Order Making Findings, and Imposing Remedial Sanctions

2017-04-25 116 7 2017-03-20 2017-03-24 Securities Act of 1933 33 10325 10328 Securities Exchange Act of 1934 34 80275 80312 Administrative Proceedings AP 4695 4708 Investment Advisers Act of 1940 IA 4669 4671 Investment Company Act of 1940 IC 32536 32575 Initial Decisions (ALJ) ID 1116 1119 Litigation Releases LR 23782 23790 33-10325 https://www.sec.gov/litigation/admin/2017/33-10325.pdf 34-80301 3-17559 2017-03-23 Order Making Findings, and Imposing Remedial Sanctions AP Settled Rose, Sheldon MKJJ Consulting LLC N/A 33-10326 https://www.sec.gov/litigation/opinions/2017/33-10326.pdf 34-80306 IA-4671 IC-32575 3-16311 2017-03-24 Opinion Opinions Dembski, Timothy S. N/A 33-10327 https://www.sec.gov/litigation/admin/2017/33-10327.pdf 34-80307 3-16560 2017-03-24 Order Making Findings, and Imposing Remedial Sanctions/and a Cease-and-Desist Order AP Settled Quigley, William N/A 33-10328 https://www.sec.gov/litigation/opinions/2017/33-10328.pdf 34-80308 3-16795 2017-03-24 Opinion Opinions Fox, Joseph J. N/A 34-80275 https://www.sec.gov/litigation/suspensions/2017/34-80275.pdf 500-1 2017-03-20 Trading Suspension Trading Suspensions Ubiquity, Inc. N/A 34-80276 https://www.sec.gov/litigation/admin/2017/34-80276.pdf 3-17884 2017-03-20 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Ubiquity, Inc. N/A 34-80277 2017-03-20 INTENTIONALLY OMITTED 34-80278 https://www.sec.gov/litigation/admin/2017/34-80278.pdf IA-4669 3-17885 2017-03-20 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hobson, David P. N/A 34-80279 https://www.sec.gov/rules/sro/cboe/2017/34-80279.pdf SR-CBOE-2017-019 2017-03-20 Notice /Related to Complex Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-15085 82-FR-15085 34-80280 https://www.sec.gov/rules/sro/dtc/2017/34-80280.pdf SR-DTC-2017-001 2017-03-20 Notice /to Establish a Sub-Account for Use with the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative to Receive Information About the Sub-Account SRO Filing Depository Trust Company http://www.federalregister.gov/citation/82-FR-15081 82-FR-15081 34-80281 https://www.sec.gov/rules/sro/c2/2017/34-80281.pdf SR-C2-2017-010 2017-03-20 Notice / Immediate Effectiveness/Related to Complex Orders SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-15074 82-FR-15074 34-80282 https://www.sec.gov/rules/sro/bx/2017/34-80282.pdf SR-BX-2017-013 2017-03-21 Notice /to Shorten the Settlement Cycle from T+3 to T+2 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/82-FR-15258 82-FR-15258 34-80283 https://www.sec.gov/rules/sro/nysemkt/2017/34-80283.pdf SR-NYSEMKT-2017-14 2017-03-21 Notice / Immediate Effectiveness/to Amend its Organizational Documents, Company Guide, Price List, Fee Schedules, Independence Policy and Rules to Change the Name of the Exchange to NYSE American LLC SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-15244 82-FR-15244 34-80284 https://www.sec.gov/rules/sro/miax/2017/34-80284.pdf SR-MIAX-2017-13 2017-03-21 Notice / Immediate Effectiveness/to Amend Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors SRO Filing Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-15251 82-FR-15251 34-80285 https://www.sec.gov/rules/sro/nysearca/2017/34-80285.pdf SR-NYSEARCA-2017-27 2017-03-21 Notice / Immediate Effectiveness/to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-15249 82-FR-15249 34-80286 https://www.sec.gov/rules/sro/cboe/2017/34-80286.pdf SR-CBOE-2017-022 2017-03-21 Notice / Immediate Effectiveness/to Amend the MDX Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-15247 82-FR-15247 34-80287 https://www.sec.gov/litigation/opinions/2017/34-80287.pdf 3-17766 2017-03-21 Order Granting Motion To Withdraw Application For Review Orders Gilmer, Wanda L. N/A 34-80288 https://www.sec.gov/litigation/admin/2017/34-80288.pdf 3-17721 3-17221 2017-03-21 Notice that Initial Decision Has Become Final Notice Ben Franklin Retail Stores, Inc. Enrotek Corp. Spectre Gaming, Inc. N/A 34-80289 https://www.sec.gov/litigation/admin/2017/34-80289.pdf 3-17744 2017-03-21 Initial Decision/Has Become Final Notice PAB Bankshares, Inc. USABG Corp. N/A 34-80290 https://www.sec.gov/litigation/admin/2017/34-80290.pdf 3-17711 2017-03-21 Notice that Initial Decision Has Become Final Notice Aquanatural Co. Bullet Sports International, Inc. Pearce Systems International, Inc. N/A 34-80291 https://www.sec.gov/litigation/admin/2017/34-80291.pdf 3-17698 2017-03-21 Notice That Initial Decision Has Become Final Notice Vampt America, Inc. Westport Energy Holdings, Inc. N/A 34-80292 https://www.sec.gov/litigation/suspensions/2017/34-80292.pdf 500-1 2017-03-21 Trading Suspension Trading Suspensions China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. N/A 34-80293 https://www.sec.gov/litigation/admin/2017/34-80293.pdf 3-17886 2017-03-21 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. N/A 34-80294 https://www.sec.gov/litigation/admin/2017/34-80294.pdf 3-17715 2017-03-21 Notice That Initial Decision Has Become Final Initial Decision Sen Yu International Holdings, Inc. N/A 34-80295 https://www.sec.gov/rules/final/2017/34-80295.pdf S7-22-16 2017-03-22 Final Rule/Amendment to Securities Transaction Settlement Cycle Final Rule 34 Act; Rule 15c6-1(a) http://www.federalregister.gov/citation/82-FR-15564 82-FR-15564 34-80296 https://www.sec.gov/rules/sro/nysearca/2017/34-80296.pdf SR-NYSEARCA-2017-07 2017-03-22 Order/to List and Trade Shares of the ProShares UltraPro 3x Crude Oil ETF and ProShares UltraPro 3x Short Crude Oil ETF under NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-15400 82-FR-15400 34-80297 https://www.sec.gov/rules/sro/nysearca/2017/34-80297.pdf SR-NYSEARCA-2017-06 2017-03-22 Notice / Designation of Longer Period for Commission Action to/Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-15408 82-FR-15408 34-80298 https://www.sec.gov/rules/sro/c2/2017/34-80298.pdf SR-C2-2017-011 2017-03-22 Notice / Immediate Effectiveness/Related to Rule 6.15 SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-15393 82-FR-15393 34-80299 https://www.sec.gov/litigation/admin/2017/34-80299.pdf IA-4670 3-17888 2017-03-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Bucci , William D. N/A 34-80300 https://www.sec.gov/rules/sro/nms/2017/34-80300.pdf SR-CTA/CQ-2017-02 2017-03-23 Notice / Immediate Effectiveness/Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan SRO Filing Consolidated Tape Association http://www.federalregister.gov/citation/82-FR-15404 82-FR-15404 34-80301 https://www.sec.gov/litigation/admin/2017/33-10325.pdf 33-10325 3-17559 2017-03-23 Order Making Findings, and Imposing Remedial Sanctions AP Settled Rose, Sheldon MKJJ Consulting LLC N/A 34-80302 https://www.sec.gov/litigation/admin/2017/34-80302.pdf 3-14982 2017-03-23 Order Approving a Plan of Distribution Orders McMurtry, Shawn Patrick Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities LLC N/A 34-80303 https://www.sec.gov/rules/sro/ficc/2017/34-80303.pdf SR-FICC-2017-005 2017-03-24 Notice /to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-15749 82-FR-15749 34-80304 https://www.sec.gov/rules/sro/iceeu/2017/34-80304.pdf SR-ICEEU-2017-002 2017-03-24 Notice / Order Accelerating /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-15733 82-FR-15733 34-80305 https://www.sec.gov/rules/sro/phlx/2017/34-80305.pdf SR-PHLX-2017-25 2017-03-24 Notice / Immediate Effectiveness/to Amend the Exchange's Pricing Schedule at Section VII(A) SRO Filing NASDAQ PHLX, LLC http://www.federalregister.gov/citation/82-FR-15778 82-FR-15778 34-80306 https://www.sec.gov/litigation/opinions/2017/33-10326.pdf 33-10326 IA-4671 IC-32575 3-16311 2017-03-24 Opinion Opinions Dembski, Timothy S. N/A 34-80307 https://www.sec.gov/litigation/admin/2017/33-10327.pdf 33-10327 3-16560 2017-03-24 Order Making Findings, and Imposing Remedial Sanctions/and a Cease-and-Desist Order AP Settled Quigley, William N/A 34-80308 https://www.sec.gov/litigation/opinions/2017/33-10328.pdf 33-10328 3-16795 2017-03-24 Opinion Opinions Fox, Joseph J. N/A 34-80309 https://www.sec.gov/rules/sro/nysemkt/2017/34-80309.pdf SR-NYSEMKT-2016-63 2017-03-24 Notice / Order Accelerating /to Amend the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-15725 82-FR-15725 34-80310 https://www.sec.gov/rules/sro/nysearca/2017/34-80310.pdf SR-NYSEARCA-2016-89 2017-03-24 Notice / Order Accelerating /to Amend the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-15763 82-FR-15763 34-80311 https://www.sec.gov/rules/sro/nyse/2017/34-80311.pdf SR-NYSE-2016-45 2017-03-24 Notice / Order Accelerating /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-15741 82-FR-15741 34-80312 https://www.sec.gov/litigation/opinions/2017/34-80312.pdf 3-17741 2017-03-24 Opinion Opinions Ellis, Jonathan Roth N/A AP-4695 https://www.sec.gov/alj/aljorders/2017/ap-4695.pdf 3-17878 2017-03-20 Order Scheduling Hearing and Designating Presiding Judge Orders Parthemer, Aaron R. N/A AP-4696 https://www.sec.gov/alj/aljorders/2017/ap-4696.pdf 3-17749 2017-03-20 Order to Show Cause Orders Smith, Jason B. N/A AP-4697 https://www.sec.gov/alj/aljorders/2017/ap-4697.pdf 3-17699 2017-03-20 Order On Respondents' March 15 Filing Orders Neman, Shervin Neman Financial, Inc. N/A AP-4698 https://www.sec.gov/alj/aljorders/2017/ap-4698.pdf 3-17550 2017-03-21 Order Orders Ditommaso, Tod A. Esq N/A AP-4699 https://www.sec.gov/alj/aljorders/2017/ap-4699.pdf 3-17858 2017-03-21 Order to Show Cause and Postponement Order Orders Sidewinder Explorations Inc. N/A AP-4700 https://www.sec.gov/alj/aljorders/2017/ap-4700.pdf 3-17884 2017-03-21 Order Scheduling Hearing and Designating Presiding Judge Orders Ubiquity, Inc. N/A AP-4701 https://www.sec.gov/alj/aljorders/2017/ap-4701.pdf 3-17848 2017-03-22 Order Orders Griffin, James P. N/A AP-4702 https://www.sec.gov/alj/aljorders/2017/ap-4702.pdf 3-17850 2017-03-22 Order to Show Cause Orders Hydrocarb Energy Corp. N/A AP-4703 https://www.sec.gov/alj/aljorders/2017/ap-4703.pdf 3-17313 2017-03-22 Order on Motion for in Camera Review of Interview Notes Orders Tirrell, William N/A AP-4704 https://www.sec.gov/alj/aljorders/2017/ap-4704.pdf 3-17886 3-17888 2017-03-23 Order Scheduling Hearing and Designating Presiding Judge Orders China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. N/A AP-4705 https://www.sec.gov/alj/aljorders/2017/ap-4705.pdf 3-17888 2017-03-23 Order Scheduling Hearing and Designating Presiding Judge Orders Bucci, William D. N/A AP-4706 https://www.sec.gov/alj/aljorders/2017/ap-4706.pdf 3-16554 2017-03-24 Order Scheduling Prehearing Conference Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4707 https://www.sec.gov/alj/aljorders/2017/ap-4707.pdf 3-17856 2017-03-24 Order Scheduling Prehearing Conference Orders Gibson, John Austin Jr. N/A AP-4708 https://www.sec.gov/alj/aljorders/2017/ap-4708.pdf 3-17882 2017-03-24 Order Postponing Hearing and Scheduling Prehearing Conference Orders ShallBetter Industries, Inc. Phoenix Hydro International, Inc. Vanport Acquisition II Vanport Acquisition III, Corp. N/A IA-4669 https://www.sec.gov/litigation/admin/2017/34-80278.pdf 34-80278 3-17885 2017-03-20 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hobson, David P. N/A IA-4670 https://www.sec.gov/litigation/admin/2017/34-80299.pdf 34-80299 3-17888 2017-03-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Bucci , William D. N/A IA-4671 https://www.sec.gov/litigation/opinions/2017/33-10326.pdf 33-10326 34-80306 IC-32575 3-16311 2017-03-24 Opinion Opinions Dembski, Timothy S. N/A IC-32536 https://www.sec.gov/rules/ic/2017/ic-32536.pdf 812-14710 2017-03-20 Notice Notice Investment Managers Series Trust II, et al. http://www.federalregister.gov/citation/82-FR-15090 82-FR-15090 IC-32537 https://www.sec.gov/rules/ic/2017/ic-32537.pdf 812-14686 2017-03-20 Notice Notice Advent/Claymore Enhanced Growth & Income Fund http://www.federalregister.gov/citation/82-FR-15091 82-FR-15091 IC-32538 https://www.sec.gov/rules/ic/2017/ic-32538.pdf 812-14386 2017-03-21 Order Orders The RBB Fund, Inc. Altair Advisers LLC N/A IC-32539 https://www.sec.gov/rules/ic/2017/ic-32539.pdf 812-14656 2017-03-21 Order Orders Morgan Stanley ETF Trust Morgan Stanley Investment Management, Inc. Morgan Stanley Distribution, Inc. N/A IC-32540 https://www.sec.gov/rules/ic/2017/ic-32540.pdf 812-14677 2017-03-22 Notice Notice AB Bond Fund, Inc. et al. http://www.federalregister.gov/citation/82-FR-15407 82-FR-15407 IC-32541 https://www.sec.gov/rules/icdereg/2017/ic-32541.pdf 811-22404 2017-03-22 Order Orders SCS Hedged Opportunities Fund, LLC N/A IC-32542 https://www.sec.gov/rules/icdereg/2017/ic-32542.pdf 811-22462 2017-03-22 Order Orders SCS Hedged Opportunities (TE) Fund, LLC N/A IC-32543 https://www.sec.gov/rules/icdereg/2017/ic-32543.pdf 811-22403 2017-03-22 Order Orders SCS Hedged Opportunities Master Fund, LLC N/A IC-32544 https://www.sec.gov/rules/icdereg/2017/ic-32544.pdf 811-22864 2017-03-22 Order Orders Partners Group Private Credit N/A IC-32545 https://www.sec.gov/rules/icdereg/2017/ic-32545.pdf 811-22640 2017-03-22 Order Orders Partners Group Private RE (Master), LLC N/A IC-32546 https://www.sec.gov/rules/icdereg/2017/ic-32546.pdf 811-22863 2017-03-22 Order Orders Partners Group Private Credit (Master Fund) N/A IC-32547 https://www.sec.gov/rules/icdereg/2017/ic-32547.pdf 811-22600 2017-03-22 Order Orders Partners Group Private RE, LLC N/A IC-32548 https://www.sec.gov/rules/icdereg/2017/ic-32548.pdf 811-22601 2017-03-22 Order Orders Partners Group Private RE (Institutional), LLC N/A IC-32549 https://www.sec.gov/rules/icdereg/2017/ic-32549.pdf 811-23103 2017-03-22 Order Orders Oppeheimer International Growth Currency Hedged Fund N/A IC-32550 https://www.sec.gov/rules/icdereg/2017/ic-32550.pdf 811-22390 2017-03-22 Order Orders Pyxis Premium Long/Short Equity Fund N/A IC-32551 https://www.sec.gov/rules/icdereg/2017/ic-32551.pdf 811-09171 2017-03-22 Order Orders Highland Capital Fixed Income Fund N/A IC-32552 https://www.sec.gov/rules/icdereg/2017/ic-32552.pdf 811-22625 2017-03-22 Order Orders Highland Premium Dividend Fund N/A IC-32553 https://www.sec.gov/rules/icdereg/2017/ic-32553.pdf 811-22650 2017-03-22 Order Orders Highland Premium Long/Short Healthcare Fund N/A IC-32554 https://www.sec.gov/rules/icdereg/2017/ic-32554.pdf 811-22283 2017-03-22 Order Orders Claymore Exchange-Traded Fund Trust 3 N/A IC-32555 https://www.sec.gov/rules/icdereg/2017/ic-32555.pdf 811-05482 2017-03-22 Order Orders Deutsche High Income Trust N/A IC-32556 https://www.sec.gov/rules/icdereg/2017/ic-32556.pdf 811-22861 2017-03-22 Order Orders Pine Grove Alternative Fund N/A IC-32557 https://www.sec.gov/rules/icdereg/2017/ic-32557.pdf 811-06090 2017-03-22 Order Orders Separate Account D of Voya Insurance & Annuity Co. N/A IC-32558 https://www.sec.gov/rules/icdereg/2017/ic-32558.pdf 811-07686 2017-03-22 Order Orders Western Asset Emerging Markets Income Fund, Inc. N/A IC-32559 https://www.sec.gov/rules/icdereg/2017/ic-32559.pdf 811-08092 2017-03-22 Order Orders Western Asset Worldwide Income Fund, Inc. N/A IC-32560 https://www.sec.gov/rules/icdereg/2017/ic-32560.pdf 811-23065 2017-03-22 Order Orders Ramius Archview Credit and Distressed Feeder Fund N/A IC-32561 https://www.sec.gov/rules/icdereg/2017/ic-32561.pdf 811-05851 2017-03-22 Order Orders MFS Intermarket Income Trust I N/A IC-32562 https://www.sec.gov/rules/icdereg/2017/ic-32562.pdf 811-22769 2017-03-22 Order Orders Broadmark Funds N/A IC-32563 https://www.sec.gov/rules/icdereg/2017/ic-32563.pdf 811-21955 2017-03-22 Order Orders Stewart Capital Mutual Funds N/A IC-32564 https://www.sec.gov/rules/ic/2017/ic-32564.pdf 811-22379 2017-03-22 Order Orders Partners Group Private Equity (TEI), LLC N/A IC-32565 https://www.sec.gov/rules/icdereg/2017/ic-32565.pdf 811-22443 2017-03-22 Order Orders Partners Group Private Equity (Institutional TEI), LLC N/A IC-32566 https://www.sec.gov/rules/ic/2017/ic-32566.pdf 811-22240 2017-03-22 Order Orders Partners Group Private Equity (Institutional), LLC N/A IC-32567 https://www.sec.gov/rules/icdereg/2017/ic-32567.pdf 811-22210 2017-03-22 Order Orders Partners Group Private Equity, LLC N/A IC-32568 https://www.sec.gov/rules/ic/2017/ic-32568.pdf 812-14397 2017-03-22 Notice Notice Spinnaker ETF Trust, et al. http://www.federalregister.gov/citation/82-FR-15408 82-FR-15408 IC-32569 https://www.sec.gov/rules/ic/2017/ic-32569.pdf 812-14446 2017-03-23 Order Permitting Withdrawal of Application Orders Hartford Life Insurance Company et al. N/A IC-32570 https://www.sec.gov/rules/ic/2017/ic-32570.pdf 812-14447 2017-03-23 Order Permitting Withdrawal of Application Orders Hartford Life Insurance Company, et al. N/A IC-32571 https://www.sec.gov/rules/ic/2017/ic-32571.pdf 812-14487 2017-03-24 Notice Notice Transamerica Financial Life Insurance Company, et al. http://www.federalregister.gov/citation/82-FR-15738 82-FR-15738 IC-32572 https://www.sec.gov/rules/ic/2017/ic-32572.pdf 812-14488 2017-03-24 Notice Notice Transamerica Advisors Life Insurance Comapany http://www.federalregister.gov/citation/82-FR-15735 82-FR-15735 IC-32573 https://www.sec.gov/rules/ic/2017/ic-32573.pdf 812-14489 2017-03-24 Notice Notice Transamerica Advisors Life Insurance Company http://www.federalregister.gov/citation/82-FR-15771 82-FR-15771 IC-32574 https://www.sec.gov/rules/ic/2017/ic-32574.pdf 812-14490 2017-03-24 Notice Notice Transamerica Life Insurance Company http://www.federalregister.gov/citation/82-FR-15774 82-FR-15774 IC-32575 https://www.sec.gov/litigation/opinions/2017/33-10326.pdf 33-10326 34-80306 IA-4671 3-16311 2017-03-24 Opinion Opinions Dembski, Timothy S. N/A ID-1116 https://www.sec.gov/alj/aljdec/2017/id1116jsp.pdf 3-17253 2017-03-20 Initial Decision Initial Decision Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A ID-1117 https://www.sec.gov/alj/aljdec/2017/id1117cff.pdf 3-17650 2017-03-21 Initial Decision Making Findings and Imposing Sanction by Default March 21, 2017 Orders Lawler, Joe N/A ID-1118 https://www.sec.gov/alj/aljdec/2017/id1118ce.pdf 3-17747 2017-03-23 Initial Decision of Default Orders Rose, Brian C. N/A ID-1119 https://www.sec.gov/alj/aljdec/2017/id1119jeg.pdf 3-17814 2017-03-23 Initial Decision of Default Initial Decision Infeed Medica Corp. N/A LR-23782 https://www.sec.gov/litigation/litreleases/2017/lr23782.htm 17-CV-20933-DPG 2017-03-20 Enforcement Case Miller, Jerry N/A LR-23783 https://www.sec.gov/litigation/litreleases/2017/lr23783.htm 1:16-CV-4139 2017-03-20 Enforcement Case Maciocio, Michael Hobson, David P. N/A LR-23784 https://www.sec.gov/litigation/litreleases/2017/lr23784.htm 1:17-CV-00331 2017-03-23 Enforcement Case Ludwig, Christopher N/A LR-23785 https://www.sec.gov/litigation/litreleases/2017/lr23785.htm 17-CR-47-SRU 2017-03-23 Enforcement Case Connerton, Thomas J. Erickson, Jean N/A LR-23786 https://www.sec.gov/litigation/litreleases/2017/lr23786.htm 17 CV 01307 2017-03-23 Enforcement Case Hartung, Steven A. N/A LR-23787 https://www.sec.gov/litigation/litreleases/2017/lr23787.htm 3:17-CV-00150 2017-03-23 Enforcement Case Laggos , Keith B. N/A LR-23788 https://www.sec.gov/litigation/litreleases/2017/lr23788.htm 14-CR-40028 2017-03-24 Enforcement Case Merrill, James M. N/A LR-23789 https://www.sec.gov/litigation/litreleases/2017/lr23789.htm 17-CV-2088 2017-03-24 Enforcement Case Darvasi, Ariel Waldman, Amir N/A LR-23790 https://www.sec.gov/litigation/litreleases/2017/lr23790.htm 16-CIV-7591 2017-03-24 Enforcement Case del Valle, Nino Coppero Roca, Antonio Castro Carrion, Ricardo N/A