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

2016-11-29 115 5 2016-10-17 2016-10-21 Securities Act of 1933 33 10236 10237 Securities Exchange Act of 1934 34 79104 79139 Administrative Proceedings AP 4263 4296 Investment Advisers Act of 1940 IA 4552 4558 Investment Company Act of 1940 IC 32319 32322 Initial Decisions (ALJ) ID 1069 1070 Litigation Releases LR 23673 23675 Accounting and Auditing Enforcement Release AAER 3814 3817 33-10236 https://www.sec.gov/litigation/admin/2016/33-10236.pdf 34-79112 IA-4553 IC-32320 3-17629 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lebel, Paul T. N/A 33-10237 https://www.sec.gov/litigation/admin/2016/33-10237.pdf 34-79134 3-16228 2016-10-21 Order Making Findings and Imposing a Cease-and-Desist AP Settled Navagate, Inc. Rorke (a/k/a Greg Rorke), Gregory N/A 34-79104 https://www.sec.gov/litigation/admin/2016/34-79104.pdf 3-17310 2016-10-17 Notice that Initial Decision Has Become Final Initial Decision Caspian International Oil Corporation Elevate, Inc. Groen Brothers Aviation, Inc. Logic Devices, Incorporated N/A 34-79105 https://www.sec.gov/rules/sro/nasdaq/2016/34-79105.pdf SR-NASDAQ-2016-133 2016-10-17 Notice / Immediate Effectiveness/to Amend Specialized Quote Feed Port Fees SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-72844 81-FR-72844 34-79106 https://www.sec.gov/rules/sro/nyse/2016/34-79106.pdf SR-NYSE-2016-65 2016-10-17 Notice / Immediate Effectiveness/to Amend its Price List to Eliminate Take Fees for Bonds Executed on the NYSE BondsSM System SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-72842 81-FR-72842 34-79107 https://www.sec.gov/rules/sro/nysearca/2016/34-79107.pdf SR-NYSEARCA-2016-130 2016-10-18 Amending NYSE Arca Equities Rules 7.35 (Auctions), 7.10 (Clearly Erroneous Executions), 7.31 (Orders and Modifiers), and 7.11 (Limit Up ? Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility)/Notice SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-73159 81-FR-73159 34-79108 https://www.sec.gov/rules/sro/nysemkt/2016/34-79108.pdf SR-NYSEMKT-2016-92 2016-10-18 Amending NYSE MKT Rule 6A ? Equities and NYSE MKT Rule 6 - Equities/Notice / Immediate Effectiveness SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-73182 81-FR-73182 34-79109 https://www.sec.gov/litigation/admin/2016/34-79109.pdf AAER-3814 3-17628 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ernst & Young LLP Fronckiewicz, Craig R. CPA Adams, Sarah E. CPA N/A 34-79110 https://www.sec.gov/rules/sro/cboe/2016/34-79110.pdf SR-CBOE-2016-064 2016-10-18 Notice / Withdrawal /Relating to SPX Combo Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-73182 81-FR-73182 34-79111 https://www.sec.gov/rules/sro/nysearca/2016/34-79111.pdf SR-NYSEARCA-2016-96 2016-10-18 Order / Instituting Proceedings to/to Amend NYSE Arca Equities Rule 8.700 and to List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-73179 81-FR-73179 34-79112 https://www.sec.gov/litigation/admin/2016/33-10236.pdf 33-10236 IA-4553 IC-32320 3-17629 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lebel, Paul T. N/A 34-79113 https://www.sec.gov/litigation/admin/2016/34-79113.pdf IA-4555 3-17631 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bank Leumi le-Israel B.M. Leumi Private Bank Bank Leumi (Luxembourg) S.A. N/A 34-79114 https://www.sec.gov/rules/sro/nysemkt/2016/34-79114.pdf SR-NYSEMKT-2016-93 2016-10-18 Amending Article IV, Section 4.05 of the Ninth Amended and Restated Operating Agreement of the Exchange /Notice / Immediate Effectiveness SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-73177 81-FR-73177 34-79115 https://www.sec.gov/rules/sro/nyse/2016/34-79115.pdf SR-NYSE-2016-66 2016-10-18 Amending Article IV, Section 4.05 of the Tenth Amended and Restated Operating Agreement of the Exchange /Notice / Immediate Effectiveness SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-73187 81-FR-73187 34-79116 https://www.sec.gov/rules/sro/finra/2016/34-79116.pdf SR-FINRA-2016-027 2016-10-18 Notice / Order Accelerating Amendment No. 1 Relating to the Reporting of Transactions in U.S. Treasury Securities to TRACE SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-73167 81-FR-73167 34-79117 https://www.sec.gov/litigation/admin/2016/34-79117.pdf 3-17632 2016-10-19 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Leonard, John M. N/A 34-79118 https://www.sec.gov/rules/sro/nasdaq/2016/34-79118.pdf SR-NASDAQ-2016-121 2016-10-19 Notice / Designation of Longer Period for Commission Action/Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-73186 81-FR-73186 34-79119 https://www.sec.gov/rules/sro/nasdaq/2016/34-79119.pdf SR-NASDAQ-2016-138 2016-10-19 Notice / Immediate Effectiveness/to Amend Nasdaq Rule 7046 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-73157 81-FR-73157 34-79120 https://www.sec.gov/litigation/admin/2016/34-79120.pdf AAER-3815 3-17633 2016-10-19 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated Aronson, David A. CPA N/A 34-79121 https://www.sec.gov/litigation/admin/2016/34-79121.pdf 3-17635 2016-10-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Sizer, Craig V. N/A 34-79122 https://www.sec.gov/rules/sro/dtc/2016/34-79122.pdf SR-DTC-2016-010 2016-10-19 Notice / Immediate Effectiveness/to Allow DTC to Automate the Process for Participants to Submit Eligibility Requests for Older Issues SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/81-FR-73450 81-FR-73450 34-79123 https://www.sec.gov/litigation/admin/2016/34-79123.pdf 3-17636 2016-10-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Meza (a/k/a Michael Mesa), Miguel N/A 34-79124 https://www.sec.gov/litigation/admin/2016/34-79124.pdf 3-17637 2016-10-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Yaffar-Pena, Lia N/A 34-79125 https://www.sec.gov/rules/sro/nysemkt/2016/34-79125.pdf SR-NYSEMKT-2016-48 2016-10-19 Notice / Order Accelerating /to Amend Certain Rules Related to Flexible Exchange Options SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-73452 81-FR-73452 34-79126 https://www.sec.gov/litigation/admin/2016/34-79126.pdf IA-4557 3-17638 2016-10-20 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Valentine, John Leo N/A 34-79127 https://www.sec.gov/litigation/admin/2016/34-79127.pdf AAER-3816 3-17639 2016-10-20 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions, Cease-and-Desist Orders and Penalties AP Settled FMC Technologies, Inc. Favret, Jeffrey CPA Croft, Steven CPA N/A 34-79128 https://www.sec.gov/litigation/opinions/2016/34-79128.pdf IA-4558 3-17115 2016-10-20 Order Directing Filings Orders Schooler, Louis V. N/A 34-79129 https://www.sec.gov/alj/aljdec/2016/34-79129.pdf 3-17049 2016-10-20 Notice that Initial Decision Has Become Final Notice RAHFCO Management Group, LLC N/A 34-79130 https://www.sec.gov/rules/sro/nyse/2016/34-79130.pdf SR-NYSE-2016-67 2016-10-21 Amending Rule 497/Notice / Immediate Effectiveness SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-74847 81-FR-74847 34-79131 https://www.sec.gov/rules/sro/nysearca/2016/34-79131.pdf SR-NYSEARCA-2016-97 2016-10-21 Order / Instituting Proceedings to/Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-74840 81-FR-74840 34-79132 https://www.sec.gov/rules/sro/nysemkt/2016/34-79132.pdf SR-NYSEMKT-2016-94 2016-10-21 Amending Rule 497-Equities/Notice / Immediate Effectiveness SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-74851 81-FR-74851 34-79133 https://www.sec.gov/rules/sro/cboe/2016/34-79133.pdf SR-CBOE-2016-071 2016-10-21 Notice /Relating to Opening and Closing Rotations Under the HOSS System SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-74828 81-FR-74828 34-79134 https://www.sec.gov/litigation/admin/2016/33-10237.pdf 33-10237 3-16228 2016-10-21 Order Making Findings and Imposing a Cease-and-Desist AP Settled Navagate, Inc. Rorke (a/k/a Greg Rorke), Gregory N/A 34-79135 https://www.sec.gov/rules/sro/nysemkt/2016/34-79135.pdf SR-NYSEMKT-2016-45 2016-10-21 Disapproving a Proposed Rule Change to Modify the NYSE Amex Options Fee Schedule with Respect to Fees, Rebates, and Credits for Transactions in the Customer Best Execution Auction/Order SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-74842 81-FR-74842 34-79136 https://www.sec.gov/litigation/admin/2016/34-79136.pdf 3-11498 2016-10-21 Order Approving Use of Fair Fund to Pay Outstanding and Remaining Fees and Expenses Orders Strong Capital Management, Inc. Strong Investor Services, Inc. Strong Investments, Inc. Hooker, Thomas A. Jr. D'Amato, Anthony J. 34-79137 https://www.sec.gov/litigation/admin/2016/34-79137.pdf AAER-3817 3-17640 2016-10-21 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Chandler, Julianne M. N/A 34-79138 https://www.sec.gov/litigation/opinions/2016/34-79138.pdf 3-16430 2016-10-21 Order Terminating Automatic Stay Orders Laccetti, Mark E. CPA 34-79139 https://www.sec.gov/litigation/admin/2016/34-79139.pdf 3-14854 2016-10-21 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice GMB Capital Management LLC (c/k/a Clearstream Investments LLC GMB Capital Partners LLC Bitran, Gabriel Bitran, Marco AP-4263 https://www.sec.gov/alj/aljorders/2016/ap-4263.pdf 3-17571 2016-10-17 Order Postponing Hearing and Scheduling Prehearing Conference Orders Mellon, Matthew T. II N/A AP-4264 https://www.sec.gov/alj/aljorders/2016/ap-4264.pdf 3-16383 2016-10-17 Scheduling Order Orders Hill, Charles L. Jr. N/A AP-4265 https://www.sec.gov/alj/aljorders/2016/ap-4265.pdf 3-17313 2016-10-17 Order Setting Prehearing Schedule Orders Tirrell, William N/A AP-4266 https://www.sec.gov/alj/aljorders/2016/ap-4266.pdf 3-17398 2016-10-17 Order Granting Third Extension of Time to File Answer Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4267 https://www.sec.gov/alj/aljorders/2016/ap-4267.pdf 3-17551 2016-10-17 Order Directing Parties to Hold a Prehearing Conference Orders Med-X, Inc. N/A AP-4268 https://www.sec.gov/alj/aljorders/2016/ap-4268.pdf 3-17550 2016-10-17 Order Orders Ditommaso, Tod A. Esq. N/A AP-4269 https://www.sec.gov/alj/aljorders/2016/ap-4269.pdf 3-17563 2016-10-18 Order to Show Cause Orders AIC International Resource Corp. Stellar Metals, Inc. N/A AP-4270 https://www.sec.gov/alj/aljorders/2016/ap-4270.pdf 3-17253 2016-10-18 Post-Hearing Order Orders Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A AP-4271 https://www.sec.gov/alj/aljorders/2016/ap-4271.pdf 3-16462 2016-10-18 Order Orders Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC Tilton, Lynn N/A AP-4272 https://www.sec.gov/alj/aljorders/2016/ap-4272.pdf 3-17387 2016-10-18 Order on Motion to Preclude Advice-of-Counsel Defense Orders Lathen, Donald F. ("Jay") Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4273 https://www.sec.gov/alj/aljorders/2016/ap-4273.pdf 3-17574 2016-10-18 Order Postponing Hearing Orders Accel Brands, Inc. N/A AP-4274 https://www.sec.gov/alj/aljorders/2016/ap-4274.pdf 3-16462 2016-10-18 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4275 https://www.sec.gov/alj/aljorders/2016/ap-4275.pdf 3-17519 2016-10-18 Postponement Order Orders Grace Development, Inc. Luxeyard, Inc. Superdirectories, Inc. N/A AP-4276 https://www.sec.gov/alj/aljorders/2016/ap-4276.pdf 3-17313 2016-10-19 Order Setting Hearing Guidelines Orders Tirrell, William N/A AP-4277 https://www.sec.gov/alj/aljorders/2016/ap-4277.pdf 3-15619 2016-10-19 Order Scheduling Prehearing Conference Orders Doxey, Joseph P. N/A AP-4278 https://www.sec.gov/alj/aljorders/2016/ap-4278.pdf 3-17519 2016-10-19 Order Orders Grace Development, Inc. Luxeyard, Inc., SuperDirectories, Inc. N/A AP-4279 https://www.sec.gov/alj/aljorders/2016/ap-4279.pdf 3-17559 2016-10-19 Order Postponing Hearing Orders Rose, Sheldon MKJJ Consulting LLC N/A AP-4280 https://www.sec.gov/alj/aljorders/2016/ap-4280.pdf 3-16462 2016-10-19 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4281 https://www.sec.gov/alj/aljorders/2016/ap-4281.pdf 3-17632 2016-10-19 Order Scheduling Hearing and Designating Presiding Judge Orders Leonard, John M. N/A AP-4282 https://www.sec.gov/alj/aljorders/2016/ap-4282.pdf 3-17615 2016-10-20 Stay Order Orders Boreal Water Collection, Inc. N/A AP-4283 https://www.sec.gov/alj/aljorders/2016/ap-4283.pdf 3-17528 2016-10-20 Order Following Prehearing Conference Orders Kazinec, Aaron Nash N/A AP-4284 https://www.sec.gov/alj/aljorders/2016/ap-4284.pdf 3-17589 2016-10-20 Order to Show Cause Orders Cantab Pharmaceuticals PLC, International Panorama Resource Corp., Zealous, Inc. (n/k/a Corestream Energy, Inc.) N/A AP-4285 https://www.sec.gov/alj/aljorders/2016/ap-4285.pdf 3-17633 2016-10-20 Order Scheduling Hearing and Designating Presiding Judge Orders Aronson, David A. CPA N/A AP-4286 https://www.sec.gov/alj/aljorders/2016/ap-4286.pdf 3-16349 2016-10-20 Order Regarding Hearing Location Orders Duka, Barbara N/A AP-4287 https://www.sec.gov/alj/aljorders/2016/ap-4287.pdf 3-16649 2016-10-20 Order Regarding Hearing Location Orders Ironridge Global Partners, LLC Ironridge Global IV, Ltd. N/A AP-4288 https://www.sec.gov/alj/aljorders/2016/ap-4288.pdf 3-17590 2016-10-20 Order Scheduling Prehearing Conference Orders Telestone Technologies Corp. US Fuel Corp. victory Eagle Resources Corp. N/A AP-4289 https://www.sec.gov/alj/aljorders/2016/ap-4289.pdf 3-17352 2016-10-20 Order Rescheduling Hearing Orders Saving2Retire, LLC Young, Marian P. N/A AP-4290 https://www.sec.gov/alj/aljorders/2016/ap-4290.pdf 3-17398 2016-10-21 Order on Subpoena Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4291 https://www.sec.gov/alj/aljorders/2016/ap-4291.pdf 3-17590 2016-10-21 Order Rescheduling Prehearing Conference Orders Telestone Technologies Corp., US Fuel Corp., Victory Eagle Resources Corp. N/A AP-4292 https://www.sec.gov/alj/aljorders/2016/ap-4292.pdf 3-17621 2016-10-21 Postponement Order Orders Stitt, Andrew N/A AP-4293 https://www.sec.gov/alj/aljorders/2016/ap-4293.pdf 3-16462 2016-10-21 Postponement Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4294 https://www.sec.gov/alj/aljorders/2016/ap-4294.pdf 3-17577 2016-10-21 Order Orders Siebert, Robert N/A AP-4295 https://www.sec.gov/alj/aljorders/2016/ap-4295.pdf 3-17614 2016-10-21 Postponement Order Orders Laurence I. Balter d/b/a Oracle Investment Research N/A AP-4296 https://www.sec.gov/alj/aljorders/2016/ap-4296.pdf 3-16462 2016-10-21 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A IA-4552 https://www.sec.gov/litigation/admin/2016/ia-4552.pdf 3-17627 2016-10-17 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Haab, Matthew D. CPA N/A IA-4553 https://www.sec.gov/litigation/admin/2016/33-10236.pdf 33-10236 34-79112 IC-32320 3-17629 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lebel, Paul T. N/A IA-4554 https://www.sec.gov/litigation/admin/2016/ia-4554.pdf IC-32321 3-17630 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Calvert Investment Management, Inc. N/A IA-4555 https://www.sec.gov/litigation/admin/2016/34-79113.pdf 34-79113 3-17631 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bank Leumi le-Israel B.M. Leumi Private Bank Bank Leumi (Luxembourg) S.A. N/A IA-4556 https://www.sec.gov/litigation/admin/2016/ia-4556.pdf 3-17634 2016-10-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Aubry, Mark J. N/A IA-4557 https://www.sec.gov/litigation/admin/2016/34-79126.pdf 34-79126 3-17638 2016-10-20 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Valentine, John Leo N/A IA-4558 https://www.sec.gov/litigation/opinions/2016/34-79128.pdf 34-79128 3-17115 2016-10-20 Order Directing Filings Orders Schooler, Louis V. N/A IC-32319 https://www.sec.gov/rules/ic/2016/ic-32319.pdf 812-14410 2016-10-17 Order Orders Altegris KKR Commitments Master Fund, et al N/A IC-32320 https://www.sec.gov/litigation/admin/2016/33-10236.pdf 33-10236 34-79112 IA-4553 3-17629 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lebel, Paul T. N/A IC-32321 https://www.sec.gov/litigation/admin/2016/ia-4554.pdf IA-4554 3-17630 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Calvert Investment Management, Inc. N/A IC-32322 https://www.sec.gov/rules/ic/2016/ic-32322.pdf 812-14619 2016-10-21 Notice Notice Nuveen Fund Advisors, LLC et al. http://www.federalregister.gov/citation/81-FR-74849 81-FR-74849 ID-1069 https://www.sec.gov/alj/aljdec/2016/id1069cff.pdf 3-17543 2016-10-17 Initial Decision Making Findings and Revoking Registrations by Default Initial Decision Affordable Green Homes International Jilco Industries, Inc. TMP Land Mortgage Fund, Ltd. a California Limited Partnership ID-1070 https://www.sec.gov/alj/aljdec/2016/id1070cff.pdf 3-17519 2016-10-18 Initial Decision Making and Revoking Registrations by Default Orders Grace Development, Inc. Luxeyard, Inc. Superdirectories, Inc. N/A LR-23673 https://www.sec.gov/litigation/litreleases/2016/lr23673.htm 1:16-CV-08088 2016-10-17 Enforcement Case Lime Energy Co. Almeida, Joaquin Alberto Dos Santos Raina, Karan Chandler, Julianne M. Smith, James G. N/A LR-23674 https://www.sec.gov/litigation/litreleases/2016/lr23674.htm 3-2:16-CV-00231 2016-10-21 Enforcement Case Salis, Christopher Miller, Douglas Miller, Edward N/A LR-23675 https://www.sec.gov/litigation/litreleases/2016/lr23675.htm 3:16-CV-02764 2016-10-21 Enforcement Case Cope, Jjames C. N/A AAER-3814 https://www.sec.gov/litigation/admin/2016/34-79109.pdf 34-79109 3-17628 2016-10-18 AP Settled Ernst & Young LLP Fronckiewicz, Craig R. CPA Adams, Sarah E. CPA N/A AAER-3815 https://www.sec.gov/litigation/admin/2016/34-79120.pdf 34-79120 3-17633 2016-10-19 AP Litigated Aronson, David A. CPA N/A AAER-3816 https://www.sec.gov/litigation/admin/2016/34-79127.pdf 34-79127 3-17639 2016-10-20 AP Settled FMC Technologies, Inc. Favret, Jeffrey CPA Croft, Steven CPA N/A AAER-3817 https://www.sec.gov/litigation/admin/2016/34-79137.pdf 34-79137 3-17640 2016-10-21 AP Settled Chandler, Julianne M. N/A