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

2016-12-09 115 7 2016-10-31 2016-11-04 Securities Act of 1933 33 10241 10248 Securities Exchange Act of 1934 34 79193 79248 Administrative Proceedings AP 4313 4324 Investment Advisers Act of 1940 IA 4562 4564 Investment Company Act of 1940 IC 32344 32352 Initial Decisions (ALJ) ID 1074 1076 Litigation Releases LR 23680 23682 Accounting and Auditing Enforcement Release AAER 3820 3821 33-10241 https://www.sec.gov/litigation/admin/2016/33-10241.pdf 34-79194 3-17653 2016-10-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Reger, Michael L. N/A 33-10242 https://www.sec.gov/litigation/admin/2016/33-10242.pdf 34-79196 AAER-3821 3-17654 2016-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PKF O’Connor Davies, LLP Consolo, Domenick F. CPA N/A 33-10243 https://www.sec.gov/litigation/admin/2016/33-10243.pdf 3-16509 2016-11-01 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Agostini , Luigi N/A 33-10244 https://www.sec.gov/litigation/opinions/2016/33-10244.pdf 34-79217 IA-4563 IC-32352 3-15617 2016-11-01 Order Granting Partial Stay Orders Grossman, Larry C. N/A 33-10245 https://www.sec.gov/litigation/admin/2016/33-10245.pdf 3-17664 2016-11-04 Order Fixing Time and Place of Public Hearing and Instituting Proceedings Orders Flaster Corp. N/A 33-10246 https://www.sec.gov/litigation/admin/2016/33-10246.pdf 3-17665 2016-11-04 Order Fixing Time and Place of Public Hearing and Instituting proceedings Orders iLOAN Inc. N/A 33-10247 https://www.sec.gov/litigation/admin/2016/33-10247.pdf 3-17666 2016-11-04 Order Fixing Time and Place of Public Hearing and Instituting Proceedings Orders Zubra Inc. N/A 33-10248 https://www.sec.gov/litigation/admin/2016/33-10248.pdf 3-17667 2016-11-04 Order Fixing Time and Place of Public Hearing and Instituting Proceedings Orders Instride, Inc. N/A 34-79193 https://www.sec.gov/litigation/admin/2016/34-79193.pdf AAER-3820 3-17651 2016-10-31 Order Instituting Public Administrative Proceedings AP Litigated Beamish, Adrian D. CPA N/A 34-79194 https://www.sec.gov/litigation/admin/2016/33-10241.pdf 33-10241 3-17653 2016-10-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Reger, Michael L. N/A 34-79195 https://www.sec.gov/litigation/admin/2016/34-79195.pdf IC-32344 3-17652 2016-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Shermeta, Nicholas H. Napa Properties, LLC N/A 34-79196 https://www.sec.gov/litigation/admin/2016/33-10242.pdf 33-10242 AAER-3821 3-17654 2016-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PKF O’Connor Davies, LLP Consolo, Domenick F. CPA N/A 34-79197 https://www.sec.gov/rules/sro/icc/2016/34-79197.pdf SR-ICC-2016-012 2016-10-31 Order/to Provide for the Clearance of Additional Credit Default Swap Contracts SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-76987 81-FR-76987 34-79198 https://www.sec.gov/rules/sro/miax/2016/34-79198.pdf SR-MIAX-2016-37 2016-10-31 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-76988 81-FR-76988 34-79199 https://www.sec.gov/litigation/admin/2016/34-79199.pdf IA-4562 3-17655 2016-10-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lawrence, Wade James N/A 34-79200 https://www.sec.gov/rules/exorders/2016/34-79200.pdf NO FILE NUMBER 2016-10-31 Limited Exemption from Regulation M/Order Orders NASDAQ Stock Market http://www.federalregister.gov/citation/81-FR-76975 81-FR-76975 34-79201 https://www.sec.gov/rules/sro/nysearca/2016/34-79201.pdf SR-NYSEARCA-2016-120 2016-10-31 Notice /Relating to the Listing and Trading of Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund under Commentary .02 to NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-76977 81-FR-76977 34-79202 https://www.sec.gov/litigation/admin/2016/34-79202.pdf 3-17656 2016-10-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Pensley, Joel Esq. N/A 34-79203 https://www.sec.gov/litigation/admin/2016/34-79203.pdf 3-17336 2016-11-01 Notice That Initial Decision Has Become Final Notice Breitling Energy Corporation N/A 34-79204 https://www.sec.gov/litigation/admin/2016/34-79204.pdf 3-17353 2016-11-01 Notice That Initial Decision Has Become Final Notice Scanner Technologies Corp. Seville ventures Corp. Digital Development Group Corp. (The) N/A 34-79205 https://www.sec.gov/litigation/admin/2016/34-79205.pdf 3-17376 2016-11-01 Notice That Initial Decision Has Become Final Notice Eastland Financial Corp. Granite Cliffs, Incorpoorated Greater Asia Realty Holdings, Ltd. N/A 34-79206 https://www.sec.gov/litigation/admin/2016/34-79206.pdf 3-17346 2016-11-01 Notice That Initial Decision Has Become Final Notice Franklin Bank Corporation N/A 34-79207 https://www.sec.gov/litigation/admin/2016/34-79207.pdf IC-32345 3-17657 2016-11-01 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Smith, Gregory J. N/A 34-79208 https://www.sec.gov/litigation/admin/2016/34-79208.pdf IC-32346 3-17658 2016-11-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Morley, Ronald D. The New Wealth, LLC N/A 34-79209 https://www.sec.gov/rules/sro/nysearca/2016/34-79209.pdf SR-NYSEARCA-2016-138 2016-11-01 Notice / Immediate Effectiveness/to Amend the NYSE Arca Options Fee Schedule Effective November 1, 2016 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-78217 81-FR-78217 34-79210 https://www.sec.gov/rules/sro/nyse/2016/34-79210.pdf SR-NYSE-2016-68 2016-11-01 Amending Its Price List/Notice / Immediate Effectiveness SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-78213 81-FR-78213 34-79211 https://www.sec.gov/rules/sro/nysearca/2016/34-79211.pdf SR-NYSEARCA-2016-100 2016-11-01 Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund under NYSE Arca Equities Rule 5.2(j)(3)/Order / Instituting Proceedings to SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-78231 81-FR-78231 34-79212 https://www.sec.gov/rules/sro/occ/2016/34-79212.pdf SR-OCC-2016-013 2016-11-01 Margin Coverage During Times of Increase Volatility/Notice SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-78224 81-FR-78224 34-79213 https://www.sec.gov/rules/sro/nysemkt/2016/34-79213.pdf SR-NYSEMKT-2016-98 2016-11-01 Amending Commentary .05 to Rule 980NY/Notice / Immediate Effectiveness SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-78219 81-FR-78219 34-79214 https://www.sec.gov/rules/sro/nysearca/2016/34-79214.pdf SR-NYSEARCA-2016-139 2016-11-01 Amending Commentary .05 to Rule 6.91/Notice / Immediate Effectiveness SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-78233 81-FR-78233 34-79215 https://www.sec.gov/rules/sro/finra/2016/34-79215.pdf SR-FINRA-2016-039 2016-11-01 Notice /to Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-78238 81-FR-78238 34-79216 https://www.sec.gov/rules/sro/chx/2016/34-79216.pdf SR-CHX-2016-16 2016-11-01 Adopt the CHX Liquidity Taking Access Delay/Notice / Designation of Longer Period for Commission Action to SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-78228 81-FR-78228 34-79217 https://www.sec.gov/litigation/opinions/2016/33-10244.pdf 33-10244 IA-4563 IC-32352 3-15617 2016-11-01 Order Granting Partial Stay Orders Grossman, Larry C. N/A 34-79218 https://www.sec.gov/litigation/suspensions/2016/34-79218.pdf 500-1 2016-11-02 Trading Suspension Trading Suspensions Bill the Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A 34-79219 https://www.sec.gov/litigation/admin/2016/34-79219.pdf 3-17659 2016-11-02 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Bill the Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A 34-79220 https://www.sec.gov/rules/sro/icc/2016/34-79220.pdf SR-ICC-2016-010 2016-11-02 Order/to Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework SRO Filing to Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework http://www.federalregister.gov/citation/81-FR-78677 81-FR-78677 34-79221 SR-PHLX-2016-107 2016-11-02 Notice / Immediate Effectiveness/to Amend Exchange Rule 1079 Concerning the Process of Initiating a FLEX Transaction and Determining the Best Bid or Offer SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-78675 81-FR-78675 34-79222 https://www.sec.gov/rules/sro/batsbzx/2016/34-79222.pdf SR-BATSBZX-2016-71 2016-11-02 Notice / Immediate Effectiveness/to Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-78673 81-FR-78673 34-79223 https://www.sec.gov/litigation/admin/2016/34-79223.pdf 3-17543 2016-11-03 Order Making Findings and Revoking Registration AP Settled Jilco Industries, Inc. N/A 34-79224 https://www.sec.gov/rules/sro/dtc-an/2016/34-79224.pdf SR-DTC-2016-802 2016-11-03 Extension of Review Period to Processing of Transactions in Money Market Instruments/Notice / Advance Notice SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/81-FR-78884 81-FR-78884 34-79225 https://www.sec.gov/rules/sro/msrb/2016/34-79225.pdf SR-MSRB-2016-13 2016-11-03 Notice / Immediate Effectiveness/to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-78872 81-FR-78872 34-79226 https://www.sec.gov/litigation/admin/2016/34-79226.pdf 3-17660 2016-11-03 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Beason, Patrick Reagan N/A 34-79227 https://www.sec.gov/litigation/admin/2016/34-79227.pdf 3-16846 2016-11-03 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount Orders UBS Financial Services Incorporated of Puerto Rico N/A 34-79228 https://www.sec.gov/rules/sro/nasdaq/2016/34-79228.pdf SR-NASDAQ-2016-144 2016-11-03 Notice / Immediate Effectiveness/to Institute a New Fee for the Distribution of Data SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-78890 81-FR-78890 34-79229 https://www.sec.gov/rules/sro/batsbzx/2016/34-79229.pdf SR-BATSBZX-2016-67 2016-11-03 Notice / Immediate Effectiveness/to Amend BZX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-78875 81-FR-78875 34-79230 https://www.sec.gov/litigation/admin/2016/34-79230.pdf 3-17366 2016-11-03 Order Making Findings and Revoking Registration AP Settled John D. Oil and Gas Company N/A 34-79231 https://www.sec.gov/rules/sro/nysemkt/2016/34-79231.pdf SR-NYSEMKT-2016-90 2016-11-03 Amending Its Rules Concerning Payment of Compensation and Rebates, and Research Analyst Attestation Requirements in Order to Harmonize with Certain FINRA Rules and Make Other Conforming Changes/Notice / Immediate Effectiveness SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-78880 81-FR-78880 34-79232 https://www.sec.gov/rules/sro/nysemkt/2016/34-79232.pdf SR-NYSEMKT-2016-96 2016-11-03 Notice / Immediate Effectiveness/to Add to the Rules of the Exchange the Eleventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-78873 81-FR-78873 34-79233 https://www.sec.gov/rules/sro/batsbyx/2016/34-79233.pdf SR-BATSBYX-2016-28 2016-11-03 Notice / Immediate Effectiveness/to Amend BYX Rule, 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification SRO Filing Bats BYX Exchange, Inc http://www.federalregister.gov/citation/81-FR-78869 81-FR-78869 34-79234 https://www.sec.gov/rules/sro/batsedga/2016/34-79234.pdf SR-BATSEDGA-2016-23 2016-11-03 Notice / Immediate Effectiveness/to Amend EDGA Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-78867 81-FR-78867 34-79235 https://www.sec.gov/litigation/admin/2016/34-79235.pdf 3-15654 2016-11-03 Order Directing Disbursement of Fair Fund Orders G-Trade Services LLC Convergex Global Markets Limited Convergex Execution Solutions LLC N/A 34-79236 https://www.sec.gov/rules/sro/batsedgx/2016/34-79236.pdf SR-BATSEDGX-2016-59 2016-11-03 Notice / Immediate Effectiveness/to Amend EDGX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-78878 81-FR-78878 34-79237 https://www.sec.gov/rules/interim/2016/34-79237.pdf NO FILE NUMBER 2016-11-03 Final Rule/Interim Final Temporary Rule 608T Regarding the Consolidated Audit Trail Final Rule 34 Act; Rule 608T 34-79238 https://www.sec.gov/litigation/suspensions/2016/34-79238.pdf 500-1 2016-11-04 Trading Suspension Trading Suspensions Instride, Inc. N/A 34-79239 https://www.sec.gov/rules/sro/msrb/2016/34-79239.pdf SR-MSRB-2016-14 2016-11-04 Notice / Immediate Effectiveness/to Establish Fees Related to the MSRB Academic Historical Transaction Data Product SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-79069 81-FR-79069 34-79240 https://www.sec.gov/rules/sro/nasdaq/2016/34-79240.pdf SR-NASDAQ-2016-146 2016-11-04 Notice / Immediate Effectiveness/to Amend Rule 9400 to Include a Cross-Reference SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-79068 81-FR-79068 34-79241 https://www.sec.gov/rules/sro/bx/2016/34-79241.pdf SR-BX-2016-056 2016-11-04 Notice / Immediate Effectiveness/to Amend Rule 9400 to Include a Cross-Reference SRO Filing NASDAQ BX, Inc http://www.federalregister.gov/citation/81-FR-79534 81-FR-79534 34-79242 https://www.sec.gov/rules/sro/nysemkt/2016/34-79242.pdf SR-NYSEMKT-2016-97 2016-11-04 Adopting New Rules to Reflect the Implementation of Pillar, the Exchange�s New Trading Technology/Notice / Immediate Effectiveness SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-79081 81-FR-79081 34-79243 https://www.sec.gov/litigation/admin/2016/34-79243.pdf 3-17662 2016-11-04 Order of Forthwith Suspension Orders Easter, Kent W. Esq. N/A 34-79244 https://www.sec.gov/rules/sro/cboe/2016/34-79244.pdf SR-CBOE-2016-053 2016-11-04 Notice / Amendment No./Notice / Order Accelerating /Relating to Price Protection Mechanisms and Risk Controls SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-79063 81-FR-79063 34-79245 https://www.sec.gov/rules/sro/nscc/2016/34-79245.pdf SR-NSCC-2016-005 2016-11-04 Notice /to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of �Off-the-Market Transactions,� and Make Other Changes SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-79071 81-FR-79071 34-79246 https://www.sec.gov/rules/sro/miax/2016/34-79246.pdf SR-MIAX-2016-41 2016-11-04 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-79079 81-FR-79079 34-79247 https://www.sec.gov/litigation/admin/2016/34-79247.pdf 3-14909 2016-11-04 Order Directing Disbursement for Second Distribution, Payment of Fund Administrator Fees, and Approval of Future Fees and Expenses Orders OppenheimerFunds, Inc. OppenheimerFunds Distributor, Inc. N/A 34-79248 3-16017 2016-11-04 Order Approving a Plan of Distribution Orders Linkbrokers Derivatives LLC N/A AP-4313 https://www.sec.gov/alj/aljorders/2016/ap-4313.pdf 3-16462 2016-10-31 Protective Order Orders Tilton, Lynn Patriarch Partners, LLC; Patriarch Partners VIII, LLC; Patriarch Partners XIV, LLC; Patriarch Partners XV, LLC N/A AP-4314 https://www.sec.gov/alj/aljorders/2016/ap-4314.pdf 3-16462 2016-10-31 Order Orders Tilton, Lynn Patriarch Partners, LLC; Patriarch Partners VIII, LLC; Patriarch Partners XIV, LLC; Patriarch Partners XV, LLC N/A AP-4315 https://www.sec.gov/alj/aljorders/2016/ap-4315.pdf 3-17228 2016-10-31 Post-Hearing Scheduling Order Orders Hall, David S. P.C. Hall, David S. CPA Helterbran Cochran, Michelle L. CPA Cisneros, Susan A. N/A AP-4316 https://www.sec.gov/alj/aljorders/2016/ap-4316.pdf 3-17591 2016-10-31 Order to Show Cause Orders Sierra Resource Group, Inc. N/A AP-4317 https://www.sec.gov/alj/aljorders/2016/ap-4317.pdf 3-17387 2016-11-02 Order on the Division's Disclosures Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4318 https://www.sec.gov/alj/aljorders/2016/ap-4318.pdf 3-17574 2016-11-02 Order Regarding Service Orders Accel Brands, Inc. N/A AP-4319 https://www.sec.gov/alj/aljorders/2016/ap-4319.pdf 3-17408 2016-11-02 Order Scheduling Motion for Default Orders Global Earth Energy, Inc. N/A AP-4320 https://www.sec.gov/alj/aljorders/2016/ap-4320.pdf 3-17365 2016-11-02 Revised Scheduling Order Orders Alison, LLC Alison, Stephen D. N/A AP-4321 https://www.sec.gov/alj/aljorders/2016/ap-4321.pdf 3-17253 2016-11-04 Order Extending Date to File Transcript Corrections Orders Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A AP-4322 https://www.sec.gov/alj/aljorders/2016/ap-4322.pdf 3-17387 2016-11-04 Order Requiring In Camera Submission Orders Lathen, Donald F. (Jay) Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4323 https://www.sec.gov/alj/aljorders/2016/ap-4323.pdf 3-17319 2016-11-04 Order Staying Proceeding Orders Helen, Jan E. N/A AP-4324 https://www.sec.gov/alj/aljorders/2016/ap-4324.pdf 3-16349 2016-11-04 Order on Motions to Exclude Orders Duka, Barbara N/A IA-4562 https://www.sec.gov/litigation/admin/2016/34-79199.pdf 34-79199 3-17655 2016-10-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lawrence, Wade James N/A IA-4563 https://www.sec.gov/litigation/opinions/2016/33-10244.pdf 33-10244 34-79217 IC-32352 3-15617 2016-11-01 Order Granting Partial Stay Orders Grossman, Larry C. N/A IA-4564 https://www.sec.gov/litigation/admin/2016/ia-4564.pdf 3-17661 2016-11-03 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Altholtz, Harvey N/A IC-32344 https://www.sec.gov/litigation/admin/2016/34-79195.pdf 34-79195 3-17652 2016-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Shermeta, Nicholas H. Napa Properties, LLC N/A IC-32345 https://www.sec.gov/litigation/admin/2016/34-79207.pdf 34-79207 3-17657 2016-11-01 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Smith, Gregory J. N/A IC-32346 https://www.sec.gov/litigation/admin/2016/34-79208.pdf 34-79208 3-17658 2016-11-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Morley, Ronald D. The New Wealth, LLC N/A IC-32347 https://www.sec.gov/rules/ic/2016/ic-32347.pdf 812-14609 2016-11-01 Order Orders Harris Associates Investment Trust, et al. N/A IC-32348 https://www.sec.gov/rules/ic/2016/ic-32348.pdf 812-14680-01 2016-11-01 Order Orders The Bank of New York Mellon Trust company, et al. N/A IC-32349 https://www.sec.gov/rules/ic/2016/ic-32349.pdf 812-14452 2016-11-01 Order Orders Terra Income Fund 6, Inc. N/A IC-32350 https://www.sec.gov/rules/ic/2016/ic-32350.pdf 812-14592 2016-11-01 Order Orders Hartford Funds Exchange-Traded Trust N/A IC-32351 https://www.sec.gov/rules/ic/2016/ic-32351.pdf 812-14633 2016-11-01 Notice Notice Prudential ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-78228 81-FR-78228 IC-32352 https://www.sec.gov/litigation/opinions/2016/33-10244.pdf 33-10244 34-79217 IA-4563 3-15617 2016-11-01 Order Granting Partial Stay Orders Grossman, Larry C. N/A ID-1074 https://www.sec.gov/alj/aljdec/2016/id1074jeg.pdf 3-17564 2016-10-31 Initial Decision of Default Initial Decision Amarillo Mesquite Grill, Inc. Global Opportunity Fund LP Healthrenu Medical, Inc. Hynes & Howes Insurance Counselors, Inc. N/A ID-1075 https://www.sec.gov/alj/aljdec/2016/id1075jeg.pdf 3-17218 2016-11-01 Initial Decision of Default Initial Decision Powell, Daniel Christian Stanley N/A ID-1076 https://www.sec.gov/alj/aljdec/2016/id1076bpm.pdf 3-17513 2016-11-03 Initial Decision of Default Initial Decision Fairfield Minerals, Ltd. Metal Storm Limited N/A LR-23680 https://www.sec.gov/litigation/litreleases/2016/lr23680.htm 0:16-CV-3779-DFW H 2016-11-01 Enforcement Case Gilbertson, Ryan R. Howells, Thomas J. Hoskins, Douglas V. N/A LR-23681 https://www.sec.gov/litigation/litreleases/2016/lr23681.htm 15-CV-231 2016-11-01 Enforcement Case Andrade, Anthony N/A LR-23682 https://www.sec.gov/litigation/litreleases/2016/lr23682.htm 2:15-CV-06076-MCA- 2016-11-02 Enforcement Case Fedoseev, Alexander Lavlinskiy, Roman N/A AAER-3820 https://www.sec.gov/litigation/admin/2016/34-79193.pdf 34-79193 3-17651 2016-10-31 AP Litigated Beamish, Adrian D. CPA N/A AAER-3821 https://www.sec.gov/litigation/admin/2016/33-10242.pdf 33-10242 34-79196 3-17654 2016-10-31 AP Settled PKF O’Connor Davies, LLP Consolo, Domenick F. CPA N/A