http://www.sec.gov/litigation/admin.shtml The latest administrative proceedings from the Securities and Exchange Commission. Thu, 14 Jan 2021 00:00:01 GMT Thu, 14 Jan 2021 09:44:29 EST https://www.sec.gov/litigation/admin/2021/34-90921.pdf Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions 34-90921 3-20203 Thu, 14 Jan 2021 09:44:29 EST https://www.sec.gov/litigation/admin/2021/34-90920.pdf Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions 34-90920 3-20202 Thu, 14 Jan 2021 09:44:29 EST https://www.sec.gov/litigation/admin/2021/34-90902.pdf Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions 34-90902 3-20201 Mon, 11 Jan 2021 17:37:23 EST https://www.sec.gov/litigation/admin/2021/34-90898.pdf Order Approving Plan of Distribution 34-90898 3-19704 Mon, 11 Jan 2021 16:53:26 EST https://www.sec.gov/litigation/admin/2021/34-90875.pdf Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order 34-90875 3-20200 Fri, 08 Jan 2021 13:00:52 EST https://www.sec.gov/litigation/admin/2021/ia-5663.pdf Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing IA-5663 3-20198 Wed, 06 Jan 2021 17:44:49 EST https://www.sec.gov/litigation/admin/2021/34-90848.pdf Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions 34-90848 3-20197 Tue, 05 Jan 2021 11:07:35 EST https://www.sec.gov/litigation/admin/2021/34-90846.pdf Notice That Initial Decision Has Become Final 34-90846 3-18061 Wed, 06 Jan 2021 10:53:23 EST https://www.sec.gov/litigation/admin/2021/34-90842.pdf Notice That Initial Decision Has Become Final 34-90842 3-18414 Wed, 06 Jan 2021 11:51:14 EST https://www.sec.gov/litigation/admin/2021/34-90840.pdf Notice That Initial Decision Has Become Final 34-90840 3-18017 Tue, 05 Jan 2021 09:30 EST https://www.sec.gov/litigation/admin/2021/34-90845.pdf Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions 34-90845 3-20196 Mon, 04 Jan 2021 16:39:23 EST https://www.sec.gov/litigation/admin/2021/34-90844.pdf Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions 34-90844 3-20195 Mon, 04 Jan 2021 16:48:01 EST https://www.sec.gov/litigation/admin/2021/34-90843.pdf Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions 34-90843 3-20194 Mon, 04 Jan 2021 16:39:23 EST https://www.sec.gov/litigation/admin/2020/34-90836.pdf in the Matter Of Signator Investors, Inc. and Gregory J. Mitchell 34-90836 3-16753 Thu, 31 Dec 2020 11:53:42 EST https://www.sec.gov/litigation/admin/2020/34-90828.pdf Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 17A and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order 34-90828 3-20193 Wed, 30 Dec 2020 14:23:26 EST https://www.sec.gov/litigation/admin/2020/33-10914.pdf Order Instituting Cease-And- Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Penalties and a Cease-and-Desist Order 33-10914 3-20188 Wed, 23 Dec 2020 14:00:00 EST https://www.sec.gov/litigation/admin/2020/34-90790.pdf Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 34-90790 3-20190 Wed, 23 Dec 2020 10:52:18 EST https://www.sec.gov/litigation/admin/2020/34-90789.pdf Order Instituting Administrative Proceedings Pursuant to Rule Lantson E. Eldred, Esq., Practice, Making Findings, and Imposing Remedial Sanctions 34-90789 3-20189 Wed, 23 Dec 2020 10:52:18 EST https://www.sec.gov/litigation/admin/2020/34-90783.pdf Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b), 15B(c) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 34-90783 3-20187 Tue, 22 Dec 2020 17:28:57 EST https://www.sec.gov/litigation/admin/2020/34-90784.pdf Order Appointing Fund Administrator and Setting Bond Amount 34-90784 3-19927 Tue, 22 Dec 2020 15:52:32 EST https://www.sec.gov/litigation/admin/2020/33-10912.pdf Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 33-10912 3-20186 Tue, 22 Dec 2020 12:29:58 EST https://www.sec.gov/litigation/admin/2020/34-90745.pdf Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 34-90745 3-20183 Mon, 21 Dec 2020 17:17:08 EST https://www.sec.gov/litigation/admin/2020/34-90741.pdf Order Instituting Cease-And- Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 34-90741 3-20182 Mon, 21 Dec 2020 17:14:12 EST https://www.sec.gov/litigation/admin/2020/34-90740.pdf Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 34-90740 3-20181 Mon, 21 Dec 2020 17:10:44 EST https://www.sec.gov/litigation/admin/2020/33-10909.pdf Order Instituting Cease-And- Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Penalties and a Cease-and-Desist Order 33-10909 3-20185 Mon, 21 Dec 2020 17:08:46 EST https://www.sec.gov/litigation/admin/2020/34-90751.pdf Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Section 15(b)(6) of the Securities Exchange Act of 1934 and Notice of Hearing 34-90751 3-20184 Mon, 21 Dec 2020 16:28:16 EST https://www.sec.gov/litigation/admin/2020/33-10908.pdf Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order 33-10908 3-20177 Mon, 21 Dec 2020 08:30:11 EST https://www.sec.gov/litigation/admin/2020/34-90727.pdf Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 34-90727 3-20177 Fri, 18 Dec 2020 17:00:35 EST https://www.sec.gov/litigation/admin/2020/34-90725.pdf Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions 34-90725 3-20179 Fri, 18 Dec 2020 17:00:05 EST https://www.sec.gov/litigation/admin/2020/34-90724.pdf Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions 34-90724 3-20178 Fri, 18 Dec 2020 17:00:05 EST https://www.sec.gov/litigation/admin/2020/34-90716.pdf Order Instituting Cease-And- Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease- And-Desist Order 34-90716 3-20176 Thu, 17 Dec 2020 17:48:16 EST https://www.sec.gov/litigation/admin/2020/33-10907.pdf Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order 33-10907 3-20175 Thu, 17 Dec 2020 17:48:16 EST https://www.sec.gov/litigation/admin/2020/34-90715.pdf Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions 34-90715 3-20174 Thu, 17 Dec 2020 16:46:44 EST https://www.sec.gov/litigation/admin/2020/34-90700.pdf Order Appointing Tax Administrator 34-90700 3-20003 Thu, 17 Dec 2020 14:09:36 EST https://www.sec.gov/litigation/admin/2020/34-90699.pdf Order Instituting Public Administrative and Cease- And-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 34-90699 3-20173 Thu, 17 Dec 2020 14:09:36 EST https://www.sec.gov/litigation/admin/2020/34-90696.pdf Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions 34-90696 3-20172 Thu, 17 Dec 2020 14:09:36 EST https://www.sec.gov/litigation/admin/2020/34-90692.pdf Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Santa Fe Gold Corporation 34-90692 3-19841 Thu, 17 Dec 2020 09:30:00 EST https://www.sec.gov/litigation/admin/2020/33-10906.pdf Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 33-10906 3-20171 Thu, 17 Dec 2020 08:45:00 EST https://www.sec.gov/litigation/admin/2020/34-90681.pdf Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order 34-90681 3-20170 Wed, 16 Dec 2020 16:18:19 EST https://www.sec.gov/litigation/admin/2020/33-10903.pdf Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 33-10903 3-20169 Mon, 14 Dec 2020 16:55:49 EST https://www.sec.gov/litigation/admin/2020/ia-5647.pdf Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing IA-5647 3-20168 Mon, 14 Dec 2020 16:48:20 EST https://www.sec.gov/litigation/admin/2020/34-90630.pdf Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order 34-90630 3-20167 Thu, 10 Dec 2020 16:57:36 EST https://www.sec.gov/litigation/admin/2020/34-90628.pdf Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 34-90628 3-20166 Thu, 10 Dec 2020 15:35:32 EST https://www.sec.gov/litigation/admin/2020/34-90625.pdf Order Approving Plan of Distribution 34-90625 3-19597 Thu, 10 Dec 2020 13:25:06 EST https://www.sec.gov/litigation/admin/2020/33-10899.pdf Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 33-10899 3-20165 Wed, 09 Dec 2020 16:42:39 EST https://www.sec.gov/litigation/admin/2020/ia-5643.pdf Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order IA-5643 3-20164 Wed, 09 Dec 2020 08:53:48 EST https://www.sec.gov/litigation/admin/2020/33-10897.pdf Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order 33-10897 3-20163 Tue, 08 Dec 2020 16:56:16 EST https://www.sec.gov/litigation/admin/2020/33-10896.pdf Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 33-10896 3-20162 Tue, 08 Dec 2020 08:45:00 EST https://www.sec.gov/litigation/admin/2020/34-90585.pdf Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 34-90585 3-20161 Mon, 07 Dec 2020 16:56:57 EST https://www.sec.gov/litigation/admin/2020/34-90576.pdf Extension Order 34-90576 3-20092 Mon, 07 Dec 2020 12:18:33 EST https://www.sec.gov/litigation/admin/2020/34-90566.pdf Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing 34-90566 3-20159 Fri, 04 Dec 2020 10:51:37 EST