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

2014-07-14 109 2 2014-06-09 2014-06-13 Securities Act of 1933 33 9597 9599 Securities Exchange Act of 1934 34 72346 72392 Accounting and Auditing Enforcement Release AAER 3557 3557 Administrative Proceeding AP 1499 1523 Investment Advisers Act of 1940 IA 3846 3856 Investment Company Act of 1940 IC 31073 31080 Initial Decision ID 610 611 Litigation Release LR 23016 23022 33-9597 http://www.sec.gov/litigation/admin/2014/33-9597.pdf 34-72352 IA-3847 IC-31073 3-15918 2014-06-09 Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing AP Litigated Malouf, Dennis J. N/A 33-9598 http://www.sec.gov/litigation/opinions/2014/33-9598.pdf 34-72354 3-13927 2014-06-09 Order Granting Motion for Stay Order Pierce, Gordon Brent N/A 33-9599 http://www.sec.gov/litigation/admin/2014/33-9599.pdf 34-72370 IA-3854 IC-31077 3-15926 2014-06-11 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Acri, Robert C. N/A 34-72346 http://www.sec.gov/rules/sro/bats/2014/34-72346.pdf SR-BATS-2014-022 2014-06-09 Notice / to Amend the Competitive Liquidity Provider Program SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-33982 79 FR 33982 34-72347 http://www.sec.gov/rules/sro/nysearca/2014/34-72347.pdf SR-NYSEARCA-2014-20 2014-06-09 Notice / Amendments Nos. 3 and 5 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove as Modified by Amendment Nos. 3 and 5, Relating to the Listing and Trading of Shares of Reality Shares DIVS ETF under NYSE Arca Equities Rule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-33964 79 FR 33964 34-72348 http://www.sec.gov/rules/sro/box/2014/34-72348.pdf SR-BOX-2014-17 2014-06-09 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/79-FR-33976 79 FR 33976 34-72349 http://www.sec.gov/rules/sro/nysearca/2014/34-72349.pdf SR-NYSEARCA-2014-66 2014-06-09 Notice / Immediate Effectiveness to Reflect a Change to the Reference Index Relating to the Columbia Select Large Cap Value ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-33973 79 FR 33973 34-72350 http://www.sec.gov/rules/sro/nasdaq/2014/34-72350.pdf SR-NASDAQ-2014-020 2014-06-09 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove Relating to Listing and Trading of Exchange-Traded Managed Fund Shares SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-33959 79 FR 33959 34-72351 http://www.sec.gov/rules/sro/phlx/2014/34-72351.pdf SR-PHLX-2014-39 2014-06-09 Notice / Immediate Effectiveness to Rule 1080.08 SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-33977 79 FR 33977 34-72352 http://www.sec.gov/litigation/admin/2014/33-9597.pdf 33-9597 IA-3847 IC-31073 3-15918 2014-06-09 Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing AP Litigated Malouf, Dennis J. N/A 34-72353 http://www.sec.gov/litigation/admin/2014/34-72353.pdf IA-3848 3-15919 2014-06-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mintz, Christopher B. N/A 34-72354 http://www.sec.gov/litigation/opinions/2014/33-9598.pdf 33-9598 3-13927 2014-06-09 Order Granting Motion for Stay Order Pierce, Gordon Brent N/A 34-72355 http://www.sec.gov/rules/sro/miax/2014/34-72355.pdf SR-MIAX-2014-25 2014-06-10 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/79-FR-34368 79 FR 34368 34-72356 http://www.sec.gov/rules/sro/miax/2014/34-72356.pdf SR-MIAX-2014-26 2014-06-10 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/79-FR-34384 79 FR 34384 34-72357 http://www.sec.gov/rules/sro/nasdaq/2014/34-72357.pdf SR-NASDAQ-2014-059 2014-06-10 Notice / Relating to the Listing and Trading of the Shares of the Global X Commodities ETF of Global X Funds SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-34376 79 FR 34376 34-72358 http://www.sec.gov/rules/sro/icc/2014/34-72358.pdf SR-ICC-2014-09 2014-06-10 Notice / Immediate Effectiveness to Update the ICC Risk Management Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/79-FR-34371 79 FR 34371 34-72359 http://www.sec.gov/rules/sro/ise/2014/34-72359.pdf SR-ISE-2014-10 2014-06-10 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove Related to Limiting Certain Types of Complex Orders from Legging into the Regular Market SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-34387 79 FR 34387 34-72360 http://www.sec.gov/litigation/opinions/2014/34-72360.pdf IA-3852 IC-31076 3-15141 2014-06-10 Corrected Order Granting Petition for Review and Scheduling Briefs Order Riad, Mohammed Swanson, Kevin Timothy N/A 34-72361 http://www.sec.gov/rules/sro/bx/2014/34-72361.pdf SR-BX-2014-029 2014-06-10 Notice / Immediate Effectiveness Relating to Joint Back Office Pricing SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-34374 79 FR 34374 34-72362 http://www.sec.gov/rules/sro/nasdaq/2014/34-72362.pdf SR-NASDAQ-2014-060 2014-06-10 Notice / Immediate Effectiveness Relating to Joint Back Office Pricing SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-34372 79 FR 34372 34-72363 http://www.sec.gov/litigation/admin/2014/34-72363.pdf AAER-3557 3-12692 2014-06-11 Order Granting Application for Reinstatement to Appear and Practice as an Accountant Order Hylland, Richard R., CPA N/A 34-72364 http://www.sec.gov/litigation/suspensions/2014/34-72364.pdf 500-1 2014-06-11 Trading Suspension Trading Suspension Community Valley Bancorp Genemen, Inc. GWS Technologies, Inc. Homeland Precious Metals Corp. NuRx Pharmaceuticals, Inc. The Bank Holdings http://www.federalregister.gov/citation/79-FR-33990 79 FR 33990 34-72365 http://www.sec.gov/litigation/admin/2014/34-72365.pdf 3-15923 2014-06-11 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Community Valley Bancorp Genemen, Inc. GWS Technologies, Inc. Homeland Precious Metals Corp. NuRx Pharmaceuticals, Inc. The Bank Holdings N/A 34-72366 http://www.sec.gov/litigation/suspensions/2014/34-72366.pdf 500-1 2014-06-11 Trading Suspension Trading Suspension LifeHealthCare, Inc. Smartlinx, Inc. Total Apparel Group, Inc. http://www.federalregister.gov/citation/79-FR-33989 79 FR 33989 34-72367 http://www.sec.gov/litigation/admin/2014/34-72367.pdf 3-15924 2014-06-11 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated LifeHealthCare, Inc. Smartlinx, Inc. Total Apparel Group, Inc. N/A 34-72368 http://www.sec.gov/litigation/admin/2014/34-72368.pdf 3-15818 2014-06-11 Notice That Initial Decision Has Become Final Notice Aclor International, Inc. Diversified Global Holdings Group, Inc. FutureIT, Inc. Southern Star Energy, Inc. W Holding Co., Inc. N/A 34-72369 http://www.sec.gov/litigation/admin/2014/34-72369.pdf 3-15814 2014-06-11 Notice That Initial Decision Has Become Final Notice Hendrx Corp. Plastinum Polymer Technologies Corp. Vertical Branding, Inc. WHY USA Financial Group, Inc. XNE, Inc. N/A 34-72370 http://www.sec.gov/litigation/admin/2014/33-9599.pdf 33-9599 IA-3854 IC-31077 3-15926 2014-06-11 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Acri, Robert C. N/A 34-72371 http://www.sec.gov/rules/sro/bats/2014/34-72371.pdf SR-BATS-2014-023 2014-06-12 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-34810 79 FR 34810 34-72372 http://www.sec.gov/litigation/admin/2014/34-72372.pdf 3-15892 2014-06-12 Order Making Findings and Revoking Registration AP Settled Wilder Filing, Inc. N/A 34-72373 http://www.sec.gov/rules/other/2014/34-72373.pdf NO FILE NUMBER 2014-06-12 Notice Notice Public Availability of the Securities and Exchange Commission's FY 2013 Service Contract Inventory http://www.federalregister.gov/citation/79-FR-34557 79 FR 34557 34-72374 http://www.sec.gov/rules/sro/edgx/2014/34-72374.pdf SR-EDGX-2014-16 2014-06-12 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-34803 79 FR 34803 34-72375 http://www.sec.gov/rules/sro/edga/2014/34-72375.pdf SR-EDGA-2014-14 2014-06-12 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-34808 79 FR 34808 34-72376 http://www.sec.gov/rules/sro/bats/2014/34-72376.pdf SR-BATS-2014-021 2014-06-12 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-34817 79 FR 34817 34-72377 http://www.sec.gov/rules/sro/bats/2014/34-72377.pdf SR-BATS-2014-024 2014-06-12 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-34822 79 FR 34822 34-72378 http://www.sec.gov/rules/sro/nasdaq/2014/34-72378.pdf SR-NASDAQ-2014-062 2014-06-12 Notice / Immediate Effectiveness Relating to NASDAQ Options Market Fees and Rebates SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-34814 79 FR 34814 34-72379 http://www.sec.gov/rules/sro/ise/2014/34-72379.pdf SR-ISE-2014-30 2014-06-12 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-34812 79 FR 34812 34-72380 http://www.sec.gov/litigation/admin/2014/34-72380.pdf 3-15929 2014-06-12 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Polhill, Larry R. N/A 34-72381 http://www.sec.gov/rules/sro/nysearca/2014/34-72381.pdf SR-NYSEARCA-2014-65 2014-06-12 Notice / Immediate Effectiveness Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Add an Additional Requirement to Qualify for Step Up Tier 3 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-34819 79 FR 34819 34-72382 http://www.sec.gov/rules/sro/nasdaq/2014/34-72382.pdf SR-NASDAQ-2014-041 2014-06-12 Order / as Modified by Amendment No. 1, to List and Trade of Shares of the First Trust Enhanced Short Maturity ETF of First Trust Exchange-Traded Fund IV SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-34805 79 FR 34805 34-72383 http://www.sec.gov/litigation/admin/2014/34-72383.pdf 3-15798 2014-06-12 Notice That Initial Decision Has Become Final Notice Coplan, Jenny E. N/A 34-72384 http://www.sec.gov/rules/sro/nasdaq/2014/34-72384.pdf SR-NASDAQ-2014-038 2014-06-13 Notice / Designation of Longer Period for Commission Action, as Modified by Amendment Nos. 1 and 2, Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 DIVS Index ETF of the Reality Shares ETF Trust Under Rule 5705 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-35205 79 FR 35205 34-72385 http://www.sec.gov/rules/sro/nysearca/2014/34-72385.pdf SR-NYSEARCA-2014-41 2014-06-13 Notice / Designation of Longer Period for Commission Action, as Modified by Amendment Nos. 1 and 4, Relating to Listing and Trading of Shares of the Reality Shares DIVS Index ETF under NYSE Arca Equities Rule 5.2(j)(3) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-35205 79 FR 35205 34-72386 http://www.sec.gov/rules/sro/bx/2014/34-72386.pdf SR-BX-2014-031 2014-06-13 Notice / Immediate Effectiveness to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or More SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-35194 79 FR 35194 34-72387 http://www.sec.gov/rules/sro/chx/2014/34-72387.pdf SR-CHX-2014-09 2014-06-13 Notice / Immediate Effectiveness to Remove Obsolete Rule Language and to Permit the Exchange to Enable or Disable Trade Adjustment Functionalities Pursuant to Notice SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/79-FR-35206 79 FR 35206 34-72388 http://www.sec.gov/rules/sro/cboe/2014/34-72388.pdf SR-CBOE-2014-049 2014-06-13 Notice / Immediate Effectiveness Relating to the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-35200 79 FR 35200 34-72389 http://www.sec.gov/rules/sro/nysemkt/2014/34-72389.pdf SR-NYSEMKT-2014-51 2014-06-13 Notice / Immediate Effectiveness Amending Rule 971.1NY(c)(4)(D) to Add Specificity Regarding When a Customer Best Execution Auction Would Conclude Early SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-35201 79 FR 35201 34-72390 http://www.sec.gov/rules/sro/cboe/2014/34-72390.pdf SR-CBOE-2014-050 2014-06-13 Notice / Relating to Trade Nullification and Price Adjustment SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-35198 79 FR 35198 34-72391 http://www.sec.gov/rules/sro/dtc/2014/34-72391.pdf SR-DTC-2013-11 2014-06-13 Notice / Designation of Longer Period for Commission Action, as Modified by Amendment Nos. 1 and 2, to Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends to Impose Restrictions on the SRO Filing Depository Trust Company http://www.federalregister.gov/citation/79-FR-35193 79 FR 35193 34-72392 http://www.sec.gov/rules/sro/cfe/2014/34-72392.pdf SR-CFE-2014-002 2014-06-13 Notice / Immediate Effectiveness Relating to the Notification and Reporting Provisions for Exchange of Contract for Related Position Transactions and Block Trades SRO Filing CBOE Futures Exchange, LLC http://www.federalregister.gov/citation/79-FR-35196 79 FR 35196 AAER-3557 http://www.sec.gov/litigation/admin/2014/34-72363.pdf 34-72363 3-12692 2014-06-11 Order Granting Application for Reinstatement to Appear and Practice as an Accountant Order Hylland, Richard R., CPA N/A AP-1499 http://www.sec.gov/alj/aljorders/2014/ap-1499.pdf 3-15909 2014-06-09 Order Scheduling Hearing and Designating Presiding Judge Order Zhidali Radio and Television Network, Inc. N/A AP-1500 http://www.sec.gov/alj/aljorders/2014/ap-1500.pdf 3-15910 2014-06-09 Order Scheduling Hearing and Designating Presiding Judge Order China Power Technology, Inc. N/A AP-1501 http://www.sec.gov/alj/aljorders/2014/ap-1501.pdf 3-15883 2014-06-09 Order Canceling Hearing Order International Development and Environmental Holdings N/A AP-1502 http://www.sec.gov/alj/aljorders/2014/ap-1502.pdf 3-15873 2014-06-09 Order Postponing Hearing and Scheduling Prehearing Conference Order Delaney, Thomas R., II Yancey, Charles W. N/A AP-1503 http://www.sec.gov/alj/aljorders/2014/ap-1503.pdf 3-15848 2014-06-10 Order Following Prehearing Conference Order Franquelin, Armand R. N/A AP-1504 http://www.sec.gov/alj/aljorders/2014/ap-1504.pdf 3-15918 2014-06-10 Order Scheduling Hearing and Designating Presiding Judge Order Malouf, Dennis J. N/A AP-1505 http://www.sec.gov/alj/aljorders/2014/ap-1505.pdf 3-15888 2014-06-10 Order Postponing Hearing and Scheduling Prehearing Conference Order French, Donald R., Jr. N/A AP-1506 http://www.sec.gov/alj/aljorders/2014/ap-1506.pdf 3-15858 2014-06-10 Order Amending Procedural Schedule Order Fortenberry, Stanley Jonathan (a/k/a S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry) N/A AP-1507 http://www.sec.gov/alj/aljorders/2014/ap-1507.pdf 3-15862 2014-06-10 Order Following Prehearing Conference Order GeNOsys, Inc. N/A AP-1508 http://www.sec.gov/alj/aljorders/2014/ap-1508.pdf 3-15920 2014-06-11 Order Scheduling Hearing and Designating Presiding Judge Order Vision Specialist Group, LLC N/A AP-1509 http://www.sec.gov/alj/aljorders/2014/ap-1509.pdf 3-15921 2014-06-11 Order Scheduling Hearing and Designating Presiding Judge Order Bard, Robert G. N/A AP-1510 http://www.sec.gov/alj/aljorders/2014/ap-1510.pdf 3-15924 2014-06-11 Order Scheduling Hearing and Designating Presiding Judge Order LifeHealthCare, Inc. Smartlinx, Inc. Total Apparel Group, Inc. N/A AP-1511 http://www.sec.gov/alj/aljorders/2014/ap-1511.pdf 3-15907 2014-06-11 Order Postponing Hearing and Scheduling Prehearing Conference Order FLM Minerals, Inc. N/A AP-1512 http://www.sec.gov/alj/aljorders/2014/ap-1512.pdf 3-15826 2014-06-11 Order Order Kawamura, Keiko N/A AP-1513 http://www.sec.gov/alj/aljorders/2014/ap-1513.pdf 3-14630 2014-06-11 Order Order Gallagher, Daniel J. N/A AP-1514 http://www.sec.gov/alj/aljorders/2014/ap-1514.pdf 3-15619 2014-06-12 Order Denying Motion to Correct Order Daniels, William, J. Doxey, Joseph P. N/A AP-1515 http://www.sec.gov/alj/aljorders/2014/ap-1515.pdf 3-15923 2014-06-12 Order Scheduling Hearing and Designating Presiding Judge Order Community Valley Bancorp Genemen, Inc. GWS Technologies, Inc. Homeland Precious Metals Corp. NuRx Pharmaceuticals The Bank Holdings N/A AP-1516 http://www.sec.gov/alj/aljorders/2014/ap-1516.pdf 3-15925 2014-06-12 Order Scheduling Hearing and Designating Presiding Judge Order Steinberg, Michael S. N/A AP-1517 http://www.sec.gov/alj/aljorders/2014/ap-1517.pdf 3-15884 2014-06-12 Order Postponing Hearing, Scheduling Prehearing Conference, and To Show Cause As To All Respondents Order OCTuS, Inc. Pacific Coast National Bancorp Travelstar, Inc. We Save Homes, Inc. ZVUE Corp. N/A AP-1518 http://www.sec.gov/alj/aljorders/2014/ap-1518.pdf 3-15659 2014-06-12 Order Scheduling Hearing and Designating Presiding Judge Order Melvin, Thomas D., CPA N/A AP-1519 http://www.sec.gov/alj/aljorders/2014/ap-1519.pdf 3-15891 2014-06-12 Order Postponing Hearing and Scheduling Prehearing Conference Order Asia Global Holdings Corp. China Electric Motor, Inc. Ikona Gear International, Inc. Imagin Molecular Corp. (n/k/a The Planet Bottle Corporation) Sungold International Holdings Corp. Westergaard.com, Inc. N/A AP-1520 http://www.sec.gov/alj/aljorders/2014/ap-1520.pdf 3-15755 2014-06-13 Order Order Feathers, Mark N/A AP-1521 http://www.sec.gov/alj/aljorders/2014/ap-1521.pdf 3-15897 2014-06-13 Order on Respondent's Motion for Extension of Time to Answer Order Cloudeeva, Inc. N/A AP-1522 http://www.sec.gov/alj/aljorders/2014/ap-1522.pdf 3-15892 2014-06-13 Order Postponing Hearing, Scheduling Prehearing Conference, and to Show Cause as to Respondents Order Carbon 612 Corporation EcoGlobal Holdings Corporation Euramerica Holdings Corp. N/A AP-1523 http://www.sec.gov/alj/aljorders/2014/ap-1523.pdf 3-15928 2014-06-13 Order Scheduling Hearing and Designating Presiding Judge Order Yang, Siming N/A IA-3846 http://www.sec.gov/litigation/admin/2014/ia-3846.pdf 3-15917 2014-06-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled UASNM, Inc. N/A IA-3847 http://www.sec.gov/litigation/admin/2014/33-9597.pdf 33-9597 34-72352 IC-31073 3-15918 2014-06-09 Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing AP Litigated Malouf, Dennis J. N/A IA-3848 http://www.sec.gov/litigation/admin/2014/34-72353.pdf 34-72353 3-15919 2014-06-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mintz, Christopher B. N/A IA-3849 http://www.sec.gov/litigation/admin/2014/ia-3849.pdf 3-15920 2014-06-10 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Vision Specialist Group, LLC N/A IA-3850 http://www.sec.gov/litigation/admin/2014/ia-3850.pdf 3-15921 2014-06-10 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Bard, Robert G. N/A IA-3851 http://www.sec.gov/litigation/admin/2014/ia-3851.pdf 3-15922 2014-06-10 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Meyer, Saul N/A IA-3852 http://www.sec.gov/litigation/opinions/2014/34-72360.pdf 34-72360 IC-31076 3-15141 2014-06-10 Corrected Order Granting Petition for Review and Scheduling Briefs Order Riad, Mohammed Swanson, Kevin Timothy N/A IA-3853 http://www.sec.gov/litigation/admin/2014/ia-3853.pdf 3-15925 2014-06-11 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Steinberg, Michael S. N/A IA-3854 http://www.sec.gov/litigation/admin/2014/33-9599.pdf 33-9599 34-72370 IC-31077 3-15926 2014-06-11 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Acri, Robert C. N/A IA-3855 http://www.sec.gov/litigation/admin/2014/ia-3855.pdf IC-31078 3-15927 2014-06-11 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Meade, Thomas E. N/A IA-3856 http://www.sec.gov/litigation/admin/2014/ia-3856.pdf 3-15928 2014-06-12 Order Instituting Public Administrative Proceedings and Notice of Hearing AP Litigated Yang, Siming N/A IC-31073 http://www.sec.gov/litigation/admin/2014/33-9597.pdf 33-9597 34-72352 IA-3847 3-15918 2014-06-09 Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing AP Litigated Malouf, Dennis J. N/A IC-31074 http://www.sec.gov/rules/ic/2014/ic-31074.pdf 812-14239 2014-06-10 Order Order Capitala Finance Corp. Capitala Investment Advisors, LLC CapitalSouth Parners Fund II Limited Partnership CapitalSouth Partners F-II, LLC CapitalSouth Partners Florida Sidecar Fund I, L.P. CapitalSouth Partners SBIC F-III, LLC CapitalSouth Partners SBIC Fund III, L.P. CSP-Mezzanine Fund I, LLC N/A IC-31075 http://www.sec.gov/rules/ic/2014/ic-31075.pdf 812-14147 2014-06-10 Order Order Partners Group (USA) Inc. Partners Group Private Equity (Master Fund), LLC N/A IC-31076 http://www.sec.gov/litigation/opinions/2014/34-72360.pdf 34-72360 IA-3852 3-15141 2014-06-10 Corrected Order Granting Petition for Review and Scheduling Briefs Order Riad, Mohammed Swanson, Kevin Timothy N/A IC-31077 http://www.sec.gov/litigation/admin/2014/33-9599.pdf 33-9599 34-72370 IA-3854 3-15926 2014-06-11 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Acri, Robert C. N/A IC-31078 http://www.sec.gov/litigation/admin/2014/ia-3855.pdf IA-3855 3-15927 2014-06-11 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Meade, Thomas E. N/A IC-31079 http://www.sec.gov/rules/ic/2014/ic-31079.pdf 812-14274 2014-06-12 Notice Notice Absolute Shares Trust, et al. http://www.federalregister.gov/citation/79-FR-34079 79 FR 34079 IC-31080 http://www.sec.gov/rules/ic/2014/ic-31080.pdf 812-14120 2014-06-12 Notice Notice WhiteHorse Finance, Inc., et al. http://www.federalregister.gov/citation/79-FR-34799 79 FR 34799 ID-610 http://www.sec.gov/alj/aljdec/2014/id610cff.pdf 3-15883 2014-06-09 Initial Decision Making Findings and Revoking Registration By Default Initial Decision International Development and Environmental Holdings N/A ID-611 http://www.sec.gov/alj/aljdec/2014/id611bpm.pdf 3-15758 2014-06-11 Initial Decision Initial Decision Premier Beverage Group Corp. N/A LR-23016 http://www.sec.gov/litigation/litreleases/2014/lr23016.htm 0:13-CV-60637-WJZ 2014-06-10 Enforcement Case Cook, Robert B. N/A LR-23017 http://www.sec.gov/litigation/litreleases/2014/lr23017.htm 09-CV-2518(KPF) 2014-06-10 Enforcement Case Meyer, Saul N/A LR-23018 http://www.sec.gov/litigation/litreleases/2014/lr23018.htm 14-3699-KSH 2014-06-10 Enforcement Case Baron, Michael J. N/A LR-23019 http://www.sec.gov/litigation/litreleases/2014/lr23019.htm 13-CV-04464-RGK (JCGX) 2014-06-11 Enforcement Case Gross, Kenneth Hurd, Robert Smokey Canyon Financial Inc. Your Best Memories International Inc. N/A LR-23020 http://www.sec.gov/litigation/litreleases/2014/lr23020.htm 1:14-CV-04132 2014-06-12 Enforcement Case Chang, Luis Everbright Development Overseas Limited N/A LR-23021 http://www.sec.gov/litigation/litreleases/2014/lr23021.htm 1:14-CV-01002 2014-06-13 Enforcement Case Commercial Equity Partners, Ltd FGC CM Note Fund LLC FGC Distressed Assets Investment #1, LLC FGC SPE NO 1 LLC FGC SPE NO 2 LLC FGC Tax Lien Fund #2, LLC FGC Trading Fund #1 LLC FutureGen Capital DDA CG Fund LLC FutureGen Company (d/b/a FutureGen Capital) Schmidt, Lawrence P. N/A LR-23022 http://www.sec.gov/litigation/litreleases/2014/lr23022.htm 3:14-CV-02743 2014-06-13 Enforcement Case Akbari, Ammar Chaganlal, Roshanlal Khan, Saleem Khan, Shahid Koza, Michael Mendosa, Ranjan N/A