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

2016-06-15 112 19 2015-11-30 2015-12-04 Securities Act of 1933 33 9981 9984 Securities Exchange Act of 1934 34 76527 76562 Accounting and Auditing Enforcement Release AAER 3718 3719 Administrative Proceedings AP 3354 3372 Investment Advisers Act of 1940 IA 4283 4287 Investment Company Act of 1940 IC 31919 31928 Initial Decisions (ALJ) ID 919 921 Litigation Releases LR 23415 23419 33-9981 http://www.sec.gov/litigation/admin/2015/33-9981.pdf 3-16973 2015-11-30 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Standard Bank PLC N/A 33-9982 http://www.sec.gov/litigation/admin/2015/33-9982.pdf 34-76542 IC-31925 3-14848 2015-12-02 Order Scheduling Oral Argument Order Feldman, Jonathan I. optionsXpress, Inc. N/A 33-9983 http://www.sec.gov/litigation/admin/2015/33-9983.pdf 34-76546 IC-31926 3-16978 2015-12-03 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Afshar, Behruz Afshar, Shahryar Fineline Trading Group LLC Kenny, Richard F., IV Makino Capital LLC N/A 33-9984 http://www.sec.gov/litigation/admin/2015/33-9984.pdf 34-76562 IC-31928 3-14848 2015-12-04 Order Cancelling Oral Argument Order Feldman, Jonathan I. optionsXpress, Inc. and N/A 34-76527 http://www.sec.gov/rules/sro/bx/2015/34-76527.pdf SR-BX-2015-075 2015-11-30 Notice / Immediate Effectiveness to Establish Fees and Rebates Related to Order Exposure SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/80-FR-75889 80-FR-75889 34-76528 http://www.sec.gov/litigation/admin/2015/34-76528.pdf IA-4284 3-16975 2015-11-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Shea, Michael L. N/A 34-76529 http://www.sec.gov/rules/sro/cboe/2015/34-76529.pdf SR-CBOE-2015-106 2015-11-30 Notice / to Permit P.M.-Settled Options on Broad-Based Indexes to Expire on Any Wednesday of the Month by Expanding the End of Week/End of Month Pilot Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-75695 80-FR-75695 34-76530 http://www.sec.gov/rules/sro/nysearca/2015/34-76530.pdf SR-NYSEARCA-2015-114 2015-11-30 Notice / Relating to Listing and Trading of Shares of the Market Vectors Dynamic Put Write ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/80-FR-75883 80-FR-75883 34-76531 http://www.sec.gov/rules/sro/bx/2015/34-76531.pdf SR-BX-2015-074 2015-12-01 Notice / Immediate Effectiveness Relating to Market Order Spread Protection SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/80-FR-76052 80-FR-76052 34-76532 http://www.sec.gov/rules/sro/finra/2015/34-76532.pdf SR-FINRA-2015-050 2015-12-01 Notice / Immediate Effectiveness to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/80-FR-76532 80-FR-76532 34-76533 http://www.sec.gov/litigation/admin/2015/34-76533.pdf 3-12868 2015-12-01 Order Approving Application of Fund Administrator for Payment of Fees and Expenses Order Agarwal, M. Christopher Dotoli, Gustave Durando, Ronald Jaffe, Robert H. Kunzog, Theodore Microphase Corp. Packetport.com, Inc. N/A 34-76534 http://www.sec.gov/litigation/admin/2015/34-76534.pdf 3-13532 2015-12-01 Order Authorizing the Transfer of Remaining Funds and Any Funds Returned to the Fair Fund in the Future to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund Order Andersen, Christie A. Brown, Eric J. Collins, Matthew J. Gilman Ciocia, Inc. Prime Capital Services, Inc. Rudden, Rose M. Ryan, Michael P. Walsh, Kevin J. Wells, Mark W. N/A 34-76535 http://www.sec.gov/litigation/admin/2015/34-76535.pdf 3-16942 2015-12-02 Order Making Findings and Revoking Registrations AP Settled Friendly Energy Exploration Public Media Works, Inc. VRDT Corp. Zoro Mining Corp. N/A 34-76536 http://www.sec.gov/litigation/admin/2015/34-76536.pdf AAER-3718 3-16976 2015-12-02 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Grant Thornton, LLP N/A 34-76537 http://www.sec.gov/litigation/admin/2015/34-76537.pdf AAER-3719 3-16977 2015-12-02 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Koeppel, Melissa K., CPA Robinson, Jeffrey J., CPA N/A 34-76538 http://www.sec.gov/rules/sro/nasdaq/2015/34-76538.pdf SR-NASDAQ-2015-124 2015-12-02 Order / to List and Trade Shares of the Active Alts Contrarian ETF of ETFis Series Trust I SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/80-FR-76335 80-FR-76335 34-76539 http://www.sec.gov/rules/sro/nyse/2015/34-76539.pdf SR-NYSE-2015-61 2015-12-02 Notice / Immediate Effectiveness Amending Rule 132 to Delete Supplementary Material .40 Requiring Members Effecting Transactions on the NYSE Trading Floor to Submit Certain Data Elements and Badge Information a SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/80-FR-76343 80-FR-76343 34-76540 http://www.sec.gov/rules/sro/nysemkt/2015/34-76540.pdf SR-NYSEMKT-2015-97 2015-12-02 Notice / Immediate Effectiveness Amending Rule 132 - Equities to Delete Supplementary Material .40 Requiring Members Effecting Transactions on the Equities Trading Floor to Submit Certain Data Elements and Badg SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/80-FR-76333 80-FR-76333 34-76541 2015-12-02 INTENTIONALLY OMITTED 34-76542 http://www.sec.gov/litigation/admin/2015/33-9982.pdf 33-9982 IC-31925 3-14848 2015-12-02 Order Scheduling Oral Argument Order Feldman, Jonathan I. optionsXpress, Inc. N/A 34-76543 http://www.sec.gov/litigation/admin/2015/34-76543.pdf 3-16596 2015-12-03 Notice That Initial Decision Has Become Final Notice Soltera Mining Corp. N/A 34-76544 http://www.sec.gov/litigation/admin/2015/34-76544.pdf 3-16769 2015-12-03 Notice That Initial Decision Has Become Final Notice Ci4net.com Inc. Curragh, Inc. Rephex, Inc. N/A 34-76545 http://www.sec.gov/litigation/admin/2015/34-76545.pdf 3-16749 2015-12-03 Notice That Initial Decision Has Become Final Notice Cityview Corp. Ltd. Com-Animation, Inc. (a/k/a Com-Animatrix, Inc.) TPI Enterprises, Inc. N/A 34-76546 http://www.sec.gov/litigation/admin/2015/33-9983.pdf 33-9983 IC-31926 3-16978 2015-12-03 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Afshar, Behruz Afshar, Shahryar Fineline Trading Group LLC Kenny, Richard F., IV Makino Capital LLC N/A 34-76547 http://www.sec.gov/rules/sro/box/2015/34-76547.pdf SR-BOX-2015-37 2015-12-03 Notice / Immediate Effectiveness to Amend IM-5050-10 to BOX Rule 5050 (Mini Option Contracts) SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/80-FR-76609 80-FR-76609 34-76548 http://www.sec.gov/rules/sro/occ-an/2015/34-76548.pdf SR-OCC-2015-804 2015-12-03 Notice / No Objection to Advance Notice to Modify The Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/80-FR-76602 80-FR-76602 34-76549 http://www.sec.gov/rules/sro/nysearca/2015/34-76549.pdf SR-NYSEARCA-2015-115 2015-12-03 Notice / Immediate Effectiveness Amending NYSE Arca Equities Rules 7.44 and 7.44P to Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders that are Routed on Behalf of Introduced Retail Accounts that are Carried on a SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/80-FR-76595 80-FR-76595 34-76550 http://www.sec.gov/rules/sro/nasdaq/2015/34-76550.pdf SR-NASDAQ-2015-146 2015-12-03 Notice / Immediate Effectiveness to Adopt Record Keeping Change and Substitution Listing Event Fees for Securities Listed under the Rule 5700 Series SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/80-FR-76605 80-FR-76605 34-76551 http://www.sec.gov/rules/sro/nyse/2015/34-76551.pdf SR-NYSE-2015-46 2015-12-03 Notice / Designation of Longer Period for Commission Action to Establish Rules to Comply with the Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission pursuant to Rule 608 of Regulation NMS SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/80-FR-76602 80-FR-76602 34-76552 http://www.sec.gov/rules/sro/bats/2015/34-76552.pdf SR-BATS-2015-108 2015-12-03 Notice / to Adopt Rule 11.27 Regarding the Quoting and Trading Requirements of the Tick Size Pilot Program SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/80-FR-76591 80-FR-76591 34-76553 http://www.sec.gov/rules/sro/nyse/2015/34-76553.pdf SR-NYSE-2015-59 2015-12-03 Notice / Immediate Effectiveness Amending Rule 107C to Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders that are Routed on Behalf of Introduced Retail Accounts that a SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/80-FR-76607 80-FR-76607 34-76554 http://www.sec.gov/rules/sro/nysemkt/2015/34-76554.pdf SR-NYSEMKT-2015-96 2015-12-03 Notice / Immediate Effectiveness Amending Rule 107C - Equities to Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders that are Routed on Behalf of Introduced Retail Accounts that are Carried on a Fully Disclosed Ba SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/80-FR-76598 80-FR-76598 34-76555 http://www.sec.gov/litigation/admin/2015/34-76555.pdf 3-16921 2015-12-04 Order Making Findings and Revoking Registration AP Settled Jenex Corp. N/A 34-76556 http://www.sec.gov/rules/sro/finra/2015/34-76556.pdf SR-FINRA-2015-053 2015-12-04 Notice / Immediate Effectiveness to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/80-FR-76724 80-FR-76724 34-76557 http://www.sec.gov/rules/sro/miax/2015/34-76557.pdf SR-MIAX-2015-65 2015-12-04 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/80-FR-76716 80-FR-76716 34-76558 http://www.sec.gov/litigation/opinions/2015/34-76558.pdf 3-16461 2015-12-04 Opinion Opinion Wiley, Keilen Dimone N/A 34-76559 http://www.sec.gov/litigation/opinions/2015/34-76559.pdf 3-16948 2015-12-04 Order Scheduling Briefs Order Jarkas, Rani T. N/A 34-76560 http://www.sec.gov/litigation/admin/2015/34-76560.pdf 3-16979 2015-12-04 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Ben Franklin Financial, Inc. (a/k/a Franklin Ben Financial, Inc.) Cincinnati Regional Initiative Inc. (a/k/a Midwest Regional Authority, Inc., a/k/a Buffalo Capital II Ltd.) Dayton General Systems, Inc. Display.IT Holdings PLC Gali Global Holdings Ltd. N/A 34-76561 http://www.sec.gov/litigation/admin/2015/34-76561.pdf 3-16980 2015-12-04 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Fox Energy Corp. N/A 34-76562 http://www.sec.gov/litigation/admin/2015/33-9984.pdf 33-9984 IC-31928 3-14848 2015-12-04 Order Cancelling Oral Argument Order Feldman, Jonathan I. optionsXpress, Inc. and N/A AAER-3718 http://www.sec.gov/litigation/admin/2015/34-76536.pdf 34-76536 3-16976 2015-12-02 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Grant Thornton, LLP N/A AAER-3719 http://www.sec.gov/litigation/admin/2015/34-76537.pdf 34-76537 3-16977 2015-12-02 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Koeppel, Melissa K., CPA Robinson, Jeffrey J., CPA N/A AP-3354 http://www.sec.gov/alj/aljorders/2015/ap-3354.pdf 3-15815 2015-11-30 Order Directing Supplemental Briefing Order L&L Energy, Inc. Lee, Dickson, CPA N/A AP-3355 http://www.sec.gov/alj/aljorders/2015/ap-3355.pdf 3-16972 2015-11-30 Order Scheduling Hearing and Designating Presiding Judge Order Cooper, Brett A. N/A AP-3356 http://www.sec.gov/alj/aljorders/2015/ap-3356.pdf 3-16940 2015-11-30 Order to Show Cause Order Codesmart Holdings, Inc. N/A AP-3357 http://www.sec.gov/alj/aljorders/2015/ap-3357.pdf 3-16947 2015-11-30 Order to Show Cause Order Inelco Corp. Teliphone Corp. N/A AP-3358 http://www.sec.gov/alj/aljorders/2015/ap-3358.pdf 3-16954 2015-12-01 Order Postponing Hearing, Scheduling Prehearing Conference, and to Show Cause Order Riverdale Mining, Inc. Tresoro Mining Corp. N/A AP-3359 http://www.sec.gov/alj/aljorders/2015/ap-3359.pdf 3-16498 2015-12-01 Order Rescheduling Prehearing Conference Order Schalk, Russell C., Jr. N/A AP-3360 http://www.sec.gov/alj/aljorders/2015/ap-3360.pdf 3-16935 2015-12-01 Order Following Prehearing Conference and to Show Cause Order American Power Corp. Locan, Inc. N/A AP-3361 http://www.sec.gov/alj/aljorders/2015/ap-3361.pdf 3-15382 2015-12-02 Order Lifting Stay and Scheduling Prehearing Conference Order Cohen, Steven A. N/A AP-3362 http://www.sec.gov/alj/aljorders/2015/ap-3362.pdf 3-16953 2015-12-02 Order to Show Cause, Postponing Hearing, and Scheduling Prehearing Conference Order Echelon Acquisition Corp. FirstChina Capital, Inc. N/A AP-3363 http://www.sec.gov/alj/aljorders/2015/ap-3363.pdf 3-16801 2015-12-02 Order Granting Motion for Leave to File Notice Under Seal Order Bennett Group Financial Services, LLC Bennett, Dawn J. N/A AP-3364 http://www.sec.gov/alj/aljorders/2015/ap-3364.pdf 3-16155 2015-12-02 Order on Motions to Quash Order Rowe, Nicholas N/A AP-3365 http://www.sec.gov/alj/aljorders/2015/ap-3365.pdf 3-16590 2015-12-02 Order Order Ourand, Brian J. N/A AP-3366 http://www.sec.gov/alj/aljorders/2015/ap-3366.pdf 3-16946 2015-12-02 Order Following Prehearing Conference Order Price, George Charles Cody N/A AP-3367 http://www.sec.gov/alj/aljorders/2015/ap-3367.pdf 3-16954 2015-12-03 Order Rescheduling Prehearing Conference Order Riverdale Mining Inc. Tresoro Mining Corp. N/A AP-3368 http://www.sec.gov/alj/aljorders/2015/ap-3368.pdf 3-16893 2015-12-03 Order Requesting Additional Evidence of Service Order Evans, James A., Jr. N/A AP-3369 http://www.sec.gov/alj/aljorders/2015/ap-3369.pdf 3-16962 2015-12-03 Order to Show Cause Postponing Hearing and Scheduling Prehearing Conference Order Equity Ventures Group, Inc. Games on Demand International, Inc. (a/ka/ Firmware Technologies Inc.) N/A AP-3370 http://www.sec.gov/alj/aljorders/2015/ap-3370.pdf 3-16883 2015-12-04 Scheduling Order Order Innovative Business Solutions, LLC Jacob, Arthur F., CPA N/A AP-3371 http://www.sec.gov/alj/aljorders/2015/ap-3371.pdf 3-16937 2015-12-04 Order Following Prehearing Conference Order Murray, James Michael N/A AP-3372 http://www.sec.gov/alj/aljorders/2015/ap-3372.pdf 3-16509 2015-12-04 Order Order Agostini, Luigi Daspin, Edward M., a/k/a Edward (Ed) Michael Lux, Lawrence R. N/A IA-4283 http://www.sec.gov/litigation/admin/2015/ia-4283.pdf 3-16974 2015-11-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Alpha Fiduciary, Inc. Doglione, Arthur T. N/A IA-4284 http://www.sec.gov/litigation/admin/2015/34-76528.pdf 34-76528 3-16975 2015-11-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Shea, Michael L. N/A IA-4285 http://www.sec.gov/rules/other/2015/ia-4285.pdf 801-77520 801-70533 801-66662 801-71439 801-71810 801-77143 801-78409 801-71188 801-70916 801-76567 801-78049 801-65517 801-69648 801-28490 801-10966 801-63963 801-69898 801-71208 801-72117 801-9488 801-61973 801-70401 801-71189 801-77747 801-72743 801-71089 801-70460 801-76636 801-62524 801-78848 801-69144 801-72059 801-72000 801-8984 801-72299 801-70781 801-77496 801-77931 2015-12-02 Notice / Intention to Cancel Registrations of Certain Investment Advisors Notice ACCESS STRATEGIC ADVISORY GROUP, LLC ALPHAMETRIX, LLC ARNOTT CAPITAL PTY LTD BATTENKILL CAPITAL MANAGEMENT, INC. BISHOP ASSET MANAGEMENT, LLC CAMELOT ACQUISITION SECONDARY OPPORTUNITIES MANAGEMENT, LLC CASICO, LLC CENTINELA CAPITAL PARTNERS, LLC CMA ADVISORY GROUP, LLC CUSTOM FINANCIAL SERVICES, LLC EXCALIBUR MANAGEMENT, LLC FGS CAPITAL LLP FUTURE VALUE CONSULTANTS LIMITED FX CONCEPTS, LLC GARY EUGENE GIBBONS (DBA THE COLERIDGE GROUP) HARPER ASSOCIATES, LLC INSIGHT ONSITE STRATEGIC MANAGEMENT LLC KPDN INC. MAP ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC MAURY WADE & COMPANY MEDITRON ASSET MANAGEMENT, LLC MIDWEST MORTGAGE ANALYTICS MORGAN FINCH, LLC NEW SOURCE MEDIA ADVISOR, LLC NICHOLS CONSULTING OPTIMIZE CAPITAL PAUL-ELLIS INVESTMENT ASSOCIATES PETROFF INSTITUTIONAL PURCELL ADVISORY SERVICES, LLC RCG PARTNERS SAFE HAVEN ADVISORS, INC. SOLOMON HENDRIX & CO. STAMBOULI MANAGEMENT CORP. VALLEY FORGE MANAGEMENT CORP VASQUEZ & CO. 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N/A IC-31922 http://www.sec.gov/rules/ic/2015/ic-31922.pdf 812-14534 2015-12-01 Order Order Wildermuth Advisory, LLC Wildermuth Endowment Strategy Fund N/A IC-31923 http://www.sec.gov/rules/ic/2015/ic-31923.pdf 812-14507 2015-12-02 Order Order Good Hill ETF Trust Good Hill Partners LP N/A IC-31924 http://www.sec.gov/rules/ic/2015/ic-31924.pdf 812-14258 2015-12-02 Notice Notice Nuveen fund Advisors, LLC, et al. http://www.federalregister.gov/citation/80-FR-76338 80-FR-76338 IC-31925 http://www.sec.gov/litigation/admin/2015/33-9982.pdf 33-9982 34-76542 3-14848 2015-12-02 Order Scheduling Oral Argument Order Feldman, Jonathan I. optionsXpress, Inc. N/A IC-31926 http://www.sec.gov/litigation/admin/2015/33-9983.pdf 33-9983 34-76546 3-16978 2015-12-03 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Afshar, Behruz Afshar, Shahryar Fineline Trading Group LLC Kenny, Richard F., IV Makino Capital LLC N/A IC-31927 http://www.sec.gov/rules/ic/2015/ic-31927.pdf 812-14374 2015-12-04 Notice Notice Alcentra Capital Corporation, et al. http://www.federalregister.gov/citation/80-FR-76719 80-FR-76719 IC-31928 http://www.sec.gov/litigation/admin/2015/33-9984.pdf 33-9984 34-76562 3-14848 2015-12-04 Order Cancelling Oral Argument Order Feldman, Jonathan I. optionsXpress, Inc. and N/A ID-919 http://www.sec.gov/alj/aljdec/2015/id919cff.pdf 3-16353 2015-11-30 Initial Decision Initial Decision Spring Hill Capital Holdings, LLC Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC White, Kevin D. N/A ID-920 http://www.sec.gov/alj/aljdec/2015/id920jeg.pdf 3-16706 2015-12-01 Initial Decision Initial Decision Uppal, Sachin K. N/A ID-921 http://www.sec.gov/alj/aljdec/2015/id921jsp.pdf 3-16411 2015-12-02 Initial Decision of Default Initial Decision China Printing & Packaging, Inc. Silvan Industries, Inc. N/A LR-23415 http://www.sec.gov/litigation/litreleases/2015/lr23415.htm 3:15-CV-01760 2015-12-01 Enforcement Case Garza, Homero Joshua GAW Miners, LLC ZenMiner, LLC N/A LR-23416 http://www.sec.gov/litigation/litreleases/2015/lr23416.htm 1:15-CV-03904-WSD 2015-12-01 Enforcement Case American Motor Credit, LLC Credit Nation Acceptance, LLC Credit Nation Auto Sales, LLC Credit Nation Capital, LLC (f/k/a Credit Nation Lending, LLC) Spaghetti Junction, LLC N/A LR-23417 http://www.sec.gov/litigation/litreleases/2015/lr23417.htm 2:11-CV-0211 2015-12-01 Enforcement Case Smanjak, Chad P. N/A LR-23418 http://www.sec.gov/litigation/litreleases/2015/lr23418.htm 4:15-MC-80289 2015-12-03 Enforcement Case NetCirq, LLC N/A LR-23419 http://www.sec.gov/litigation/litreleases/2015/lr23419.htm 2:12-CV00591 2015-12-04 Enforcement Case National Note of Utah Palmer, Wayne L. N/A