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 and Notice of Hearing

2015-06-11 3-16358 Spectrum Concepts, LLC Worswick, Donald James Grosso, Michael Nicholas Brown, Michael Patrick /litigation/apdocuments/ap-3-16358.xml 2015-01-23 33-9709 34-74123 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 and Notice of Hearing /litigation/admin/2015/33-9709.pdf 2015-01-27 AP-2261 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-2261.pdf 2015-02-06 AP-2291 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2015/ap-2291.pdf 2015-02-10 Division's Status Report On Service of Process On Respondent Brown /litigation/apdocuments/3-16358-event-6.pdf 2015-02-20 AP-2329 Order Rescheduling Prehearing Conference /alj/aljorders/2015/ap-2329.pdf 2015-02-18 Respondents Spectrum Concepts, LLC and Donald Worswick's Answer and Affirmative Defenses and Motion for More Definite Statement /litigation/apdocuments/3-16358-event-7.pdf 2015-02-18 Respondents Spectrum Concepts, LLC and Donald Worswick's Motion to Cancel Hearing and to Reschedule Prehearing Conference /litigation/apdocuments/3-16358-event-8.pdf 2015-02-19 Division's Third Status Report On Service of Process On Respondent Brown and Grosso /litigation/apdocuments/3-16358-event-10.pdf 2015-02-20 Division's Response in Opposition to Respondents Spectrum Concepts, LLC and Donald Worswick's Motion for More Definite Statement /litigation/apdocuments/3-16358-event-12.pdf 2015-01-23 34-74123 33-9709 Order Instituting Cease-and-Desist Proceedings and Notice of Hearing /litigation/admin/2015/34-74123.pdf 2015-03-02 AP-2370 Order On Motion /alj/aljorders/2015/ap-2370.pdf 2015-02-25 Division's Fourth Status Report On Service of Process On Respondent Grosso /litigation/apdocuments/3-16358-event-14.pdf 2015-02-26 Respondents Spectrum Concepts, LLC and Worswick's Reply to Division's Response in Opposition to Motion for More Definite Statement /litigation/apdocuments/3-16358-event-15.pdf 2015-03-06 AP-2385 Order Following Prehearing Conference /alj/aljorders/2015/ap-2385.pdf 2015-03-12 AP-2417 Notice to Parties /alj/aljorders/2015/ap-2417.pdf 2015-04-07 ID-770 Initial Decision on Default as to Michael Nicholas Grosso and Michael Patrick Brown and Stay as to Spectrum Concepts,LLC, and Donald James Worswick /alj/aljdec/2015/id770bpm.pdf 2015-03-10 Letter, Undated to OS from Respondent Grosso Requesting the SEC Dismiss Its Action Against Him /litigation/apdocuments/3-16358-event-18.pdf 2015-03-17 Division's Motion to Deem Respondent Grosso in Default /litigation/apdocuments/3-16358-event-22.pdf 2015-03-17 Division's Motion to Deem Respondent Brown in Default /litigation/apdocuments/3-16358-event-23.pdf 2015-04-09 Letter of 4/2/15 to CALJ Murray from Respondent Grosso Stating He Answered the Court /litigation/apdocuments/3-16358-event-26.pdf 2015-05-20 33-9777 34-75006 Notice That Initial Decision Has Become Final /alj/aljdec/2015/33-9777.pdf 2015-06-11 33-9806 34-75144 Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 8A of the Securities Act of 1933 and 21C of the Securities Exchange Act of 1934 Against Respondents Spectrum and Worswick /litigation/admin/2015/33-9806.pdf