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

2017-10-10 117 11 2017-09-04 2017-09-08 Securities Act of 1933 33 10410 10411 Securities Exchange Act of 1934 34 81522 81563 Administrative Proceedings AP 5016 5038 Investment Advisers Act of 1940 IA 4762 4764 Investment Company Act of 1940 IC 32808 32810 Initial Decisions (ALJ) ID 1168 1171 Litigation Releases LR 23928 23932 Accounting and Auditing Enforcement Release AAER 3892 3895 33-10410 https://www.sec.gov/litigation/admin/2017/33-10410.pdf 3-18158 2017-09-07 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order State Street Bank and Trust Company N/A 33-10411 https://www.sec.gov/litigation/admin/2017/33-10411.pdf 34-81543 3-18159 2017-09-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order State Street Global Markets, LLC State Street Global Advisors Funds Distributors, LLC State Street Bank and Trust Company N/A 34-81522 https://www.sec.gov/litigation/admin/2017/34-81522.pdf 3-18146 2017-09-05 Order Instituting Administrative Proceedings and Notice of Hearing Order L & L Energy, Inc. Lihua International, Inc. Accelerated Aquisition XVII, Inc. (a/k/a Accelerated Acquisition XVII, Inc.) Ambassadors International, Inc. N/A 34-81523 https://www.sec.gov/litigation/admin/2017/34-81523.pdf 3-18147 2017-09-05 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Stark, Alan M. Esq. N/A 34-81524 https://www.sec.gov/litigation/admin/2017/34-81524.pdf 3-18148 2017-09-05 Order Instituting Administrative Proceedings and Notice of Hearing Order CLTC Ventures Corporation (n/k/a Dreamfly Productions Corporation) Crane Global Energy Company DCA Asset Management, Inc. BioPharma Manufacturing Solutions Inc. N/A 34-81525 https://www.sec.gov/litigation/admin/2017/34-81525.pdf 3-18149 2017-09-05 Order Instituting Administrative Proceedings and Notice of Hearing Order Mackenzie Taylor Minerals, Inc. Raptor Resources Holdings, Inc. Shoshone Silver Gold Mining Co. VR Holdings, Inc. N/A 34-81526 https://www.sec.gov/litigation/suspensions/2017/34-81526.pdf 500-1 2017-09-05 Trading Suspension Order Mackenzie Taylor Minerals, Inc. Raptor Resources Holdings, Inc. Shoshone Silver Gold Mining Co. VR Holdings, Inc. N/A 34-81527 https://www.sec.gov/litigation/admin/2017/34-81527.pdf 3-18151 2017-09-05 Order Instituting Administrative Proceedings and Notice of Hearing Order Bohai Pharmaceuticals Group Inc. N/A 34-81528 https://www.sec.gov/litigation/suspensions/2017/34-81528.pdf 500-1 2017-09-05 Trading Suspension Order Bohai Pharmaceuticals Group Inc. N/A 34-81529 https://www.sec.gov/litigation/admin/2017/34-81529.pdf 3-18152 2017-09-05 Order Instituting Administrative Proceedings and Notice of Hearing Order China Precision Steel, Inc. Golden River Resources Corp. N/A 34-81530 https://www.sec.gov/litigation/suspensions/2017/34-81530.pdf 500-1 2017-09-05 Trading Suspension Order China Precision Steel, Inc. Golden River Resources Corp. N/A 34-81531 https://www.sec.gov/rules/sro/nyse/2017/34-81531.pdf SR-NYSE-2017-43 2017-09-05 Notice / Immediate Effectiveness/as Modified by Amendment No. 1 Thereto, to Delay the Implementation of its Recently Approved Rule Requiring Listed Companies to Provide Advance Notice of Dividend or Stock Distribution Announcements to the Exchange Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-42712 82-FR-42712 34-81532 https://www.sec.gov/litigation/suspensions/2017/34-81532.pdf 500-1 2017-09-05 Trading Suspension Order GeoGlobal Resources, Inc. USA Synthetic Fuel Corp. N/A 34-81533 https://www.sec.gov/litigation/admin/2017/34-81533.pdf 3-18153 2017-09-05 Order Instituting Administrative Proceedings and Notice of Hearing Order GeoGlobal Resources, Inc. USA Synthetic Fuel Corp. N/A 34-81534 https://www.sec.gov/litigation/admin/2017/34-81534.pdf IA-4762 3-18154 2017-09-06 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Scudder, Steven C. Esq. N/A 34-81535 https://www.sec.gov/litigation/admin/2017/34-81535.pdf 3-18156 2017-09-06 Order Instituting Administrative Proceedings and Notice of Hearing Order American-Swiss Capital, Inc. Aquilarts, Inc. Avalon Holding Group, Inc. Broadstreet Power, Inc. (f/k/a Summer Valley Acquisition Corp.) N/A 34-81536 https://www.sec.gov/litigation/admin/2017/34-81536.pdf 3-18155 2017-09-06 Order Instituting Administrative Proceedings and Notice of Hearing Order Hall Tees, Inc. Hosokawa Micron International, Inc. James River Coal Company Napa Sonoma Group, Inc. (f/k/a Andes 1, Inc.) Self Change Corporation N/A 34-81537 https://www.sec.gov/rules/sro/nyseamer/2017/34-81537.pdf SR-NYSEAMER-2017-07 2017-09-06 Notice / Immediate Effectiveness/to Adopt Commentary .06 to Rule 980NY to Enhance the Price Protections for Complex Orders Executed on the Exchange Notice NYSE American LLC http://www.federalregister.gov/citation/82-FR-42866 82-FR-42866 34-81538 https://www.sec.gov/rules/sro/nysearca/2017/34-81538.pdf SR-NYSEARCA-2016-176 2017-09-06 Notice / Withdrawal /Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.201 Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-42865 82-FR-42865 34-81539 https://www.sec.gov/rules/sro/nysearca/2017/34-81539.pdf SR-NYSEARCA-2017-93 2017-09-06 Notice / Immediate Effectiveness/to Adopt Commentary .06 to NYSE Arca Rule 6.91-O to Enhance the Price Protections for Complex Orders Executed on the Exchange Notice NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-42861 82-FR-42861 34-81540 https://www.sec.gov/litigation/admin/2017/34-81540.pdf 3-18157 2017-09-06 Order Instituting Administrative Proceedings and Notice of Hearing Order Tintic Gold Mining Company N/A 34-81541 https://www.sec.gov/litigation/suspensions/2017/34-81541.pdf 500-1 2017-09-06 Trading Suspension Order Tintic Gold Mining Company N/A 34-81542 https://www.sec.gov/litigation/admin/2017/34-81542.pdf AAER-3892 3-18160 2017-09-07 Order Making Findings, and Imposing Remedial Sanctions Order Beamish, Adrian D. CPA N/A 34-81543 https://www.sec.gov/litigation/admin/2017/33-10411.pdf 33-10411 3-18159 2017-09-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order State Street Global Markets, LLC State Street Global Advisors Funds Distributors, LLC State Street Bank and Trust Company N/A 34-81544 https://www.sec.gov/litigation/admin/2017/34-81544.pdf AAER-3893 3-18161 2017-09-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Grab, Waldemar N/A 34-81545 https://www.sec.gov/rules/sro/nscc-an/2017/34-81545.pdf SR-NSCC-2017-804 2017-09-07 Notice of Filing and No Objection to Advance Notice /to Expand the Application of the Family-Issued Securities Charge Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/82-FR-43054 82-FR-43054 34-81546 https://www.sec.gov/litigation/admin/2017/34-81546.pdf AAER-3894 3-13832 2017-09-07 Order Granting Application for Reinstatement to Appear and Practice before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed with the Commission Order Rabinovitz, Brian K. CPA N/A 34-81547 https://www.sec.gov/rules/sro/nyseamer/2017/34-81547.pdf SR-NYSEAMER-2017-11 2017-09-07 Notice / Immediate Effectiveness/to Amend its Price List Notice NYSE American LLC http://www.federalregister.gov/citation/82-FR-43059 82-FR-43059 34-81548 https://www.sec.gov/rules/sro/nyse/2017/34-81548.pdf SR-NYSE-2017-44 2017-09-07 Notice / Immediate Effectiveness/to Amend Its Rules to Make Technical and Conforming Updates, in Connection with the Merger of NYSE Arca Equities, Inc. with and into the Exchanges Affiliate NYSE Arca, Inc. and the Name Change of NYSE National, Inc. Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-43057 82-FR-43057 34-81549 https://www.sec.gov/rules/sro/nyseamer/2017/34-81549.pdf SR-NYSEAMER-2017-08 2017-09-07 Notice / Immediate Effectiveness/to Modify the NYSE American Options Fee Schedule Notice NYSE American LLC http://www.federalregister.gov/citation/82-FR-43064 82-FR-43064 34-81550 https://www.sec.gov/rules/sro/nscc/2017/34-81550.pdf SR-NSCC-2017-010 2017-09-07 Order/to Expand the Application of the Family-Issued Securities Charge Order National Securities Clearing Corporation http://www.federalregister.gov/citation/82-FR-43061 82-FR-43061 34-81551 https://www.sec.gov/litigation/admin/2017/34-81551.pdf 3-18162 2017-09-07 Order Instituting Administrative Proceedings and Notice of Hearing Order Century Acquisition Corp. Eastern Acquisition Corp. N/A 34-81552 https://www.sec.gov/litigation/admin/2017/34-81552.pdf 3-18007 2017-09-07 Order Making Findings and Revoking Registration Order Preferred Restaurant Brands, inc. N/A 34-81553 https://www.sec.gov/litigation/admin/2017/34-81553.pdf 3-17865 2017-09-07 Notice that Initial Decision Has Become Final Notice Blink Technologies, Inc. (f/k/a Epunk, Inc.) N/A 34-81554 https://www.sec.gov/rules/sro/dtc/2017/34-81554.pdf SR-DTC-2017-017 2017-09-08 Notice / Immediate Effectiveness/to Add a Discount to the Pricing Schedule for Special Requests for Security Position Reports Relating to Municipal Security Issues Notice Depository Trust Company http://www.federalregister.gov/citation/82-FR-43274 82-FR-43274 34-81555 https://www.sec.gov/rules/sro/ise/2017/34-81555.pdf SR-ISE-2017-80 2017-09-08 Notice / Immediate Effectiveness/to Delay Implementation of SR-ISE-2017-32 Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/82-FR-43261 82-FR-43261 34-81556 https://www.sec.gov/rules/sro/nasdaq/2017/34-81556.pdf SR-NASDAQ-2017-061 2017-09-08 Notice / Order Accelerating /to Amend Rules 4702 and 4754 Relating to the Nasdaq Closing Cross and to Make Other Related Changes Notice/Order NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-43264 82-FR-43264 34-81557 https://www.sec.gov/litigation/admin/2017/34-81557.pdf IA-4763 3-18163 2017-09-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Lundy aka Barkley J.W. Lundy, Mike N/A 34-81558 https://www.sec.gov/rules/sro/batsbzx/2017/34-81558.pdf SR-BATSBZX-2017-46 2017-09-08 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions, Under Exchange Rule 14.11(c) Notice Bats BZX Exchange, Inc http://www.federalregister.gov/citation/82-FR-43278 82-FR-43278 34-81559 https://www.sec.gov/litigation/admin/2017/34-81559.pdf AAER-3895 3-12818 2017-09-08 Reinstatement Order Holtzhauser, John CPA N/A 34-81560 https://www.sec.gov/litigation/opinions/2017/34-81560.pdf 3-18138 2017-09-08 Order Scheduling Briefs Order Taboada, Paul E. N/A 34-81561 https://www.sec.gov/litigation/opinions/2017/34-81561.pdf 3-17560 2017-09-08 Order Scheduling Briefs Order Springfield-Abbott, Kimberly N/A 34-81562 https://www.sec.gov/litigation/opinions/2017/34-81562.pdf 3-18143 2017-09-08 Order Scheduling Briefs Order Escobio, Robert J. N/A 34-81563 https://www.sec.gov/litigation/admin/2017/34-81563.pdf 3-17935 2017-09-08 Notice that Initial Decision Has Become Final Notice Olie, Inc. (n/k/a Syndicate Business Development Corp.) StarGate Entertainment, Inc. Three Sigma Ventures, Inc. N/A AP-5016 https://www.sec.gov/alj/aljorders/2017/ap-5016.pdf 3-16554 2017-09-05 Order Regarding Motion to Modify Subpoena Order Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-5017 https://www.sec.gov/alj/aljorders/2017/ap-5017.pdf 3-17352 2017-09-05 Order Regarding Personally Identifiable Information Order Saving2Retire, LLC Young, Marian P. N/A AP-5018 https://www.sec.gov/alj/aljorders/2017/ap-5018.pdf 3-18148 2017-09-05 Order Scheduling Hearing and Designating Presiding Judge Order BioPharma Manufacturing Solutions Inc. CLTC Ventures Corporation (n/k/a Dreamfly Productions Corporation) Crane Global Energy Company DCA Asset Management, Inc. N/A AP-5019 https://www.sec.gov/alj/aljorders/2017/ap-5019.pdf 3-16554 2017-09-05 Order Quashing Subpoena and Providing for Second Hearing Location Order Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-5020 https://www.sec.gov/alj/aljorders/2017/ap-5020.pdf 3-18127 2017-09-05 Order Postponing Hearing and Scheduling Prehearing Conference Order Shkreli, Martin N/A AP-5021 https://www.sec.gov/alj/aljorders/2017/ap-5021.pdf 3-18106 2017-09-06 Order Postponing Hearing, Scheduling Prehearing Conference, and to Show Cause Order China Du Kang Co., Ltd. N/A AP-5022 https://www.sec.gov/alj/aljorders/2017/ap-5022.pdf 3-18149 2017-09-06 Order Scheduling Hearing and Designating Presiding Judge Order Mackenzie Taylor Minerals, Inc. Raptor Resources Holdings, Inc. Shoshone Silver Gold Mining Co. VR Holdings, Inc. N/A AP-5023 https://www.sec.gov/alj/aljorders/2017/ap-5023.pdf 3-18129 2017-09-06 Postponement Order Order BERGER , BRIAN MICHAEL N/A AP-5024 https://www.sec.gov/alj/aljorders/2017/ap-5024.pdf 3-17950 2017-09-06 Order Following Prehearing Conference Order Pruitt, David CPA N/A AP-5025 https://www.sec.gov/alj/aljorders/2017/ap-5025.pdf 3-16554 2017-09-06 Order Scheduling Prehearing Conference Order Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-5026 https://www.sec.gov/alj/aljorders/2017/ap-5026.pdf 3-18146 2017-09-07 Order Scheduling Hearing and Designating Presiding Judge Order Accelerated Aquisition XVII, Inc. (a/k/a Accelerated Acquisition, XVII, Inc.) Ambassadors International, Inc., L & L Energy, Inc. Lihua International, Inc. N/A AP-5027 https://www.sec.gov/alj/aljorders/2017/ap-5027.pdf 3-18151 2017-09-07 Order Scheduling Hearing and Designating Presiding Judge Order Bohai Pharmaceuticals Group Inc. N/A AP-5028 https://www.sec.gov/alj/aljorders/2017/ap-5028.pdf 3-18099 2017-09-07 Scheduling Order Order Black Diamond Asset Management LLC Wilson, Robert N/A AP-5029 https://www.sec.gov/alj/aljorders/2017/ap-5029.pdf 3-16554 2017-09-07 Order Granting Respondents Motion to Supplement Exhibit List and Revising the Hearing Schedule Order Gray Financial Group, Inc. Gray, Laurence O. N/A AP-5030 https://www.sec.gov/alj/aljorders/2017/ap-5030.pdf 3-18153 2017-09-08 Order Scheduling Hearing and Designating Presiding Judge Order GeoGlobal Resources, Inc. USA Synthetic Fuel Corp. N/A AP-5031 https://www.sec.gov/alj/aljorders/2017/ap-5031.pdf 3-18157 2017-09-08 Order Scheduling Hearing and Designating Presiding Judge Order Tintic Gold Mining Company N/A AP-5032 https://www.sec.gov/alj/aljorders/2017/ap-5032.pdf 3-18152 2017-09-08 Order Scheduling Hearing and Designating Presiding Judge Order China Precision Steel, Inc. Golden River Resources Corp. N/A AP-5033 https://www.sec.gov/alj/aljorders/2017/ap-5033.pdf 3-18155 2017-09-08 Order Scheduling Hearing and Designating Presiding Judge Order Hall Tees, Inc. Hosokawa Micron International, Inc. James River Coal Company Napa Sonoma Group, Inc. (f/k/a Andes 1, Inc.) Self Change Corporation N/A AP-5034 https://www.sec.gov/alj/aljorders/2017/ap-5034.pdf 3-18156 2017-09-08 Order Scheduling Hearing and Designating Presiding Judge Order American-Swiss Capital, Inc. Aquilarts, Inc. Avalon Holding Group, Inc. Broadstreet Power, Inc. (f/k/a Summer Valley Acquisition Corp.) N/A AP-5035 https://www.sec.gov/alj/aljorders/2017/ap-5035.pdf 3-18014 2017-09-08 Order Regarding Service on Legend International Holdings, Inc. Other Evolucia, Inc. Legend International Holdings, Inc. OSL Holdings, Inc. N/A AP-5036 https://www.sec.gov/alj/aljorders/2017/ap-5036.pdf 3-17902 2017-09-08 Order Adopting Prehearing Schedule Other Lynch, John T. Jr. N/A AP-5037 https://www.sec.gov/alj/aljorders/2017/ap-5037.pdf 3-17699 2017-09-08 Order Regarding Respondents Letter Other Neman, Shervin Neman Financial, Inc. N/A AP-5038 https://www.sec.gov/alj/aljorders/2017/ap-5038.pdf 3-17828 2017-09-08 Order Order Herman, Rosalind N/A IA-4762 https://www.sec.gov/litigation/admin/2017/34-81534.pdf 34-81534 3-18154 2017-09-06 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Scudder, Steven C. Esq. N/A IA-4763 https://www.sec.gov/litigation/admin/2017/34-81557.pdf 34-81557 3-18163 2017-09-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Lundy aka Barkley J.W. Lundy, Mike N/A IA-4764 https://www.sec.gov/litigation/admin/2017/ia-4764.pdf 3-18164 2017-09-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Envoy Advisory, Inc. 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Misoluki, LLC Ticket Jones, LLC Tier One Tickets, LLC N/A LR-23930 https://www.sec.gov/litigation/litreleases/2017/lr23930.htm 17-CV-06813 2017-09-06 Lit Release Newsholme, Scott N/A LR-23931 https://www.sec.gov/litigation/litreleases/2017/lr23931.htm 17-CV-01344 2017-09-07 Lit Release Kennedy, Brett Rezakhani, Maziar Sadeghi, Sam N/A LR-23932 https://www.sec.gov/litigation/litreleases/2017/lr23932.htm 16-CV-10670 2017-09-08 Lit Release Raffa, Robert N/A AAER-3892 https://www.sec.gov/litigation/admin/2017/34-81542.pdf 34-81542 3-18160 2017-09-07 Order Making Findings, and Imposing Remedial Sanctions Order Beamish, Adrian D. CPA N/A AAER-3893 https://www.sec.gov/litigation/admin/2017/34-81544.pdf 34-81544 3-18161 2017-09-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Grab, Waldemar N/A AAER-3894 https://www.sec.gov/litigation/admin/2017/34-81546.pdf 34-81546 3-13832 2017-09-07 Order Granting Application for Reinstatement to Appear and Practice before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed with the Commission Order Rabinovitz, Brian K. CPA N/A AAER-3895 https://www.sec.gov/litigation/admin/2017/34-81559.pdf 34-81559 3-12818 2017-09-08 Reinstatement Order Holtzhauser, John CPA N/A