Enforcement

SEC Announces Charges Against Four Former Officials at Clearing Firm Penson Financial Services for Regulation SHO Violations
SEC Charges Two Clinical Drug Trial Doctors With Insider Trading
34-72183
LR-22996
AP-1442
34-72188
34-72187
34-72186
34-72185
Judgment
Judgment
Transfer Enterprises, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190772
Order Determining Whistleblower Award Claim
List Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190759
EDGARizing Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190755
Borderless Holdings, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190773
Transfer Enterprises, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190772
Order Determining Whistleblower Award Claim
List Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190759
EDGARizing Solutions, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190755
Borderless Holdings, Inc. (Order Denying Withdrawal of Registration Statement Under the Securities Act of 1933) Registration No.: 333-190773
SEC Warns Investors About Marijuana-Related Investments Amid Recent Trading Suspensions
34-72179
34-72182
34-72177
34-72176
LR-22995
LR-22994
AP-1440
AP-1439
AP-1441
34-72175
34-72181
598
Copley Fund, Inc.
Copley Fund, Inc.; Notice of Application
Copley Fund, Inc.; Notice of Application
Copley Fund, Inc.; Notice of Application
SEC Charges Unregistered Securities Salesman for Selling Millions of Dollars in Oil-and-Gas Investments
TelexFree Press Release (Spanish)
SEC Charges Rafferty Capital Markets With Illegally Facilitating Trades for Unregistered Firm
TelexFree Complaint (Spanish)
TelexFree Complaint (Portuguese)
33-9584
34-72165
LR-22993
AP-1438
AP-1437
AP-1436
34-72168
34-72167
34-72166
34-72171
Judgment
TelexFree Press Release and Complaint (Spanish version)
TelexFree complaint (Portuguese)
TelexFree press release (Portuguese)
34-72162
AP-1435
AP-1434
Partners Group Private Equity (Master Fund, LLC and Partners Group (USA) Inc.
Matthews A Share Selections Fund, LLC, et al.
Vanguard Admiral Funds, et al.
Elkhorn Securities, LLC and Elkhorn Unit Trust
UBS AG, et al.
Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc.; Notice of Application
TelexFree Press Release and Complaint (Portuguese version)
LR-22990
LR-22991
LR-22992
AP-1433
AP-1432
AP-1431
AP-1430
34-72155
SEC Charges Three Sales Managers With Insider Trading Ahead of Major Acquisition
Statement on Jury’s Verdict in Case Against the Wylys:
Three Software Company Founders to Pay $5.8 Million to Settle Charges of Insider Trading Ahead of Sale
LR-22989
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
Judgment
597
34-72134
34-72140
LR-22988
AP-1429
AP-1428
AP-1427
AP-1426
34-72145
34-72144
34-72146
IA-3834
596
33-9583

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Enforcement