Administrative Proceedings

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.

The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions

First Quarter

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Release No. Date Respondents

First Quarter

IA-4620 Jan. 19, 2017 Bob Brakeman Enterprises, LLC and Robert D. Brakeman
Other Release No.: IC-32429
34-79850 Jan. 19, 2017 VCAP Securities, LLC and Brett Thomas Graham
34-79848 Jan. 19, 2017 Susan M. Diamond
Other Release Nos.: IA-4619, IC-32428
See also: Administrative Summary
34-79847 Jan. 19, 2017 Andrew Scott Jensen
34-79844 Jan. 19, 2017 HomeStreet, Inc. and Darrell Van Amen
Other Release No.: AAER-3852
33-10285 Jan. 18, 2017 Mer Telemanagement Solutions Ltd.
Other Release No.: 34-79827
See also: Administrative Summary
33-10284 Jan. 18, 2017 Eytan Bar
Other Release No.: 34-79826
See also: Administrative Summary
34-79828 Jan. 18, 2017 Orthofix International N.V.
Other Release No.: AAER-3851
34-79825 Jan. 18, 2017 General Motors Company
Other Release Nos.: AAER-3850
34-79820 Jan. 18, 2017 Kenneth Mack and Bryan McMillan
Other Release No.: AAER-3848
34-79819 Jan. 18, 2017 Brian McCollum
Other Release No.: AAER-3847
33-10283 Jan. 18, 2017 MDC Partners Inc.
Other Release Nos.: 34-79823, AAER-3849
33-10282 Jan. 18, 2017 Jeffrey Hammel, CPA
Other Release Nos.: 34-79817, AAER-3846
33-10281 Jan. 18, 2017 Orthofix International N.V.
Other Release Nos.: 34-79815, AAER-3845
34-79824 Jan. 18, 2017 Charles A. Bennett
34-79814 Jan. 17, 2017 Allergan, Inc.
34-79813 Jan. 17, 2017 Abraham M. Fisch, Esq.
34-79804 Jan. 17, 2017 BlackRock, Inc.
IA-4618 Jan. 17, 2017 Gregory W. Gray, Jr.
IA-4617 Jan. 17, 2017 Adams Capital Management, Inc.
IA-4616 Jan. 17, 2017 Aisling Capital LLC
IA-4615 Jan. 17, 2017 Commonwealth Venture Management Corp.
IA-4614 Jan. 17, 2017 Alta Communications, Inc.
IA-4613 Jan. 17, 2017 Cypress Advisors, Inc.
IA-4612 Jan. 17, 2017 NGN Capital LLC
IA-4611 Jan. 17, 2017 Lime Rock Management LP
IA-4610 Jan. 17, 2017 FFL Partners, LLC
IA-4609 Jan. 17, 2017 The Banc Funds Company, L.L.C.
IA-4608 Jan. 17, 2017 Pershing Square Capital Management, L.P.
34-79803 Jan. 13, 2017 Haidar Capital Management, LLC, Haidar Capital Advisors, LLC and Said N. Haidar
34-79799 Jan. 13, 2017 Gregg R. Mulholland
34-79795 Jan. 13, 2017 Sociedad Quimica Y Minera De Chile and S.A.
34-79794 Jan. 13, 2017 Morgan Stanley Smith Barney, LLC
Other Release No.: IA-4607
33-10280 Jan. 13, 2017 Citadel Securities LLC
Other Release No.: 34-79790
34-79789 Jan. 13, 2017 Q Lotus Holdings, Inc. and Spare Backup, Inc.
34-79788 Jan. 13, 2017 AIC International Resources Corp. and Stellar Metals, Inc.
34-79787 Jan. 13, 2017 Cantab Pharmaceuticals PLC, et al.
34-79786 Jan. 13, 2017 Sierra Resource Group, Inc.
34-79785 Jan. 13, 2017 Global Earth Energy, Inc.
34-79777 Jan. 12, 2017 The Bank of New York Mellon Corporation
34-79780 Jan. 12, 2017 Biomet, Inc.
Other Release No.: AAER-3843
33-10279 Jan. 12, 2017 ITG Inc.
Other Release No.: 34-79776
34-79772 Jan. 11, 2017 L3 Technologies, Inc.
IA-4604 Jan. 10, 2017 Centre Partners Management, LLC
See also: Administrative Summary
33-10278 Jan. 10, 2017 The Port Authority of New York, New Jersey
34-79765 Jan. 10, 2017 Larry Lee Crawford, CPA
Other Release No.: AAER-3842
34-79757 Jan. 9, 2017 Essex Financial Services, Inc.
Other Release No.: IA-4603
34-79756 Jan. 9, 2017 Peter Hershman, Esq.
Other Release Nos.: IA-4602, IC-32417
34-79755 Jan. 9, 2017 John W. Rafal
Other Release Nos.: IA-4601, IC-32416
34-79754 Jan. 6, 2017 UBS Financial Services Inc. of Puerto Rico
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-79753 Jan. 6, 2017 Cadbury Limited and Mondelēz International, Inc.
Other Release No.: AAER-3841
See also: Administrative Summary
34-79727 Jan. 4, 2017 Capital Preferred Yield Fund-III, LP, Clearly Canadian Beverage Corp. and Diversinet Corp.
34-79723 Jan. 3, 2017 Elliot R. Berman, CPA and Berman & Company, P.A.
See also: Administrative Summary