2015-12-23
111
1
2015-03-09
2015-03-13
Securities Act of 1933
33
9736
9737
Securities Exchange Act of 1934
34
74458
74510
Accounting and Auditing Enforcement Release
AAER
3642
3642
Administrative Proceedings
AP
2387
2424
Investment Advisers Act of 1940
IA
4041
4048
Investment Company Act of 1940
IC
31500
31503
Initial Decisions (ALJ)
ID
751
753
Litigation Releases
LR
23216
23219
33-9736
http://www.sec.gov/litigation/admin/2015/33-9736.pdf
IA-4041
IC-31500
3-15574
2015-03-09
Order Granting in Part Motion for Extension of Time and Denying Motion to Exceed Word Limit
Order
Chau, Wing F.
Harding Advisory LLC
N/A
33-9737
http://www.sec.gov/litigation/admin/2015/33-9737.pdf
34-74480
IA-4045
3-16429
2015-03-11
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Priore, Thomas C.
N/A
34-74458
http://www.sec.gov/litigation/admin/2015/34-74458.pdf
3-16425
2015-03-09
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Booktech.com, inc.
Cathel Partners, Ltd.
Direct Markets Holdings Corp.
Laidlaw Energy Group, Inc.
Willcox & Gibbs, Inc.
N/A
34-74459
http://www.sec.gov/litigation/admin/2015/34-74459.pdf
3-16426
2015-03-09
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Accelerated Acquisitions XIV, Inc.
Alternate Energy Holdings, Inc.
BW Acquisition, Inc. (n/k/a Malibu Enterprises, Inc.)
MediStaff Corp.
Vista Technologies, Inc.
VitroTech Corp.
Xertech, Inc.
N/A
34-74460
http://www.sec.gov/rules/sro/phlx/2015/34-74460.pdf
SR-PHLX-2015-21
2015-03-10
Notice / Immediate Effectiveness Relating to Customer Rebate Program, Multiply Listed Options, PIXL Pricing
SRO Filing
NASDAQ OMX PHLX LLC
http://www.federalregister.gov/citation/80-FR-13641
80-FR-13641
34-74461
http://www.sec.gov/litigation/admin/2015/34-74461.pdf
3-16014
2015-03-10
Notice of Proposed Plan of Distribution and Opportunity for Comment
Notice
Summers, Keith MacDonald
N/A
34-74462
http://www.sec.gov/rules/sro/edga/2015/34-74462.pdf
SR-EDGA-2015-13
2015-03-10
Notice / Immediate Effectiveness Related to Fees for Use of EDGA Exchange, Inc.
SRO Filing
EDGA Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-13647
80-FR-13647
34-74463
http://www.sec.gov/rules/sro/edgx/2015/34-74463.pdf
SR-EDGX-2015-12
2015-03-10
Notice / Immediate Effectiveness Related to Fees for Use of EDGX Exchange, Inc.
SRO Filing
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-13656
80-FR-13656
34-74464
http://www.sec.gov/rules/sro/edgx/2015/34-74464.pdf
SR-EDGX-2015-13
2015-03-10
Notice / Immediate Effectiveness Related to Fees for Use of EDGX Exchange, Inc.
SRO Filing
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-13651
80-FR-13651
34-74465
http://www.sec.gov/rules/sro/ise/2015/34-74465.pdf
SR-ISE-2014-24
2015-03-10
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify ISE's Opening Process
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/80-FR-13660
80-FR-13660
34-74466
http://www.sec.gov/litigation/admin/2015/34-74466.pdf
IA-4042
3-15746
2015-03-10
Notice That Initial Decision Has Become Final
Notice
Dixon, Roy, Jr.
N/A
34-74467
http://www.sec.gov/litigation/admin/2015/34-74467.pdf
3-16050
2015-03-10
Notice That Initial Decision Has Become Final
Notice
Litvak, Jesse C.
N/A
34-74468
http://www.sec.gov/litigation/opinions/2015/34-74468.pdf
3-16360
2015-03-10
Order Scheduling Briefs
Order
Harris, Talman
Scholander, William
N/A
34-74469
http://www.sec.gov/litigation/admin/2015/34-74469.pdf
IA-4043
3-16427
2015-03-10
Order Instituting Public Administrative Proceedings and Notice of Hearing
AP Litigated
Lunn, Robert J.
N/A
34-74470
http://www.sec.gov/litigation/suspensions/2015/34-74470.pdf
500-1
2015-03-11
Trading Suspension
Trading Suspension
Global Leadership Institute, Inc.
http://www.federalregister.gov/citation/80-FR-13457
80-FR-13457
34-74471
http://www.sec.gov/litigation/admin/2015/34-74471.pdf
3-16428
2015-03-11
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Global Leadership Institute, Inc.
N/A
34-74472
http://www.sec.gov/rules/sro/nasdaq/2015/34-74472.pdf
SR-NASDAQ-2015-017
2015-03-11
Notice / Immediate Effectiveness to Provide a Limited Price Guarantee to Certain Companies that Switch their Listing to Nasdaq from Another Exchange
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/80-FR-13925
80-FR-13925
34-74473
http://www.sec.gov/rules/sro/nysemkt/2015/34-74473.pdf
SR-NYSEMKT-2015-12
2015-03-11
Notice / Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule to Amend the Fees Associated with Booth Space Provided at the Exchange
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/80-FR-13929
80-FR-13929
34-74474
http://www.sec.gov/rules/sro/box/2015/34-74474.pdf
SR-BOX-2015-15
2015-03-11
Notice / Immediate Effectiveness to Amend BOX Rule 7170 to Provide for New Procedures to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
SRO Filing
BOX Options Exchange LLC
http://www.federalregister.gov/citation/80-FR-13930
80-FR-13930
34-74475
http://www.sec.gov/rules/sro/nasdaq/2015/34-74475.pdf
SR-NASDAQ-2015-019
2015-03-11
Notice / Immediate Effectiveness Relating to Penny Pilot Options
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/80-FR-13943
80-FR-13943
34-74476
http://www.sec.gov/rules/sro/occ/2015/34-74476.pdf
SR-OCC-2015-005
2015-03-11
Notice / Immediate Effectiveness Concerning the Account From Which Certain Clearing Members May Fund the Additional Margin Requirement Associated With Overnight Trading Sessions
SRO Filing
Options Clearing Corporation
http://www.federalregister.gov/citation/80-FR-13936
80-FR-13936
34-74477
http://www.sec.gov/rules/sro/box/2015/34-74477.pdf
SR-BOX-2015-14
2015-03-11
Notice / Immediate Effectiveness Regarding the Transfer of Ownership Interest in the Exchange
SRO Filing
BOX Options Exchange LLC
http://www.federalregister.gov/citation/80-FR-13932
80-FR-13932
34-74478
http://www.sec.gov/rules/sro/miax/2015/34-74478.pdf
SR-MIAX-2015-16
2015-03-11
Notice / Immediate Effectiveness to Amend Its Fee Schedule
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/80-FR-13938
80-FR-13938
34-74479
http://www.sec.gov/rules/sro/miax/2015/34-74479.pdf
SR-MIAX-2015-17
2015-03-11
Notice / Immediate Effectiveness to Amend Its Fee Schedule
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/80-FR-13927
80-FR-13927
34-74480
http://www.sec.gov/litigation/admin/2015/33-9737.pdf
33-9737
IA-4045
3-16429
2015-03-11
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Priore, Thomas C.
N/A
34-74481
http://www.sec.gov/rules/sro/phlx/2015/34-74481.pdf
SR-PHLX-2015-22
2015-03-11
Notice / Immediate Effectiveness Regarding FLEX No Minimum Value Size Pilot
SRO Filing
NASDAQ OMX PHLX LLC
http://www.federalregister.gov/citation/80-FR-13923
80-FR-13923
34-74482
http://www.sec.gov/rules/sro/finra/2015/34-74482.pdf
SR-FINRA-2014-050
2015-03-11
Notice / Amendment No. 1 / Order Accelerating / as Amended, to Require a Member to Identify Transactions With a Non-Member Affiliate and to Change How FINRA Disseminates a Subset of Such Transactions
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/80-FR-13940
80-FR-13940
34-74483
http://www.sec.gov/rules/sro/cfe/2015/34-74483.pdf
SR-CFE-2015-002
2015-03-11
Notice / Immediate Effectiveness Regarding Exchange of Contract for Related Position Transactions and Block Trades
SRO Filing
CBOE Futures Exchange, LLC
http://www.federalregister.gov/citation/80-FR-13934
80-FR-13934
34-74484
http://www.sec.gov/rules/sro/bats/2015/34-74484.pdf
SR-BATS-2015-20
2015-03-12
Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc.
SRO Filing
BATS Exchange, Inc
http://www.federalregister.gov/citation/80-FR-14191
80-FR-14191
34-74485
http://www.sec.gov/rules/sro/dtc/2015/34-74485.pdf
SR-DTC-2015-02
2015-03-12
Notice / Immediate Effectiveness to Make Technical Revisions to the DTC Settlement Service Guide
SRO Filing
Depository Trust Company
http://www.federalregister.gov/citation/80-FR-14173
80-FR-14173
34-74486
http://www.sec.gov/rules/sro/finra/2015/34-74486.pdf
SR-FINRA-2014-030
2015-03-12
Notice / Withdrawal Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/80-FR-13922
80-FR-13922
34-74487
http://www.sec.gov/rules/sro/chx/2015/34-74487.pdf
SR-CHX-2015-02
2015-03-12
Notice / Immediate Effectiveness Concerning the CHX Routing Services
SRO Filing
Chicago Stock Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-14193
80-FR-14193
34-74488
http://www.sec.gov/rules/sro/finra/2015/34-74488.pdf
SR-FINRA-2014-047
2015-03-12
Notice / Amendment No. 1 / to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/80-FR-14174
80-FR-14174
34-74489
http://www.sec.gov/rules/sro/miax/2015/34-74489.pdf
SR-MIAX-2015-13
2015-03-12
Notice / Immediate Effectiveness to Amend Its Fee Schedule
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/80-FR-14196
80-FR-14196
34-74490
http://www.sec.gov/rules/sro/finra/2015/34-74490.pdf
SR-FINRA-2014-048
2015-03-12
Notice / Amendment No. 1 / to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/80-FR-14198
80-FR-14198
34-74491
http://www.sec.gov/rules/sro/cboe/2015/34-74491.pdf
SR-CBOE-2015-025
2015-03-12
Notice / Immediate Effectiveness to Amend the Fees Schedule
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/80-FR-14185
80-FR-14185
34-74492
http://www.sec.gov/rules/sro/nysearca/2015/34-74492.pdf
SR-NYSEARCA-2015-13
2015-03-12
Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule Relating to Market Maker Posting Credit Tiers
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/80-FR-14187
80-FR-14187
34-74493
http://www.sec.gov/litigation/admin/2015/34-74493.pdf
AAER-3642
3-16431
2015-03-12
Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Sabol, Cynthia A., CPA
N/A
34-74494
http://www.sec.gov/litigation/admin/2015/34-74494.pdf
IA-4047
3-16432
2015-03-12
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Gray, John
N/A
34-74495
http://www.sec.gov/litigation/admin/2015/34-74495.pdf
3-16433
2015-03-12
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Scipione, Albert J.
N/A
34-74496
http://www.sec.gov/rules/sro/miax/2015/34-74496.pdf
SR-MIAX-2015-03
2015-03-13
Order / as Modified by Amendment No. 1 Thereto, to Adopt a "Risk Protection Monitor" Functionality Under Proposed MIAX Rule 519A and Amend the "Aggregate Risk Monitor" Functionality Under MIAX Rule 612
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/80-FR-14421
80-FR-14421
34-74497
http://www.sec.gov/litigation/admin/2015/34-74497.pdf
3-16435
2015-03-13
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Lin, Shuipan
N/A
34-74498
http://www.sec.gov/litigation/admin/2015/34-74498.pdf
3-16436
2015-03-13
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Berjaya Lottery Management (H.K.) Ltd.
N/A
34-74499
http://www.sec.gov/litigation/admin/2015/34-74499.pdf
3-16437
2015-03-13
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Ciabattoni Living Trust Dated August 17, 2000
N/A
34-74500
http://www.sec.gov/litigation/admin/2015/34-74500.pdf
3-16438
2015-03-13
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Ciabattoni, Anthony J.
N/A
34-74501
http://www.sec.gov/litigation/admin/2015/34-74501.pdf
3-16439
2015-03-13
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Ciabattoni, Jane G.
N/A
34-74502
http://www.sec.gov/litigation/admin/2015/34-74502.pdf
3-16440
2015-03-13
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
SMP Investments I, LLC
N/A
34-74503
http://www.sec.gov/litigation/admin/2015/34-74503.pdf
3-16441
2015-03-13
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Potiker, Brian
N/A
34-74504
http://www.sec.gov/litigation/admin/2015/34-74504.pdf
3-16442
2015-03-13
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalty
AP Settled
Houlihan, William A.
N/A
34-74505
http://www.sec.gov/rules/sro/isegemini/2015/34-74505.pdf
SR-ISEGEMINI-2015-06
2015-03-13
Notice / Immediate Effectiveness to Amend the Schedule of Fees
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/80-FR-14419
80-FR-14419
34-74506
http://www.sec.gov/rules/sro/nasdaq/2015/34-74506.pdf
SR-NASDAQ-2015-020
2015-03-13
Notice / Immediate Effectiveness to Amend NASDAQ Rules 7014
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/80-FR-14427
80-FR-14427
34-74507
http://www.sec.gov/rules/exorders/2015/34-74507.pdf
SR-NYSE-2011-55
SR-NYSEAMEX-2011-84
2015-03-13
Order Granting Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until September 30, 2015
SRO Filing
New York Stock Exchange LLC
NYSE MKT LLC
http://www.federalregister.gov/citation/80-FR-14421
80-FR-14421
34-74508
http://www.sec.gov/litigation/admin/2015/34-74508.pdf
3-16389
2015-03-13
Order Appointing Tax Administrator
Order
Graham, Brett Thomas
VCAP Securities, LLC
N/A
34-74509
http://www.sec.gov/rules/sro/miax/2015/34-74509.pdf
SR-MIAX-2015-04
2015-03-13
Order to Amend MIAX Rule 402
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/80-FR-14425
80-FR-14425
34-74510
http://www.sec.gov/litigation/admin/2015/34-74510.pdf
3-16443
2015-03-13
Order of Suspension
AP Litigated
Andres, Robert J., Esq.
N/A
AAER-3642
http://www.sec.gov/litigation/admin/2015/34-74493.pdf
34-74493
3-16431
2015-03-12
Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Sabol, Cynthia A., CPA
N/A
AP-2387
http://www.sec.gov/alj/aljorders/2015/ap-2387.pdf
3-16175
2015-03-09
Order Following Prehearing Conference
Order
Meissner, Kenneth C.
Scott, James Doug
Tomich, Mark S. "Mike"
N/A
AP-2388
http://www.sec.gov/alj/aljorders/2015/ap-2388.pdf
3-16388
2015-03-09
Postponement Order
Order
Caramadre, Joseph A., CPA
N/A
AP-2389
http://www.sec.gov/alj/aljorders/2015/ap-2389.pdf
3-16047
2015-03-09
Order
Order
Jones, Jack L., Jr.
Robare Group Ltd.
Robare, Mark L.
N/A
AP-2390
http://www.sec.gov/alj/aljorders/2015/ap-2390.pdf
3-16268
2015-03-09
Stay Order
Order
Weaver, Robert C., Jr., Esq.
N/A
AP-2391
http://www.sec.gov/alj/aljorders/2015/ap-2391.pdf
3-16420
2015-03-09
Order Scheduling Hearing and Designating Presiding Judge
Order
Aspire International, Inc.
Border Management, Inc.
EYI Industries, Inc.
Landmark Energy Enterprises, Inc.
N/A
AP-2392
http://www.sec.gov/alj/aljorders/2015/ap-2392.pdf
3-16421
2015-03-09
Order Scheduling Hearing and Designating Presiding Judge
Order
Black Sea Metals, Inc.
Gigabeam Corp.
Safe Technologies International, Inc.
Whitemark Homes, Inc.
N/A
AP-2393
http://www.sec.gov/alj/aljorders/2015/ap-2393.pdf
3-16396
2015-03-10
Order Canceling Hearing
Order
Akesis Pharmaceuticals, Inc.
Skye International, Inc.
Stellar Resources, Ltd.
Thwapr, Inc.
N/A
AP-2394
http://www.sec.gov/alj/aljorders/2015/ap-2394.pdf
3-16380
2015-03-10
Order Following Prehearing Conference
Order
McCarty, Jordon
N/A
AP-2395
http://www.sec.gov/alj/aljorders/2015/ap-2395.pdf
3-16379
2015-03-10
Order Scheduling Prehearing Conference
Order
Foster, Lawrence
N/A
AP-2396
http://www.sec.gov/alj/aljorders/2015/ap-2396.pdf
3-16374
2015-03-10
Order Following Prehearing Conference
Order
Wulf, David R.
N/A
AP-2397
http://www.sec.gov/alj/aljorders/2015/ap-2397.pdf
3-16426
2015-03-10
Order Scheduling Hearing and Designating Presiding Judge
Order
Accelerated Acquisitions XIV, Inc.
Alternate Energy Holdings, Inc.
BW Acquisition, Inc. (n/k/a Malibu Enterprises, Inc.)
Medistaff Corp.
Vista Technologies, Inc.
Vitrotech Corp.
Xertech, Inc.
N/A
AP-2398
http://www.sec.gov/alj/aljorders/2015/ap-2398.pdf
3-15514
2015-03-10
Order on Extension
Order
Anthony, Donald J., Jr.
Chiappone, Frank H.
Feldmann, Richard D.
Gamello, William P.
Guzzetti, Andrew G.
Lex, William F.
Livingston, Thomas E.
Mayer, Brian T.
Rabinovich, Philip S.
Rogers, Ryan C.
N/A
AP-2399
http://www.sec.gov/alj/aljorders/2015/ap-2399.pdf
3-16410
2015-03-10
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Agent 155 Media Corp.
QSounds Labs, Inc.
Sten Corp.
Wind Energy America, Inc.
N/A
AP-2400
http://www.sec.gov/alj/aljorders/2015/ap-2400.pdf
3-16395
2015-03-10
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Revonergy Inc.
Siberian Energy Group Inc.
Tao Minerals Ltd. (n/k/a Canam Gold Corp.)
Todays Alternative Energy Corp.
N/A
AP-2401
http://www.sec.gov/alj/aljorders/2015/ap-2401.pdf
3-16399
2015-03-10
Order Scheduling Prehearing Conference
Order
Halpern & Associates LLC
Halpern, Barbara, CPA
N/A
AP-2402
http://www.sec.gov/alj/aljorders/2015/ap-2402.pdf
3-16409
2015-03-11
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Inova Technology, Inc.
N/A
AP-2403
http://www.sec.gov/alj/aljorders/2015/ap-2403.pdf
3-16142
2015-03-11
Stay Order
Order
Jordan, John
N/A
AP-2404
http://www.sec.gov/alj/aljorders/2015/ap-2404.pdf
3-16380
2015-03-11
Order Scheduling Prehearing Conference
Order
McCarty, Jordon
N/A
AP-2405
http://www.sec.gov/alj/aljorders/2015/ap-2405.pdf
3-16178
2015-03-11
Order
Order
Bolan, Gregory T., Jr.
Ruggieri, Joseph C.
N/A
AP-2406
http://www.sec.gov/alj/aljorders/2015/ap-2406.pdf
3-16425
2015-03-11
Order Scheduling Hearing and Designating Presiding Judge
Order
Booktech.com, Inc.
Cathel Partners, Ltd.
Direct Markets Holdings Corp.
Laidlaw Energy Group, Inc.
Willcox & Gibbs, Inc.
N/A
AP-2407
http://www.sec.gov/alj/aljorders/2015/ap-2407.pdf
3-16427
2015-03-11
Order Scheduling Hearing and Designating Presiding Judge
Order
Lunn, Robert J.
N/A
AP-2408
http://www.sec.gov/alj/aljorders/2015/ap-2408.pdf
3-16428
2015-03-11
Order Scheduling Hearing and Designating Presiding Judge
Order
Global Leadership Institute, Inc.
N/A
AP-2409
http://www.sec.gov/alj/aljorders/2015/ap-2409.pdf
3-16404
2015-03-11
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Dittybase Technologies, Inc.
N/A
AP-2410
http://www.sec.gov/alj/aljorders/2015/ap-2410.pdf
3-16293
2015-03-11
Order on Motion to Modify Subpoena
Order
Bebo, Laurie
Buono, John, CPA
N/A
AP-2411
http://www.sec.gov/alj/aljorders/2015/ap-2411.pdf
3-16344
2015-03-12
Order Rescheduling Hearing and Notice of Hearing Location
Order
Giovannetti, Edgar Lee
N/A
AP-2412
http://www.sec.gov/alj/aljorders/2015/ap-2412.pdf
3-16393
2015-03-12
Order Postponing Hearing, Scheduling Prehearing Conference, and to Show Cause
Order
Calypte Biomedical Corporation
EC Development, Inc.
Information Architects Corporation (n/k/a Dakota Creative Group Corporation)
N/A
AP-2413
http://www.sec.gov/alj/aljorders/2015/ap-2413.pdf
3-16339
2015-03-12
Order
Order
Briner, John, Esq.
N/A
AP-2414
http://www.sec.gov/alj/aljorders/2015/ap-2414.pdf
3-16383
2015-03-12
Order Following Prehearing Conference
Order
Hill, Charles L., Jr.
N/A
AP-2415
http://www.sec.gov/alj/aljorders/2015/ap-2415.pdf
3-16417
2015-03-12
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Discovery Oil, Ltd.
I/O Magic Corporation
Maydao Corporation
NX Global, Inc.
SensiVida Medical Technologies, Inc.
N/A
AP-2416
http://www.sec.gov/alj/aljorders/2015/ap-2416.pdf
3-16182
2015-03-12
Order
Order
Lloyd, Paul Edward "Ed", Jr., CPA
N/A
AP-2417
http://www.sec.gov/alj/aljorders/2015/ap-2417.pdf
3-16358
2015-03-12
Notice to Parties
Notice
Brown, Michael Patrick
Grosso, Michael Nicholas
Spectrum Concepts, LLC
Worswick, Donald James
N/A
AP-2418
http://www.sec.gov/alj/aljorders/2015/ap-2418.pdf
3-16037
2015-03-12
Order Setting Hearing Date
Order
Page, Edgar R.
Pageone Financial, Inc.
N/A
AP-2419
http://www.sec.gov/alj/aljorders/2015/ap-2419.pdf
3-16402
2015-03-13
Order to Show Cause
Order
China Yili Petroleum Company
N/A
AP-2420
http://www.sec.gov/alj/aljorders/2015/ap-2420.pdf
3-16394
2015-03-13
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Innovative Software Technologies, Inc.
Laguna Group, Inc. (a/k/a ECO Energypumps, Inc.)
National Health Partners, Inc.
Tyin Group Holdings Limited
N/A
AP-2421
http://www.sec.gov/alj/aljorders/2015/ap-2421.pdf
3-16399
2015-03-13
Scheduling and General Prehearing Order
Order
Halpern & Associates LLC
Halpern, Barbara, CPA
N/A
AP-2422
http://www.sec.gov/alj/aljorders/2015/ap-2422.pdf
3-16047
2015-03-13
Order Granting Extension
Order
Jones, Jack L., Jr.
Robare Group, Ltd. (The)
Robare, Mark L.
N/A
AP-2423
http://www.sec.gov/alj/aljorders/2015/ap-2423.pdf
3-16367
2015-03-13
Scheduling Order
Order
ELIV Group, LLC (The)
Valente, Scott
N/A
AP-2424
http://www.sec.gov/alj/aljorders/2015/ap-2424.pdf
3-16354
2015-03-13
Order
Order
Carrio, Jose F.
Carrio, Karasik & Associates, LLP
Dellasala, Carmine A.
Havanich, David B., Jr.
Karasik, Dennis K.
RTAG Inc. d/b/a Retirement Tax Advisoroy Group
Salovay, Michael J.
Scurlock, Richard Hampton, III
Welch, Matthew D.
N/A
IA-4041
http://www.sec.gov/litigation/admin/2015/33-9736.pdf
33-9736
IC-31500
3-15574
2015-03-09
Order Granting in Part Motion for Extension of Time and Denying Motion to Exceed Word Limit
Order
Chau, Wing F.
Harding Advisory LLC
N/A
IA-4042
http://www.sec.gov/litigation/admin/2015/34-74466.pdf
34-74466
3-15746
2015-03-10
Notice That Initial Decision Has Become Final
Notice
Dixon, Roy, Jr.
N/A
IA-4043
http://www.sec.gov/litigation/admin/2015/34-74469.pdf
34-74469
3-16427
2015-03-10
Order Instituting Public Administrative Proceedings and Notice of Hearing
AP Litigated
Lunn, Robert J.
N/A
IA-4044
http://www.sec.gov/litigation/admin/2015/ia-4044.pdf
IC-31503
3-16037
2015-03-10
Order Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings
AP Settled
Page, Edgar R.
PageOne Financial Inc.
N/A
IA-4045
http://www.sec.gov/litigation/admin/2015/33-9737.pdf
33-9737
34-74480
3-16429
2015-03-11
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Priore, Thomas C.
N/A
IA-4046
http://www.sec.gov/rules/ia/2015/ia-4046.pdf
803-00224
2015-03-12
Notice
Notice
T. Rowe Price Associates, Inc.
T. Rowe Price International Ltd.
http://www.federalregister.gov/citation/80-FR-14189
80-FR-14189
IA-4047
http://www.sec.gov/litigation/admin/2015/34-74494.pdf
34-74494
3-16432
2015-03-12
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Gray, John
N/A
IA-4048
http://www.sec.gov/alj/aljdec/2015/ia-4048.pdf
3-16226
2015-03-13
Notice That Initial Decision has become Final
Notice
Quan, Marlon
Stewardship Investment Advisors, LLC
N/A
IC-31500
http://www.sec.gov/litigation/admin/2015/33-9736.pdf
33-9736
IA-4041
3-15574
2015-03-09
Order Granting in Part Motion for Extension of Time and Denying Motion to Exceed Word Limit
Order
Chau, Wing F.
Harding Advisory LLC
N/A
IC-31501
http://www.sec.gov/rules/ic/2015/ic-31501.pdf
812-14326
2015-03-10
Order
Order
Corsair Capital Management, L.P.
Corsair Opportunity Fund
N/A
IC-31502
http://www.sec.gov/rules/ic/2015/ic-31502.pdf
812-14334
2015-03-10
Order
Order
Exchange Traded Concepts, LLC et al.
N/A
IC-31503
http://www.sec.gov/litigation/admin/2015/ia-4044.pdf
IA-4044
3-16037
2015-03-10
Order Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings
AP Settled
Page, Edgar R.
PageOne Financial Inc.
N/A
ID-751
http://www.sec.gov/alj/aljdec/2015/id751bpm.pdf
3-15613
2015-03-09
Initial Decision
Initial Decision
Martin, Julieann Palmer
N/A
ID-752
http://www.sec.gov/alj/aljdec/2015/id752cff.pdf
3-16396
2015-03-10
Initial Decision
Initial Decision
Akesis Pharmaceuticals, Inc.
Skye International, Inc.
Stellar Resources, Ltd.
Thwapr, Inc.
N/A
ID-753
http://www.sec.gov/alj/aljdec/2015/id753cff.pdf
3-15045
2015-03-11
Initial Decision
Initial Decision
Mura, David
N/A
LR-23216
http://www.sec.gov/litigation/litreleases/2015/lr23216.htm
2:15-CV-00269
2015-03-10
Enforcement Case
Huang, Bonan
Huang, Nan
N/A
LR-23217
http://www.sec.gov/litigation/litreleases/2015/lr23217.htm
12-CV-8886
2015-03-11
Enforcement Case
Jean-Pierre, Guy M. (a/k/a Marcelo Dominguez de Guerra)
N/A
LR-23218
http://www.sec.gov/litigation/litreleases/2015/lr23218.htm
2:13-CV16 (MSD)
2015-03-12
Enforcement Case
Sabol, Cynthia A.
N/A
LR-23219
http://www.sec.gov/litigation/litreleases/2015/lr23219.htm
15-CV-1820
2015-03-12
Enforcement Case
Craven, Alex J.
Craven, Anna
Craven, David
N/A