Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings

2014-05-12 108 13 2014-04-07 2014-04-11 Securities Act of 1933 33 9572 9574 Securities Exchange Act of 1934 34 71883 71937* Accounting and Auditing Enforcement Release AAER 3548 3549 Administrative Proceeding AP 1361 1372 Investment Advisers Act of 1940 IA 3811 3817 Investment Company Act of 1940 IC 31008 31013 Initial Decision ID 585 586 Litigation Release LR 22966 22972 34-71914 http://www.sec.gov/rules/sro/ise/2014/34-71914.pdf 33-9572 http://www.sec.gov/litigation/admin/2014/33-9572.pdf 34-71885 IA-3811 IC-31008 3-15617 2014-04-07 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings AP Settled Adams, Gregory J. N/A 33-9573 http://www.sec.gov/litigation/admin/2014/33-9573.pdf 34-71896 AAER-3548 3-15825 2014-04-08 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled Daniels, Laird, CPA N/A 33-9574 http://www.sec.gov/litigation/admin/2014/33-9574.pdf 34-71903 IA-3812 IC-31012 3-15826 2014-04-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Kawamura, Keiko N/A 34-71883 http://www.sec.gov/rules/sro/cboe/2014/34-71883.pdf SR-CBOE-2014-034 2014-04-07 Notice / Immediate Effectiveness Relating to Market-Maker Appointment Adjustments SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-20288 79 FR 20288 34-71884 http://www.sec.gov/rules/sro/ise/2014/34-71884.pdf SR-ISE-2014-22 2014-04-07 Notice / Immediate Effectiveness Relating to Rule 703A SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-20269 79 FR 20269 34-71885 http://www.sec.gov/litigation/admin/2014/33-9572.pdf 33-9572 IA-3811 IC-31008 3-15617 2014-04-07 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings AP Settled Adams, Gregory J. N/A 34-71886 http://www.sec.gov/rules/sro/dtc/2014/34-71886.pdf SR-DTC-2014-04 2014-04-07 Notice / to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation SRO Filing Depository Trust Company http://www.federalregister.gov/citation/79-FR-20260 79 FR 20260 34-71887 http://www.sec.gov/rules/sro/nscc/2014/34-71887.pdf SR-NSCC-2014-04 2014-04-07 Notice / to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/79-FR-20290 79 FR 20290 34-71888 http://www.sec.gov/rules/sro/dtc/2014/34-71888.pdf SR-DTC-2014-02 2014-04-07 Notice / Immediate Effectiveness to Amend the DTC Settlement Service Guide to Clarify the Largest Provisional Net Credit Procedures SRO Filing Depository Trust Company http://www.federalregister.gov/citation/79-FR-20285 79 FR 20285 34-71889 http://www.sec.gov/rules/sro/nysemkt/2014/34-71889.pdf SR-NYSEMKT-2014-29 2014-04-07 Notice / Immediate Effectiveness Amending its Price List for Certain Executions at the Opening SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-20281 79 FR 20281 34-71890 http://www.sec.gov/rules/sro/nyse/2014/34-71890.pdf SR-NYSE-2014-18 2014-04-07 Notice / Immediate Effectiveness Amending its Price List for Certain Executions at the Opening SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/79-FR-20283 79 FR 20283 34-71891 http://www.sec.gov/rules/sro/phlx/2014/34-71891.pdf SR-PHLX-2013-113 2014-04-07 Notice / Request for Comment and Designation of Longer Period for Commission Action to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer a Customer Rebate SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-20287 79 FR 20287 34-71892 http://www.sec.gov/rules/sro/nasdaq/2014/34-71892.pdf SR-NASDAQ-2014-027 2014-04-07 Notice / Relating to the Listing and Trading of the Shares of the PowerShares Multi-Strategy Alternative Portfolio, a series of PowerShares Actively Managed Exchange-Traded Fund Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-20262 79 FR 20262 34-71893 http://www.sec.gov/rules/sro/occ/2014/34-71893.pdf SR-OCC-2014-08 2014-04-07 Notice / Immediate Effectiveness to Provide Certain Enhancements and Clarifications With Respect to OCC's Indemnification of its Directors, Officers and Other Personnel SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/79-FR-20272 79 FR 20272 34-71894 http://www.sec.gov/rules/sro/nysearca/2014/34-71894.pdf SR-NYSEARCA-2014-30 2014-04-07 Notice / Relating to Listing and Trading Shares of Hull Tactical US ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-20273 79 FR 20273 34-71895 http://www.sec.gov/rules/sro/nysearca/2014/34-71895.pdf SR-NYSEARCA-2014-10 2014-04-07 Notice / Designation of Longer Period for Commission Action to Adopt NYSE Arca Equites Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and to List and Trade Shares of the ActiveShares Large-Cap Fund, ActiveShares Mid-Cap SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-20285 79 FR 20285 34-71896 http://www.sec.gov/litigation/admin/2014/33-9573.pdf 33-9573 AAER-3548 3-15825 2014-04-08 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled Daniels, Laird, CPA N/A 34-71897 http://www.sec.gov/rules/sro/nyse/2014/34-71897.pdf SR-NYSE-2014-16 2014-04-08 Notice / Immediate Effectiveness Amending Rule 13 Governing Pegging Interest SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/79-FR-20953 79 FR 20953 34-71898 http://www.sec.gov/rules/sro/nysemkt/2014/34-71898.pdf SR-NYSEMKT-2014-27 2014-04-08 Notice / Immediate Effectiveness Amending Rule 13 - Equities Governing Pegging Interest SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-20957 79 FR 20957 34-71899 http://www.sec.gov/rules/sro/cboe/2014/34-71899.pdf SR-CBOE-2014-031 2014-04-08 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-20945 79 FR 20945 34-71900 http://www.sec.gov/rules/sro/bx/2014/34-71900.pdf SR-BX-2014-017 2014-04-08 Notice / Immediate Effectiveness to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-20951 79 FR 20951 34-71901 http://www.sec.gov/rules/sro/phlx/2014/34-71901.pdf SR-PHLX-2014-21 2014-04-08 Notice / Immediate Effectiveness to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-20955 79 FR 20955 34-71902 http://www.sec.gov/rules/sro/nasdaq/2014/34-71902.pdf SR-NASDAQ-2014-033 2014-04-08 Notice / Immediate Effectiveness to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-20946 79 FR 20946 34-71903 http://www.sec.gov/litigation/admin/2014/33-9574.pdf 33-9574 IA-3812 IC-31012 3-15826 2014-04-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Kawamura, Keiko N/A 34-71904 http://www.sec.gov/litigation/admin/2014/34-71904.pdf 3-15827 2014-04-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Empire Stock Transfer, Inc. Mokros, Patrick R. N/A 34-71905 http://www.sec.gov/litigation/admin/2014/34-71905.pdf 3-15828 2014-04-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Blevins, Matthew J. N/A 34-71906 http://www.sec.gov/rules/sro/phlx/2014/34-71906.pdf SR-PHLX-2014-20 2014-04-08 Notice / Immediate Effectiveness Relating to Emergency and Extraordinary Market Conditions SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-20949 79 FR 20949 34-71907 http://www.sec.gov/litigation/admin/2014/34-71907.pdf IA-3813 3-15829 2014-04-08 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Buswell, Richard J. N/A 34-71908 http://www.sec.gov/litigation/admin/2014/34-71908.pdf IA-3814 3-15830 2014-04-08 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Fouke, Herbert Steven N/A 34-71909 http://www.sec.gov/rules/sro/nysearca/2014/34-71909.pdf SR-NYSEARCA-2014-28 2014-04-09 Notice / Immediate Effectiveness as Modified by Amendment No. 1, Amending Rule to Change the Time By Which Purchase Orders and Redemption Orders Must Be Placed with Respect to the Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-21337 79 FR 21337 34-71910 http://www.sec.gov/rules/sro/occ/2014/34-71910.pdf SR-OCC-2014-07 2014-04-09 Notice / to Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets and Make Additional, Conforming, Rule Changes SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/79-FR-21319 79 FR 21319 34-71911 http://www.sec.gov/rules/sro/finra/2014/34-71911.pdf SR-FINRA-2014-017 2014-04-09 Notice / Immediate Effectiveness Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-21316 79 FR 21316 34-71912 http://www.sec.gov/rules/sro/nysearca/2014/34-71912.pdf SR-NYSEARCA-2014-33 2014-04-09 Notice / Immediate Effectiveness Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Raise the Fee and Fee Cap for Market and Auction-Only Orders Executed in an Opening, Market Order or Trading Halt Auction; Modify the SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-21308 79 FR 21308 34-71913 http://www.sec.gov/rules/sro/nasdaq/2014/34-71913.pdf SR-NASDAQ-2014-019 2014-04-09 Notice / Order Accelerating as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-21333 79 FR 21333 34-71914 http://www.sec.gov/rules/sro/ise/2014/34-71914.pdf SR-ISE-2014-20 2014-04-09 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-21321 79 FR 21321 34-71914A http://www.sec.gov/rules/sro/ise/2014/34-71914a.pdf SR-ISE-2014-20 2014-04-09 Notice / Immediate Effectiveness to Amend the Schedule of Fees; Correction SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-22172 79 FR 22172 34-71915 http://www.sec.gov/rules/sro/isegemini/2014/34-71915.pdf SR-ISEGEMINI-2014-12 2014-04-09 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/79-FR-21340 79 FR 21340 34-71916 http://www.sec.gov/litigation/admin/2014/34-71916.pdf 3-15832 2014-04-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Hewlett-Packard Company N/A 34-71917 http://www.sec.gov/rules/sro/edga/2014/34-71917.pdf SR-EDGA-2014-08 2014-04-09 Notice / Immediate Effectiveness Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/79-FR-21313 79 FR 21313 34-71918 http://www.sec.gov/rules/sro/edgx/2014/34-71918.pdf SR-EDGX-2014-09 2014-04-09 Notice / Immediate Effectiveness Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/79-FR-21310 79 FR 21310 34-71919 http://www.sec.gov/rules/sro/finra/2014/34-71919.pdf SR-FINRA-2014-018 2014-04-09 Notice / to Establish a Fee Schedule for Alternative Trading System Volume Information SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-21324 79 FR 21324 34-71920 http://www.sec.gov/rules/sro/iceeu/2014/34-71920.pdf SR-ICEEU-2014-04 2014-04-09 Order / to Clear New Sovereign Contracts SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/79-FR-21331 79 FR 21331 34-71921 http://www.sec.gov/litigation/opinions/2014/34-71921.pdf 3-15817 2014-04-09 Order Granting Request to Withdraw Application and Dismissing Review Proceeding Order Rowcliffe, Gary David N/A 34-71922 http://www.sec.gov/litigation/opinions/2014/34-71922.pdf IA-3816 3-15538 2014-04-09 Notice That Initial Decision Has Become Final Notice McCoy, Lawrence Maxwell N/A 34-71923 http://www.sec.gov/litigation/admin/2014/34-71923.pdf 3-15806 2014-04-10 Order Making Findings and Revoking Registration of Securities AP Settled Network Dealer Services Holding Corp. N/A 34-71924 http://www.sec.gov/litigation/suspensions/2014/34-71924.pdf 500-1 2014-04-10 Trading Suspension Trading Suspension GrowLife, Inc. http://www.federalregister.gov/citation/79-FR-20959 79 FR 20959 34-71925 http://www.sec.gov/rules/sro/nasdaq/2014/34-71925.pdf SR-NASDAQ-2014-031 2014-04-10 Notice / Immediate Effectiveness to the Qualified Market Maker Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-21328 79 FR 21328 34-71926 http://www.sec.gov/litigation/opinions/2014/34-71926.pdf 3-15769 2014-04-10 Order Granting Motion to Dismiss Application for Review Order Mullins, Ricky D. N/A 34-71927 http://www.sec.gov/rules/sro/finra/2014/34-71927.pdf SR-FINRA-2013-039 2014-04-10 Order / as Modified by Amendment No.1, to Clarify How Certain Securities Are Classified and Reported to FINRA SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-21494 79 FR 21494 34-71928 http://www.sec.gov/litigation/admin/2014/34-71928.pdf 3-15834 2014-04-10 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Walblay, Ronald E. N/A 34-71929 http://www.sec.gov/litigation/admin/2014/34-71929.pdf 3-15836 2014-04-11 Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities AP Settled AgFeed Industries, Inc. N/A 34-71930 http://www.sec.gov/litigation/admin/2014/34-71930.pdf 3-14971 2014-04-11 Order Making Findings and Revoking Registration of Securities AP Settled GiraSolar, Inc. N/A 34-71931 http://www.sec.gov/rules/sro/nasdaq/2014/34-71931.pdf SR-NASDAQ-2014-032 2014-04-11 Notice / Immediate Effectiveness to Adopt Rule 4120(c)(8) with Respect to Initial Pricing of Certain Securities Not Subject to an Initial Public Offering SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-21829 79 FR 21829 34-71932 http://www.sec.gov/rules/sro/ise/2014/34-71932.pdf SR-ISE-2014-21 2014-04-11 Notice / Immediate Effectiveness to Amend Supplementary Material .13 to Rule 504 SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-21816 79 FR 21816 34-71933 http://www.sec.gov/rules/sro/nysearca/2014/34-71933.pdf SR-NYSEARCA-2014-34 2014-04-11 Notice / Immediate Effectiveness Amending the Professional User Fees for NYSE Arca Options Market Data, Operative on April 1, 2014 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-21821 79 FR 21821 34-71934 http://www.sec.gov/rules/sro/nysemkt/2014/34-71934.pdf SR-NYSEMKT-2014-30 2014-04-11 Notice / Immediate Effectiveness Amending the Professional User Fees for NYSE Amex Options Market Data, Operative on April 1, 2014 SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-21818 79 FR 21818 34-71935 http://www.sec.gov/rules/sro/bats/2014/34-71935.pdf SR-BATS-2014-010 2014-04-11 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-21827 79 FR 21827 34-71936 http://www.sec.gov/rules/sro/byx/2014/34-71936.pdf SR-BYX-2014-006 2014-04-11 Notice / Immediate Effectiveness Related to Fees for Use of BATS Y-Exchange, Inc. SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/79-FR-21825 79 FR 21825 34-71937 http://www.sec.gov/litigation/admin/2014/34-71937.pdf 3-15134 3-15135 2014-04-11 Extension Order Order Aladdin Capital LLC Aladdin Capital Managenent LLC Schlim, Joseph A. N/A AAER-3548 http://www.sec.gov/litigation/admin/2014/33-9573.pdf 33-9573 34-71896 3-15825 2014-04-08 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled Daniels, Laird, CPA N/A AAER-3549 http://www.sec.gov/litigation/litreleases/2014/lr22968.htm LR-22968 14-177-ML 2014-04-08 Enforcement Case CVS Caremark Corp. N/A AP-1361 http://www.sec.gov/alj/aljorders/2014/ap-1361.pdf 3-15514 2014-04-07 Order Extending Briefing Dates Order Anthony, Donald J., Jr. Chiappone, Frank H. Feldmann, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C. N/A AP-1362 http://www.sec.gov/alj/aljorders/2014/ap-1362.pdf 3-15798 2014-04-07 Postponement Order Order Coplan, Jenny E. N/A AP-1363 http://www.sec.gov/alj/aljorders/2014/ap-1363.pdf 3-15792 2014-04-07 Postponement Order Order Scott, Frederick D. N/A AP-1364 http://www.sec.gov/alj/aljorders/2014/ap-1364.pdf 3-15408 2014-04-08 Order Postponing Prehearing Conference Order Wilson, Joel I. N/A AP-1365 http://www.sec.gov/alj/aljorders/2014/ap-1365.pdf 3-15751 2014-04-08 Stay Order Order Menies, Matthew Scott N/A AP-1366 http://www.sec.gov/alj/aljorders/2014/ap-1366.pdf 3-15808 2014-04-08 Order Postponing Hearing and Scheduling Prehearing Conference Order Johnson, Aaron Jousan N/A AP-1367 http://www.sec.gov/alj/aljorders/2014/ap-1367.pdf 3-15830 2014-04-09 Order Scheduling Hearing and Designating Presiding Judge Order Fouke, Herbert Steven N/A AP-1368 http://www.sec.gov/alj/aljorders/2014/ap-1368.pdf 3-15829 2014-04-09 Order Scheduling Hearing and Designating Presiding Judge Order Buswell, Richard J. N/A AP-1369 http://www.sec.gov/alj/aljorders/2014/ap-1369.pdf 3-15826 2014-04-09 Order Scheduling Hearing and Designating Presiding Judge Order Kawamura, Keiko N/A AP-1370 http://www.sec.gov/alj/aljorders/2014/ap-1370.pdf 3-15799 2014-04-09 Order Scheduling Prehearing Conference Order Montgomery, Michael D. N/A AP-1371 http://www.sec.gov/alj/aljorders/2014/ap-1371.pdf 3-15813 2014-04-11 Order Order China Shen Zhou Mining & Resources, Inc. Smooth Global (China) Holdings, Inc. Weikang Bio-Technology Group Co., Inc. N/A AP-1372 http://www.sec.gov/alj/aljorders/2014/ap-1372.pdf 3-15255 2014-04-11 Order Order Jarkesy, George R., Jr. John Thomas Capital Management Group LLC, d/b/a/ Patriot28 LLC N/A IA-3811 http://www.sec.gov/litigation/admin/2014/33-9572.pdf 33-9572 34-71885 IC-31008 3-15617 2014-04-07 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings AP Settled Adams, Gregory J. N/A IA-3812 http://www.sec.gov/litigation/admin/2014/33-9574.pdf 33-9574 34-71903 IC-31012 3-15826 2014-04-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Kawamura, Keiko N/A IA-3813 http://www.sec.gov/litigation/admin/2014/34-71907.pdf 34-71907 3-15829 2014-04-08 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Buswell, Richard J. N/A IA-3814 http://www.sec.gov/litigation/admin/2014/34-71908.pdf 34-71908 3-15830 2014-04-08 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Fouke, Herbert Steven N/A IA-3815 http://www.sec.gov/litigation/admin/2014/ia-3815.pdf 3-15831 2014-04-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Shepherd, James Alexander N/A IA-3816 http://www.sec.gov/litigation/opinions/2014/34-71922.pdf 34-71922 3-15538 2014-04-09 Notice That Initial Decision Has Become Final Notice McCoy, Lawrence Maxwell N/A IA-3817 http://www.sec.gov/litigation/admin/2014/ia-3817.pdf 3-15835 2014-04-10 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Davian, Anthony J. N/A IC-31008 http://www.sec.gov/litigation/admin/2014/33-9572.pdf 33-9572 34-71885 IA-3811 3-15617 2014-04-07 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings AP Settled Adams, Gregory J. 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