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

2017-02-22 115 18 2017-01-16 2017-01-20 Securities Act of 1933 33 10281 10285 Securities Exchange Act of 1934 34 79804 79851 Administrative Proceedings AP 4527 4536 Investment Advisers Act of 1940 IA 4608 4620 Investment Company Act of 1940 IC 32423 32429 Initial Decisions (ALJ) ID 1102 1104 Litigation Releases LR 23721 23723 Accounting and Auditing Enforcement Release AAER 3845 3852 33-10281 https://www.sec.gov/litigation/admin/2017/33-10281.pdf 34-79815 AAER-3845 3-17791 2017-01-18 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Orthofix International, N.V. N/A 33-10282 https://www.sec.gov/litigation/admin/2017/33-10282.pdf 34-79817 AAER-3846 3-17792 2017-01-18 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hammel , Jeffrey CPA N/A 33-10283 https://www.sec.gov/litigation/admin/2017/33-10283.pdf 34-79823 AAER-3849 3-17795 2017-01-18 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled MDC Partners Inc. N/A 33-10284 https://www.sec.gov/litigation/admin/2017/33-10284.pdf 34-79826 3-17798 2017-01-18 Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing A Cease-And-Desist Order AP Settled Bar, Eytan N/A 33-10285 https://www.sec.gov/litigation/admin/2017/33-10285.pdf 34-79827 3-17799 2017-01-18 Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing A Cease-And-Desist Order AP Settled Mer Telemanagement Solutions Ltd N/A 34-79804 https://www.sec.gov/litigation/admin/2017/34-79804.pdf 3-17786 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled BlackRock, Inc. N/A 34-79805 https://www.sec.gov/rules/sro/phlx/2017/34-79805.pdf SR-PHLX-2016-82 2017-01-17 Notice / Order Accelerating /to Adopt a New Exception in Phlx Rule 1000(f) for Sub-MPV Split-Price Orders SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-8241 82-FR-8241 34-79806 https://www.sec.gov/rules/sro/nsx/2017/34-79806.pdf SR-NSX-2017-01 2017-01-17 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.26 Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing National Stock Exchange, Inc http://www.federalregister.gov/citation/82-FR-8249 82-FR-8249 34-79807 https://www.sec.gov/rules/sro/c2/2017/34-79807.pdf SR-C2-2017-002 2017-01-17 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-8238 82-FR-8238 34-79808 https://www.sec.gov/rules/sro/cboe/2017/34-79808.pdf SR-CBOE-2017-004 2017-01-17 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-8252 82-FR-8252 34-79809 https://www.sec.gov/rules/sro/nasdaq/2017/34-79809.pdf SR-NASDAQ-2017-001 2017-01-17 Notice / Immediate Effectiveness/to Amend Transaction Fees to Implement New Incentive SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-8230 82-FR-8230 34-79810 https://www.sec.gov/rules/sro/nasdaq/2017/34-79810.pdf SR-NASDAQ-2016-161 2017-01-17 Notice / Designation of Longer Period for Commission Action/to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757 SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/82-FR-8244 82-FR-8244 34-79811 https://www.sec.gov/rules/sro/ise/2017/34-79811.pdf SR-ISE-2017-01 2017-01-17 Notice / Immediate Effectiveness/to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-8244 82-FR-8244 34-79812 https://www.sec.gov/rules/sro/bx/2017/34-79812.pdf SR-BX-2016-063 2017-01-17 Order/to Amend the PRISM Price Improvement Auction in BX Chapter VI, Section 9 and to Make Pilot Program Permanent SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/82-FR-8235 82-FR-8235 34-79813 https://www.sec.gov/litigation/admin/2017/34-79813.pdf 3-17789 2017-01-17 Order of Forthwith Suspension Orders Fisch, Abraham M. Esq. N/A 34-79814 https://www.sec.gov/litigation/admin/2017/34-79814.pdf 3-17790 2017-01-17 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Allergan, Inc. N/A 34-79815 https://www.sec.gov/litigation/admin/2017/33-10281.pdf 33-10281 AAER-3845 3-17791 2017-01-18 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Orthofix International, N.V. N/A 34-79816 https://www.sec.gov/rules/sro/cboe/2017/34-79816.pdf SR-CBOE-2017-003 2017-01-18 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-8477 82-FR-8477 34-79817 https://www.sec.gov/litigation/admin/2017/33-10282.pdf 33-10282 AAER-3846 3-17792 2017-01-18 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hammel , Jeffrey CPA N/A 34-79818 https://www.sec.gov/rules/sro/occ/2017/34-79818.pdf SR-OCC-2017-001 2017-01-18 Notice /Concerning The Options Clearing Corporation?s Margin Coverage During Times of Increased Volatility SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/82-FR-8455 82-FR-8455 34-79819 https://www.sec.gov/litigation/admin/2017/34-79819.pdf AAER-3847 3-17793 2017-01-18 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Orders and Penalties AP Settled McCollum , Brian N/A 34-79820 https://www.sec.gov/litigation/admin/2017/34-79820.pdf AAER-3848 3-17794 2017-01-18 Order Instituting Cease-and-Desist proceedings, Making Findings, and Imposing Cease-and-Desist Orders and Penalties AP Settled Mack , Kenneth McMillian , Bryan N/A 34-79821 https://www.sec.gov/rules/sro/icc/2017/34-79821.pdf SR-ICC-2016-014 2017-01-18 Notice / Designation of Longer Period for Commission Action/to Provide for the Clearance of Additional Credit Default Swap Contracts SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/82-FR-8450 82-FR-8450 34-79822 https://www.sec.gov/rules/sro/chx/2017/34-79822.pdf SR-CHX-2017-01 2017-01-18 Notice / Immediate Effectiveness/to Modify the Examination Requirement for CHX Market Maker Authorized Traders SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/82-FR-8479 82-FR-8479 34-79823 https://www.sec.gov/litigation/admin/2017/33-10283.pdf 33-10283 AAER-3849 3-17795 2017-01-18 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled MDC Partners Inc. N/A 34-79824 https://www.sec.gov/litigation/admin/2017/34-79824.pdf 3-17796 2017-01-18 Order of Suspension Rule 102(e)(2) Orders Bennett , Charles A. N/A 34-79825 https://www.sec.gov/litigation/admin/2017/34-79825.pdf AAER-3850 3-17797 2017-01-18 Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing A Cease-And-Desist Order AP Settled General Motors Company N/A 34-79826 https://www.sec.gov/litigation/admin/2017/33-10284.pdf 33-10284 3-17798 2017-01-18 Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing A Cease-And-Desist Order AP Settled Bar, Eytan N/A 34-79827 https://www.sec.gov/litigation/admin/2017/33-10285.pdf 33-10285 3-17799 2017-01-18 Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing A Cease-And-Desist Order AP Settled Mer Telemanagement Solutions Ltd N/A 34-79828 https://www.sec.gov/litigation/admin/2017/34-79828.pdf AAER-3851 3-17800 2017-01-18 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Orthofix International N.V. N/A 34-79829 https://www.sec.gov/rules/sro/ise/2017/34-79829.pdf SR-ISE-2016-29 2017-01-18 Order/to Amend ISE Rule 723 and to Make Pilot Program Permanent SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-8469 82-FR-8469 34-79830 https://www.sec.gov/rules/sro/nysemkt/2017/34-79830.pdf SR-NYSEMKT-2016-120 2017-01-18 Order/to Amend NYSE MKT Rule 971.1NY and Make Permanent the Aspects of Customer Best Execution Auction that Are Subject to a Pilot SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-8465 82-FR-8465 34-79831 https://www.sec.gov/rules/sro/box/2017/34-79831.pdf SR-BOX-2016-58 2017-01-18 Order/to Amend Interpretive Material to Rule 7150 (Price Improvement Period ?PIP?) and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period ?COPIP?) to Make Permanent the Pilot Programs that Permit the Exchange to Have No Minimum Size Requirement for Orders Entered into the PIP (?PIP Pilot Program?) and COPIP (?COPIP Pilot Program?) SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/82-FR-8450 82-FR-8450 34-79832 https://www.sec.gov/rules/sro/box/2017/34-79832.pdf SR-BOX-2017-01 2017-01-18 Notice / Immediate Effectiveness/to Amend the Fee Schedule on the BOX Market LLC (?BOX?) Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/82-FR-8481 82-FR-8481 34-79833 https://www.sec.gov/rules/exorders/2017/34-79833.pdf S7-27-11 2017-01-18 Order/Extending Certain Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with the Revision of the Definition of ?Security? to Encompass Security-Based Swaps and Request for Comment Orders Revision of the Definition of Security to Encompass Security-Based Swaps http://www.federalregister.gov/citation/82-FR-8467 82-FR-8467 34-79834 https://www.sec.gov/rules/sro/nysearca/2017/34-79834.pdf SR-NYSEARCA-2017-01 2017-01-18 Notice /Amending the NYSE Arca Equities Rule 5 and Rule 8 Series SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-8444 82-FR-8444 34-79835 https://www.sec.gov/rules/sro/phlx/2017/34-79835.pdf SR-PHLX-2016-119 2017-01-18 Order/to Amend the PIXL Price Improvement Auction in Phlx Rule 1080(n) and to Make Pilot Program Permanent SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-8445 82-FR-8445 34-79836 https://www.sec.gov/rules/sro/cboe/2017/34-79836.pdf SR-CBOE-2016-084 2017-01-18 Order/to Amend Exchange Rules Related to the Automated Improvement Mechanism SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-8459 82-FR-8459 34-79837 https://www.sec.gov/rules/sro/miax/2017/34-79837.pdf SR-MIAX-2016-46 2017-01-18 Order/to Amend Rule 515A, MIAX Price Improvement Mechanism (?PRIME?) and PRIME Solicitation Mechanism SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/82-FR-8472 82-FR-8472 34-79838 https://www.sec.gov/rules/sro/batsedgx/2017/34-79838.pdf SR-BATSEDGX-2017-05 2017-01-18 Notice / Order Accelerating /to EDGX Rule 21.19, Bats Auction Mechanism, as it Applies to the Equity Options Platform SRO Filing Bats EdgeX Exchange Inc. http://www.federalregister.gov/citation/82-FR-8462 82-FR-8462 34-79839 https://www.sec.gov/rules/sro/batsbzx/2017/34-79839.pdf SR-BATSBZX-2016-80 2017-01-18 Notice / Designation of Longer Period for Commission Action/to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/82-FR-8452 82-FR-8452 34-79840 https://www.sec.gov/rules/sro/isegemini/2017/34-79840.pdf SR-ISEGEMINI-2016-23 2017-01-18 Order/to Amend ISE Gemini Rule 723 and to Make Pilot Program Permanent SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/82-FR-8474 82-FR-8474 34-79841 https://www.sec.gov/rules/sro/isemercury/2017/34-79841.pdf SR-ISEMERCURY-2016-25 2017-01-18 Order/to Amend ISE Mercury Rule 723 and to Make Pilot Program Permanent SRO Filing ISE Mercury LLC http://www.federalregister.gov/citation/82-FR-8452 82-FR-8452 34-79842 https://www.sec.gov/litigation/opinions/2017/34-79842.pdf 3-17752 2017-01-18 Order Scheduling Briefs Orders Schwartz, Michael David N/A 34-79843 https://www.sec.gov/rules/sro/ficc-an/2017/34-79843.pdf SR-FICC-2016-801 2017-01-19 Notice / Advance Notice/No objection / to Implement a Change to the Methodology Used in the MBSD VaR Model SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-8555 82-FR-8555 34-79844 https://www.sec.gov/litigation/admin/2017/34-79844.pdf AAER-3852 3-17801 2017-01-19 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled HomeStreet, Inc. Amen , Darrell van N/A 34-79845 https://www.sec.gov/rules/sro/nms/2017/34-79845.pdf 4-631 2017-01-19 Order/Approving the Twelfth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/82-FR-8551 82-FR-8551 34-79846 https://www.sec.gov/rules/sro/nysearca/2017/34-79846.pdf 2017-01-19 Order/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) SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-8548 82-FR-8548 34-79847 https://www.sec.gov/litigation/admin/2017/34-79847.pdf 3-17765 2017-01-19 Extension Order/Extension Order Orders Jensen, Andrew Scott N/A 34-79848 https://www.sec.gov/litigation/admin/2017/34-79848.pdf IA-4619 IC-32428 3-17802 2017-01-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Diamond, Susan M. N/A 34-79849 https://www.sec.gov/rules/sro/nasdaq/2017/34-79849.pdf SR-NASDAQ-2017-005 2017-01-19 Notice / Immediate Effectiveness/to Eliminate Fees at Rule 7015(h) Assessed for VTE Terminal Connectivity SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-8554 82-FR-8554 34-79850 https://www.sec.gov/litigation/admin/2017/34-79850.pdf 3-16389 2017-01-19 Order Directing Disbursement of Fair Fund Orders VCAP Securities, LLC Graham, Brett Thomas N/A 34-79851 https://www.sec.gov/litigation/opinions/2017/34-79851.pdf 3-17544 2017-01-19 Opinion Opinions Mantar, Destina N/A AP-4527 https://www.sec.gov/alj/aljorders/2017/ap-4527.pdf 3-17031 2017-01-17 Postponement Order Orders China Domestica Bio-Technology N/A AP-4528 https://www.sec.gov/alj/aljorders/2017/ap-4528.pdf 3-17733 2017-01-17 Order Extending Time to File Answer Orders Wilson-Davis & Company, Inc. N/A AP-4529 https://www.sec.gov/alj/aljorders/2017/ap-4529.pdf 3-17393 2017-01-17 Order Orders Peterson, Curtis A. N/A AP-4530 https://www.sec.gov/alj/aljorders/2017/ap-4530.pdf 3-16554 2017-01-18 Order on Division's Witness Subpoenas Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4531 https://www.sec.gov/alj/aljorders/2017/ap-4531.pdf 3-16227 3-16229 2017-01-18 Order Orders Middlebury Securities, LLC Osborn, Gregory N/A AP-4532 https://www.sec.gov/alj/aljorders/2017/ap-4532.pdf 3-17744 2017-01-18 Order Postponing Hearing Scheduling Prehearing Conference, and To Show Cause Orders Pab Bankshares, Inc. USABG Corp. N/A AP-4533 https://www.sec.gov/alj/aljorders/2017/ap-4533.pdf 3-17387 2017-01-18 Order Revising Hearing Location Orders Lathan, Donald (Jay) F. Jr. Eden Capital Management LLC. Eden Arc Capital Advisors LLC. N/A AP-4534 https://www.sec.gov/alj/aljorders/2017/ap-4534.pdf 3-17614 2017-01-19 Order Orders Balter, Laurence I. Oracle Investment Research N/A AP-4535 https://www.sec.gov/alj/aljorders/2017/ap-4535.pdf 3-17743 2017-01-19 Order Postponing Hearing and Scheduling Prehearing Conference Orders AFN, Inc Allen Energy Company American Cascade Energy, Inc. Millenia Hope, Inc Clubs Choice Holdings, Inc N/A AP-4536 https://www.sec.gov/alj/aljorders/2017/ap-4536.pdf 3-17740 2017-01-19 Post-Hearing Order Orders Augustine Capital Management, LLC Augustine Capital Management, Inc Porter, John T. Duszynski, Thomas F. CPA N/A IA-4608 https://www.sec.gov/litigation/admin/2017/ia-4608.pdf 3-17779 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Pershing Square Capital Management, L.P. N/A IA-4609 https://www.sec.gov/litigation/admin/2017/ia-4609.pdf 3-17780 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled The Banc Funds Company, LLC N/A IA-4610 https://www.sec.gov/litigation/admin/2017/ia-4610.pdf 3-17781 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled FFL Partners, LLC N/A IA-4611 https://www.sec.gov/litigation/admin/2017/ia-4611.pdf 3-17782 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lime Rock Management LP N/A IA-4612 https://www.sec.gov/litigation/admin/2017/ia-4612.pdf 3-17783 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled NGN Capital LLC N/A IA-4613 https://www.sec.gov/litigation/admin/2017/ia-4613.pdf 3-17776 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Cypress Advisors, Inc. N/A IA-4614 https://www.sec.gov/litigation/admin/2017/ia-4614.pdf 3-17777 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Alta Communications, Inc. N/A IA-4615 https://www.sec.gov/litigation/admin/2017/ia-4615.pdf 3-17778 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Commonwealth Venture Management Corp. N/A IA-4616 https://www.sec.gov/litigation/admin/2017/ia-4616.pdf 3-17784 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Aisling Capital LLC N/A IA-4617 https://www.sec.gov/litigation/admin/2017/ia-4617.pdf 3-17785 2017-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Adams Capital Management, Inc. N/A IA-4618 https://www.sec.gov/litigation/admin/2017/ia-4618.pdf 3-17788 2017-01-17 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Gray, Gregory W. Jr. N/A IA-4619 https://www.sec.gov/litigation/admin/2017/34-79848.pdf 34-79848 IC-32428 3-17802 2017-01-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Diamond, Susan M. N/A IA-4620 https://www.sec.gov/litigation/admin/2017/ia-4620.pdf IC-32429 3-17803 2017-01-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bob Brakeman Enterprises, LLC Brakeman, Robert D. N/A IC-32423 https://www.sec.gov/rules/ic/2017/ic-32423.pdf 812-14595 2017-01-17 Order Orders Delaware Management Business Trust, et al. N/A IC-32424 https://www.sec.gov/rules/sro/ 812-14676 2017-01-18 Order SRO Filing Transamerica Funds, et al. N/A IC-32425 https://www.sec.gov/rules/ic/2017/ic-32425.pdf 812-14603 2017-01-18 Order Orders Virtus Alternative Solutions Trust, et al. N/A IC-32426 https://www.sec.gov/rules/ic/2017/ic-32426.pdf 812-14690 2017-01-18 Order Orders Northern Lights Fund Trust IV, et al. N/A IC-32427 https://www.sec.gov/rules/ic/2017/ic-32427.pdf 812-13603 2017-01-18 Order Orders Ares Capital Corporation, et al. N/A IC-32428 https://www.sec.gov/litigation/admin/2017/34-79848.pdf 34-79848 IA-4619 3-17802 2017-01-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Diamond, Susan M. N/A IC-32429 https://www.sec.gov/litigation/admin/2017/ia-4620.pdf IA-4620 3-17803 2017-01-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bob Brakeman Enterprises, LLC Brakeman, Robert D. N/A ID-1102 https://www.sec.gov/alj/aljdec/2017/id1102jeg.pdf 3-17698 2017-01-18 Initial Decision of Default as to Two Respondents Initial Decision Odyssey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A ID-1103 https://www.sec.gov/alj/aljdec/2017/id1103jeg.pdf 3-17721 2017-01-19 Initial Decision of Default Initial Decision Ben Franklin Retail Stores, Inc. Enrotek Corp. Spectre Gaming, Inc. N/A ID-1104 https://www.sec.gov/alj/aljdec/2017/id1104cff.pdf 3-17711 2017-01-19 Initial Decision Making and Revoking Registrations By Default Initial Decision Findings Aquanatural Co. Bullet Sports International Inc. Pearce Systems International Inc. N/A LR-23721 https://www.sec.gov/litigation/litreleases/2017/lr23721.htm 3:17-CV-00223 2017-01-18 Enforcement Case Henderson, Thomas M. N/A LR-23722 https://www.sec.gov/litigation/litreleases/2017/lr23722.htm 13 CIV. 4331 2017-01-19 Enforcement Case Poyner, Cort Dolah, Mohammed N/A LR-23723 https://www.sec.gov/litigation/litreleases/2017/lr23723.htm 15-CV-3456 2017-01-19 Enforcement Case Louks, James M. FiberPoP Solutions, Inc. N/A AAER-3845 https://www.sec.gov/litigation/admin/2017/33-10281.pdf 33-10281 34-79815 3-17791 2017-01-18 AP Settled Orthofix International, N.V. N/A AAER-3846 https://www.sec.gov/litigation/admin/2017/33-10282.pdf 33-10282 34-79817 3-17792 2017-01-18 AP Settled Hammel , Jeffrey CPA N/A AAER-3847 https://www.sec.gov/litigation/admin/2017/34-79819.pdf 34-79819 3-17793 2017-01-18 AP Settled McCollum , Brian N/A AAER-3848 https://www.sec.gov/litigation/admin/2017/34-79820.pdf 34-79820 3-17794 2017-01-18 AP Settled Mack , Kenneth McMillian , Bryan N/A AAER-3849 https://www.sec.gov/litigation/admin/2017/33-10283.pdf 33-10283 34-79823 3-17795 2017-01-18 AP Settled MDC Partners Inc. N/A AAER-3850 https://www.sec.gov/litigation/admin/2017/34-79825.pdf 34-79825 3-17797 2017-01-18 AP Settled General Motors Company N/A AAER-3851 https://www.sec.gov/litigation/admin/2017/34-79828.pdf 34-79828 3-17800 2017-01-18 AP Settled Orthofix International N.V. N/A AAER-3852 https://www.sec.gov/litigation/admin/2017/34-79844.pdf 34-79844 3-17801 2017-01-19 AP Settled HomeStreet, Inc. Amen , Darrell van N/A