Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing

2014-06-02 108 16 2014-04-28 2014-05-02 Securities Act of 1933 33 9579 9582 Securities Exchange Act of 1934 34 72033 72090 Administrative Proceeding AP 1400 1413 Investment Advisers Act of 1940 IA 3825 3829 Investment Company Act of 1940 IC 31031 31037 Initial Decision ID 594 595 Litigation Release LR 22978 22984 33-9579 http://www.sec.gov/litigation/admin/2014/33-9579.pdf 34-72034 IA-3825 IC-31031 3-15858 2014-04-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Fortenberry, Stanley Jonathan (a/k/a S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) N/A 33-9580 http://www.sec.gov/litigation/opinions/2014/33-9580.pdf 34-72059 IA-3827 IC-31036 3-14081 2014-04-30 Order Scheduling Oral Argument Order Flannery, John P. Hopkins, James D. N/A 33-9581 http://www.sec.gov/litigation/admin/2014/33-9581.pdf 34-72073 IA-3828 IC-31037 3-15518 2014-05-01 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled HD Mile High Marketing, Inc. Hernandez, Diego F. N/A 33-9582 http://www.sec.gov/litigation/stoporders/2014/33-9582.pdf 3-15729 3-15722 3-15725 3-15730 3-15718 3-15723 3-15728 3-15719 3-15726 3-15724 3-15717 3-15727 3-15731 3-15715 3-15732 3-15720 3-15733 3-15716 3-15721 3-15734 2014-05-02 Notice That Initial Decision Has Become Final Notice Bonanza Resources Corp. Braxton Resources Inc. Canyon Minerals Inc. CBL Resources Inc. Chum Mining Group Inc. Clearpoint Resources Inc. Coronation Mining Corp. Eclipse Resources Inc. Gaspard Mining Inc. Gold Camp Explorations Inc. Goldstream Mining Inc. Jewel Explorations Inc. Kingman River Resources Inc. La Paz Mining Corp. Lost Hills Mining Inc. PRWC Energy Inc. Seaview Resources Inc. Stone Boat Mining Corp. Tuba City Gold Corp. Yuma Resources Inc. N/A 34-72033 http://www.sec.gov/rules/sro/finra/2014/34-72033.pdf SR-FINRA-2014-003 2014-04-28 Order / to amend FINRA's Corporate Financing Rules to Simplify and Refine the Scope of the Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-24802 79 FR 24802 34-72034 http://www.sec.gov/litigation/admin/2014/33-9579.pdf 33-9579 IA-3825 IC-31031 3-15858 2014-04-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Fortenberry, Stanley Jonathan (a/k/a S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) N/A 34-72035 http://www.sec.gov/litigation/opinions/2014/34-72035.pdf 3-15794 2014-04-28 Extension Order Order Toland, Mitchell T. N/A 34-72036 http://www.sec.gov/rules/sro/icc/2014/34-72036.pdf SR-ICC-2014-04 2014-04-28 Notice / Immediate Effectiveness to Make Revisions Consistent with U.S. Commodity Futures Trading Commission ("CFTC") Recommendations SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/79-FR-25163 79 FR 25163 34-72037 http://www.sec.gov/rules/sro/bats/2014/34-72037.pdf SR-BATS-2014-013 2014-04-28 Notice / Immediate Effectiveness Related to Short Term Option Series SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-25164 79 FR 25164 34-72038 http://www.sec.gov/alj/aljdec/2014/34-72038.pdf 3-15443 2014-04-28 Notice That Initial Decision Has Become Final Notice Smith, Alan N/A 34-72039 http://www.sec.gov/rules/sro/bats/2014/34-72039.pdf SR-BATS-2014-016 2014-04-29 Notice / Immediate Effectiveness to Clarify the Treatment of Intermarket Sweep Orders Entered Prior to the Completion of the Options Opening Process of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-25636 79 FR 25636 34-72040 http://www.sec.gov/rules/sro/nysemkt/2014/34-72040.pdf SR-NYSEMKT-2014-39 2014-04-29 Notice / Immediate Effectiveness Amending Commentary .01 to Rule 901 to Replace the Reference to "GOOG" with "GOOGL" SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-25635 79 FR 25635 34-72041 http://www.sec.gov/rules/sro/bx/2014/34-72041.pdf SR-BX-2014-022 2014-04-29 Notice / Immediate Effectiveness to Amend Rule Text Related to Acceptable Trade Range in Chapter VI, Section 10 of the BX Options Rules SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-25633 79 FR 25633 34-72042 http://www.sec.gov/rules/sro/cfe/2014/34-72042.pdf SR-CFE-2014-001 2014-04-29 Notice / Immediate Effectiveness to Adopt and Amend Certain Customer Protection and Financial Rules SRO Filing CBOE Futures Exchange, LLC http://www.federalregister.gov/citation/79-FR-25631 79 FR 25631 34-72043 http://www.sec.gov/litigation/admin/2014/34-72043.pdf 3-15859 2014-04-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Assured Equities IV Corp. Beach First National Bancshares, Inc. Norquest Acquisition Corp. SAE Acquisitions, Inc. Unity Holdings, Inc. Valiant Healthcare, Inc. (n/k/a Valiant ACMS, Inc.) Winrock International, Inc. N/A 34-72044 http://www.sec.gov/rules/sro/bats/2014/34-72044.pdf SR-BATS-2014-014 2014-04-30 Notice / to Amend Rule 11.17, entitled "Clearly Erroneous Executions" SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-25919 79 FR 25919 34-72045 http://www.sec.gov/rules/sro/byx/2014/34-72045.pdf SR-BYX-2014-007 2014-04-30 Notice / to Amend Rule 11.17, entitled "Clearly Erroneous Executions" SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/79-FR-25943 79 FR 25943 34-72046 http://www.sec.gov/rules/sro/nsx/2014/34-72046.pdf SR-NSX-2014-08 2014-04-30 Notice / to Amend Exchange Rule 11.19, entitled "Clearly Erroneous Executions" to Add Provisions Regarding Executions Based on Incorrect or Grossly Misinterpreted Issuance Information and Executions Occurring After a Trading Halt Has Been Declared SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/79-FR-25972 79 FR 25972 34-72047 http://www.sec.gov/rules/sro/edga/2014/34-72047.pdf SR-EDGA-2014-11 2014-04-30 Notice / to Amend Rule 11.13, entitled "Clearly Erroneous Executions" SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/79-FR-25940 79 FR 25940 34-72048 http://www.sec.gov/rules/sro/edgx/2014/34-72048.pdf SR-EDGX-2014-12 2014-04-30 Notice / to Amend Rule 11.13, entitled "Clearly Erroneous Executions" SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/79-FR-25976 79 FR 25976 34-72049 http://www.sec.gov/rules/sro/ise/2014/34-72049.pdf SR-ISE-2014-25 2014-04-30 Notice / to Amend ISE Rule 2128 Relating to Clearly Erroneous Trades SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-25951 79 FR 25951 34-72050 http://www.sec.gov/rules/sro/nysearca/2014/34-72050.pdf SR-NYSEARCA-2014-48 2014-04-30 Notice / Adding New Paragraphs (j) and (k) to Rule 7.10, Entitled "Clearly Erroneous Executions" SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-25933 79 FR 25933 34-72051 http://www.sec.gov/rules/sro/nysemkt/2014/34-72051.pdf SR-NYSEMKT-2014-37 2014-04-30 Notice / Adding New Paragraphs (j) and (k) to Rule 128 - Equities, Entitled "Clearly Erroneous Executions For Equities" SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-25954 79 FR 25954 34-72052 http://www.sec.gov/rules/sro/nyse/2014/34-72052.pdf SR-NYSE-2014-22 2014-04-30 Notice / Adding New Paragraphs (j) and (k) to Rule 128, Entitled "Clearly Erroneous Executions For NYSE Equities" SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/79-FR-25958 79 FR 25958 34-72053 http://www.sec.gov/rules/sro/bx/2014/34-72053.pdf SR-BX-2014-021 2014-04-30 Notice / to Add New Paragraphs (h) and (i) to Rule 11890, entitled "Clearly Erroneous Transactions" SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-25965 79 FR 25965 34-72054 http://www.sec.gov/rules/sro/nasdaq/2014/34-72054.pdf SR-NASDAQ-2014-044 2014-04-30 Notice / to Add New Paragraphs (h) and (i) to Rule 11890, entitled "Clearly Erroneous Transactions" SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-25947 79 FR 25947 34-72055 http://www.sec.gov/rules/sro/phlx/2014/34-72055.pdf SR-PHLX-2014-27 2014-04-30 Notice / to Add New Paragraphs (h) and (i) to Rule 3312, entitled "Clearly Erroneous Transactions" SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-25961 79 FR 25961 34-72056 http://www.sec.gov/rules/sro/chx/2014/34-72056.pdf SR-CHX-2014-06 2014-04-30 Notice / to Amend Article 20, Rule 10 Concerning the Handling of Clearly Erroneous Transactions SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/79-FR-25968 79 FR 25968 34-72057 http://www.sec.gov/rules/sro/finra/2014/34-72057.pdf SR-FINRA-2014-021 2014-04-30 Notice / to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-25937 79 FR 25937 34-72058 http://www.sec.gov/litigation/admin/2014/34-72058.pdf IA-3826 IC-31035 3-15526 2014-04-30 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Franz, George B., III Ruby Corporation N/A 34-72059 http://www.sec.gov/litigation/opinions/2014/33-9580.pdf 33-9580 IA-3827 IC-31036 3-14081 2014-04-30 Order Scheduling Oral Argument Order Flannery, John P. Hopkins, James D. N/A 34-72060 http://www.sec.gov/reportspubs/special-studies/34-72060.pdf NO FILE NUMBER 2014-04-30 Report on Administrative Proceedings October 1, 2013 through March 31, 2014 Notice Report on Administrative Proceedings October 1, 2013 through March 31, 2014 N/A 34-72061 http://www.sec.gov/litigation/admin/2014/34-72061.pdf 3-15678 2014-05-01 Notice That Initial Decision Has Become Final Notice Power Air Corporation Wescorp Energy, Inc. World Ventures, Inc. N/A 34-72062 http://www.sec.gov/litigation/admin/2014/34-72062.pdf 3-15650 2014-05-01 Notice That Initial Decision Has Become Final Notice Enlightened Gourment, Inc. Eternal Image, Inc. Maxconcept International Holdings, Inc. NMT Medical, Inc. N/A 34-72063 http://www.sec.gov/litigation/admin/2014/34-72063.pdf 3-15686 2014-05-01 Notice That Initial Decision Has Become Final Notice Advanced Pipe Fitting Technologies, Inc. N/A 34-72064 http://www.sec.gov/rules/sro/nysearca/2014/34-72064.pdf SR-NYSEARCA-2014-46 2014-05-01 Notice / as Modified by Amendment No. 1, to List and Trade Shares of Fidelity Investment Grade Bond ETF; Fidelity Limited Term Bond ETF; and Fidelity Total Bond ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-25908 79 FR 25908 34-72065 http://www.sec.gov/litigation/admin/2014/34-72065.pdf 3-15860 2014-05-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Archipelago Securities, L.L.C. New York Stock Exchange LLC NYSE Arca, Inc. NYSE MKT LLC f/k/a NYSE Amex LLC N/A 34-72066 http://www.sec.gov/rules/sro/finra/2014/34-72066.pdf SR-FINRA-2014-022 2014-05-01 Notice / Immediate Effectiveness to Delay the Implementation Date of SR-FINRA-2013-046 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-25979 79 FR 25979 34-72067 http://www.sec.gov/rules/sro/finra/2014/34-72067.pdf SR-FINRA-2013-036 2014-05-01 Order / as Modified by Amendment No. 1, Relating to Self-Trades and FINRA Rule 5210 (Publication of Transactions and Quotations) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-26293 79 FR 26293 34-72068 http://www.sec.gov/rules/sro/nysearca/2014/34-72068.pdf SR-NYSEARCA-2014-47 2014-05-01 Notice / as Modified by Amendment No. 1, Proposing to List and Trade Shares of Fidelity Corporate Bond ETF Managed Shares under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-25923 79 FR 25923 34-72069 http://www.sec.gov/rules/sro/bx/2014/34-72069.pdf SR-BX-2014-023 2014-05-01 Notice / Immediate Effectiveness Regarding the Quarterly Options Series Program SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-26280 79 FR 26280 34-72070 http://www.sec.gov/rules/sro/phlx/2014/34-72070.pdf SR-PHLX-2014-30 2014-05-01 Notice / Immediate Effectiveness Regarding the Quarterly Options Series Program SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-26274 79 FR 26274 34-72071 http://www.sec.gov/rules/sro/nasdaq/2014/34-72071.pdf SR-NASDAQ-2014-046 2014-05-01 Notice / Immediate Effectiveness Regarding the Quarterly Options Series Program SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-26272 79 FR 26272 34-72072 http://www.sec.gov/litigation/admin/2014/34-72072.pdf 3-15861 2014-05-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lee, Jauyo ("Jason") N/A 34-72073 http://www.sec.gov/litigation/admin/2014/33-9581.pdf 33-9581 IA-3828 IC-31037 3-15518 2014-05-01 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled HD Mile High Marketing, Inc. Hernandez, Diego F. N/A 34-72074 http://www.sec.gov/rules/sro/nysearca/2014/34-72074.pdf SR-NYSEARCA-2014-51 2014-05-01 Notice / Immediate Effectiveness Offering ArcaBook for Arca Options - Complex on a Standalone Basis Without Charge from May 1, 2014 through October 31, 2014 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-26277 79 FR 26277 34-72075 http://www.sec.gov/rules/sro/nysemkt/2014/34-72075.pdf SR-NYSEMKT-2014-40 2014-05-01 Notice / Immediate Effectiveness Offering ArcaBook for Amex Options - Complex on a Standalone Basis Without Charge from May 1, 2014 through October 31, 2014 SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-26290 79 FR 26290 34-72076 http://www.sec.gov/litigation/opinions/2014/34-72076.pdf 3-15130 2014-05-01 Order Denying Request for Oral Argument Order mPhase Technologies, Inc. N/A 34-72077 http://www.sec.gov/rules/sro/nasdaq/2014/34-72077.pdf SR-NASDAQ-2014-035 2014-05-01 Notice / Relating to the Listing and Trading of the Shares of the AdvisorShares Sunrise Global Multi-Strategy ETF of AdvisorShares Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-26283 79 FR 26283 34-72078 http://www.sec.gov/rules/sro/c2/2014/34-72078.pdf SR-C2-2014-002 2014-05-02 Notice / Immediate Effectiveness Relating to Qualification and Registration Requirements of Permit Holders and Associated Persons of Permit Holders SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-26485 79 FR 26485 34-72079 http://www.sec.gov/rules/other/2014/34-72079.pdf S7-40-10 2014-05-02 Order Issuing Stay Order Exchange Act Rule 13p-1 and Form SD http://www.federalregister.gov/citation/79-FR-26297 79 FR 26297 34-72080 http://www.sec.gov/litigation/opinions/2014/34-72080.pdf 3-15045 2014-05-02 Order Remanding Case for Further Proceedings Order Mura, David N/A 34-72081 http://www.sec.gov/rules/sro/nysearca/2014/34-72081.pdf SR-NYSEARCA-2014-04 2014-05-02 Notice / Amendment No. 1 / Order / Instituting Proceedings to Determine Whether to Approve or Disapprove as Modified by Amendment No. 1, to Amend NYSE Arca, Inc.'s Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-26474 79 FR 26474 34-72082 http://www.sec.gov/rules/sro/cboe/2014/34-72082.pdf SR-CBOE-2014-038 2014-05-02 Notice / Immediate Effectiveness Relating to the Availability of Certain Delayed Market Data on CBOE Websites SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-26491 79 FR 26491 34-72083 http://www.sec.gov/rules/sro/icc/2014/34-72083.pdf SR-ICC-2014-05 2014-05-02 Notice / to Update ICC's Policy Regarding Valuation of Maturing U.S. Treasury Securities and Update ICC's Collateral Asset Haircut Methodology SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/79-FR-26490 79 FR 26490 34-72084 http://www.sec.gov/rules/sro/nysemkt/2014/34-72084.pdf SR-NYSEMKT-2014-42 2014-05-02 Notice / Immediate Effectiveness Amending Rule 980NY to Adopt Rules Governing an Opening Auction Process for Electronic Complex Orders and to Amend and Reorganize Existing Rules Specifying Available Electronic Complex Order Types and Modifiers SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-26470 79 FR 26470 34-72085 http://www.sec.gov/rules/sro/nysearca/2014/34-72085.pdf SR-NYSEARCA-2014-53 2014-05-02 Notice / Immediate Effectiveness Amending Rule 6.91 to Adopt Rules Governing an Opening Auction Process for Electronic Complex Orders and to Amend and Reorganize Existing Rules Specifying Available Electronic Complex Order types and Modifiers SRO Filing NYSE Arca Inc. http://www.federalregister.gov/citation/79-FR-26482 79 FR 26482 34-72086 http://www.sec.gov/rules/sro/edgx/2014/34-72086.pdf SR-EDGX-2014-05 2014-05-02 Notice / Designation of Longer Period for Commission Action to Adopt a New Order Type Called the Mid-Point Discretionary Order SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/79-FR-26473 79 FR 26473 34-72087 http://www.sec.gov/rules/pcaob/2014/34-72087.pdf PCAOB-2013-03 2014-05-02 Notice / Amendment No. 1 / Order Accelerating / to Conform the Board's Rules and Forms to the Dodd-Frank Act and Make Certain Updates and Clarifications, as Modified by Amendment No.1 Notice Public Company Accounting Oversight Board http://www.federalregister.gov/citation/79-FR-26491 79 FR 26491 34-72088 http://www.sec.gov/rules/sro/edgx/2014/34-72088.pdf SR-EDGX-2014-14 2014-05-02 Notice / Immediate Effectiveness to Amend EDGX Rule 11.5 Regarding the Route Peg Order SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/79-FR-26479 79 FR 26479 34-72089 http://www.sec.gov/rules/sro/edga/2014/34-72089.pdf SR-EDGA-2014-12 2014-05-02 Notice / Immediate Effectiveness to Amend EDGA Rule 11.5 Regarding the Route Peg Order SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/79-FR-26493 79 FR 26493 34-72090 http://www.sec.gov/litigation/opinions/2014/34-72090.pdf 3-15824 2014-05-02 Order Scheduling Briefs Order Tomlinson, Steven R. N/A AP-1400 http://www.sec.gov/alj/aljorders/2014/ap-1400.pdf 3-15764 2014-04-28 Order Taking Official Notice Order McDuff, Gary L. N/A AP-1401 http://www.sec.gov/alj/aljorders/2014/ap-1401.pdf 3-15255 2014-04-28 Order Order Jarkesy, George R., Jr. John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC N/A AP-1402 http://www.sec.gov/alj/aljorders/2014/ap-1402.pdf 3-15648 2014-04-29 Order Order Anglin, Ronald Gene N/A AP-1403 http://www.sec.gov/alj/aljorders/2014/ap-1403.pdf 3-15514 2014-04-29 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-1404 http://www.sec.gov/alj/aljorders/2014/ap-1404.pdf 3-15826 2014-04-29 Postponement Order Order Kawamura, Keiko N/A AP-1405 http://www.sec.gov/alj/aljorders/2014/ap-1405.pdf 3-15858 2014-04-29 Order Scheduling Hearing and Designating Presiding Judge Order Fortenberry, Stanley Jonathan (a/k/a S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) N/A AP-1406 http://www.sec.gov/alj/aljorders/2014/ap-1406.pdf 3-15859 2014-04-30 Order Scheduling Hearing and Designating Presiding Judge Order Assured Equities IV Corp. Beach First National Bancshares, Inc. Norquest Acquistion Corp. SAE Acquisitions, Inc. Unity Holdings, Inc. Valiant Healthcare, Inc. (n/k/a Valiant ACMS, Inc.) Winrock International, Inc. N/A AP-1407 http://www.sec.gov/alj/aljorders/2014/ap-1407.pdf 3-15842 2014-05-01 Order Postponing Hearing and Scheduling Prehearing Conference Order Cooper, Jacob Keith McNamee, Nathan Shoemaker, Douglas David Total Wealth Management, Inc. N/A AP-1408 http://www.sec.gov/alj/aljorders/2014/ap-1408.pdf 3-15574 2014-05-01 Protective Order Order Chau, Wing F. Harding Advisory LLC N/A AP-1409 http://www.sec.gov/alj/aljorders/2014/ap-1409.pdf 3-15703 2014-05-01 Stay Order Order Costabile, Douglas N/A AP-1410 http://www.sec.gov/alj/aljorders/2014/ap-1410.pdf 3-15841 2014-05-01 Order Postponing Hearing and Scheduling Prehearing Conference Order Amcore Financial, Inc. China Sure Water (USA), Inc. EuroBancshares, Inc. InterAmerican Acquisition Group, Inc. Link Scaffold Products North America Stone Tan China Acquisitions Corp. Vanholt Group, Ltd. N/A AP-1411 http://www.sec.gov/alj/aljorders/2014/ap-1411.pdf 3-15574 2014-05-01 Post-Hearing Scheduling Order Order Chau, Wing F. Harding Advisory LLC N/A AP-1412 http://www.sec.gov/alj/aljorders/2014/ap-1412.pdf 3-15826 2014-05-02 Prehearing Order Order Kawamura, Keiko N/A AP-1413 http://www.sec.gov/alj/aljorders/2014/ap-1413.pdf 3-15835 2014-05-02 Stay Order Order Davian, Anthony J. N/A IA-3825 http://www.sec.gov/litigation/admin/2014/33-9579.pdf 33-9579 34-72034 IC-31031 3-15858 2014-04-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Fortenberry, Stanley Jonathan (a/k/a S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) N/A IA-3826 http://www.sec.gov/litigation/admin/2014/34-72058.pdf 34-72058 IC-31035 3-15526 2014-04-30 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Franz, George B., III Ruby Corporation N/A IA-3827 http://www.sec.gov/litigation/opinions/2014/33-9580.pdf 33-9580 34-72059 IC-31036 3-14081 2014-04-30 Order Scheduling Oral Argument Order Flannery, John P. Hopkins, James D. N/A IA-3828 http://www.sec.gov/litigation/admin/2014/33-9581.pdf 33-9581 34-72073 IC-31037 3-15518 2014-05-01 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled HD Mile High Marketing, Inc. Hernandez, Diego F. N/A IA-3829 http://www.sec.gov/litigation/opinions/2014/ia-3829.pdf 3-14536 2014-05-02 Opinion Opinion Montford and Company, Inc., d/b/a Montford Associates Montford, Ernest V., Sr. N/A IC-31031 http://www.sec.gov/litigation/admin/2014/33-9579.pdf 33-9579 34-72034 IA-3825 3-15858 2014-04-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Fortenberry, Stanley Jonathan (a/k/a S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) N/A IC-31032 http://www.sec.gov/rules/ic/2014/ic-31032.pdf 812-14269 2014-04-29 Order Order Direxion Shares ETF Trust Foreside Fund Services, LLC Rafferty Asset Management, LLC N/A IC-31033 http://www.sec.gov/rules/ic/2014/ic-31033.pdf 812-14197 2014-04-29 Order Order Boston Advisors, LLC Foreside Funds Distributors LLC FundVantage Trust N/A IC-31034 http://www.sec.gov/rules/ic/2014/ic-31034.pdf 812-14172 2014-04-29 Order Order ARK ETF Trust ARK Investment Management LLC Foreside Fund Services, LLC N/A IC-31035 http://www.sec.gov/litigation/admin/2014/34-72058.pdf 34-72058 IA-3826 3-15526 2014-04-30 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Franz, George B., III Ruby Corporation N/A IC-31036 http://www.sec.gov/litigation/opinions/2014/33-9580.pdf 33-9580 34-72059 IA-3827 3-14081 2014-04-30 Order Scheduling Oral Argument Order Flannery, John P. Hopkins, James D. N/A IC-31037 http://www.sec.gov/litigation/admin/2014/33-9581.pdf 33-9581 34-72073 IA-3828 3-15518 2014-05-01 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled HD Mile High Marketing, Inc. Hernandez, Diego F. N/A ID-594 http://www.sec.gov/alj/aljdec/2014/id594ce.pdf 3-15814 2014-04-28 Initial Decision of Default Initial Decision Hendrx Corp. Plastinum Polymer Technologies Corp. Vertical Branding, Inc. WHY USA Financial Group, Inc. XNE, Inc. N/A ID-595 http://www.sec.gov/alj/aljdec/2014/id595cff.pdf 3-15798 2014-05-01 Initial Decision Making Findings and Imposing Sanction by Default Initial Decision Coplan, Jenny E. N/A LR-22978 http://www.sec.gov/litigation/litreleases/2014/lr22978.htm 2:14-CV-623 2014-04-28 Enforcement Case Erwin, James L. Joint Venture Solutions, Inc. N/A LR-22979 http://www.sec.gov/litigation/litreleases/2014/lr22979.htm 3:14-CV-01533-L 2014-04-28 Enforcement Case Guardian Oil & Gas, Inc Guardian Oil and Natural Gas, Inc. Mullins, Rick D. N/A LR-22980 http://www.sec.gov/litigation/litreleases/2014/lr22980.htm 14-CV-2643 2014-04-29 Enforcement Case Charles Vista, LLC N/A LR-22981 http://www.sec.gov/litigation/litreleases/2014/lr22981.htm 2:14-CV-02397-JS 2014-04-29 Enforcement Case Gardner, Jules Saridakis, Christopher N/A LR-22982 http://www.sec.gov/litigation/litreleases/2014/lr22982.htm 2:14-CV-00309 2014-04-30 Enforcement Case American Pension Services, Inc. DeYoung, Curtis L. N/A LR-22983 http://www.sec.gov/litigation/litreleases/2014/lr22983.htm 14-CV-2488 2014-04-30 Enforcement Case Bekkedam, Barry R. N/A LR-22984 http://www.sec.gov/litigation/litreleases/2014/lr22984.htm 1:14-CV-192 2014-05-02 Enforcement Case Smith, Allen Ross N/A