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

2017-02-14 115 17 2017-01-09 2017-01-13 Securities Act of 1933 33 10278 10280 Securities Exchange Act of 1934 34 79755 79803 Administrative Proceedings AP 4505 4526 Investment Advisers Act of 1940 IA 4601 4607 Investment Company Act of 1940 IC 32416 32422 Litigation Releases LR 23715 23720 Accounting and Auditing Enforcement Release AAER 3842 3844 33-10278 https://www.sec.gov/litigation/admin/2017/33-10278.pdf 3-17763 2017-01-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Port Authority of New York and New Jersey Bond Offerings N/A 33-10279 https://www.sec.gov/litigation/admin/2017/33-10279.pdf 34-79776 3-17770 2017-01-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled ITG Inc. N/A 33-10280 https://www.sec.gov/litigation/admin/2017/33-10280.pdf 34-79790 3-17772 2017-01-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Citadel Securities LLC N/A 34-79755 https://www.sec.gov/litigation/admin/2017/34-79755.pdf IA-4601 IC-32416 3-17760 2017-01-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Rafal, John W. Esq. N/A 34-79756 https://www.sec.gov/litigation/admin/2017/34-79756.pdf IA-4602 IC-32417 3-17761 2017-01-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hershman, Peter D. Esq. N/A 34-79757 https://www.sec.gov/litigation/admin/2017/34-79757.pdf IA-4603 3-17762 2017-01-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Essex Financial Services, Inc. N/A 34-79758 https://www.sec.gov/rules/sro/batsbzx/2017/34-79758.pdf SR-BATSBZX-2016-89 2017-01-09 Notice / Immediate Effectiveness/to Modify Fees for Connectivity and its Communication and Routing Service Known as Bats Connect SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-4430 82-FR-4430 34-79759 https://www.sec.gov/rules/sro/nysearca/2017/34-79759.pdf SR-NYSEARCA-2016-149 2017-01-09 Notice / Designation of Longer Period for Commission Action/to Amend NYSE Arca Rule 6.91 SRO Filing NYSE Arca, Inc. 34-79760 https://www.sec.gov/rules/sro/batsbyx/2017/34-79760.pdf SR-BATSBYX-2016-40 2017-01-09 Notice / Immediate Effectiveness/to Modify Fees for Connectivity and its Communication and Routing Service Known as Bats Connect SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-4445 82-FR-4445 34-79761 https://www.sec.gov/rules/sro/batsedgx/2017/34-79761.pdf SR-BATSEDGX-2016-75 2017-01-09 Notice / Immediate Effectiveness/to Modify Fees for Connectivity and its Communication and Routing Service Known as Bats Connect SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/82-FR-4442 82-FR-4442 34-79762 https://www.sec.gov/rules/sro/batsbzx/2017/34-79762.pdf SR-BATSBZX-2016-90 2017-01-09 Notice / Immediate Effectiveness/to Modify Fees for Connectivity and its Communication and Routing Service Known as Bats Connect SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-4437 82-FR-4437 34-79763 https://www.sec.gov/rules/sro/dtc-an/2017/34-79763.pdf SR-DTC-2016-802 2017-01-09 Notice of No Objection to Advance Notice/to Processing of Transactions in Money Market Instruments SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/82-FR-4426 82-FR-4426 34-79764 https://www.sec.gov/rules/sro/dtc/2017/34-79764.pdf SR-DTC-2016-008 2017-01-09 Order/to Processing of Transactions in Money Market Instruments SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/82-FR-4434 82-FR-4434 34-79765 https://www.sec.gov/litigation/admin/2017/34-79765.pdf AAER-3842 3-14558 2017-01-10 Reinstatement Orders Crawford, Larry Lee CPA N/A 34-79766 https://www.sec.gov/rules/sro/batsbzx/2017/34-79766.pdf SR-BATSBZX-2016-92 2017-01-10 Notice / Immediate Effectiveness/Amending Fees to Adopt a New Cross-Asset Step-Up Tier SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-4954 82-FR-4954 34-79767 https://www.sec.gov/rules/sro/nysearca/2017/34-79767.pdf SR-NYSEARCA-2016-62 2017-01-10 Order/Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio SRO Filing NYSEArca, Inc. http://www.federalregister.gov/citation/82-FR-4950 82-FR-4950 34-79768 https://www.sec.gov/rules/sro/box/2017/34-79768.pdf SR-BOX-2016-48 2017-01-10 Notice / Designation of Longer Period for Commission Action/to Adopt Rules for an Open-Outcry Trading Floor SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/82-FR-4956 82-FR-4956 34-79769 https://www.sec.gov/rules/sro/batsedgx/2017/34-79769.pdf SR-BATSEDGX-2017-01 2017-01-10 Notice / Immediate Effectiveness/to Modify the Fee Schedule of the Exchange�s Options Platform to Adopt Fees for its Recently Adopted Bats Auction Mechanism SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-4941 82-FR-4941 34-79770 https://www.sec.gov/rules/sro/nasdaq/2017/34-79770.pdf SR-NASDAQ-2016-173 2017-01-10 Notice / Immediate Effectiveness/to Reduce the All-Inclusive Annual Listing Fee for Limited Partnerships Listed on Nasdaq SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-4947 82-FR-4947 34-79771 https://www.sec.gov/litigation/opinions/2017/34-79771.pdf 3-17677 2017-01-11 Order Scheduling Briefs Orders LEK Securities Corporation N/A 34-79772 https://www.sec.gov/litigation/admin/2017/34-79772.pdf AAER-3844 3-17769 2017-01-11 Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing A Cease-And-Desist Order AP Settled L-3 Technologies, Inc. N/A 34-79773 https://www.sec.gov/rules/sro/batsedga/2017/34-79773.pdf SR-BATSEDGA-2017-01 2017-01-11 Notice / Immediate Effectiveness/to Modify Fees for Connectivity and its Communication and Routing Service Known as Bats Connect SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/82-FR-5619 82-FR-5619 34-79774 https://www.sec.gov/rules/sro/batsedgx/2017/34-79774.pdf SR-BATSEDGX-2017-02 2017-01-11 Notice / Immediate Effectiveness/to Modify Fees for Connectivity and its Communication and Routing Service Known as Bats Connect SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/82-FR-5615 82-FR-5615 34-79775 https://www.sec.gov/rules/sro/batsbzx/2017/34-79775.pdf SR-BATSBZX-2017-01 2017-01-12 Notice / Immediate Effectiveness/Related to Fees for Use of the Exchange�s Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-6678 82-FR-6678 34-79776 https://www.sec.gov/litigation/admin/2017/33-10279.pdf 33-10279 3-17770 2017-01-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled ITG Inc. N/A 34-79777 https://www.sec.gov/litigation/admin/2017/34-79777.pdf 3-17768 2017-01-12 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled The Bank of New York Mellon Corporation N/A 34-79778 https://www.sec.gov/rules/sro/pearl/2017/34-79778.pdf SR-PEARL-2016-01 2017-01-12 Notice / Immediate Effectiveness/to Amend Exchange Rule 510 to Extend the Penny Pilot Program SRO Filing MIAX PEARL, LLC http://www.federalregister.gov/citation/82-FR-6662 82-FR-6662 34-79779 https://www.sec.gov/rules/sro/17d-2/2017/34-79779.pdf 4-678 2017-01-12 Notice /of Proposed Amended Plan for the Allocation of Regulatory Responsibilities SRO Filing Financial Industry Regulatory Authority, Inc. Miami International Securities Exchange, LLC MIAX PEARL, LLC http://www.federalregister.gov/citation/82-FR-6674 82-FR-6674 34-79780 https://www.sec.gov/litigation/admin/2017/34-79780.pdf AAER-3843 3-17771 2017-01-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Biomet, Inc. N/A 34-79781 https://www.sec.gov/rules/sro/chx/2017/34-79781.pdf SR-CHX-2016-20 2017-01-12 Order / Instituting Proceedings to/Change in Connection with the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/82-FR-6669 82-FR-6669 34-79782 https://www.sec.gov/rules/sro/phlx/2017/34-79782.pdf SR-PHLX-2017-01 2017-01-12 Notice / Immediate Effectiveness/to Extend the Cabinet Trading Pilot Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-6667 82-FR-6667 34-79783 https://www.sec.gov/rules/sro/cboe/2017/34-79783.pdf SR-CBOE-2016-080 2017-01-12 Notice / Designation of Longer Period for Commission Action/to Amend CBOE Rule 6.53C SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-6673 82-FR-6673 34-79784 https://www.sec.gov/rules/sro/nasdaq/2017/34-79784.pdf SR-NASDAQ-2016-135 2017-01-12 Notice / Order Accelerating /to Continued Listing Requirements for Exchange-Traded Products SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-6664 82-FR-6664 34-79785 https://www.sec.gov/litigation/admin/2017/34-79785.pdf 3-17408 2017-01-13 Notice That Initial Decision Has Become Final Notice Global Earth Energy, Inc. N/A 34-79786 https://www.sec.gov/litigation/admin/2017/34-79786.pdf 3-17591 2017-01-13 Notice That Initial Decision Has Become Final Notice Sierra Resource Group, Inc. N/A 34-79787 https://www.sec.gov/litigation/admin/2017/34-79787.pdf 3-17589 2017-01-13 Notice That Initial Decision Has Become Final Notice Cantab Pharmaceuticals PLC International Panorama Resource Corp. Zealous, Inc. (n/k/a Corestream Energy, Inc. N/A 34-79788 https://www.sec.gov/litigation/admin/2017/34-79788.pdf 3-17563 2017-01-13 Notice That Initial Decision Has Become Final Notice AIC International Resources Corp. Stellar Metals, Inc. N/A 34-79789 https://www.sec.gov/litigation/admin/2017/34-79789.pdf 3-17648 2017-01-13 Notice That Initial Decision Has Become Final Notice Q Lotus Holdings, Inc. Spare Backup, Inc. N/A 34-79790 https://www.sec.gov/litigation/admin/2017/33-10280.pdf 33-10280 3-17772 2017-01-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Citadel Securities LLC N/A 34-79791 https://www.sec.gov/rules/sro/nasdaq/2017/34-79791.pdf SR-NASDAQ-2017-002 2017-01-13 Notice / Immediate Effectiveness/to Amend Rule 7018 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-7907 82-FR-7907 34-79792 https://www.sec.gov/rules/sro/nysearca/2017/34-79792.pdf SR-NYSEARCA-2016-176 2017-01-13 Notice /Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-7891 82-FR-7891 34-79793 https://www.sec.gov/rules/sro/nysearca/2017/34-79793.pdf SR-NYSEARCA-2016-177 2017-01-13 Notice /Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund under NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-7885 82-FR-7885 34-79794 https://www.sec.gov/litigation/admin/2017/34-79794.pdf IA-4607 3-17773 2017-01-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Morgan Stanley Smith Barney, LLC N/A 34-79795 https://www.sec.gov/litigation/admin/2017/34-79795.pdf 3-17774 2017-01-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Sociedad Quimica y Minera de Chile, S.A. N/A 34-79796 https://www.sec.gov/rules/sro/c2/2017/34-79796.pdf SR-C2-2017-003 2017-01-13 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-7904 82-FR-7904 34-79797 https://www.sec.gov/litigation/opinions/2017/34-79797.pdf 3-17734 2017-01-13 Order Scheduling Briefs Orders Sequeira, Keith Patrick N/A 34-79798 https://www.sec.gov/litigation/opinions/2017/34-79798.pdf 3-17752 2017-01-13 Order Denying Stay Orders Schwartz, Michael David N/A 34-79799 https://www.sec.gov/litigation/admin/2017/34-79799.pdf 3-17775 2017-01-13 Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mulholland, Gregg R. N/A 34-79800 https://www.sec.gov/rules/sro/isegemini/2017/34-79800.pdf SR-ISEGEMINI-2017-01 2017-01-13 Notice / Immediate Effectiveness/to Amend the Schedule of Fees SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/82-FR-7906 82-FR-7906 34-79801 https://www.sec.gov/rules/sro/msrb/2017/34-79801.pdf SR-MSRB-2016-15 2017-01-13 Notice / Order Accelerating /to Extend the MSRB�s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/82-FR-7898 82-FR-7898 34-79802 https://www.sec.gov/rules/sro/nysearca/2017/34-79802.pdf SR-NYSEARCA-2016-96 2017-01-13 Notice / Designation of Longer Period for Commission Action/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/82-FR-7884 82-FR-7884 34-79803 https://www.sec.gov/litigation/admin/2017/34-79803.pdf 3-12678 2017-01-13 Order Directing Disbursement of Fair Fund Orders Haidar Capital Management, LLC Haidar Capital Advisors, LLC Haidar, Said N. N/A AP-4505 https://www.sec.gov/alj/aljorders/2017/ap-4505.pdf 3-17674 2017-01-09 Scheduling and General Prehearing Order Orders Kon, Alexander N/A AP-4506 https://www.sec.gov/alj/aljorders/2017/ap-4506.pdf 3-17674 2017-01-09 Order Granting Motion to Amend Answer Orders Kon, Alexander N/A AP-4507 https://www.sec.gov/alj/aljorders/2017/ap-4507.pdf 3-16349 2017-01-09 Post-Hearing Order Orders Duka, Barbara N/A AP-4508 https://www.sec.gov/alj/aljorders/2017/ap-4508.pdf 3-17387 2017-01-09 Order Following Respondents' In Camera Submission Related to Kevin Galbraith Orders Lathen, Donald F. ("Jay") Jr. Eden Arc Capital Management, Inc. Eden Arc Capital Advisors, LLC N/A AP-4509 https://www.sec.gov/alj/aljorders/2017/ap-4509.pdf 3-16554 2017-01-09 Order Regarding Opposition to Division's Witness Subpoenas and Regarding Hearing Location Orders Gray, Laurence O. Gray Financial Group, Inc. Hubbard, Robert C. IV N/A AP-4510 https://www.sec.gov/alj/aljorders/2017/ap-4510.pdf 3-17674 2017-01-09 Order Extending Deadline to Respond to Motion for Ruling on the Pleadings Orders Kon, Alexander N/A AP-4511 https://www.sec.gov/alj/aljorders/2017/ap-4511.pdf 3-17405 2017-01-09 Order Granting Second Extension Request Orders Bay City Transfer Agency and Registrar, Inc. Amersey, Nitin M. N/A AP-4512 https://www.sec.gov/alj/aljorders/2017/ap-4512.pdf 3-16649 2017-01-10 Order Scheduling Prehearing Conference Orders Ironridge Global Partners, LLC. Ironridge Global IV, LTD. N/A AP-4513 https://www.sec.gov/alj/aljorders/2017/ap-4513.pdf 3-17387 2017-01-10 Order Resolving the Division's Motion to Compel Hinkley Allen Orders Lathan, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4514 https://www.sec.gov/alj/aljorders/2017/ap-4514.pdf 3-17651 2017-01-10 Order Orders Beamish, Adrian D. CPA N/A AP-4515 https://www.sec.gov/alj/aljorders/2017/ap-4515.pdf 3-17342 2017-01-11 Order Orders RD Legal Capital, LLC Dersovitz, Roni N/A AP-4516 https://www.sec.gov/alj/aljorders/2017/ap-4516.pdf 3-17686 2017-01-11 Order Orders Lee, James Y. N/A AP-4517 https://www.sec.gov/alj/aljorders/2017/ap-4517.pdf 3-17685 2017-01-11 Order Following Prehearing Conference Orders Holt, Mark D. N/A AP-4518 https://www.sec.gov/alj/aljorders/2017/ap-4518.pdf 3-17751 2017-01-11 Order Orders Dekel, Roy N/A AP-4519 https://www.sec.gov/alj/aljorders/2017/ap-4519.pdf 3-16554 2017-01-11 Order Modifying Prehearing Schedule Orders Gray Financial Group, Inc Laurence, Gray O. Hubbard, Robert C. IV N/A AP-4520 https://www.sec.gov/alj/aljorders/2017/ap-4520.pdf 3-17740 2017-01-12 Order Orders Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.) Porter, John T. Duszynski, Thomas F. CPA N/A AP-4521 https://www.sec.gov/alj/aljorders/2017/ap-4521.pdf 3-17342 2017-01-12 Order Orders RD Legal Capital, LLC Dersovitz, Roni N/A AP-4522 https://www.sec.gov/alj/aljorders/2017/ap-4522.pdf 3-17104 2017-01-13 Order Denying Motion to Correct Manifest Errors of Facts Orders BioElectronics Corp. IBEX, LLC St. John's, LLC Andrew J. Whelan Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4523 https://www.sec.gov/alj/aljorders/2017/ap-4523.pdf 3-17352 2017-01-13 Notice of Hearing Location Orders Saving2retire, LLC Young, Marian P. N/A AP-4524 https://www.sec.gov/alj/aljorders/2017/ap-4524.pdf 3-17674 2017-01-13 Order on Motion for Interlocutory Review Orders Kon, Alexander N/A AP-4525 https://www.sec.gov/alj/aljorders/2017/ap-4525.pdf 3-17614 2017-01-13 Scheduling Order Orders Laurence I. Balter d/b/a Oracle Investment Research N/A AP-4526 https://www.sec.gov/alj/aljorders/2017/ap-4526.pdf 3-17342 2017-01-13 Order Orders RD Legal Capital, LLC N/A IA-4601 https://www.sec.gov/litigation/admin/2017/34-79755.pdf 34-79755 IC-32416 3-17760 2017-01-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Rafal, John W. Esq. N/A IA-4602 https://www.sec.gov/litigation/admin/2017/34-79756.pdf 34-79756 IC-32417 3-17761 2017-01-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hershman, Peter D. Esq. N/A IA-4603 https://www.sec.gov/litigation/admin/2017/34-79757.pdf 34-79757 3-17762 2017-01-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Essex Financial Services, Inc. N/A IA-4604 https://www.sec.gov/litigation/admin/2017/ia-4604.pdf 3-17764 2017-01-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Centre Partners Management, LLC N/A IA-4605 https://www.sec.gov/rules/ia/2017/ia-4605.pdf 803-00229 2017-01-10 Notice Notice Brown Advisory LLC N/A IA-4606 https://www.sec.gov/alj/aljdec/2017/ia-4606.pdf 3-17265 2017-01-11 Notice that Initial Decision Has Become Final Notice Markusen, Steven R. Cope, Jay C. N/A IA-4607 https://www.sec.gov/litigation/admin/2017/34-79794.pdf 34-79794 3-17773 2017-01-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Morgan Stanley Smith Barney, LLC N/A IC-32416 https://www.sec.gov/litigation/admin/2017/34-79755.pdf 34-79755 IA-4601 3-17760 2017-01-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Rafal, John W. Esq. N/A IC-32417 https://www.sec.gov/litigation/admin/2017/34-79756.pdf 34-79756 IA-4602 3-17761 2017-01-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hershman, Peter D. Esq. N/A IC-32418 https://www.sec.gov/rules/ic/2017/ic-32418.pdf 812-14663 2017-01-09 Order Orders Alpha Architect ETF Trust, et al. IC-32419 https://www.sec.gov/rules/ic/2017/ic-32419.pdf 812-14606 2017-01-09 Order Orders Minnesota Life Insurance Company, et al. IC-32420 https://www.sec.gov/rules/ic/2017/ic-32420.pdf 812-14627 2017-01-09 Notice Notice Guardian Variable Products Trust, et al. http://www.federalregister.gov/citation/82-FR-4441 82-FR-4441 IC-32421 https://www.sec.gov/rules/ic/2017/ic-32421.pdf 812-14653 2017-01-10 Order Orders Equus Total Return IC-32422 https://www.sec.gov/rules/ic/2017/ic-32422.pdf 812-14568 2017-01-11 Notice of Application Notice Owl Rock Capital Corporation, et al. http://www.federalregister.gov/citation/82-FR-5623 82-FR-5623 LR-23715 https://www.sec.gov/litigation/litreleases/2017/lr23715.htm 17-CV-00139 (GHW) 2017-01-10 Enforcement Case Dean, Gregory T. Fowler, Donald J. N/A LR-23716 https://www.sec.gov/litigation/litreleases/2017/lr23716.htm 14 CIV. 7254 (LDW) 2017-01-10 Enforcement Case Furth , Douglas N/A LR-23717 https://www.sec.gov/litigation/litreleases/2017/lr23717.htm 15-CV-1465 2017-01-12 Enforcement Case Gray, Gregory W. Jr. Archipel Capital LLC BIM Management LP N/A LR-23718 https://www.sec.gov/litigation/litreleases/2017/lr23718.htm 15-CV-10050-NMG 2017-01-12 Enforcement Case GL Capital Partners, LLC GL Investment Services, LLC Graduate Leverage, LLC Taft Financial Services, LLC LR-23719 https://www.sec.gov/litigation/litreleases/2017/lr23719.htm 15-CV-03668 (ILG) 2017-01-13 Enforcement Case Mulholland, Gregg R. LR-23720 https://www.sec.gov/litigation/litreleases/2017/lr23720.htm 3:17-CV-00139-D 2017-01-13 Enforcement Case Porter, Kirk Dean Charlet , Robin Glen Tuthill , Gregory John Sparks , Steven William AAER-3842 https://www.sec.gov/litigation/admin/2017/34-79765.pdf 34-79765 3-14558 2017-01-10 Orders Crawford, Larry Lee CPA N/A AAER-3843 https://www.sec.gov/litigation/admin/2017/34-79780.pdf 34-79780 3-17771 2017-01-12 AP Settled Biomet, Inc. N/A AAER-3844 https://www.sec.gov/litigation/admin/2017/34-79772.pdf 34-79772 3-17769 2017-01-11 AP Settled L-3 Technologies, Inc. N/A