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

2017-03-14 116 1 2017-02-06 2017-02-10 Securities Act of 1933 33 10303 10305 Securities Exchange Act of 1934 34 79972 80023* Trust Indenture Act of 1939 39 2515 2515 Administrative Proceedings AP 4588 4597 Investment Advisers Act of 1940 IA 4640 4648 Investment Company Act of 1940 IC 32468 32475 Initial Decisions (ALJ) ID 1107 1108 Litigation Releases LR 23742 23747 34-80004 33-10303 https://www.sec.gov/litigation/admin/2017/33-10303.pdf 34-79985 3-17827 2017-02-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Olde Monmouth Stock Transfer Co., Inc. Troster, Matthew J. N/A 33-10304 https://www.sec.gov/litigation/stoporders/2017/33-10304.pdf 2017-02-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Oxford City Football Club, Inc. N/A 33-10305 https://www.sec.gov/rules/interim/2017/33-10305.pdf 34-80023 39-2515 2017-02-10 Final Rule/Exemptions for Security-Based Swaps Commission Rule 33 Act; Rule 240 34 Act; Rules 12a-11 and 12h-1(i) TIA; Rule 4d-12 http://www.federalregister.gov/citation/82-FR-10705 82-FR-10705 34-79972 https://www.sec.gov/litigation/admin/2017/34-79972.pdf 3-17679 2017-02-06 Notice That Initial Decision Has Become Final Notice Questrust Ventures, Inc. Zaring Homes, Inc. N/A 34-79973 https://www.sec.gov/litigation/admin/2017/34-79973.pdf 3-17641 2017-02-06 Notice That Initial Decision Has Become Final Notice Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A 34-79974 https://www.sec.gov/rules/sro/17d-2/2017/34-79974.pdf 4-678 2017-02-06 Order/Approving and Declaring Effective a Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., and Miami International Securities Exchange, LLC and MIAX PEARL, LLC SRO Filing Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 http://www.federalregister.gov/citation/82-FR-10417 82-FR-10417 34-79975 https://www.sec.gov/rules/sro/nysearca/2017/34-79975.pdf SR-NYSEARCA-2017-08 2017-02-06 Notice / Immediate Effectiveness/to Amend NYSE Arca Equities Rule 5.2(j)(6)(v) to Add the EURO STOXX 50 Volatility Futures to the Definition of Futures Reference Asset SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-10418 82-FR-10418 34-79976 https://www.sec.gov/rules/sro/nysearca/2017/34-79976.pdf SR-NYSEARCA-2017-02 2017-02-06 Notice / Immediate Effectiveness/to Amend Certain Rules Related to Flexible Exchange Options SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-10422 82-FR-10422 34-79977 https://www.sec.gov/litigation/admin/2017/34-79977.pdf IA-4640 3-17528 2017-02-06 Order Making Findings, and Imposing Remedial Sanctions AP Settled Kazinec, Aaron Nash N/A 34-79978 https://www.sec.gov/rules/sro/msrb/2017/34-79978.pdf SR-MSRB-2017-01 2017-02-06 Notice /to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15 SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/82-FR-10123 82-FR-10123 34-79979 https://www.sec.gov/rules/sro/oc/2017/34-79979.pdf SR-OC-2017-01 2017-02-06 Notice /Regarding Fraudulent Acts SRO Filing OneChicago, LLC http://www.federalregister.gov/citation/82-FR-10099 82-FR-10099 34-79980 https://www.sec.gov/litigation/admin/2017/34-79980.pdf 3-17748 2017-02-07 Order Making Findings, and Imposing Remedial Sanctions AP Settled McGregor, Robert S. N/A 34-79981 https://www.sec.gov/rules/sro/cboe/2017/34-79981.pdf SR-CBOE-2017-009 2017-02-07 Notice / Immediate Effectiveness/Relating to Allocation and Priority Rules SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-10524 82-FR-10524 34-79982 https://www.sec.gov/rules/sro/nysemkt/2017/34-79982.pdf SR-NYSEMKT-2017-04 2017-02-07 Notice /Relating to Market Makers Applicable when the Exchange Transitions Trading to Pillar, the Exchange?s New Trading Technology Platform SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-10508 82-FR-10508 34-79983 https://www.sec.gov/rules/sro/miax/2017/34-79983.pdf SR-MIAX-2017-02 2017-02-07 Notice / Immediate Effectiveness/to Amend Its Fee Schedule to Modify Its Market Maker and Other Market Participant Transaction Fees SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/82-FR-10519 82-FR-10519 34-79984 https://www.sec.gov/rules/sro/chx/2017/34-79984.pdf SR-CHX-2016-16 2017-02-07 Notice / Withdrawal /to Adopt the CHX Liquidity Taking Access Delay SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/82-FR-10521 82-FR-10521 34-79985 https://www.sec.gov/litigation/admin/2017/33-10303.pdf 33-10303 3-17827 2017-02-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Olde Monmouth Stock Transfer Co., Inc. Troster, Matthew J. N/A 34-79986 https://www.sec.gov/litigation/admin/2017/34-79986.pdf 3-17830 2017-02-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Oxford City Football Club, Inc. N/A 34-79987 https://www.sec.gov/litigation/opinions/2017/34-79987.pdf IA-4646 IC-32473 3-16389 2017-02-08 Order Scheduling Briefs Orders Graham, Brett Thomas N/A 34-79988 https://www.sec.gov/rules/sro/icc/2017/34-79988.pdf SR-ICC-2017-002 2017-02-08 Notice /Relating to ICC?s Liquidity Thresholds for Euro Denominated Products SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/82-FR-10611 82-FR-10611 34-79989 https://www.sec.gov/rules/sro/batsbzx/2017/34-79989.pdf SR-BATSBZX-2017-07 2017-02-08 Notice /to List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-10616 82-FR-10616 34-79990 https://www.sec.gov/litigation/admin/2017/34-79990.pdf 3-17835 2017-02-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Goodrich, Darren N/A 34-79991 https://www.sec.gov/litigation/admin/2017/34-79991.pdf 3-17834 2017-02-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Narayan, Ash N/A 34-79992 https://www.sec.gov/rules/other/2017/34-79992.pdf 265-29 2017-02-09 Notice of Federal Advisory Committee Renewal Notice Equity Market Structure Advisory Committee http://www.federalregister.gov/citation/82-FR-10611 82-FR-10611 34-79993 https://www.sec.gov/rules/sro/nysemkt/2017/34-79993.pdf SR-NYSEMKT-2017-01 2017-02-09 Notice /to Adopt New Equities Trading Rules to Transition Trading on the Exchange From a Floor Based Market with a Parity Allocation Model to Fully Automated Price-Time Priority Model on the Exchange?s New Trading Technology Platform, Pillar SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-10814 82-FR-10814 34-79994 https://www.sec.gov/rules/sro/ise/2017/34-79994.pdf SR-ISE-2016-27 2017-02-09 Order/to Amend the Exchange?s Rules Regarding Routing of Orders, Cancellation of Orders, and Handling of Error Positions, and Permit Nasdaq Execution Services, LLC to become an Affiliated Member of the Exchange to Perform Certain Routing and Other Functions SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-10837 82-FR-10837 34-79995 https://www.sec.gov/rules/sro/isegemini/2017/34-79995.pdf SR-ISEGEMINI-2016-16 SR-ISEMERCURY-2016-22 2017-02-09 Order/To Permit Nasdaq Execution Services, LLC To Become an Affiliated Member of Each Exchange To Perform Certain Routing and Other Functions SRO Filing ISE Gemini, LLC ISE Mercury, LLC http://www.federalregister.gov/citation/82-FR-10811 82-FR-10811 34-79996 https://www.sec.gov/rules/sro/bx/2017/34-79996.pdf SR-BX-2016-068 SR-NASDAQ-2016-169 SR-PHLX-2016-120 2017-02-09 Order/To Accept Orders Routed Inbound from the International Stock Exchange, LLC, ISE Gemini, LLC, and ISE Mercury, LLC, by Nasdaq Execution Services, LLC SRO Filing NASDAQ BX, Inc. Nasdaq Stock Market LLC NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-10844 82-FR-10844 34-79997 https://www.sec.gov/litigation/admin/2017/34-79997.pdf 3-14594 2017-02-09 Order Approving Plan of Distribution and Directing Disbursement of Fair Fund Orders Credit Suisse Asset Management, LLC Bhatt, Samir H. Credit Suisse Alternative Capital, LLC f/k/a Credit Suisse Alternative Capital, Inc. N/A 34-79998 https://www.sec.gov/rules/sro/nysemkt/2017/34-79998.pdf SR-NYSEMKT-2017-05 2017-02-09 Notice /Amending Rules 7.29E and 1.1E to Provide for a Delay Mechanism SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-10828 82-FR-10828 34-79999 https://www.sec.gov/rules/sro/iceeu/2017/34-79999.pdf SR-ICEEU-2017-002 2017-02-09 Notice /to Revise the ICE Clear Europe Clearing Rules Relating to the Application of Default Provisions in the Event of a Resolution Proceeding SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/82-FR-10848 82-FR-10848 34-80000 https://www.sec.gov/litigation/admin/2017/34-80000.pdf 3-17836 2017-02-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Barton, Raymond H. N/A 34-80001 https://www.sec.gov/litigation/admin/2017/34-80001.pdf 3-17837 2017-02-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Goode, William G. Esq. N/A 34-80002 https://www.sec.gov/rules/sro/nyse/2017/34-80002.pdf SR-NYSE-2016-45 2017-02-09 Notice / Designation of Longer Period for Commission Action/to Amend the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-10827 82-FR-10827 34-80003 https://www.sec.gov/rules/sro/cboe/2017/34-80003.pdf SR-CBOE-2017-011 2017-02-09 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-10846 82-FR-10846 34-80004 2017-02-09 INTENTIONALLY OMITTED 34-80004A https://www.sec.gov/rules/sro/finra/2017/34-80004a.pdf SR-FINRA-2016-047 2017-02-09 Order Granting Approval of a Proposed Rule Change to Amend FINRA Rules to conform to the Commission’s Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from T+3 to T+2 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/82-FR-13517 82-FR-13517 34-80005 https://www.sec.gov/litigation/admin/2017/34-80005.pdf 3-17838 2017-02-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Jaypee International, Inc. Arora, Sorabh N/A 34-80006 https://www.sec.gov/litigation/admin/2017/34-80006.pdf IA-4648 IC-32475 3-17839 2017-02-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing AP Settled King, Sylvester Jr. N/A 34-80007 https://www.sec.gov/rules/sro/phlx/2017/34-80007.pdf SR-PHLX-2017-13 2017-02-10 Notice / Immediate Effectiveness/to Amend the Market Access and Routing Subsidy SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-10949 82-FR-10949 34-80008 https://www.sec.gov/rules/sro/phlx/2017/34-80008.pdf SR-PHLX-2017-09 2017-02-10 Notice / Immediate Effectiveness/to Amend Sections I and II of the Pricing Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-10933 82-FR-10933 34-80009 https://www.sec.gov/rules/sro/ise/2017/34-80009.pdf SR-ISE-2016-31 2017-02-10 Order/to Amend the Supplementary Material to ISE Rule 1901 SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-10927 82-FR-10927 34-80010 https://www.sec.gov/rules/exorders/2017/34-80010.pdf TP 17-06 2017-02-10 Order Granting Limited Temporary Exemption from Exchange Act Section 12(j) Orders UBS Financial Services Inc. UBS Securities LLC N/A 34-80011 https://www.sec.gov/rules/sro/isegemini/2017/34-80011.pdf SR-ISEGEMINI-2016-17 2017-02-10 Order/to Amend Various Rules in Connection with a System Migration to Nasdaq INET Technology SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/82-FR-10927 82-FR-10927 34-80012 https://www.sec.gov/rules/sro/batsbzx/2017/34-80012.pdf SR-BATSBZX-2017-12 2017-02-10 Notice / Immediate Effectiveness/Related to Fees as they Relate to the Equities Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-10922 82-FR-10922 34-80013 https://www.sec.gov/rules/sro/nasdaq/2017/34-80013.pdf SR-NASDAQ-2016-183 2017-02-10 Order/to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle from Three Business Days after the Trade Date to Two Business Days after the Trade Date SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-10924 82-FR-10924 34-80014 https://www.sec.gov/rules/sro/isegemini/2017/34-80014.pdf SR-ISEGEMINI-2016-18 2017-02-10 Order/to Amend the Exchange Opening Process SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/82-FR-10952 82-FR-10952 34-80015 https://www.sec.gov/rules/sro/nasdaq/2017/34-80015.pdf SR-NASDAQ-2017-007 2017-02-10 Notice / Immediate Effectiveness/to Amend the Exchange's Data Fees at Rule 7026 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-10944 82-FR-10944 34-80016 https://www.sec.gov/litigation/admin/2017/34-80016.pdf 3-17840 2017-02-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Columbia Management Investment Services Corp. N/A 34-80017 https://www.sec.gov/rules/sro/batsbzx/2017/34-80017.pdf SR-BATSBZX-2017-11 2017-02-10 Notice / Immediate Effectiveness/Related to Fees for Use on Bats BZX Exchange, Inc Adding NBBO Setter Tiers SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-10920 82-FR-10920 34-80018 https://www.sec.gov/rules/sro/nsx/2017/34-80018.pdf SR-NSX-2017-04 2017-02-10 Notice / Immediate Effectiveness/Amending Rule 11.1, Hours of Trading, Interpretations and Policies .01, to Cease Trading on the Exchange's System as of February 1, 2017 SRO Filing NYSE National, Inc., Formerly National Stock Exchange, Inc. http://www.federalregister.gov/citation/82-FR-10947 82-FR-10947 34-80019 https://www.sec.gov/rules/sro/nyse/2017/34-80019.pdf SR-NYSE-2017-03 2017-02-10 Notice /Amending Rule 98 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-10942 82-FR-10942 34-80020 https://www.sec.gov/rules/sro/nysemkt/2017/34-80020.pdf SR-NYSEMKT-2016-119 2017-02-10 Order/to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from Three Business Days after the Trade Date ("T+3") to Two Business Days after the Trade Date ("T+2") SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-10940 82-FR-10940 34-80021 https://www.sec.gov/rules/sro/nyse/2017/34-80021.pdf SR-NYSE-2016-87 2017-02-10 Order/to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from Three Business Days after the Trade Date ("T+3") to Two Business Days after the Trade Date ("T+2") SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-10931 82-FR-10931 34-80022 https://www.sec.gov/rules/sro/nyse/2017/34-80022.pdf SR-NYSE-2016-72 2017-02-10 Notice / Designation of Longer Period for Commission Action/Amending Its Listing Standards for Special Purpose Acquisition Companies SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-10947 82-FR-10947 34-80023 https://www.sec.gov/rules/interim/2017/33-10305.pdf 33-10305 39-2515 2017-02-10 Final Rule/Exemptions for Security-Based Swaps Commission Rule 33 Act; Rule 240 34 Act; Rules 12a-11 and 12h-1(i) TIA; Rule 4d-12 http://www.federalregister.gov/citation/82-FR-10705 82-FR-10705 39-2515 https://www.sec.gov/rules/interim/2017/33-10305.pdf 33-10305 34-80023 2017-02-10 Final Rule/Exemptions for Security-Based Swaps Commission Rule 33 Act; Rule 240 34 Act; Rules 12a-11 and 12h-1(i) TIA; Rule 4d-12 http://www.federalregister.gov/citation/82-FR-10705 82-FR-10705 AP-4588 https://www.sec.gov/alj/aljorders/2017/ap-4588.pdf 3-17313 2017-02-06 Order Denying Division's Motion in Limine Orders Tirrell, William N/A AP-4589 https://www.sec.gov/alj/aljorders/2017/ap-4589.pdf 3-16649 2017-02-06 Order on Division's Opposition to Subpoenas Orders IronRidge Global Partners, LLC IronRidge Global IV, Ltd. N/A AP-4590 https://www.sec.gov/alj/aljorders/2017/ap-4590.pdf 3-17749 2017-02-07 Order Scheduling Prehearing Conference Orders Smith, Jason B. N/A AP-4591 https://www.sec.gov/alj/aljorders/2017/ap-4591.pdf 3-16649 2017-02-07 Order on Division's Motion to Retroactively Amend Witness List Orders Ironridge Global Partners, LLC Ironridge Global IV, Ltd. N/A AP-4592 https://www.sec.gov/alj/aljorders/2017/ap-4592.pdf 3-16554 2017-02-07 Order Granting Extension Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4593 https://www.sec.gov/alj/aljorders/2017/ap-4593.pdf 3-17828 2017-02-08 Order Scheduling Hearing and Designating Presiding Judge Orders Herman, Rosalind N/A AP-4594 https://www.sec.gov/alj/aljorders/2017/ap-4594.pdf 3-17740 2017-02-09 Scheduling Order Orders Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.) Porter, John T. Duszynski, Thomas F. CPA N/A AP-4595 https://www.sec.gov/alj/aljorders/2017/ap-4595.pdf 3-16649 2017-02-09 Order Granting Enlargement of Time for Response to Motion for Witness Schedule Orders Ironridge Global Partners, LLC Ironridge Global IV, Ltd. N/A AP-4596 https://www.sec.gov/alj/aljorders/2017/ap-4596.pdf 3-16649 2017-02-10 Stay Order Orders IronRidge Global Partners, LLC IronRidge Global IV, LTD N/A AP-4597 https://www.sec.gov/alj/aljorders/2017/ap-4597.pdf 3-17814 2017-02-10 Order to Show Cause Orders Infeed Medica Corp. N/A IA-4640 https://www.sec.gov/litigation/admin/2017/34-79977.pdf 34-79977 3-17528 2017-02-06 Order Making Findings, and Imposing Remedial Sanctions AP Settled Kazinec, Aaron Nash N/A IA-4641 https://www.sec.gov/litigation/admin/2017/ia-4641.pdf IC-32470 3-17826 2017-02-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled SLRA, Inc. Landress, Scott M. Advisors III, LLC N/A IA-4642 https://www.sec.gov/rules/ia/2017/ia-4642.pdf 803-00229 2017-02-07 Order Orders Brown Advisory LLC N/A IA-4643 https://www.sec.gov/litigation/admin/2017/ia-4643.pdf 3-17828 2017-02-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Herman, Rosalind N/A IA-4644 https://www.sec.gov/litigation/admin/2017/ia-4644.pdf 3-17829 2017-02-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Caplitz, Gregg D. N/A IA-4645 https://www.sec.gov/litigation/admin/2017/ia-4645.pdf 2017-02-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Guerriero, Thomas Anthony N/A IA-4646 https://www.sec.gov/litigation/opinions/2017/34-79987.pdf 34-79987 IC-32473 3-16389 2017-02-08 Order Scheduling Briefs Orders Graham, Brett Thomas N/A IA-4647 https://www.sec.gov/litigation/admin/2017/ia-4647.pdf 3-17833 2017-02-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Jeffrey Slocum & Associates, Inc. Slocum, Jeffrey C. N/A IA-4648 https://www.sec.gov/litigation/admin/2017/34-80006.pdf 34-80006 IC-32475 3-17839 2017-02-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing AP Settled King, Sylvester Jr. N/A IC-32468 https://www.sec.gov/rules/ic/2017/ic-32468.pdf 812-14627 2017-02-06 Order Orders Guardian Variable Products Trust, et al. N/A IC-32469 https://www.sec.gov/rules/ic/2017/ic-32469.pdf 812-14568 2017-02-07 Order Orders Owl Rock Capital Corp., et al. N/A IC-32470 https://www.sec.gov/litigation/admin/2017/ia-4641.pdf IA-4641 3-17826 2017-02-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled SLRA, Inc. Landress, Scott M. Advisors III, LLC N/A IC-32471 https://www.sec.gov/rules/ic/2017/ic-32471.pdf 812-14707 2017-02-07 Notice of application Notice StrongVest ETF Trust, et al. http://www.federalregister.gov/citation/82-FR-10522 82-FR-10522 IC-32472 https://www.sec.gov/rules/ic/2017/ic-32472.pdf 812-14708 2017-02-07 Notice Notice NorthStar/Townsend Institutional Real Estate Fund Inc., et al. http://www.federalregister.gov/citation/82-FR-10516 82-FR-10516 IC-32473 https://www.sec.gov/litigation/opinions/2017/34-79987.pdf 34-79987 IA-4646 3-16389 2017-02-08 Order Scheduling Briefs Orders Graham, Brett Thomas N/A IC-32474 https://www.sec.gov/rules/ic/2017/ic-32474.pdf 812-14693 2017-02-09 Notice of application Notice USAA Asset Management Company, et al. http://www.federalregister.gov/citation/82-FR-10834 82-FR-10834 IC-32475 https://www.sec.gov/litigation/admin/2017/34-80006.pdf 34-80006 IA-4648 3-17839 2017-02-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing AP Settled King, Sylvester Jr. N/A ID-1107 https://www.sec.gov/alj/aljdec/2017/id1107jeg.pdf 3-17744 2017-02-06 Initial Decision of Default Initial Decision PAB Bankshares, Inc. USABG Corp. N/A ID-1108 https://www.sec.gov/alj/aljdec/2017/id1108bpm.pdf 3-17664 3-17665 3-17666 3-17667 2017-02-09 Initial Decision of Default Initial Decision Flaster Corporation iLoan Inc. Zubra Inc. Instride, Inc. N/A LR-23742 https://www.sec.gov/litigation/litreleases/2017/lr23742.htm 3:17-CV-00155 2017-02-06 Enforcement Case Sentinel Growth Fund Management, LLC Varacchi, Mark J. Radar Alternative Master Fund SPC / Relief Defendant Radar Alternative Fund LP / Relief Defendant N/A LR-23743 https://www.sec.gov/litigation/litreleases/2017/lr23743.htm 1:14-CR-10221 2017-02-07 Enforcement Case Nix, Christopher G. Putnam, Christopher Affa, Andrew J. N/A LR-23744 https://www.sec.gov/litigation/litreleases/2017/lr23744.htm 07-CV-4370 2017-02-07 Enforcement Case Newman, Edward N/A LR-23745 https://www.sec.gov/litigation/litreleases/2017/lr23745.htm 15-CV-62594-KMW 2017-02-08 Enforcement Case Oxford City Football Club, Inc. Guerriero, Thomas Anthony N/A LR-23746 https://www.sec.gov/litigation/litreleases/2017/lr23746.htm 1:17-CV-01000 2017-02-10 Enforcement Case Staples, Alan Barry N/A LR-23747 https://www.sec.gov/litigation/litreleases/2017/lr23747.htm 17-CV-972 2017-02-10 Enforcement Case Yin, Shaohua (Michael) Su, Lizhao Yin, Zhiqing M. Qin, Jun Zhou, Yan Xie, Bei N/A