2014-11-12
109
16
2014-09-15
2014-09-19
Securities Act of 1933
33
9647
9647
Securities Exchange Act of 1934
34
73088
73156
Administrative Proceeding
AP
1804
1820
Investment Advisers Act of 1940
IA
3919
3926
Investment Company Act of 1940
IC
31250
31253
Initial Decision
ID
669
672
Litigation Release
LR
23083
23088
33-9647
http://www.sec.gov/rules/other/2014/33-9647.pdf
34-73131
265-28
2014-09-17
Notice
Notice
Investor Advisory Committee Meeting
http://www.federalregister.gov/citation/79-FR-56835
79 FR 56835
34-73088
http://www.sec.gov/litigation/suspensions/2014/34-73088.pdf
500-1
2014-09-15
Trading Suspension
Trading Suspension
Adarna Energy Corporation
Brampton Crest International, Inc.
Covenant Group of China Inc.
Mobile Area Networks, Inc.
Netco Investments, Inc.
OneTravel Holdings, Inc.
PDG Environmental, Inc.
http://www.federalregister.gov/citation/79-FR-55867
79 FR 55867
34-73089
http://www.sec.gov/litigation/admin/2014/34-73089.pdf
3-16105
2014-09-15
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Adarna Energy Corporation
Bluedata Corporation
Brampton Crest International, Inc.
Covenant Group of China, Inc.
Mobile Area Networks, Inc.
Netco Investments, Inc.
OneTravel Holdings, Inc.
PDG Environmental, Inc.
N/A
34-73090
http://www.sec.gov/litigation/suspensions/2014/34-73090.pdf
500-1
2014-09-15
Trading Suspension
Trading Suspension
Asian Dragon Group, Inc.
Atlas Minerals, Inc. (n/k/a Atlas Corporation)
CPC of America, Inc.
Mezabay International, Inc.
Power3 Medical Products, Inc. (a/k/a Power 3 Medical Products, Inc.)
http://www.federalregister.gov/citation/79-FR-55867
79 FR 55867
34-73091
http://www.sec.gov/litigation/admin/2014/34-73091.pdf
3-16106
2014-09-15
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Asian Dragon Group, Inc.
Atlas Minerals, Inc. (n/k/a Atlas Corporation)
CPC of America, Inc.
Mezabay International, Inc.
Power3 Medical Products, Inc. (a/k/a Power 3 Medical Products, Inc.)
N/A
34-73092
http://www.sec.gov/litigation/admin/2014/34-73092.pdf
3-16002
2014-09-15
Order Making Findings and Revoking Registration
AP Settled
Conquest Petroleum, Inc.
N/A
34-73093
http://www.sec.gov/rules/sro/bats/2014/34-73093.pdf
SR-BATS-2014-037
2014-09-15
Notice / of a Proposed Rule Change to Rules 11.9 and 21.1
SRO Filing
BATS Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-56421
79 FR 56421
34-73094
http://www.sec.gov/rules/sro/byx/2014/34-73094.pdf
SR-BYX-2014-018
2014-09-15
Notice / of a Proposed Rule Change to Rule 11.9
SRO Filing
BATS Y-Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-56411
79 FR 56411
34-73095
http://www.sec.gov/rules/sro/nysemkt/2014/34-73095.pdf
SR-NYSEMKT-2014-63
2014-09-15
Order / Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/79-FR-56419
79 FR 56419
34-73096
http://www.sec.gov/rules/sro/nyse/2014/34-73096.pdf
SR-NYSE-2014-39
2014-09-15
Order / Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/79-FR-56425
79 FR 56425
34-73097
http://www.sec.gov/litigation/admin/2014/34-73097.pdf
3-16107
2014-09-15
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
O'Brien, Kevin P.
N/A
34-73098
http://www.sec.gov/rules/sro/edga/2014/34-73098.pdf
SR-EDGA-2014-16
2014-09-15
Notice / to Establish a New Market Data Product Called the BATS One Feed
SRO Filing
EDGA Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-56415
79 FR 56415
34-73099
http://www.sec.gov/rules/sro/edgx/2014/34-73099.pdf
SR-EDGX-2014-19
2014-09-15
Notice / to Establish a New Market Data Product Called the BATS One Feed
SRO Filing
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-56418
79 FR 56418
34-73100
http://www.sec.gov/rules/sro/cboe/2014/34-73100.pdf
SR-CBOE-2014-070
2014-09-15
Notice / Immediate Effectiveness to Amend the Fees Schedule
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-56415
79 FR 56415
34-73101
http://www.sec.gov/rules/sro/bats/2014/34-73101.pdf
SR-BATS-2014-028
2014-09-15
Notice / to Establish a New Market Data Product Called the BATS One Feed
SRO Filing
BATS Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-56418
79 FR 56418
34-73102
http://www.sec.gov/rules/sro/byx/2014/34-73102.pdf
SR-BYX-2014-011
2014-09-15
Notice / to Establish a New Market Data Product Called the BATS One Feed
SRO Filing
BATS Y-Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-56419
79 FR 56419
34-73103
http://www.sec.gov/litigation/admin/2014/34-73103.pdf
3-15969
2014-09-16
Order Making Findings and Revoking Registration
AP Settled
Noram Capital Holdings Inc.
N/A
34-73104
http://www.sec.gov/litigation/admin/2014/34-73104.pdf
3-16108
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Midwood Capital Management LLC
N/A
34-73105
http://www.sec.gov/litigation/admin/2014/34-73105.pdf
3-16109
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
RA Capital Management, LLC
N/A
34-73106
http://www.sec.gov/litigation/admin/2014/34-73106.pdf
3-16110
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Rockwood Investment Management, Inc.
N/A
34-73107
http://www.sec.gov/litigation/admin/2014/34-73107.pdf
3-16111
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Seawolf Capital, LLC
N/A
34-73108
http://www.sec.gov/litigation/admin/2014/34-73108.pdf
3-16112
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Nob Hill Capital Management, Inc.
N/A
34-73109
http://www.sec.gov/litigation/admin/2014/34-73109.pdf
3-16113
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Solus Alternative Asset Management LP
N/A
34-73110
http://www.sec.gov/litigation/admin/2014/34-73110.pdf
3-16114
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Suttonbrook Capital Management LP
N/A
34-73111
http://www.sec.gov/litigation/admin/2014/34-73111.pdf
3-16115
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Troubh Partners LP
N/A
34-73112
http://www.sec.gov/litigation/admin/2014/34-73112.pdf
3-16116
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Vinci Partners Investmentos Ltda.
N/A
34-73113
http://www.sec.gov/litigation/admin/2014/34-73113.pdf
3-16117
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Whitebox Advisors LLC
N/A
34-73114
http://www.sec.gov/litigation/admin/2014/34-73114.pdf
3-16118
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Advent Capital Management, LLC
N/A
34-73115
http://www.sec.gov/litigation/admin/2014/34-73115.pdf
3-16119
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Antipodean Advisors LLC
N/A
34-73116
http://www.sec.gov/litigation/admin/2014/34-73116.pdf
3-16120
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
BlackRock Institutional Trust Company, N.A.
N/A
34-73117
http://www.sec.gov/litigation/admin/2014/34-73117.pdf
3-16121
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
East Side Holdings II, Inc.
N/A
34-73118
http://www.sec.gov/litigation/admin/2014/34-73118.pdf
3-16122
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Explorador Capital Management, LLC
N/A
34-73119
http://www.sec.gov/litigation/admin/2014/34-73119.pdf
3-16123
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Formula Growth, Ltd.
N/A
34-73120
http://www.sec.gov/litigation/admin/2014/34-73120.pdf
3-16124
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Great Point Partners, LLC
N/A
34-73121
http://www.sec.gov/litigation/admin/2014/34-73121.pdf
3-16125
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Indaba Capital Management, L.P.
N/A
34-73122
http://www.sec.gov/litigation/admin/2014/34-73122.pdf
3-16126
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Ironman Capital Management, LLC
N/A
34-73123
http://www.sec.gov/litigation/admin/2014/34-73123.pdf
3-16127
2014-09-16
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Parsons, James C.
N/A
34-73124
http://www.sec.gov/litigation/opinions/2014/34-73124.pdf
3-14810R
2014-09-16
Opinion
Opinion
Plunkett, John Joseph
N/A
34-73125
http://www.sec.gov/litigation/admin/2014/34-73125.pdf
3-16128
2014-09-17
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
Latour Trading LLC
Niquet, Nicolas
N/A
34-73126
http://www.sec.gov/rules/sro/phlx/2014/34-73126.pdf
SR-PHLX-2014-60
2014-09-17
Notice / Immediate Effectiveness to Amend the Exchange's Pricing Schedule under Section VII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
SRO Filing
NASDAQ OMX PHLX LLC
http://www.federalregister.gov/citation/79-FR-56838
79 FR 56838
34-73127
http://www.sec.gov/litigation/admin/2014/34-73127.pdf
3-15393
2014-09-17
Extension Order
Order
Comprehensive Capital Management, Inc.
N/A
34-73128
http://www.sec.gov/rules/sro/iceeu/2014/34-73128.pdf
SR-ICEEU-2014-14
2014-09-17
Notice / Immediate Effectiveness Relating to ICE Clear Europe Delivery Procedures
SRO Filing
ICE Clear Europe Limited
http://www.federalregister.gov/citation/79-FR-56840
79 FR 56840
34-73129
http://www.sec.gov/litigation/admin/2014/34-73129.pdf
IA-3921
3-16132
2014-09-17
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Hart, Jeremy Michael
N/A
34-73130
http://www.sec.gov/litigation/admin/2014/34-73130.pdf
IA-3922
3-16133
2014-09-17
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Semadeni, Anthony Leon
N/A
34-73131
http://www.sec.gov/rules/other/2014/33-9647.pdf
33-9647
265-28
2014-09-17
Notice
Notice
Investor Advisory Committee Meeting
http://www.federalregister.gov/citation/79-FR-56835
79 FR 56835
34-73132
http://www.sec.gov/rules/sro/nasdaq/2014/34-73132.pdf
SR-NASDAQ-2014-092
2014-09-17
Notice / Immediate Effectiveness to Amend Fees for Optional Wireless Connectivity for Co-located Clients
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-56836
79 FR 56836
34-73133
http://www.sec.gov/litigation/admin/2014/34-73133.pdf
3-15969
2014-09-18
Order Making Findings and Revoking Registration of Securities
AP Settled
Integra Bank Corporation
N/A
34-73134
http://www.sec.gov/litigation/suspensions/2014/34-73134.pdf
500-1
2014-09-18
Trading Suspension
Trading Suspension
AGR Tools, Inc.
Arcadia Resources, Inc.
Citizens First Bancorp, Inc.
First Capital International, Inc.
GreenTek Corp.
Metabolic Research, Inc.
http://www.federalregister.gov/citation/79-FR-56613
79 FR 56613
34-73135
http://www.sec.gov/litigation/admin/2014/34-73135.pdf
3-16135
2014-09-18
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
AGR Tools, Inc.
Arcadia Resources, Inc.
Citizens First Bancorp, Inc.
First Capital International, Inc.
GreenTek Corp.
Metabolic Research, Inc.
N/A
34-73136
http://www.sec.gov/litigation/suspensions/2014/34-73136.pdf
500-1
2014-09-18
Trading Suspension
Trading Suspension
Gepco, Ltd.
http://www.federalregister.gov/citation/79-FR-56614
79 FR 56614
34-73137
http://www.sec.gov/rules/sro/nyse/2014/34-73137.pdf
SR-NYSE-2014-40
2014-09-18
Notice / Establishing the NYSE Best Quote & Trades Data Feed
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/79-FR-57160
79 FR 57160
34-73138
http://www.sec.gov/litigation/admin/2014/34-73138.pdf
3-16136
2014-09-18
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Corridor Ventures II Acquisition Corp.
Dong Xin Chemical Co., Ltd.
Silica Resources Corp.
Sino Oil & Gas Pipe Holdings Ltd.
SK Shasta Acquisition Corp. 1
SK Shasta Acquisition Corp. 2
SK Shasta Acquisition Corp. 3
SK Shasta Acquisition Corp. 4
N/A
34-73139
http://www.sec.gov/litigation/admin/2014/34-73139.pdf
3-16137
2014-09-18
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
China bus Group Co. (f/k/a alpine Alpha 3, Ltd.)
China Capital Finance Corp. Inc.
China Complant Group Inc.
China Oumei Real Estate, Inc.
China Transportation International Holdings Group Ltd.
ChinaCast Education Corp.
Phoenix Agri Enterprises, Inc.
Precise Strategy Acquisition Corp.
N/A
34-73140
http://www.sec.gov/rules/sro/nasdaq/2014/34-73140.pdf
SR-NASDAQ-2014-073
2014-09-18
Order / to List and Trade Shares of the First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-57144
79 FR 57144
34-73141
http://www.sec.gov/rules/sro/nysearca/2014/34-73141.pdf
SR-NYSEARCA-2014-100
2014-09-18
Notice / Relating to Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF under NYSE Arca Equities Rule 8.600
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-57161
79 FR 57161
34-73142
http://www.sec.gov/rules/sro/nasdaq/2014/34-73142.pdf
SR-NASDAQ-2014-065
2014-09-18
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt New Rule 5713 and List Paired Class Shares by AccuShares Commodities Trust I
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-57150
79 FR 57150
34-73143
http://www.sec.gov/rules/sro/occ/2014/34-73143.pdf
SR-OCC-2014-16
2014-09-18
Notice / Order Accelerating to Apply Enhanced Post-Trade Price Reasonableness Checks on Confirmed Trades in Standardized Options and Futures Options to Increase the Likelihood that Erroneous Trades will be Identified and Voided
SRO Filing
Options Clearing Corporation
http://www.federalregister.gov/citation/79-FR-57158
79 FR 57158
34-73144
http://www.sec.gov/rules/sro/bsecc/2014/34-73144.pdf
SR-BSECC-2014-001
2014-09-19
Notice / to Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.
SRO Filing
Boston Stock Exchange Clearing Corporation
http://www.federalregister.gov/citation/79-FR-57624
79 FR 57624
34-73145
http://www.sec.gov/rules/sro/sccp/2014/34-73145.pdf
SR-SCCP-2014-01
2014-09-19
Notice / to Amend the Amended and Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.
SRO Filing
Stock Clearing Corporation of Philadelphia
http://www.federalregister.gov/citation/79-FR-57648
79 FR 57648
34-73146
http://www.sec.gov/litigation/opinions/2014/34-73146.pdf
3-15833
2014-09-19
Order Granting Motion to Dismiss Application for Review
Order
Lenahan, Caryl Trewyn
N/A
34-73147
http://www.sec.gov/rules/sro/ise/2014/34-73147.pdf
SR-ISE-2014-09
2014-09-19
Order / Related to Market Maker Risk Parameters
SRO Filing
International Securities Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-57639
79 FR 57639
34-73148
http://www.sec.gov/rules/sro/isegemini/2014/34-73148.pdf
SR-ISEGEMINI-2014-09
2014-09-19
Order / Related to Market Maker Risk Parameters
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/79-FR-57626
79 FR 57626
34-73149
http://www.sec.gov/rules/sro/nysearca/2014/34-73149.pdf
SR-NYSEARCA-2014-102
2014-09-19
Notice / as Modified by Amendment No. 1, to List and Trade Shares of the Greenhaven Coal Fund Under NYSE Arca Equities Rule 8.200, Commentary .02
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-57640
79 FR 57640
34-73150
http://www.sec.gov/rules/sro/chx/2014/34-73150.pdf
SR-CHX-2014-15
2014-09-19
Notice / Immediate Effectiveness to Adopt the CHX Routing Services
SRO Filing
Chicago Stock Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-57603
79 FR 57603
34-73151
http://www.sec.gov/rules/sro/nysearca/2014/34-73151.pdf
SR-NYSEARCA-2014-106
2014-09-19
Notice / Immediate Effectiveness Amending NYSE Arca Equities Rule 2.100(a) to Correct Potential Ambiguities Introduced in Prior Rule Change Filings Submitted in 2013 and 2014
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-57601
79 FR 57601
34-73152
http://www.sec.gov/rules/sro/phlx/2014/34-73152.pdf
SR-PHLX-2014-54
2014-09-19
Notice / to Add a New Complex Order Process Called Legging Orders
SRO Filing
NASDAQ OMX PHLX LLC
http://www.federalregister.gov/citation/79-FR-57632
79 FR 57632
34-73153
http://www.sec.gov/rules/sro/nyse/2014/34-73153.pdf
SR-NYSE-2014-51
2014-09-19
Notice / Immediate Effectiveness Amending Sections 902.03, 902.04, 902.05, 902.06 and 902.08 of the Listed Company Manual to Increase Certain of the Fees Set Forth Therein and to Delete Obsolete Rule Text
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/79-FR-57627
79 FR 57627
34-73154
http://www.sec.gov/litigation/admin/2014/34-73154.pdf
IA-3926
3-15900
2014-09-19
Notice That Initial Decision Has Become Final
Notice
Trabulsy, Richard J.
N/A
34-73155
http://www.sec.gov/litigation/admin/2014/34-73155.pdf
3-15641
2014-09-19
Notice of Proposed Plan of Distribution and Opportunity for Comment
Notice
GLG Partners, Inc.
GLG Partners, L.P.
N/A
34-73156
http://www.sec.gov/rules/sro/iceeu/2014/34-73156.pdf
SR-ICEEU-2014-13
2014-09-19
Notice / Order Accelerating Relating to the 2014 ISDA Credit Derivatives Definitions
SRO Filing
ICE Clear Europe Limited
http://www.federalregister.gov/citation/79-FR-57629
79 FR 57629
AP-1804
http://www.sec.gov/alj/aljorders/2014/ap-1804.pdf
3-16101
2014-09-15
Order Scheduling Hearing and Designating Presiding Judge
Order
Lane, Gary Harrison
N/A
AP-1805
http://www.sec.gov/alj/aljorders/2014/ap-1805.pdf
3-16104
2014-09-15
Order Scheduling Hearing and Designating Presiding Judge
Order
Mendenhall, Michael Lee
N/A
AP-1806
http://www.sec.gov/alj/aljorders/2014/ap-1806.pdf
3-15918
2014-09-15
Order Regarding Application to Quash Subpoena
Order
Malouf, Dennis J.
N/A
AP-1807
http://www.sec.gov/alj/aljorders/2014/ap-1807.pdf
3-16039
2014-09-15
Order to Show Cause
Order
China Wood, Inc.
N/A
AP-1808
http://www.sec.gov/alj/aljorders/2014/ap-1808.pdf
3-15746
2014-09-16
Postponement Order
Order
Dixon, Roy, Jr.
N/A
AP-1809
http://www.sec.gov/alj/aljorders/2014/ap-1809.pdf
3-15937
2014-09-16
Order Taking Official Notice
Order
Bryan, Alicia
N/A
AP-1810
http://www.sec.gov/alj/aljorders/2014/ap-1810.pdf
3-15965
2014-09-16
Order Setting Hearing Location
Order
Anderson, Russell E., CPA
Child, Van Wagoner & Bradshaw, PLCC
Van Wagoner, Marty, CPA
N/A
AP-1811
http://www.sec.gov/alj/aljorders/2014/ap-1811.pdf
3-15820
2014-09-16
Order Following Prehearing Conference
Order
D. Christopher Capital Management Group, LLC (The)
Thomas, Delsa U.
N/A
AP-1812
http://www.sec.gov/alj/aljorders/2014/ap-1812.pdf
3-16105
2014-09-17
Order Scheduling Hearing and Designating Presiding Judge
Order
Adarna Energy Corporation
Bluedata Corporation
Brampton Crest International, Inc.
Covenant Group of China, Inc.
Mobile Area Networks, Inc.
Netco Investments, Inc.
OneTravel Holdings, Inc.
PDG Environmental, Inc.
N/A
AP-1813
http://www.sec.gov/alj/aljorders/2014/ap-1813.pdf
3-15858
2014-09-17
Notice of Hearing Location
Notice
Fortenberry, Stanley Jonathan (a/k/a S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry)
N/A
AP-1814
http://www.sec.gov/alj/aljorders/2014/ap-1814.pdf
3-16055
2014-09-17
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Bethesda C0801, Inc.
Isdera North America, Inc.
Kangye International Holdings, Inc.
Quality Alliance Group, Inc.
Quantum Assets, Inc.
Remuda Investment Corp. (f/k/a Accelerated Acquisitions II, Inc.)
Source Rock, Inc.
Uniontown Energy, Inc.
N/A
AP-1815
http://www.sec.gov/alj/aljorders/2014/ap-1815.pdf
3-16047
2014-09-17
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Jones, Jack L., Jr.
Robare Group, Ltd. (The)
Robare, Mark L.
N/A
AP-1816
http://www.sec.gov/alj/aljorders/2014/ap-1816.pdf
3-15918
2014-09-18
Order Quashing in Part and Modifying Subpoena Request to Fidelity Brokerage Services, LLC
Order
Malouf, Dennis J.
N/A
AP-1817
http://www.sec.gov/alj/aljorders/2014/ap-1817.pdf
3-15918
2014-09-19
Order Quashing In Part and Modifying Subpoena Request to ACA Compliance Group Holdings, LLC
Order
Malouf, Dennis J.
N/A
AP-1818
http://www.sec.gov/alj/aljorders/2014/ap-1818.pdf
3-16050
2014-09-19
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Litvak, Jesse C.
N/A
AP-1819
http://www.sec.gov/alj/aljorders/2014/ap-1819.pdf
3-16052
2014-09-19
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Asia Cork, Inc.
Biocurex, Inc.
Carthew Bay Technologies, Inc.
Current Technology Corp.
Gamecorp Ltd. (n/k/a Dealnet Capital Corp.)
Globetech Ventures Corp.
Pepper Rock Resources Corp.
N/A
AP-1820
http://www.sec.gov/alj/aljorders/2014/ap-1820.pdf
3-16134
2014-09-19
Order Scheduling Hearing and Designating Presiding Judge
Order
Russell, John Allan
N/A
IA-3919
http://www.sec.gov/litigation/admin/2014/ia-3919.pdf
3-16129
2014-09-17
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
Westend Capital Management, LLC
IA-3920
http://www.sec.gov/litigation/admin/2014/ia-3920.pdf
IC-31252
3-16130
2014-09-17
Order Instituting Administrative and Cease-and-Desist Proceedings
AP Litigated
Cooper, Sean C.
N/A
IA-3921
http://www.sec.gov/litigation/admin/2014/34-73129.pdf
34-73129
3-16132
2014-09-17
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Hart, Jeremy Michael
N/A
IA-3922
http://www.sec.gov/litigation/admin/2014/34-73130.pdf
34-73130
3-16133
2014-09-17
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Semadeni, Anthony Leon
N/A
IA-3923
http://www.sec.gov/litigation/admin/2014/ia-3923.pdf
3-16134
2014-09-17
Order Instituting Administrative Proceedings, and Notice of Hearing
AP Litigated
Russell, John Allan
N/A
IA-3924
http://www.sec.gov/litigation/admin/2014/ia-3924.pdf
3-16138
2014-09-18
Order Instituting Administrative and Cease-and Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Order
AP Settled
Price, N. Gary
Strategic Capital Group, LLC
N/A
IA-3925
http://www.sec.gov/rules/ia/2014/ia-3925.pdf
801-35969
2014-09-19
Order
Order
Creative Investment Research, Inc.
N/A
IA-3926
http://www.sec.gov/litigation/admin/2014/34-73154.pdf
34-73154
3-15900
2014-09-19
Notice That Initial Decision Has Become Final
Notice
Trabulsy, Richard J.
N/A
IC-31250
http://www.sec.gov/rules/ic/2014/ic-31250.pdf
812-14293
2014-09-15
Notice
Notice
Evanston Alternative Opportunities Fund and Evanston Capital Management, LLC
http://www.federalregister.gov/citation/79-FR-56409
79 FR 56409
IC-31251
http://www.sec.gov/rules/ic/2014/ic-31251.pdf
812-14288
2014-09-16
Order
Order
American Fidelity Assurance Company
American Fidelity Separate Account A
American Fidelity Separate Account B
American Fidelity Separate Account C
N/A
IC-31252
http://www.sec.gov/litigation/admin/2014/ia-3920.pdf
IA-3920
3-16130
2014-09-17
Order Instituting Administrative and Cease-and-Desist Proceedings
AP Litigated
Cooper, Sean C.
N/A
IC-31253
http://www.sec.gov/rules/ic/2014/ic-31253.pdf
812-14028
2014-09-19
Notice
Notice
Monroe Capital Corporation, et al.
http://www.federalregister.gov/citation/79-FR-57596
79 FR 57596
ID-669
http://www.sec.gov/alj/aljdec/2014/id669ce.pdf
3-16002
2014-09-15
Initial Decision of Default
Initial Decision
Nexaira Wireless Inc.
N/A
ID-670
http://www.sec.gov/alj/aljdec/2014/id670jeg.pdf
3-16011
2014-09-15
Initial Decision of Default
Initial Decision
IPKV Holdings,Inc.
Pan Asian Corp.
Seven Seas Acquisition Corp.
Southern Growth Corp.
Superior Growth Corp.
Transatlantic Acquisition Corp.
N/A
ID-671
http://www.sec.gov/alj/aljdec/2014/id671ce.pdf
3-16003
2014-09-19
Initial Decision of Default
Initial Decision
Amico Games Corp.
Andina Group Inc.
Cougar Oil & Gas Canada Inc.
Encorium Group., Inc.
Waccamaw Bankshares, Inc.
N/A
ID-672
http://www.sec.gov/alj/aljdec/2014/id672ce.pdf
3-15625
2014-09-19
Initial Decision
Initial Decision
Ambassador Capital Management, LLC
Oglesby, Derek H.
N/A
LR-23083
http://www.sec.gov/litigation/litreleases/2014/lr23083.htm
2:14-CV-05754-JFW-AGR
2014-09-15
Enforcement Case
Baker, Daniel R.
Baker, Dean R.
CalPacific Equity Group, LLC
DBBG Consulting, Inc.
DDBO Consulting, Inc.
Dritsas, Demosthenes
Grove, Bret A.
N/A
LR-23084
http://www.sec.gov/litigation/litreleases/2014/lr23084.htm
14-MISC-257
2014-09-16
Enforcement Case
Stilwell, Joseph D.
N/A
LR-23085
http://www.sec.gov/litigation/litreleases/2014/lr23085.htm
1:14-CV-23336
2014-09-16
Enforcement Case
Abatement Corp. Holding Company Limited
Davis, Brenda
International Balanced Fund
Laurer, Joseph
N/A
LR-23086
http://www.sec.gov/litigation/litreleases/2014/lr23086.htm
14-CV-7482 (RMB)
2014-09-17
Enforcement Case
Braveman, Dimitry
Pupynin, Vitaly
N/A
LR-23087
http://www.sec.gov/litigation/litreleases/2014/lr23087.htm
14-CV-7575 (DLC)
2014-09-18
Enforcement Case
Cope, Jason
de Maison, Izak Zirk (a/k/a Izak Zirk Engelbrecht)
Gepco Ltd.
Kuhn, Kieran
Loshin, Ronald
Malone, Trish
Voutsas, Peter
N/A
LR-23088
http://www.sec.gov/litigation/litreleases/2014/lr23088.htm
1:10-CR-10319
2014-09-19
Enforcement Case
Akyil, Ahmet Devrim
Boston Trading and Research, LLC
Karlis, Craig A.
N/A