouseRaising, Inc. iElement Corporation InforMedix Holdings, Inc. Nortia Capital Partners, Inc. PC Universe, Inc. N/A 34-71434 http://www.sec.gov/litigation/admin/2014/34-71434.pdf 3-15700 2014-01-29 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Gabriel Technologies Corp. N/A 34-71435 http://www.sec.gov/litigation/admin/2014/34-71435.pdf 3-15702 2014-01-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled Scottrade, Inc. N/A 34-71436 http://www.sec.gov/rules/sro/cboe/2014/34-71436.pdf SR-CBOE-2014-009 2014-01-29 Notice / Immediate Effectiveness Relating to the Exchange Bulletin SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-6662 79 FR 6662 34-71437 http://www.sec.gov/litigation/admin/2014/34-71437.pdf 3-15703 2014-01-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Costabile, Douglas N/A 34-71438 http://www.sec.gov/litigation/admin/2014/34-71438.pdf 3-15704 2014-01-30 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Veridien Corporation N/A 34-71439 http://www.sec.gov/litigation/admin/2014/34-71439.pdf 3-15705 2014-01-30 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Horizon Financial Corp. N/A 34-71440 http://www.sec.gov/litigation/admin/2014/34-71440.pdf 3-15706 2014-01-30 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Frontier Financial Corporation N/A 34-71441 http://www.sec.gov/litigation/admin/2014/34-71441.pdf 3-15708 2014-01-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Verdi, Patrick N/A 34-71442 http://www.sec.gov/litigation/admin/2014/34-71442.pdf IA-3768 3-15709 2014-01-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Nathanson, Melvyn N/A 34-71443 http://www.sec.gov/litigation/admin/2014/34-71443.pdf 3-15710 2014-01-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lando-Tanico, Andrea N/A 34-71444 http://www.sec.gov/rules/sro/edga/2014/34-71444.pdf SR-EDGA-2014-01 2014-01-30 Notice / Immediate Effectiveness to Amend Chapter IX of its Rulebook SRO Filing EDGA EXchange, Inc. http://www.federalregister.gov/citation/79-FR-6959 79 FR 6959 34-71445 http://www.sec.gov/rules/sro/edgx/2014/34-71445.pdf SR-EDGX-2014-01 2014-01-30 Notice / Immediate Effectiveness to Amend Chapter IX of its Rulebook SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/79-FR-6954 79 FR 6954 34-71446 http://www.sec.gov/rules/sro/ise/2014/34-71446.pdf SR-ISE-2014-04 2014-01-30 Notice / Immediate Effectiveness Related to Market Maker Risk Parameters SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-6951 79 FR 6951 34-71447 http://www.sec.gov/rules/sro/topaz/2014/34-71447.pdf SR-TOPAZ-2014-04 2014-01-30 Notice / Immediate Effectiveness Related to Market Maker Risk Parameters SRO Filing Topaz Exchange, LLC http://www.federalregister.gov/citation/79-FR-6956 79 FR 6956 34-71448 http://www.sec.gov/litigation/admin/2014/34-71448.pdf 3-14641 2014-01-30 Extension Order Order Hornbogen, Gina M. Rizzo, Charles L. N/A 34-71449 http://www.sec.gov/rules/sro/edga/2014/34-71449.pdf SR-EDGA-2013-34 SR-EDGX-2013-43 2014-01-30 Order / as Modified by Amendment No. 1, in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC SRO Filing EDGA Exchange, Inc. EDGX Exchange, Inc. http://www.federalregister.gov/citation/79-FR-6961 79 FR 6961 34-71450 http://www.sec.gov/rules/sro/iceeu/2014/34-71450.pdf SR-ICEEU-2014-03 2014-01-31 Notice / Immediate Effectiveness to Adopt Clearinghouse Recovery and Wind-Down Rules for its Futures and Options and Foreign Exchange Product Categories SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/79-FR-7250 79 FR 7250 34-71451 http://www.sec.gov/rules/sro/nysemkt/2014/34-71451.pdf SR-NYSEMKT-2014-11 2014-01-31 Notice / Immediate Effectiveness Amending its Price List to Introduce Fees and Credits for a New Order Type Called a Midpoint Passive Liquidity Order SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-7270 79 FR 7270 34-71452 http://www.sec.gov/rules/sro/nyse/2014/34-71452.pdf SR-NYSE-2014-05 2014-01-31 Notice / Immediate Effectiveness Amending its Price List to Introduce Fees and Credits for A New Order Type Called a Midpoint Passive Liquidity Order SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/79-FR-7267 79 FR 7267 34-71453 http://www.sec.gov/rules/sro/nysemkt/2014/34-71453.pdf SR-NYSEMKT-2014-13 2014-01-31 Notice / Immediate Effectiveness Amending its Price List to Increase the Fee for Executions in New York Stock Exchange Crossing Session II SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-7271 79 FR 7271 34-71454 http://www.sec.gov/rules/sro/nyse/2014/34-71454.pdf SR-NYSE-2014-06 2014-01-31 Notice / Immediate Effectiveness to (i) Increase the Credit for Agency Cross Trades; (ii) Increase the Fee for Certain Executions at the Close; (iii) Increase the "Tier 1 Adding Credit;" (iv) Increase the Fee for Certain Floor broker Discretionary SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/79-FR-7246 79 FR 7246 34-71455 http://www.sec.gov/rules/sro/nscc/2014/34-71455.pdf SR-NSCC-2013-13 2014-01-31 Order / to Discontinue its Stock Borrow Program SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/79-FR-7269 79 FR 7269 34-71456 http://www.sec.gov/rules/sro/nysearca/2014/34-71456.pdf SR-NYSEARCA-2013-116 2014-01-31 Order / Relating to Listing and Trading of Shares of AdvisorShares International Gold ETF, AdvisorShares Gartman Gold/Yen ETF, AdvisorShares Gartman Gold/British Pound ETF, and AdvisorShares Gartman Gold/Euro ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-7258 79 FR 7258 34-71457 http://www.sec.gov/rules/sro/finra/2014/34-71457.pdf SR-FINRA-2013-052 2014-01-31 Order / Relating to Alternative Display Facility New Entrant SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-7245 79 FR 7245 34-71458 http://www.sec.gov/rules/sro/cboe/2014/34-71458.pdf SR-CBOE-2014-003 2014-01-31 Notice / to List and Trade CBOE Short-Term Volatility Index Options SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-7239 79 FR 7239 34-71459 http://www.sec.gov/litigation/admin/2014/34-71459.pdf IA-3769 3-15711 2014-01-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated DeMiro, Dante N/A 34-71460 http://www.sec.gov/rules/sro/bx/2014/34-71460.pdf SR-BX-2014-006 2014-01-31 Notice / Immediate Effectiveness to Clarify the Language Describing a Newly Adopted Credit Tier under Rule 7018 SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-7243 79 FR 7243 34-71461 http://www.sec.gov/litigation/admin/2014/33-9522.pdf 33-9522 3-15712 2014-01-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Colak, Gonul Kostov, Milen K. N/A 34-71462 http://www.sec.gov/litigation/admin/2014/34-71462.pdf 3-14388 2014-01-31 Order Appointing Tax Administrator Order Maradon Holdings, LLC Ruiz, Armando N/A 34-71463 http://www.sec.gov/litigation/admin/2014/34-71463.pdf IA-3770 3-15713 2014-01-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Adams, Charles W. N/A 34-71464 http://www.sec.gov/litigation/admin/2014/34-71464.pdf 3-15714 2014-01-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Inserra, Ross N/A AAER-3531 http://www.sec.gov/litigation/litreleases/2014/lr22911.htm LR-22911 1:11-MC-00512 2014-01-27 Enforcement Case Deloitte Touche Tohmatsu CPA Ltd. N/A AP-1202 http://www.sec.gov/alj/aljorders/2014/ap-1202.pdf 3-15410 2014-01-27 Order to Show Cause and Scheduling Prehearing Conference Order Goolu, Inc. N/A AP-1203 http://www.sec.gov/alj/aljorders/2014/ap-1203.pdf 3-15619 2014-01-27 Order Finding Good Cause Shown and Setting Briefing Schedule Order Daniels, William J. Doxey, Joseph P. N/A AP-1204 http://www.sec.gov/alj/aljorders/2014/ap-1204.pdf 3-15628 2014-01-28 Order to Show Cause Order Imperato, Daniel N/A AP-1205 http://www.sec.gov/alj/aljorders/2014/ap-1205.pdf 3-15665 2014-01-28 Order to Show Cause Order China Metallic Resources, Inc China Timber Work Enterprises, Inc Linda Illumination, Inc. Premier International Hotel Group, Inc. N/A AP-1206 http://www.sec.gov/alj/aljorders/2014/ap-1206.pdf 3-15671 2014-01-28 Postponement Order Order Rooney, Patrick G. N/A AP-1207 http://www.sec.gov/alj/aljorders/2014/ap-1207.pdf 3-15617 2014-01-29 Order Order Adams, Gregory J. Grossman, Larry C. N/A AP-1208 http://www.sec.gov/alj/aljorders/2014/ap-1208.pdf 3-15677 2014-01-29 Order Order Aden Solutions Inc. Lumonall, Inc. Smart Comm International Ltd. Tissera, Inc. Ungava Mines, Inc. Unity Wireless Corporation Zupintra Corporation, Inc. N/A AP-1209 http://www.sec.gov/alj/aljorders/2014/ap-1209.pdf 3-15628 2014-01-30 Order Finding Respondent in Violation of Orders, Rejecting Respondents E-Mail and Telephone Communications, and Warning of Possible Sanctions and Default Order Imperato, Daniel N/A AP-1210 http://www.sec.gov/alj/aljorders/2014/ap-1210.pdf 3-15617 2014-01-31 Order Order Adams, Gregory J. Grossman, Larry C. N/A AP-1211 http://www.sec.gov/alj/aljorders/2014/ap-1211.pdf 3-15519 2014-01-31 Order Setting Hearing Venue Order Boden, Walter William Anthony, III Jones, Gordon, II Shapiro, Joel Barth Timbervest, LLC Zell, Donald David, Jr. N/A AP-1212 http://www.sec.gov/alj/aljorders/2014/ap-1212.pdf 3-15538 2014-01-31 Order Taking Official Notice Order McCoy, Lawrence Maxwell N/A IA-3762 http://www.sec.gov/litigation/admin/2014/ia-3762.pdf IC-30893 3-15688 2014-01-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Western Asset Management Co. N/A IA-3763 http://www.sec.gov/litigation/admin/2014/ia-3763.pdf 3-15689 2014-01-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Western Asset Management Co. N/A IA-3764 http://www.sec.gov/litigation/opinions/2014/33-9519.pdf 33-9519 34-71415 IC-30894 3-15255 2014-01-28 Order Denying Petition for Interlocutory Review Order Jarkesy, George R., Jr. John Thomas Capital Management Group LLC d/b/a Patriot28 LLC N/A IA-3765 http://www.sec.gov/litigation/admin/2014/34-71429.pdf 34-71429 3-15698 2014-01-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Conradt, Thomas C. N/A IA-3766 http://www.sec.gov/alj/aljdec/2014/33-9520.pdf 33-9520 34-71431 IC-30896 3-15249 2014-01-28 Notice that Initial Decision Has Become Final Notice Assensus Capital Management, LLC Assensus Capital, LLC Face Off Acquisitions LLC Face Off Management, LLC, a/k/a Face Off Acquisitions Management, LLC Ventures Trust Asset Fund LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust Management LLC Ventures Trust V LLC Ventures Trust VI LLC N/A IA-3767 http://www.sec.gov/litigation/admin/2014/33-9521.pdf 33-9521 IC-30897 3-15707 2014-01-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Grimaldi, Mark A. Navigator Money Management, Inc. N/A IA-3768 http://www.sec.gov/litigation/admin/2014/34-71442.pdf 34-71442 3-15709 2014-01-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Nathanson, Melvyn N/A IA-3769 http://www.sec.gov/litigation/admin/2014/34-71459.pdf 34-71459 3-15711 2014-01-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated DeMiro, Dante N/A IA-3770 http://www.sec.gov/litigation/admin/2014/34-71463.pdf 34-71463 3-15713 2014-01-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Adams, Charles W. N/A IC-30893 http://www.sec.gov/litigation/admin/2014/ia-3762.pdf IA-3762 3-15688 2014-01-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Western Asset Management Co. N/A IC-30894 http://www.sec.gov/litigation/opinions/2014/33-9519.pdf 33-9519 34-71415 IA-3764 3-15255 2014-01-28 Order Denying Petition for Interlocutory Review Order Jarkesy, George R., Jr. John Thomas Capital Management Group LLC d/b/a Patriot28 LLC N/A IC-30895 http://www.sec.gov/rules/ic/2014/ic-30895.pdf 812-14182 2014-01-28 Notice Notice Ohio National Life Insurance Company, et al. http://www.federalregister.gov/citation/79-FR-6238 79 FR 6238 IC-30896 http://www.sec.gov/alj/aljdec/2014/33-9520.pdf 33-9520 34-71431 IA-3766 3-15249 2014-01-28 Notice that Initial Decision Has Become Final Notice Assensus Capital Management, LLC Assensus Capital, LLC Face Off Acquisitions LLC Face Off Management, LLC, a/k/a Face Off Acquisitions Management, LLC Ventures Trust Asset Fund LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust Management LLC Ventures Trust V LLC Ventures Trust VI LLC N/A IC-30897 http://www.sec.gov/litigation/admin/2014/33-9521.pdf 33-9521 IA-3767 3-15707 2014-01-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Grimaldi, Mark A. Navigator Money Management, Inc. N/A IC-30898 http://www.sec.gov/rules/ic/2014/ic-30898.pdf 812-13760 2014-01-30 Notice Notice J.P. Morgan Exchange-Traded Fund Trust, et al. http://www.federalregister.gov/citation/79-FR-6941 79 FR 6941 IC-30899 http://www.sec.gov/rules/icdereg/2014/ic-30899.pdf 811-22672 811-7456 811-10635 811-6221 811-4447 811-5074 811-21791 811-5059 811-4321 811-22040 811-9465 811-21033 811-21154 811-10351 811-7614 811-9449 811-7492 811-6620 811-9471 811-10349 811-21153 811-10447 811-9461 811-10525 811-21158 811-21705 811-9469 811-10523 811-22423 811-5696 811-499 811-10427 811-54 811-10321 811-5522 811-4647 811-4133 811-2901 811-5240 2014-01-31 Notice Notice BlackRock Alternatives Allocation Master Portfolio LLC BlackRock Senior High Income Fund, Inc. BlackRock Strategic Bond Trust Brandywine Blue Fund Inc. Brandywine Fund Inc. Dreyfus BASIC U.S. Mortgage Securities Fund Global Income & Currency Fund Inc. HighMark Funds JPMorgan Value Opportunities Fund Inc. MLP & Strategic Equity Fund Inc. Nuveen Connecticut Dividend Advantage Municipal Fund Nuveen Connecticut Dividend Advantage Municipal Fund 2 Nuveen Connecticut Dividend Advantage Municipal Fund 3 Nuveen Georgia Dividend Advantage Municipal Fund Nuveen Georgia Premium Income Municipal Fund Nuveen Insured California Dividend Advantage Municipal Fund Nuveen Insured California Premium Income Municipal Fund 2 Inc. Nuveen Insured California Premium Income Municipal Fund Inc. Nuveen Maryland Dividend Advantage Municipal Fund Nuveen Maryland Dividend Advantage Municipal Fund 2 Nuveen Maryland Dividend Advantage Municipal Fund 3 Nuveen New York Dividend Advantage Municipal Fund 3 Nuveen North Carolina Dividend Advantage Municipal Fund Nuveen North Carolina Dividend Advantage Municipal Fund 2 Nuveen North Carolina Divident Advantage Municipal Fund 3 Nuveen Tax-Advantaged Floating Rate Fund Nuveen Virginia Dividend Advantage Municipal Fund Nuveen Virginia Dividend Advantage Municipal Fund 2 Oracle Family of Fumds RiverSource Global Series, Inc. RiverSource Income Series, Inc. RiverSource International Managers Series, Inc. RiverSource Investment Series, Inc. RiverSource Managers Series, Inc. RiverSource Sector Series, Inc. RiverSource Special Tax-Exempt Series Trust RiverSource Strategic Allocation Series, Inc. RiverSource Tax-Exempt Income Series, Inc. Selected Capital Preservation Trust http://www.federalregister.gov/citation/79-FR-7229 79 FR 7229 IC-30900 http://www.sec.gov/rules/ic/2014/ic-30900.pdf 812-14161 2014-01-31 Notice Notice NF Investment Corp., et al. http://www.federalregister.gov/citation/79-FR-7235 79 FR 7235 IC-30901 http://www.sec.gov/rules/ic/2014/ic-30901.pdf 812-14224 2014-01-31 Notice Notice T. Rowe Price Global Allocation Fund, Inc. et al. http://www.federalregister.gov/citation/79-FR-7231 79 FR 7231 ID-554 http://www.sec.gov/alj/aljdec/2014/id554ce.pdf 3-15657 2014-01-27 Initial Decision Initial Decision CompuSonics Video Corporation N/A ID-555 http://www.sec.gov/alj/aljdec/2014/id555cff.pdf 3-15666 2014-01-28 Initial Decision Initial Decision 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 ID-556 http://www.sec.gov/alj/aljdec/2014/id556ce.pdf 3-15445 2014-01-30 Initial Decision Initial Decision Banet, Hausmann-Alain N/A ID-557 http://www.sec.gov/alj/aljdec/2014/id557ce.pdf 3-15510 2014-01-30 Initial Decision Initial Decision Moraitis, John N/A ID-558 http://www.sec.gov/alj/aljdec/2014/id558ce.pdf 3-15527 2014-01-30 Initial Decision Initial Decision Ferraro, Alan N/A ID-559 http://www.sec.gov/alj/aljdec/2014/id559ce.pdf 3-15655 2014-01-30 Initial Decision of Default Initial Decision China Dongfang Healthcare Group, Inc. China Golf Group, Inc. OMA Enterprises Corp. Startec Global Communications Corp. N/A LR-22910 http://www.sec.gov/litigation/litreleases/2014/lr22910.htm 1:13-CR-10239 RWZ 2014-01-27 Enforcement Case Tocci, Joseph M. N/A LR-22911 http://www.sec.gov/litigation/litreleases/2014/lr22911.htm AAER-3531 1:11-MC-00512 2014-01-27 Enforcement Case Deloitte Touche Tohmatsu CPA Ltd. N/A LR-22912 http://www.sec.gov/litigation/litreleases/2014/lr22912.htm 1:12-CV-07488 2014-01-28 Enforcement Case Chouchane, Benjamin Condron, Henry Leszczynski, Marek N/A LR-22913 http://www.sec.gov/litigation/litreleases/2014/lr22913.htm 14-CV-622 2014-01-29 Enforcement Case Dombrowski, Steven M., CPA Fox, Lisa N/A LR-22914 http://www.sec.gov/litigation/litreleases/2014/lr22914.htm 2:12-CV-05412 2014-01-30 Enforcement Case Rothman, David L. N/A