SEC Files Subpoena Enforcement Action against Edward M. Daspin for Failure to Testify in Offering Fraud Investigation
On November 14, 2013, the Securities and Exchange Commission (Commission) filed a subpoena enforcement action against Edward Michael Daspin, also known as "Edward Michael" and "Ed Michael" (Daspin). The action, filed in the U.S. District Court for the Southern District of New York, seeks a court order directing Daspin to comply with an investigative subpoena calling for his testimony in an ongoing investigation into, among other possible violations of the securities laws, potential fraud in the offer and sale of securities of three related companies, Worldwide Mixed Martial Arts Sports, Inc., WMMA Distribution, Inc. and WMMA Holdings, Inc.
The SEC is seeking a court order directing Daspin to appear for testimony on a date acceptable to the Commission. A hearing on the Commission's application has been scheduled for November 27th. The Commission notes that it is continuing to conduct a fact-finding inquiry and has not concluded that anyone has broken the law. [S.E.C. v. Edward M. Daspin, a/k/a "Edward Michael," a/k/a "Ed Michael," 13 Misc. 00389 (S.D.N.Y. November 14, 2013)] (LR-22871)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by Chicago Stock Exchange, Inc. (SR-CHX-2013-19) to correct certain rule taxonomy issues and postpone until December 2, 2013 the operative date of an approved proposed rule change has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 18, 2013. (Rel. 34-70894)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-4 UMPQUA HOLDINGS CORP, ONE SW COLUMBIA STREET, SUITE 1200, PORTLAND, OR,
S-8 SYSCO CORP, 1390 ENCLAVE PKWY, HOUSTON, TX, 77077, 281-584-1390 -
S-8 Synthetic Biologics, Inc., 155 GIBBS STREET, SUITE 412, ROCKVILLE, MD,
S-3 GENTIVA HEALTH SERVICES INC, 3350 RIVERWOOD PARKWAY, SUITE 1400,
S-1 UniTek Global Services, Inc., 1777 SENTRY PARKWAY WEST,
S-8 JGWPT Holdings Inc., 201 KING OF PRUSSIA ROAD, SUITE 501, RADNOR, PA,
S-1 CYTODYN INC, 1111 MAIN STREET, SUITE 660, VANCOUVER, WA, 98660,
S-1 Semler Scientific, Inc., 2330 N.W. EVERETT STREET, PORTLAND, OR, 97210,
S-3ASR Ascent Capital Group, Inc., 12300 LIBERTY BOULEVARD, ENGELWOOD, CO,
S-1 Retrophin, Inc., 777 THIRD AVENUE 22ND FLOOR, NEW YORK, NY, 10017,
S-1 COMMITTED CAPITAL ACQUISITION Corp, 411 W. 14TH STREET, 2ND FLOOR,
S-3ASR METLIFE INC, 1095 AVENUE OF AMERICAS, NEW YORK, NY, 10036,
S-3 Bancorp, Inc., 302-385-5000 - 100,000,000 ($100,000,000.00) Equity,
S-8 InvenSense Inc, 1745 TECHNOLOGY DRIVE, SAN JOSE, CA, 95110,
S-3ASR UNITED PARCEL SERVICE INC, 55 GLENLAKE PARKWAY NE, ATLANTA, GA, 30328,
N-2 CM Finance Inc, 399 PARK AVENUE, 39TH FLOOR, NEW YORK, NY, 10022,
N-2 Guggenheim Floating Rate & Income Fund, 2455 CORPORATE WEST DRIVE,
S-1 Adamis Pharmaceuticals Corp, 11455 EL CAMINO REAL, SUITE 310,
S-4 Sabine Pass Liquefaction, LLC, 700 MILAM ST., SUITE 800, HOUSTON, TX,
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
Form 8-K filings can be researched through several SEC EDGAR searches, some of which have item filtering functionality.