Order Denying Motion For Permission to File Late Petition For Review

2015-03-18 108 17 2014-05-05 2014-05-09 Securities Act of 1933 33 9583 9583 Securities Exchange Act of 1934 34 72091 72146 Accounting and Auditing Enforcement Release AAER 3552 3553 Administrative Proceeding AP 1414 1429 Investment Advisers Act of 1940 IA 3830 3834 Investment Company Act of 1940 IC 31038 31041 Initial Decision ID 596 597 Litigation Release LR 22985 22988 33-9583 http://www.sec.gov/litigation/opinions/2014/33-9583.pdf 34-72133 IA-3832 IC-31041 3-15024 2014-05-08 Order Denying Motion For Permission to File Late Petition For Review Order Gerasimowicz, Walter V. Meditron Asset Management, LLC Meditron Management Group, LLC N/A 34-72091 http://www.sec.gov/litigation/admin/2014/34-72091.pdf 3-15758 2014-05-05 Notice That Initial Decision Has Become Final Notice Ads in Motion, Inc. Pulmo Biotech, Inc. TriMedia Entertainment Group, Inc. N/A 34-72092 http://www.sec.gov/litigation/suspensions/2014/34-72092.pdf 500-1 2014-05-05 Trading Suspension Trading Suspension GeNOsys, Inc. http://www.federalregister.gov/citation/79-FR-26297 79 FR 26297 34-72093 http://www.sec.gov/litigation/admin/2014/34-72093.pdf 3-15862 2014-05-05 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated GeNOsys, Inc. N/A 34-72094 http://www.sec.gov/rules/sro/phlx/2014/34-72094.pdf SR-PHLX-2014-28 2014-05-05 Notice / Immediate Effectiveness Relating to JBO Orders SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-26787 79 FR 26787 34-72095 http://www.sec.gov/rules/sro/phlx/2014/34-72095.pdf SR-PHLX-2014-29 2014-05-05 Notice / Immediate Effectiveness Relating to Mini Options Pricing SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-26785 79 FR 26785 34-72096 http://www.sec.gov/rules/sro/nasdaq/2014/34-72096.pdf SR-NASDAQ-2014-040 2014-05-05 Notice / Relating to the Listing and Trading of the Shares of the Calamos Focus Growth ETF of the Calamos ETF Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-26789 79 FR 26789 34-72097 http://www.sec.gov/rules/sro/cme/2014/34-72097.pdf SR-CME-2014-16 2014-05-06 Notice / Immediate Effectiveness Making Changes in the Position Limits and Accountability Levels of CME Cleared OTC FX Spot, Forward and Swap Contracts SRO Filing Chicago Mercantile Exchange Inc. http://www.federalregister.gov/citation/79-FR-27010 79 FR 27010 34-72098 http://www.sec.gov/rules/sro/ise/2014/34-72098.pdf SR-ISE-2014-23 2014-05-06 Notice / as Modified by Amendment No. 2, Regarding the Short Term Option Series Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-27006 79 FR 27006 34-72099 http://www.sec.gov/rules/sro/bats/2014/34-72099.pdf SR-BATS-2014-007 2014-05-06 Order / to List and Trade Shares of Certain Funds of the ProShares Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-27023 79 FR 27023 34-72100 http://www.sec.gov/rules/sro/edga/2014/34-72100.pdf SR-EDGA-2014-13 2014-05-06 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-27021 79 FR 27021 34-72101 http://www.sec.gov/rules/sro/edgx/2014/34-72101.pdf SR-EDGX-2014-15 2014-05-06 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-27004 79 FR 27004 34-72102 http://www.sec.gov/rules/sro/nysearca/2014/34-72102.pdf SR-NYSEARCA-2014-50 2014-05-06 Notice / Immediate Effectiveness Amending Commentary .01 to Rule 6.3. to Replace the Reference to "GOOG" with "GOOGL" SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-27020 79 FR 27020 34-72103 http://www.sec.gov/rules/sro/phlx/2014/34-72103.pdf SR-PHLX-2014-26 2014-05-06 Notice / Immediate Effectiveness Relating to Mini Options SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-27009 79 FR 27009 34-72104 http://www.sec.gov/rules/sro/bx/2014/34-72104.pdf SR-BX-2014-020 2014-05-06 Notice / Immediate Effectiveness Relating to Mini Options SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-27016 79 FR 27016 34-72105 http://www.sec.gov/rules/sro/nasdaq/2014/34-72105.pdf SR-NASDAQ-2014-043 2014-05-06 Notice / Immediate Effectiveness Relating to Mini Options SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-27014 79 FR 27014 34-72106 http://www.sec.gov/rules/sro/nsx/2014/34-72106.pdf SR-NSX-2014-12 2014-05-06 Notice / Immediate Effectiveness to Amend its Fee and Rebate Schedule to Change Certain Fees Applicable to Liquidity Providers, Eliminate a Rebate and Adopt a Fee for Removing Liquidity, and Reducing a Fee for Routed Orders, All With Respect to SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/79-FR-27012 79 FR 27012 34-72107 http://www.sec.gov/rules/sro/nsx/2014/34-72107.pdf SR-NSX-2014-14 2014-05-06 Notice / Immediate Effectiveness to Cease Trading on Its Trading System SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/79-FR-27019 79 FR 27019 34-72108 http://www.sec.gov/litigation/opinions/2014/34-72108.pdf 3-15837 2014-05-06 Order Scheduling Briefs Order Positron Corporation N/A 34-72109 http://www.sec.gov/litigation/suspensions/2014/34-72109.pdf 500-1 2014-05-07 Trading Suspension Trading Suspension Clear Skies Solar, Inc. Debut Broadcasting Corporation, Inc. Physicians Healthcare Management Group, Inc. Technipower Systems, Inc. (a/k/a Solomon Technologies, Inc.) Theater Xtreme Entertainment Group, Inc. Worldgate Communications, Inc. YTB International, Inc. (a/k/a 1803 International, Inc.) http://www.federalregister.gov/citation/79-FR-26797 79 FR 26797 34-72110 http://www.sec.gov/litigation/admin/2014/34-72110.pdf 3-15863 2014-05-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated ATS Corporation Clear Skies Solar, Inc. Debut Broadcasting Corporation, Inc. Physicians Healthcare Management Group, Inc. Technipower Systems, Inc. (a/k/a Solomon Technologies, Inc.) Theater Xtreme Entertainment Group, Inc. WorldGate Communications, Inc. YTB International, Inc. (a/k/a 1803 International, Inc.) N/A 34-72111 http://www.sec.gov/litigation/admin/2014/34-72111.pdf 3-15669 2014-05-07 Notice That Initial Decision Has Become Final Notice 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 34-72112 http://www.sec.gov/litigation/admin/2014/34-72112.pdf 3-15841 2014-05-07 Order Making Findings and Revoking Registration AP Settled Stone Tan China Acquisition Corp. N/A 34-72113 http://www.sec.gov/litigation/suspensions/2014/34-72113.pdf 500-1 2014-05-07 Trading Suspension Trading Suspension Cannabusiness Group, Inc. http://www.federalregister.gov/citation/79-FR-26797 79 FR 26797 34-72114 http://www.sec.gov/rules/sro/finra/2014/34-72114.pdf SR-FINRA-2014-004 2014-05-07 Order / Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) As Amended SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-27355 79 FR 27355 34-72115 http://www.sec.gov/rules/sro/cboe/2014/34-72115.pdf SR-CBOE-2014-039 2014-05-07 Notice / to Amend Certain Margin Rules for Volatility Index Options SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-27358 79 FR 27358 34-72116 http://www.sec.gov/rules/sro/icc/2014/34-72116.pdf SR-ICC-2014-02 2014-05-07 Order / to Update ICC's Liquidity Thresholds for Euro Denominated Products SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/79-FR-27354 79 FR 27354 34-72117 http://www.sec.gov/rules/sro/ise/2014/34-72117.pdf SR-ISE-2014-09 2014-05-07 Notice / Designation of Longer Period for Commission Action Related to Market Maker Risk Parameters SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-27360 79 FR 27360 34-72118 http://www.sec.gov/rules/sro/isegemini/2014/34-72118.pdf SR-ISEGEMINI-2014-09 2014-05-07 Notice / Designation of Longer Period for Commission Action Related to Market Maker Risk Parameters SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/79-FR-27355 79 FR 27355 34-72119 http://www.sec.gov/rules/sro/phlx/2014/34-72119.pdf SR-PHLX-2014-23 2014-05-07 Notice / Related to the Priority Afforded to In-Crowd Participants Respecting Crossing, Facilitation and Solicited Orders in Open Outcry Trading SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-27351 79 FR 27351 34-72120 http://www.sec.gov/litigation/suspensions/2014/34-72120.pdf 500-1 2014-05-08 Trading Suspension Trading Suspension Imaging Diagnostic Systems, Inc. http://www.federalregister.gov/citation/79-FR-27028 79 FR 27028 34-72121 http://www.sec.gov/litigation/admin/2014/34-72121.pdf 3-15864 2014-05-08 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Imaging Diagnostic Systems, Inc. N/A 34-72122 http://www.sec.gov/alj/aljdec/2014/34-72122.pdf IA-3830 3-15468 2014-05-08 Notice That Initial Decision Has Become Final Notice Burns, Eric T. N/A 34-72123 http://www.sec.gov/rules/sro/nyse/2014/34-72123.pdf SR-NYSE-2014-25 2014-05-08 Notice / Immediate Effectiveness Amending its Price List, Effective May 2, 2014, to Set Forth a Fee for a Bond Trading License under Rule 87 and a Rebate for Bond Liquidity Providers that Bring Liquidity to the Exchange's Bond Market in Accordance with SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/79-FR-27657 79 FR 27657 34-72124 http://www.sec.gov/rules/sro/icc/2014/34-72124.pdf SR-ICC-2014-06 2014-05-08 Notice / to Provide for the Clearance of Additional Non-Investment Grade Instruments on Standard North American Corporate Single Name Reference Entities SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/79-FR-27669 79 FR 27669 34-72125 http://www.sec.gov/rules/sro/occ-an/2014/34-72125.pdf SR-OCC-2013-804 2014-05-08 Notice / of Withdrawal of an Advance Notice in Connection With a Proposed Change to its Operations in the Form of a Private Offering by OCC of Senior Unsecured Debt Securities SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/79-FR-28568 79 FR 28568 34-72126 http://www.sec.gov/rules/sro/nasdaq/2014/34-72126.pdf SR-NASDAQ-2014-047 2014-05-08 Notice / Immediate Effectiveness to Modify Fees Set Forth in Rule 7015(e) Governing WebLink ACT and the ACT Workstation SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-28781 79 FR 28781 34-72127 http://www.sec.gov/rules/sro/byx/2014/34-72127.pdf SR-BYX-2014-008 2014-05-08 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-27661 79 FR 27661 34-72128 http://www.sec.gov/rules/sro/bats/2014/34-72128.pdf SR-BATS-2014-017 2014-05-08 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-27666 79 FR 27666 34-72129 http://www.sec.gov/rules/sro/msrb/2014/34-72129.pdf SR-MSRB-2014-01 2014-05-08 Notice / Amendment No. 1 / Order Accelerating Consisting of Proposed Revisions to MSRB Rule G-30, on Prices and Commissions and the Deletion of Rule G-18, on Execution of Transactions SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/79-FR-27662 79 FR 27662 34-72130 http://www.sec.gov/rules/sro/ise/2014/34-72130.pdf SR-ISE-2014-28 2014-05-08 Notice / Immediate Effectiveness to the Quarterly Options Series Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-27673 79 FR 27673 34-72131 http://www.sec.gov/rules/sro/nscc-an/2014/34-72131.pdf SR-NSCC-2014-805 2014-05-08 Notice / No Objection to Advance Notice to Renew NSCC's Existing Credit Facility SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/79-FR-27654 79 FR 27654 34-72132 http://www.sec.gov/rules/sro/dtc-an/2014/34-72132.pdf SR-DTC-2014-805 2014-05-08 Notice / No Objection to Advance Notice to Renew DTC's Existing Credit Facility SRO Filing Depository Trust Company http://www.federalregister.gov/citation/79-FR-27658 79 FR 27658 34-72133 http://www.sec.gov/litigation/opinions/2014/33-9583.pdf 33-9583 IA-3832 IC-31041 3-15024 2014-05-08 Order Denying Motion For Permission to File Late Petition For Review Order Gerasimowicz, Walter V. Meditron Asset Management, LLC Meditron Management Group, LLC N/A 34-72134 http://www.sec.gov/litigation/opinions/2014/34-72134.pdf AAER-3552 3-15116 3-14872 2014-05-09 Order Denying the Division's Motion to Strike the Notice of Withdrawal of Appearance and Setting a Briefing Schedule Order BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited N/A 34-72135 http://www.sec.gov/rules/sro/phlx/2014/34-72135.pdf SR-PHLX-2014-33 2014-05-09 Notice / Immediate Effectiveness to Extend the Implementation Rollout of the New Options Floor Broker Management System Until September 1, 2014 SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-27966 79 FR 27966 34-72136 http://www.sec.gov/rules/sro/phlx/2014/34-72136.pdf SR-PHLX-2014-31 2014-05-09 Notice / Immediate Effectiveness Relating to Qualified Contingent Cross Rebates SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-27968 79 FR 27968 34-72137 http://www.sec.gov/rules/sro/17d-2/2014/34-72137.pdf 4-536 2014-05-09 Order / Declaring Effective a Proposed Amended Plan for the Allocation of Regulatory Responsibilities SRO Filing C2 Options Exchange, Incorporated Chicago Board Options Exchange, Incorporated Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/79-FR-27965 79 FR 27965 34-72138 http://www.sec.gov/rules/sro/nysearca/2014/34-72138.pdf SR-NYSEARCA-2014-23 2014-05-09 Order / to List and Trade Shares of the iShares Interest Rate Hedged Corporate Bond ETF and iShares Interest Rate Hedged High Yield Bond ETF Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-27958 79 FR 27958 34-72139 http://www.sec.gov/rules/sro/nysearca/2014/34-72139.pdf SR-NYSEARCA-2014-45 2014-05-09 Notice / Relating to PowerShares Insured California Municipal Bond Portfolio, PowerShares Insured National Municipal Bond Portfolio, and PowerShares Insured New York Municipal Bond Portfolio SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-27950 79 FR 27950 34-72140 http://www.sec.gov/litigation/opinions/2014/34-72140.pdf AAER-3553 3-15116 3-14872 2014-05-09 Order Granting Leave To Adduce Additional Evidence And Granting The Petitions For Review Order BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming LLP KPMG Huazhen (Special General Partnership) Price WaterhouseCoopers Zhong Tian CPAs Limited N/A 34-72141 http://www.sec.gov/rules/sro/nasdaq/2014/34-72141.pdf SR-NASDAQ-2014-009 2014-05-09 Notice / Amendment Nos. 2 and 3 / Order Accelerating / as Modified by Amendment Nos. 1, 2, and 3 Relating to the Means of Achieving the Investment Objectives of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-27944 79 FR 27944 34-72142 http://www.sec.gov/rules/sro/nasdaq/2014/34-72142.pdf SR-NASDAQ-2014-052 2014-05-09 Notice / Immediate Effectiveness to Extend the Pilot Program Relating to the Elimination of SPY Position Limits SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-27961 79 FR 27961 34-72143 http://www.sec.gov/rules/sro/bx/2014/34-72143.pdf SR-BX-2014-025 2014-05-09 Notice / Immediate Effectiveness to Extend the Pilot Program Relating to the Elimination of SPY Position Limits SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-27963 79 FR 27963 34-72144 http://www.sec.gov/litigation/admin/2014/34-72144.pdf 3-15560 2014-05-09 Corrected Order Making Findings, and Imposing Remedial Sanctions AP Settled Moore, Shawn H. N/A 34-72145 http://www.sec.gov/litigation/admin/2014/34-72145.pdf IA-3833 3-15867 2014-05-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Persaud, Gurudeo N/A 34-72146 http://www.sec.gov/litigation/admin/2014/34-72146.pdf 3-15654 2014-05-09 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice Convergex Execution Solutions LLC Convergex Global Markets Limited G-Trade Services LLC N/A AAER-3552 http://www.sec.gov/litigation/opinions/2014/34-72134.pdf 34-72134 3-15116 3-14872 2014-05-09 Order Denying the Division's Motion to Strike the Notice of Withdrawal of Appearance and Setting a Briefing Schedule Order BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited N/A AAER-3553 http://www.sec.gov/litigation/opinions/2014/34-72140.pdf 34-72140 3-15116 3-14872 2014-05-09 Order Granting Leave To Adduce Additional Evidence And Granting The Petitions For Review Order BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming LLP KPMG Huazhen (Special General Partnership) Price WaterhouseCoopers Zhong Tian CPAs Limited N/A AP-1414 http://www.sec.gov/alj/aljorders/2014/ap-1414.pdf 3-15808 2014-05-05 Order Finding Respondent in Default and Requesting Motion for Sanctions Order Johnson, Aaron Jousan N/A AP-1415 http://www.sec.gov/alj/aljorders/2014/ap-1415.pdf 3-15812 2014-05-05 Order Postponing Public Hearing Order Creative Vision Alliance Corporation N/A AP-1416 http://www.sec.gov/alj/aljorders/2014/ap-1416.pdf 3-15862 2014-05-05 Order Scheduling Hearing and Designating Presiding Judge Order GeNOsys, Inc. N/A AP-1417 http://www.sec.gov/alj/aljorders/2014/ap-1417.pdf 3-15845 2014-05-05 Postponement Order Order Chalmers, Julianne N/A AP-1418 http://www.sec.gov/alj/aljorders/2014/ap-1418.pdf 3-15746 2014-05-06 Postponement Order Order Dixon, Roy, Jr. N/A AP-1419 http://www.sec.gov/alj/aljorders/2014/ap-1419.pdf 3-15858 2014-05-07 Order Postponing Hearing and Scheduling Prehearing Conference Order Fortenberry, Stanley Jonathan (a/k/a S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) N/A AP-1420 http://www.sec.gov/alj/aljorders/2014/ap-1420.pdf 3-15844 2014-05-07 Order Postponing Hearing and Scheduling Prehearing Conference Order Tebbs, Kenneth C. N/A AP-1421 http://www.sec.gov/alj/aljorders/2014/ap-1421.pdf 3-15255 2014-05-07 Order Order Jarkesy, George R., Jr. John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC N/A AP-1422 http://www.sec.gov/alj/aljorders/2014/ap-1422.pdf 3-15848 2014-05-07 Order Postponing Hearing and Scheduling Prehearing Conference Order Franquelin, Armand R. N/A AP-1423 http://www.sec.gov/alj/aljorders/2014/ap-1423.pdf 3-15863 2014-05-07 Order Scheduling Hearing and Designating Presiding Judge Order ATS Corporation Clear Skies Solar, Inc. Debut Broadcasting Corporation, Inc. Physicians Healthcare Management Group, Inc. Technipower Systems, Inc. (a/k/a Solomon Technologies, Inc.) Theater Xtreme Entertainment Group, Inc. Worldgate Communications, Inc. YTB International, Inc. (a/k/a 1803 International, Inc.) N/A AP-1424 http://www.sec.gov/alj/aljorders/2014/ap-1424.pdf 3-15829 2014-05-08 Order Following Prehearing Conference Order Buswell, Richard J. N/A AP-1425 http://www.sec.gov/alj/aljorders/2014/ap-1425.pdf 3-15830 2014-05-08 Order Following Prehearing Conference, Finding Respondent in Default, and Directing a Motion for Sanctions Order Fouke, Herbert Steven N/A AP-1426 http://www.sec.gov/alj/aljorders/2014/ap-1426.pdf 3-15864 2014-05-09 Order Scheduling Hearing and Designating Presiding Judge Order Imaging Diagnostic Systems, Inc. N/A AP-1427 http://www.sec.gov/alj/aljorders/2014/ap-1427.pdf 3-14630 2014-05-09 Order Order Gallagher, Daniel J. N/A AP-1428 http://www.sec.gov/alj/aljorders/2014/ap-1428.pdf 3-15846 2014-05-09 Order Canceling Hearing Order Valley Forge Composite Technologies, Inc. N/A AP-1429 http://www.sec.gov/alj/aljorders/2014/ap-1429.pdf 3-15849 2014-05-09 Order Canceling Hearing Order Castle Arch Real Estate Investment Co., LLC Console Acquisition Corp. Pier Acquisition I, Inc. Pier Acquisition II, Inc. Placer Gold Corp. Target Acquisitions II, Inc. Turnstone Systems, Inc. Xebec International, Inc. N/A IA-3830 http://www.sec.gov/alj/aljdec/2014/34-72122.pdf 34-72122 3-15468 2014-05-08 Notice That Initial Decision Has Become Final Unknown Burns, Eric T. N/A IA-3831 http://www.sec.gov/litigation/admin/2014/ia-3831.pdf 3-15865 2014-05-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Dennis, Ronald N. N/A IA-3832 http://www.sec.gov/litigation/opinions/2014/33-9583.pdf 33-9583 34-72133 IC-31041 3-15024 2014-05-08 Order Denying Motion For Permission to File Late Petition For Review Order Gerasimowicz, Walter V. Meditron Asset Management, LLC Meditron Management Group, LLC N/A IA-3833 http://www.sec.gov/litigation/admin/2014/34-72145.pdf 34-72145 3-15867 2014-05-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Persaud, Gurudeo N/A IA-3834 http://www.sec.gov/litigation/admin/2014/ia-3834.pdf 3-15868 2014-05-09 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Spangler, Mark F. N/A IC-31038 http://www.sec.gov/rules/ic/2014/ic-31038.pdf 812-14243 2014-05-05 Order Order Balter Liquid Alternatives, LLC Professionally Managed Portfolios N/A IC-31039 http://www.sec.gov/rules/ic/2014/ic-31039.pdf 812-14225 2014-05-06 Order Order ALPS Advisors, Inc. ALPS Distributors, Inc. ALPS ETF Trust ALPS Portfolio Solutions Distributor, Inc. N/A IC-31040 http://www.sec.gov/rules/ic/2014/ic-31040.pdf 812-14210 2014-05-06 Order Order Ivy Funds, et al. N/A IC-31041 http://www.sec.gov/litigation/opinions/2014/33-9583.pdf 33-9583 34-72133 IA-3832 3-15024 2014-05-08 Order Denying Motion For Permission to File Late Petition For Review Order Gerasimowicz, Walter V. Meditron Asset Management, LLC Meditron Management Group, LLC N/A ID-596 http://www.sec.gov/alj/aljdec/2014/id596cff.pdf 3-15846 2014-05-08 Initial Decision Making Findings and Revoking Registration By Default Initial Decision Valley Forge Composite Technologies, Inc. N/A ID-597 http://www.sec.gov/alj/aljdec/2014/id597cff.pdf 3-15849 2014-05-09 Initial Decision Making Findings and Revoking Registrations by Default Initial Decision Castle Arch Real Estate Investment Co., LLC Console Acquisition Corp. Pier Acquisition I, Inc. Pier Acquisition II, Inc. Placer Gold Corp. Target Acquisitions II, Inc. Turnstone Systems, Inc. Xebec International, Inc. N/A LR-22985 http://www.sec.gov/litigation/litreleases/2014/lr22985.htm 2:14 CV 396 2014-05-05 Enforcement Case Cowgill, Douglas E. Professional Investment Management, Inc. N/A LR-22986 http://www.sec.gov/litigation/litreleases/2014/lr22986.htm 2:14-CV-2827 2014-05-07 Enforcement Case Agriogianis, Robert S. Becker, Shawn A. Kelley, S. Paul Lockhart, Roger D. Tazbaz, George N/A LR-22987 http://www.sec.gov/litigation/litreleases/2014/lr22987.htm 3:14-CV-02882-MLC-DEA 2014-05-07 Enforcement Case Campani, John Mullin, John Posner, Alan N/A LR-22988 http://www.sec.gov/litigation/litreleases/2014/lr22988.htm 14 CV 3247 2014-05-09 Enforcement Case Aphelion Fund Management, LLC Kalucha, Vineet N/A