Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

2015-02-18 110 2 2014-10-27 2014-10-31 Securities Act of 1933 33 9671 9675 Securities Exchange Act of 1934 34 73430 73492 Accounting and Auditing Enforcement Release AAER 3593 3593 Administrative Proceeding AP 1949 1970* Investment Advisers Act of 1940 IA 3958 3963 Investment Company Act of 1940 IC 31320 31325 Litigation Release LR 23119 23126 AP-1951 33-9671 http://www.sec.gov/litigation/admin/2014/33-9671.pdf 34-73447 IA-3959 IC-31320 3-16218 2014-10-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Okman, Eli D. N/A 33-9672 http://www.sec.gov/litigation/admin/2014/33-9672.pdf 34-73484 IC-31324 3-16227 2014-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing AP Settled Middlebury Securities, LLC N/A 33-9673 http://www.sec.gov/litigation/admin/2014/33-9673.pdf 34-73485 3-16228 2014-10-31 Order Instituting Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Navagate, Inc. Rorke, Gregory N/A 33-9674 http://www.sec.gov/litigation/admin/2014/33-9674.pdf 34-73486 IC-31325 3-16229 2014-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing AP Settled Osborn, Gregory N/A 33-9675 http://www.sec.gov/litigation/admin/2014/33-9675.pdf 34-73491 3-16157 2014-10-31 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Montrone, Thomas L. Registrar and Transfer Company N/A 34-73430 http://www.sec.gov/litigation/admin/2014/34-73430.pdf 3-16135 2014-10-27 Order Making Findings and Revoking Registration AP Settled First Capital International, Inc. N/A 34-73431 http://www.sec.gov/litigation/admin/2014/34-73431.pdf 3-15389 2014-10-27 Notice that Initial Decision Has Become Final Notice Duoyuan Printing Inc. N/A 34-73432 http://www.sec.gov/litigation/admin/2014/34-73432.pdf 3-15934 2014-10-27 Notice that Initial Decision Has Become Final Notice AISystems, Inc. (a/k/a Airline Intelligence Systems, Inc.) Baeta Corp. China Jianye Fuel, Inc. Cordex Pharma, Inc. Diamondhead Casino Corporation Emerald Dairy, Inc. Kentucky Energy, Inc. N/A 34-73433 http://www.sec.gov/rules/sro/nysearca/2014/34-73433.pdf SR-NYSEARCA-2014-122 2014-10-27 Notice / Immediate Effectiveness Relating to Use of Derivative Instruments by the AdvisorShares Global Echo ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-64849 79 FR 64849 34-73434 http://www.sec.gov/litigation/admin/2014/34-73434.pdf AAER-3593 3-16215 2014-10-27 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and a Civil Penalty AP Settled Great Lakes Dredge & Dock Corporation N/A 34-73435 http://www.sec.gov/rules/sro/cboe/2014/34-73435.pdf SR-CBOE-2014-071 2014-10-27 Notice / Immediate Effectiveness Relating to the Complex Order Book SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-64858 79 FR 64858 34-73436 http://www.sec.gov/rules/sro/c2/2014/34-73436.pdf SR-C2-2014-024 2014-10-27 Notice / Immediate Effectiveness Relating to the Complex Order Book SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-64853 79 FR 64853 34-73437 http://www.sec.gov/litigation/admin/2014/34-73437.pdf 3-16216 2014-10-27 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Layne Christensen Company N/A 34-73438 http://www.sec.gov/rules/sro/occ/2014/34-73438.pdf SR-OCC-2014-15 2014-10-27 Order / to Process All Sell Transactions Prior to the Exercise of Long Options in Market-Maker Accounts to Ensure that Only Net Long Positions May be Exercised SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/79-FR-64843 79 FR 64843 34-73439 http://www.sec.gov/rules/sro/cboe/2014/34-73439.pdf SR-CBOE-2014-082 2014-10-27 Notice / Immediate Effectiveness Relating to the CBOE Trade Match System SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-64846 79 FR 64846 34-73440 http://www.sec.gov/rules/sro/ise/2014/34-73440.pdf SR-ISE-2014-48 2014-10-27 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/79-FR-64857 79 FR 64857 34-73441 http://www.sec.gov/rules/sro/phlx/2014/34-73441.pdf SR-PHLX-2014-66 2014-10-27 Notice / to Adopt New Exchange rule 1081, Solicitation Mechanism, to Introduce a New Electronic Solicitation Mechanism SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-64862 79 FR 64862 34-73442 http://www.sec.gov/litigation/admin/2014/34-73442.pdf IA-3958 3-16217 2014-10-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Remedial Sanctions, and Notice of Hearing AP Settled Petrou, Thrasos Tommy N/A 34-73443 http://www.sec.gov/rules/sro/dtc/2014/34-73443.pdf SR-DTC-2014-10 2014-10-28 Notice / in Connection with the Modifications to Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions SRO Filing Depository Trust Company http://www.federalregister.gov/citation/79-FR-65268 79 FR 65268 34-73444 http://www.sec.gov/rules/sro/icc/2014/34-73444.pdf SR-ICC-2014-18 2014-10-28 Notice / to Revise the ICC Risk Management Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/79-FR-65270 79 FR 65270 34-73445 http://www.sec.gov/rules/sro/cme/2014/34-73445.pdf SR-CME-2014-46 2014-10-28 Notice / Immediate Effectiveness to Make Changes to Settlement Procedures Regarding Seven CME Cleared OTC FX Spot, Forward and Swap Contracts SRO Filing Chicago Mercantile Exchange Inc. http://www.federalregister.gov/citation/79-FR-65275 79 FR 65275 34-73446 http://www.sec.gov/rules/sro/bx/2014/34-73446.pdf SR-BX-2014-050 2014-10-28 Notice / Immediate Effectiveness Relating to Collection of Exchange Fees SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-65271 79 FR 65271 34-73447 http://www.sec.gov/litigation/admin/2014/33-9671.pdf 33-9671 IA-3959 IC-31320 3-16218 2014-10-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Okman, Eli D. N/A 34-73448 http://www.sec.gov/rules/sro/nms/2014/34-73448.pdf S7-24-89 2014-10-28 Order Approving Amendment No. 32 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for NASDAQ-Listed Securities Traded on Exchanges on an Unlisted Trading SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/79-FR-65262 79 FR 65262 34-73449 http://www.sec.gov/rules/sro/occ/2014/34-73449.pdf SR-OCC-2014-19 2014-10-28 Notice / to Permit the Executive Chairman, the President or a Delegate of Such Officer to Approve Requests by a Hedge Clearing Member to Become a Market Loan Clearing Member SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/79-FR-65277 79 FR 65277 34-73450 http://www.sec.gov/rules/sro/cboe/2014/34-73450.pdf SR-CBOE-2014-081 2014-10-28 Notice / Immediate Effectiveness Relating to Functionality of Public Automated Routing System SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-65263 79 FR 65263 34-73451 http://www.sec.gov/rules/sro/icc/2014/34-73451.pdf SR-ICC-2014-17 2014-10-28 Notice / to Revise ICC End-of-Day Price Discovery Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/79-FR-65280 79 FR 65280 34-73452 http://www.sec.gov/rules/sro/bx/2014/34-73452.pdf SR-BX-2014-054 2014-10-28 Notice / Immediate Effectiveness Relating to Billing Policy SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-65279 79 FR 65279 34-73453 http://www.sec.gov/rules/sro/nysearca/2014/34-73453.pdf SR-NYSEARCA-2014-118 2014-10-28 Notice / Immediate Filing Amending NYSE Arca Equities Rule 7.16(f)(v) to Provide that Proactive if Locked Modifiers will be Ignored for Short Sale Orders During a Short Sale Period SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-65273 79 FR 65273 34-73454 http://www.sec.gov/litigation/admin/2014/34-73454.pdf 3-16219 2014-10-28 Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Eade, Kenneth G., Esq. N/A 34-73455 http://www.sec.gov/litigation/admin/2014/34-73455.pdf 3-16221 2014-10-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated 4301, Inc. Alpine Management Ltd. Amazing Nutritionals, Inc. America First Associates Corp. American Interactive Media, Inc. ILMI Corp. Superior Holdings, Inc. Ultimistics, Inc. (n/k/a Continental Holdings International, Inc.) N/A 34-73456 http://www.sec.gov/litigation/admin/2014/34-73456.pdf 3-16222 2014-10-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated 8 By 8, Inc. 8 Corp. Ackeeox Corp. Advanced Incubator, Inc. Ameri First Financial Group, Inc. American Capital Holdings, Inc. Dynamic Health Products, Inc. Spa-E N/A 34-73457 http://www.sec.gov/rules/sro/nms/2014/34-73457.pdf SR-CTA/CQ-2014-02 2014-10-29 Order Approving the Twentieth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Fourteenth Substantive Amendment to the Restated Consolidated Quotation Plan SRO Filing Consolidated Tape Association http://www.federalregister.gov/citation/79-FR-65436 79 FR 65436 34-73458 http://www.sec.gov/reportspubs/special-studies/34-73458.pdf NO FILE NUMBER 2014-10-29 Bi-Annual Report on Administrative Proceedings Unknown 2014 Bi-Annual Report on Administrative Proceedings N/A 34-73459 http://www.sec.gov/rules/sro/iceeu/2014/34-73459.pdf SR-ICEEU-2014-18 2014-10-29 Notice / to Provide for the Clearance of Additional Sovereign Contracts SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/79-FR-65443 79 FR 65443 34-73460 http://www.sec.gov/rules/sro/cboe/2014/34-73460.pdf SR-CBOE-2014-080 2014-10-29 Notice / Immediate Effectiveness Related to Extending the FLEX Exercise Settlement Values Pilot SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-65464 79 FR 65464 34-73461 http://www.sec.gov/rules/sro/byx/2014/34-73461.pdf SR-BYX-2014-029 2014-10-29 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-65468 79 FR 65468 34-73462 http://www.sec.gov/rules/sro/bats/2014/34-73462.pdf SR-BATS-2014-053 2014-10-29 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-65447 79 FR 65447 34-73463 http://www.sec.gov/rules/sro/miax/2014/34-73463.pdf SR-MIAX-2014-54 2014-10-29 Notice / Immediate Effectiveness to Add Exchange Rule 531, Trade Nullification and Price Adjustment Procedure SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/79-FR-65445 79 FR 65445 34-73464 http://www.sec.gov/rules/sro/nysearca/2014/34-73464.pdf SR-NYSEARCA-2014-120 2014-10-29 Notice / Relating to Listing and Trading Shares of the Sit Rising Rate Fund under NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-65437 79 FR 65437 34-73465 http://www.sec.gov/rules/sro/cme/2014/34-73465.pdf SR-CME-2014-44 2014-10-29 Notice / Immediate Effectiveness Regarding Modifications to Its OTC IRS Fee Schedule SRO Filing Chicago Mercantile Exchange Inc. http://www.federalregister.gov/citation/79-FR-65463 79 FR 65463 34-73466 http://www.sec.gov/litigation/admin/2014/34-73466.pdf 3-16224 2014-10-29 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Taylor, Ehpren W., II N/A 34-73467 http://www.sec.gov/litigation/admin/2014/34-73467.pdf 3-16225 2014-10-29 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Connor, Wendy J. N/A 34-73468 http://www.sec.gov/rules/sro/edgx/2014/34-73468.pdf SR-EDGX-2014-18 2014-10-29 Notice / Order Accelerating, as Modified by Amendment Nos. 1 and 3, to Amend EDGX Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/79-FR-65450 79 FR 65450 34-73469 http://www.sec.gov/rules/sro/bx/2014/34-73469.pdf SR-BX-2014-052 2014-10-30 Notice / Immediate Effectiveness Relating to Routing Fees SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/79-FR-65733 79 FR 65733 34-73470 http://www.sec.gov/rules/sro/bx/2014/34-73470.pdf SR-BX-2014-053 2014-10-30 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-65938 79 FR 65938 34-73471 http://www.sec.gov/rules/sro/nasdaq/2014/34-73471.pdf SR-NASDAQ-2014-080 2014-10-30 Order / as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the Powershares DB Optimum Yield Diversified Commodity Strategy Portfolio, Powershares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-65751 79 FR 65751 34-73472 http://www.sec.gov/rules/sro/byx/2014/34-73472.pdf SR-BYX-2014-018 2014-10-30 Order / to Establish an Opening Process SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/79-FR-65735 79 FR 65735 34-73473 http://www.sec.gov/rules/sro/bats/2014/34-73473.pdf SR-BATS-2014-037 2014-10-30 Order / to Establish an Opening Process for Non-BATS-Listed Securities SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/79-FR-65744 79 FR 65744 34-73474 http://www.sec.gov/rules/sro/phlx/2014/34-73474.pdf SR-PHLX-2014-69 2014-10-30 Notice / Immediate Effectiveness Regarding Extension of FLEX Option No Minimum Value Size Pilot Program SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/79-FR-65742 79 FR 65742 34-73475 http://www.sec.gov/litigation/admin/2014/34-73475.pdf 3-16203 2014-10-30 Order Appointing Tax Administrator Order Bidtoask LLC Coronati, Anthony N/A 34-73476 http://www.sec.gov/rules/sro/edgx/2014/34-73476.pdf SR-EDGX-2014-24 2014-10-30 Notice / Immediate Effectiveness to Rule 11.12, Limitation of Liability SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/79-FR-65746 79 FR 65746 34-73477 http://www.sec.gov/rules/sro/edga/2014/34-73477.pdf SR-EDGA-2014-24 2014-10-30 Notice / Immediate Effectiveness to Rule 11.12, Limitation of Liability SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/79-FR-65739 79 FR 65739 34-73478 http://www.sec.gov/litigation/admin/2014/34-73478.pdf 3-16163 2014-10-30 Order Appointing Tax Administrator Order Asbell, Yale I. N/A 34-73479 http://www.sec.gov/rules/sro/cboe/2014/34-73479.pdf SR-CBOE-2014-083 2014-10-31 Notice / Immediate Effectiveness to Delay the Implementation Date of the Requirement to Apply an Indicator to SPX Combo Orders Upon Systematization SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-66014 79 FR 66014 34-73480 http://www.sec.gov/rules/sro/nasdaq/2014/34-73480.pdf SR-NASDAQ-2014-090 2014-10-31 Order / as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Validea Market Legends ETF of the ETF Series Solutions ETF Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/79-FR-66022 79 FR 66022 34-73481 http://www.sec.gov/litigation/suspensions/2014/34-73481.pdf 500-1 2014-10-31 Trading Suspension Trading Suspension Flint Int'l Services, Inc. Hall Tees, Inc. Phoenix Medical Software, Inc. Surface Coatings, Inc. http://www.federalregister.gov/citation/79-FR-65471 79 FR 65471 34-73482 http://www.sec.gov/rules/sro/occ-an/2014/34-73482.pdf SR-OCC-2014-803 2014-10-31 Notice / No Objection to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/79-FR-66018 79 FR 66018 34-73483 http://www.sec.gov/rules/sro/occ/2014/34-73483.pdf SR-OCC-2014-14 2014-10-31 Order / to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/79-FR-66010 79 FR 66010 34-73484 http://www.sec.gov/litigation/admin/2014/33-9672.pdf 33-9672 IC-31324 3-16227 2014-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing AP Settled Middlebury Securities, LLC N/A 34-73485 http://www.sec.gov/litigation/admin/2014/33-9673.pdf 33-9673 3-16228 2014-10-31 Order Instituting Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Navagate, Inc. Rorke, Gregory N/A 34-73486 http://www.sec.gov/litigation/admin/2014/33-9674.pdf 33-9674 IC-31325 3-16229 2014-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing AP Settled Osborn, Gregory N/A 34-73487 http://www.sec.gov/rules/sro/cboe/2014/34-73487.pdf SR-CBOE-2014-067 2014-10-31 Notice / Immediate Effectiveness Relating to the Automatic Order Handling Process in No-Bid Series SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-66016 79 FR 66016 34-73488 http://www.sec.gov/rules/sro/c2/2014/34-73488.pdf SR-C2-2014-020 2014-10-31 Notice / Immediate Effectiveness Relating to the Automatic Handling Process in No-Bid Series SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/79-FR-65749 79 FR 65749 34-73489 http://www.sec.gov/rules/sro/nysearca/2014/34-73489.pdf SR-NYSEARCA-2014-123 2014-10-31 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule to modify the Fees Related to the Use of ports that Provide Connectivity to the Exchange's Trading Systems for Entry of Orders and/or Quotes SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/79-FR-66004 79 FR 66004 34-73490 http://www.sec.gov/rules/sro/nysemkt/2014/34-73490.pdf SR-NYSEMKT-2014-92 2014-10-31 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule to modify the Fees Related to the Use of ports that Provide Connectivity to the Exchange's Trading Systems for Entry of Orders and/or Quotes SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/79-FR-66007 79 FR 66007 34-73491 http://www.sec.gov/litigation/admin/2014/33-9675.pdf 33-9675 3-16157 2014-10-31 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Montrone, Thomas L. Registrar and Transfer Company N/A 34-73492 http://www.sec.gov/litigation/admin/2014/34-73492.pdf IA-3963 3-15830 2014-10-31 Notice That Initial Decision Has Become Final Notice Fouke, Herbert Steven N/A AAER-3593 http://www.sec.gov/litigation/admin/2014/34-73434.pdf 34-73434 3-16215 2014-10-27 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and a Civil Penalty AP Settled Great Lakes Dredge & Dock Corporation N/A AP-1949 http://www.sec.gov/alj/aljorders/2014/ap-1949.pdf 3-15820 2014-10-27 Order on Respondents' Supplemental Briefing Order D. Christopher Capital Management Group, LLC Thomas, Delsa U. N/A AP-1950 http://www.sec.gov/alj/aljorders/2014/ap-1950.pdf 3-16213 2014-10-28 Order Scheduling Hearing and Designating Presiding Judge Order Derrick, David G. Sr. N/A AP-1951A http://www.sec.gov/alj/aljorders/2014/ap-1951a.pdf 3-15918 2014-10-28 Order on Subpoena to UASNM, Inc. Order Malouf, Dennis J. N/A AP-1952 http://www.sec.gov/alj/aljorders/2014/ap-1952.pdf 3-16104 2014-10-28 Prehearing Order Order Mendenhall, Michael Lee N/A AP-1953 http://www.sec.gov/alj/aljorders/2014/ap-1953.pdf 3-15873 2014-10-28 Order Granting Protective Order Order Delaney, Thomas R. II Yancey, Charles W. N/A AP-1954 http://www.sec.gov/alj/aljorders/2014/ap-1954.pdf 3-16037 2014-10-28 Order Amending OIP and Permitting Filing of Second Answer Order Page, Edgar R. Pageone Financial Inc. N/A AP-1955 http://www.sec.gov/alj/aljorders/2014/ap-1955.pdf 3-16217 2014-10-28 Order Scheduling Hearing and Designating Presiding Judge Order Petrou, Thrasos Tommy N/A AP-1956 http://www.sec.gov/alj/aljorders/2014/ap-1956.pdf 3-16101 2014-10-29 Prehearing Order Order Lane, Gary Harrison N/A AP-1957 http://www.sec.gov/alj/aljorders/2014/ap-1957.pdf 3-15820 2014-10-29 Order on Respondents' Request for an Extension Order D. Christopher Capital Management Group, LLC Thomas, Delsa U. N/A AP-1958 http://www.sec.gov/alj/aljorders/2014/ap-1958.pdf 3-15945 2014-10-29 Order Order Neely, Thomas A., Jr. N/A AP-1959 http://www.sec.gov/alj/aljorders/2014/ap-1959.pdf 3-15945 2014-10-29 Prehearing Order Order Neely, Thomas A. Jr. N/A AP-1960 http://www.sec.gov/alj/aljorders/2014/ap-1960.pdf 3-16037 2014-10-30 Notice of Hearing Location Notice Page, Edgar R. Pageone Financial Inc. N/A AP-1961 http://www.sec.gov/alj/aljorders/2014/ap-1961.pdf 3-15943 2014-10-30 Order Order Montanino, David J. N/A AP-1962 http://www.sec.gov/alj/aljorders/2014/ap-1962.pdf 3-15613 2014-10-30 Order on Confidentiality Order Martin, Julieann Palmer N/A AP-1963 http://www.sec.gov/alj/aljorders/2014/ap-1963.pdf 3-15918 2014-10-30 Order Excusing Witness Order Malouf, Dennis J. N/A AP-1964 http://www.sec.gov/alj/aljorders/2014/ap-1964.pdf 3-16135 2014-10-30 Prehearing Order Greentek Corp. N/A AP-1965 http://www.sec.gov/alj/aljorders/2014/ap-1965.pdf 3-16223 2014-10-30 Order Scheduling Hearing and Designating Presiding Judge Order Kelly, Christopher Sands Brothers Asset Management, LLC Sands, Martin Sands, Steven N/A AP-1966 http://www.sec.gov/alj/aljorders/2014/ap-1966.pdf 3-16221 2014-10-30 Order Scheduling Hearing and Designating Presiding Judge Order 4301, Inc. Alpine Management Ltd. Amazing Nutritionals, Inc. America First Associates Corp. American Interactive Media, Inc. ILMI Corp. Superior Holdings, Inc. Ultimistics, Inc. (n/k/a Continental Holdings International, Inc.) N/A AP-1967 http://www.sec.gov/alj/aljorders/2014/ap-1967.pdf 3-16222 2014-10-30 Order Scheduling Hearing and Designating Presiding Judge Order 8 By 8, Inc. 8 Corp. Ackeeox Corp. Advanced Incubator, Inc. Ameri First Financial Group, Inc. American Capital Holdings, Inc. Dynamic Health Products, Inc. SPA-E N/A AP-1968 http://www.sec.gov/alj/aljorders/2014/ap-1968.pdf 3-16195 2014-10-30 Order Scheduling Prehearing Conference Order Wolf, Judy K. N/A AP-1969 http://www.sec.gov/alj/aljorders/2014/ap-1969.pdf 3-16226 2014-10-31 Order Scheduling Hearing and Designating Presiding Judge Order Quan, Marlon Stewardship Investment Advisors, LLC N/A AP-1970 http://www.sec.gov/alj/aljorders/2014/ap-1970.pdf 3-15945 2014-10-31 Order Order Neely, Thomas A. N/A IA-3958 http://www.sec.gov/litigation/admin/2014/34-73442.pdf 34-73442 3-16217 2014-10-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Remedial Sanctions, and Notice of Hearing AP Settled Petrou, Thrasos Tommy N/A IA-3959 http://www.sec.gov/litigation/admin/2014/33-9671.pdf 33-9671 34-73447 IC-31320 3-16218 2014-10-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Okman, Eli D. N/A IA-3960 http://www.sec.gov/litigation/admin/2014/ia-3960.pdf 3-16223 2014-10-29 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Kelly, Christopher Sands Brothers Asset Management, LLC Sands, Martin Sands, Steven N/A IA-3961 http://www.sec.gov/litigation/opinions/2014/ia-3961.pdf 3-15271 2014-10-29 Opinion Opinion Scammell, Toby G. N/A IA-3962 http://www.sec.gov/litigation/admin/2014/ia-3962.pdf 3-16226 2014-10-30 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Quan, Marlon Stewardship Investment Advisors, LLC N/A IA-3963 http://www.sec.gov/litigation/admin/2014/34-73492.pdf 34-73492 3-15830 2014-10-31 Notice That Initial Decision Has Become Final Notice Fouke, Herbert Steven N/A IC-31320 http://www.sec.gov/litigation/admin/2014/33-9671.pdf 33-9671 34-73447 IA-3959 3-16218 2014-10-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Okman, Eli D. N/A IC-31321 http://www.sec.gov/rules/icdereg/2014/ic-31321.pdf 811-21633 811-21958 811-3235 811-3193 811-22411 811-22414 811-22416 811-7729 811-22385 2014-10-31 Notice Notice Cohen & Steers Dividend Majors Fund, Inc. DGHM Investment Trust FMI Common Stock Fund, Inc. Franklin Tax Exempt Money Market Fund Gottex Multi-Alternatives Fund - I Gottex Multi-Alternatives Fund - II Gottex Multi-Alternatives Master Fund Hansberger International Series Inflation-Linked Securities Portfolio http://www.federalregister.gov/citation/79-FR-66422 79 FR 66422 IC-31322 http://www.sec.gov/rules/ic/2014/ic-31322.pdf 812-14227 2014-10-31 Notice Notice AllianceBernstein Multi-Manager Alternative Fund, et al. http://www.federalregister.gov/citation/79-FR-65731 79 FR 65731 IC-31323 http://www.sec.gov/rules/ic/2014/ic-31323.pdf 812-14250 2014-10-31 Order Order Managed Portfolio Series Tortoise Capital Advisors, L.L.C. U.S. Bancorp Fund Services, LLC N/A IC-31324 http://www.sec.gov/litigation/admin/2014/33-9672.pdf 33-9672 34-73484 3-16227 2014-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing AP Settled Middlebury Securities, LLC N/A IC-31325 http://www.sec.gov/litigation/admin/2014/33-9674.pdf 33-9674 34-73486 3-16229 2014-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing AP Settled Osborn, Gregory N/A LR-23119 http://www.sec.gov/litigation/litreleases/2014/lr23119.htm 14-CV-8181 2014-10-27 Enforcement Case Post, David L. N/A LR-23120 http://www.sec.gov/litigation/litreleases/2014/lr23120.htm 14-CV-04294-RS 2014-10-28 Enforcement Case eAdGear Holdings Limited eAdGear, Inc. Wang, Charles S. Yuen, Francis Y. Zhang, Qian Cathy N/A LR-23121 http://www.sec.gov/litigation/litreleases/2014/lr23121.htm 1:12-CV-10643-GAO 2014-10-28 Enforcement Case Dong, Rui Ge Ji, Ai Xi Li, Shu Ling Li, Yong Li Li, Yong Qi Ma, Li Xin Rainbow Yield Limited Victory First Limited Wang, Ye Zhang, Zhong Wen N/A LR-23122 http://www.sec.gov/litigation/litreleases/2014/lr23122.htm 3:11-CV-78 (JBA) 2014-10-28 Enforcement Case Highview Point Partners, LLC Illarramendi, Francisco Michael Kenwood Capital Management, LLC N/A LR-23123 http://www.sec.gov/litigation/litreleases/2014/lr23123.htm 1:14-CV-00562-WTL-MUD 2014-10-30 Enforcement Case American Quality Cleaning Services, Inc. (d/b/a "Oxford Privacy Group") Avocalon, LLC Coughlin Timothy J. OICU Investments Corp. OICU Ltd. N/A LR-23124 http://www.sec.gov/litigation/litreleases/2014/lr23124.htm 3:14-CV-03874-D 2014-10-31 Enforcement Case Smith, Charles E., CPA Smith, Mark, CPA N/A LR-23125 http://www.sec.gov/litigation/litreleases/2014/lr23125.htm 3:14-CV-4825 2014-10-31 Enforcement Case Sabrdaran, Sasan N/A LR-23126 http://www.sec.gov/litigation/litreleases/2014/lr23126.htm 14-CV-3247 2014-10-31 Enforcement Case Aphelion Offshore Fund, Ltd. Aphelion US Fund, LP N/A