SEC Administrative Proceedings

Coral Capital Partners provides to the visitors of our website a variety of news feeds on topics of interest in the finance and securities industry.  This page is dedicated to providing information on Administrative Proceedings taken by the Securities Exchange Commission (SEC).

Order Directing Disbursement of a Fair Fund
Posted: December 14, 2017, 9:22 pm
Order Appointing Tax Administrator
Posted: December 14, 2017, 7:15 pm
Order Appointing Tax Administrator
Posted: December 14, 2017, 7:15 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: December 13, 2017, 9:05 pm
Order Instituting Administrative Proceedings Pursuant to Rule William J. Peiffer, Esq., Practice, Making Findings, and Imposing Remedial Sanctions
Posted: December 12, 2017, 5:30 pm
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 1...
Posted: December 12, 2017, 5:30 pm
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
Posted: December 12, 2017, 5:30 pm
Order Instituting Administrative Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposi...
Posted: December 11, 2017, 8:07 pm
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
Posted: December 11, 2017, 3:44 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: December 8, 2017, 4:42 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: December 8, 2017, 4:42 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, and Sectio...
Posted: December 8, 2017, 3:10 pm
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 1...
Posted: December 8, 2017, 3:10 pm
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...
Posted: December 8, 2017, 3:10 pm
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 and Civil Penalty
Posted: December 7, 2017, 9:56 pm
Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
Posted: December 7, 2017, 5:16 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Occidental Development Group, Inc.
Posted: December 6, 2017, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: December 5, 2017, 10:07 pm
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to Be Filed wit...
Posted: December 5, 2017, 8:57 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial San...
Posted: December 5, 2017, 7:50 pm
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 an...
Posted: December 5, 2017, 7:50 pm
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant
Posted: December 5, 2017, 7:14 pm
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...
Posted: December 4, 2017, 8:56 pm
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 Practi...
Posted: December 4, 2017, 8:56 pm
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 Practi...
Posted: December 4, 2017, 8:56 pm
Second Extension Order
Posted: December 1, 2017, 8:01 pm
Order Appointing Tax Administrator
Posted: December 1, 2017, 4:11 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: November 30, 2017, 6:51 pm
Order Appointing Tax Administrator
Posted: November 30, 2017, 6:35 pm
Order Appointing Tax Administrator
Posted: November 30, 2017, 6:35 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: November 30, 2017, 6:26 pm
Third Extension Order
Posted: November 30, 2017, 3:55 pm
Order Approving Plan of Distribution
Posted: November 30, 2017, 3:44 pm
Order Making Findings, and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: November 29, 2017, 10:04 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds in the Disgorgement Fund
Posted: November 27, 2017, 9:15 pm
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 Practi...
Posted: November 27, 2017, 5:16 pm
Order Making Findings and Imposing Remedial Sanctions and Cease and Desist Order
Posted: November 22, 2017, 6:34 pm
Order Modifiying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Secur...
Posted: November 22, 2017, 5:33 pm
Order Directing Disbursement of Fair Fund
Posted: November 20, 2017, 9:06 pm
Order Appointing Fund Administrator and Setting Administrator Bond Amount
Posted: November 20, 2017, 7:50 pm
Extension Order
Posted: November 20, 2017, 7:34 pm
Order Directing Disbursement of Fair Fund
Posted: November 20, 2017, 6:10 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: November 20, 2017, 6:10 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: November 20, 2017, 4:12 pm
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...
Posted: November 17, 2017, 6:39 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: November 17, 2017, 6:29 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 17, 2017, 2:30 pm
Order Approving Final Accounting and Authorizing Transfer of the Distribution Residual to the United States Treasury
Posted: November 16, 2017, 5:43 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Gold Hill Resources, Inc.
Posted: November 16, 2017, 2:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Experience Art and Design, Inc.
Posted: November 16, 2017, 2:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Power of the Dream Ventures Inc.
Posted: November 15, 2017, 2:30 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: November 14, 2017, 9:30 pm
Order Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, ...
Posted: November 14, 2017, 8:01 pm
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(b) of the Commission's Rules of Practice
Posted: November 14, 2017, 3:55 pm
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 C...
Posted: November 13, 2017, 4:10 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: November 9, 2017, 8:08 pm
Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
Posted: November 9, 2017, 8:08 pm
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rules 102(e)(3)(i)(a) and (b) of the Commission's Rules of Practice
Posted: November 8, 2017, 6:10 pm
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(b) of the Commission's Rules of Practice
Posted: November 8, 2017, 6:10 pm
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
Posted: November 8, 2017, 4:03 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to in Media Corporation
Posted: November 7, 2017, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Impo...
Posted: November 6, 2017, 8:03 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to American-Swiss Capital, Inc.
Posted: November 6, 2017, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: November 3, 2017, 6:03 pm
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 Imposin...
Posted: November 3, 2017, 5:57 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: November 2, 2017, 6:29 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future and Terminating the Disgorgement Fund
Posted: November 2, 2017, 5:41 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: November 2, 2017, 5:41 pm
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
Posted: October 31, 2017, 7:12 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: October 31, 2017, 2:48 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, and Section 203(e) of...
Posted: October 27, 2017, 7:55 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fi...
Posted: October 26, 2017, 8:50 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fi...
Posted: October 26, 2017, 8:44 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections ...
Posted: October 26, 2017, 8:23 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act ...
Posted: October 26, 2017, 8:23 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Inv...
Posted: October 26, 2017, 7:43 pm
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
Posted: October 26, 2017, 7:43 pm
Order Directing Disbursement
Posted: October 26, 2017, 4:28 pm
Order Appointing Tax Administrator
Posted: October 26, 2017, 4:28 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: October 26, 2017, 4:28 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 25, 2017, 1:30 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: October 23, 2017, 8:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: October 23, 2017, 3:02 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Zoom Companies, Inc.
Posted: October 20, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: October 19, 2017, 10:00 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: October 19, 2017, 9:14 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: October 19, 2017, 7:56 pm
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
Posted: October 19, 2017, 5:53 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: October 19, 2017, 5:00 pm
Order Establishing Fair Funds and Transferring Fair Funds to a Court-Appointed Monitor
Posted: October 19, 2017, 5:00 pm
Notice That Initial Decision Has Become Final
Posted: October 19, 2017, 1:38 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to New Colombia Resources, Inc.
Posted: October 19, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: October 17, 2017, 7:53 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to DCA Asset Management, Inc.
Posted: October 17, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: October 16, 2017, 7:30 pm
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
Posted: October 16, 2017, 6:01 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Impo...
Posted: October 16, 2017, 5:20 pm
Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Disgorgement Fund in the Future, Discharging the Fund Administrator, Canceling the Fund Administrator's Bond, and Te...
Posted: October 16, 2017, 2:39 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to United Mortgage Trust
Posted: October 16, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: October 13, 2017, 5:44 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Saleen Automotive, Inc.
Posted: October 13, 2017, 1:30 pm
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
Posted: October 12, 2017, 10:13 pm
Order Making Findings and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934
Posted: October 12, 2017, 6:15 pm
Order Directing Disbursement
Posted: October 12, 2017, 2:24 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Impo...
Posted: October 11, 2017, 5:50 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: October 11, 2017, 4:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Sungame Corporation (n/k/a Freevi Corp.)
Posted: October 11, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Horne International, Inc.
Posted: October 11, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: October 10, 2017, 5:19 pm
Notice That Initial Decision Has Become Final
Posted: October 6, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 6, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Legend International Holdings, Inc.
Posted: October 6, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 6, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Native American Energy Group, Inc.
Posted: October 6, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 6, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: October 5, 2017, 7:31 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: October 5, 2017, 7:31 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: October 4, 2017, 6:46 pm
Notice That Initial Decision Has Become Final
Posted: October 4, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 4, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 4, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 4, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Sunburst Acquisitions V, Inc.
Posted: October 4, 2017, 1:30 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: October 2, 2017, 4:58 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: October 2, 2017, 2:40 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(...
Posted: September 29, 2017, 5:18 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 29, 2017, 2:23 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 29, 2017, 2:23 pm
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 Imposin...
Posted: September 28, 2017, 8:38 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Posted: September 28, 2017, 7:59 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
Posted: September 28, 2017, 7:59 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 19...
Posted: September 28, 2017, 7:59 pm
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...
Posted: September 28, 2017, 7:22 pm
Order Instituting Administrative Proceedings Purusant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, Accepting Settlement, Implementing Settlement, and Staying Proceeding...
Posted: September 28, 2017, 7:19 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: September 28, 2017, 4:40 pm
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-an...
Posted: September 28, 2017, 3:19 pm
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
Posted: September 28, 2017, 1:32 pm
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 Imposi...
Posted: September 27, 2017, 8:01 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 27, 2017, 7:39 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: September 27, 2017, 7:39 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 27, 2017, 5:38 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 27, 2017, 3:36 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 27, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 27, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 27, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 26, 2017, 8:41 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 26, 2017, 8:00 pm
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 ...
Posted: September 26, 2017, 8:00 pm
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...
Posted: September 26, 2017, 7:51 pm
Order Instituting Administrative Proceedings Pursuant to Section 17A(c)(4)(c) of the Securities Exchange Act of 1934 Making Findings, and Imposing Remedial Sanctions
Posted: September 26, 2017, 7:51 pm
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...
Posted: September 26, 2017, 7:51 pm
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...
Posted: September 26, 2017, 7:51 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: September 26, 2017, 3:19 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 26, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 26, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 26, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 26, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: September 25, 2017, 8:51 pm
Order Directing Disbursement of the First Payment Default Practice Fair Fund
Posted: September 25, 2017, 6:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: September 25, 2017, 6:30 pm
Order Directing Disbursement of the Bulk Settlement Practice Fair Fund
Posted: September 25, 2017, 6:30 pm
Order Authorizing the Transfer to the U.S. Treasury of Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: September 25, 2017, 6:13 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 25, 2017, 5:10 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: September 25, 2017, 4:47 pm
Order Directing Disbursement of Fair Fund
Posted: September 25, 2017, 4:25 pm
Order Approving Plan of Distribution, Appointing a Distribution Plan Administrator, and Authorizing Transfer of Fair Fund Funds
Posted: September 25, 2017, 2:28 pm
Order Directing Fifth Disbursement of Fair Fund
Posted: September 25, 2017, 2:20 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 25, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 25, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 22, 2017, 7:02 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 22, 2017, 4:53 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanct...
Posted: September 22, 2017, 4:53 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 22, 2017, 4:53 pm
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 Practi...
Posted: September 21, 2017, 9:40 pm
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
Posted: September 21, 2017, 8:10 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
Posted: September 21, 2017, 7:18 pm
Order Appointing Fund Administrator and Setting Administrator Bond Amount
Posted: September 21, 2017, 7:18 pm
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
Posted: September 21, 2017, 3:48 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 21, 2017, 2:50 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: September 20, 2017, 6:52 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 20, 2017, 4:00 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 20, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to GEI Global Energy Corp.
Posted: September 20, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 20, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 19, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 19, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 18, 2017, 8:09 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 18, 2017, 5:32 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 15, 2017, 8:38 pm
Order Instituting Public 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 ...
Posted: September 15, 2017, 6:36 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(...
Posted: September 15, 2017, 6:22 pm
Corrected Order Appointing Tax Administrator
Posted: September 15, 2017, 5:30 pm
Corrected Order Appointing Tax Administrator
Posted: September 15, 2017, 5:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 15, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Hawker Energy, Inc.
Posted: September 15, 2017, 1:30 pm
Second Extension
Posted: September 14, 2017, 9:28 pm
Second Extension
Posted: September 14, 2017, 9:28 pm
Second Extension
Posted: September 14, 2017, 9:28 pm
Second Extension
Posted: September 14, 2017, 9:28 pm
Order Appointing Tax Administrator
Posted: September 14, 2017, 8:46 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 14, 2017, 8:46 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: September 14, 2017, 8:46 pm
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 1...
Posted: September 14, 2017, 3:18 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 14, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 14, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: September 13, 2017, 2:46 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 13, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 13, 2017, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act ...
Posted: September 12, 2017, 6:55 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940,...
Posted: September 12, 2017, 6:55 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 12, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 12, 2017, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanct...
Posted: September 11, 2017, 6:04 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: September 11, 2017, 5:48 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 11, 2017, 5:48 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 11, 2017, 5:48 pm
Order Directing Fourth Disbursement of Fair Fund
Posted: September 11, 2017, 4:51 pm
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
Posted: September 11, 2017, 2:42 pm
Notice That Initial Decision Has Become Final
Posted: September 11, 2017, 1:30 pm
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...
Posted: September 8, 2017, 8:33 pm
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to Be Filed wit...
Posted: September 8, 2017, 7:29 pm
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 Imposin...
Posted: September 8, 2017, 6:21 pm
Notice That Initial Decision Has Become Final
Posted: September 8, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Preferred Restaurant Brands, Inc.
Posted: September 8, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 7, 2017, 9:12 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: September 7, 2017, 6:39 pm
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to Be Filed wit...
Posted: September 7, 2017, 6:16 pm
Order 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
Posted: September 7, 2017, 5:18 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fi...
Posted: September 7, 2017, 3:00 pm
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
Posted: September 7, 2017, 3:00 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 7, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Rule 102(e)(2) of the Commission's Rules of Practice, Making Findings, and Imposin...
Posted: September 6, 2017, 8:57 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 6, 2017, 8:57 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 6, 2017, 8:57 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 6, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 6, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 6, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 6, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 5, 2017, 5:42 pm
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 Practi...
Posted: September 5, 2017, 5:42 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 5, 2017, 3:34 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934
Posted: September 1, 2017, 4:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Medbook World Inc.
Posted: September 1, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Aja Cannafacturing, Inc.
Posted: September 1, 2017, 1:30 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: August 31, 2017, 7:41 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: August 31, 2017, 7:41 pm
Notice That Initial Decision Has Become Final
Posted: August 31, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 31, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 29, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 29, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 25, 2017, 1:43 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15B(c) and 21C of the Securities Exchange Act of 1934, and Section 203(e) of the Investment Advisers Act of 19...
Posted: August 24, 2017, 5:02 pm
Order Establishing a Fair Fund
Posted: August 24, 2017, 2:36 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to T3 Holdings, Inc.
Posted: August 24, 2017, 1:30 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of th...
Posted: August 23, 2017, 8:56 pm
Order Making Findings and Imposing Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investm...
Posted: August 23, 2017, 8:56 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2017, 5:27 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2017, 5:27 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2017, 5:27 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2017, 5:27 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2017, 5:27 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Posted: August 23, 2017, 3:58 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b), 15B(c) and 21C of the Securities Exchange Act of 1934, and S...
Posted: August 23, 2017, 3:58 pm
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
Posted: August 23, 2017, 12:07 am
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
Posted: August 22, 2017, 9:52 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(...
Posted: August 22, 2017, 9:43 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: August 22, 2017, 9:33 pm
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
Posted: August 22, 2017, 9:17 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: August 22, 2017, 9:17 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: August 22, 2017, 9:17 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 22, 2017, 9:17 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 22, 2017, 5:57 pm
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
Posted: August 22, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 22, 2017, 1:30 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: August 21, 2017, 7:58 pm
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...
Posted: August 21, 2017, 6:00 pm
Order Scheduling Oral Argument
Posted: August 18, 2017, 8:53 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 18, 2017, 6:51 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 18, 2017, 6:51 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Posted: August 18, 2017, 5:03 pm
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, a...
Posted: August 18, 2017, 3:31 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Attitude Drinks Incorporated
Posted: August 18, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 18, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Eflo Energy, Inc.
Posted: August 18, 2017, 1:30 pm
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 Imposin...
Posted: August 17, 2017, 6:19 pm
Order Directing Disbursement of Fair Fund, Payment of Fund Administrator's Fees and Approval for Future Fees and Expenses
Posted: August 17, 2017, 2:50 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
Posted: August 17, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Sealand Natural Resources Inc.
Posted: August 17, 2017, 1:30 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
Posted: August 16, 2017, 8:23 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: August 16, 2017, 12:39 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions Order Making Findings and Imposing R...
Posted: August 15, 2017, 9:40 pm
Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Ad...
Posted: August 15, 2017, 9:40 pm
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 Practi...
Posted: August 15, 2017, 2:25 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Islet Sciences, Inc.
Posted: August 15, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Aquentium, Inc.
Posted: August 15, 2017, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanc...
Posted: August 14, 2017, 3:28 pm
Order Establishing Fair Fund
Posted: August 14, 2017, 2:20 pm
Order Directing Disbursement of Fair Fund
Posted: August 11, 2017, 8:39 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
Posted: August 11, 2017, 8:26 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Av Therapeutics, Inc.
Posted: August 11, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Del Toro Silver Corp.
Posted: August 11, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 11, 2017, 1:30 pm
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 Imposin...
Posted: August 9, 2017, 3:47 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 9, 2017, 1:30 pm
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 Imposin...
Posted: August 8, 2017, 3:09 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 8, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 8, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 8, 2017, 1:30 pm
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 Imposin...
Posted: August 7, 2017, 9:23 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 7, 2017, 12:10 pm
Order Instituting Administrative and Cease-And- Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Compan...
Posted: August 4, 2017, 6:43 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Pacific Gold Corp.
Posted: August 4, 2017, 1:30 pm
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 an...
Posted: August 3, 2017, 7:55 pm
Order Combining Funds with the China Energy Fair Fund
Posted: August 3, 2017, 6:04 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 3, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 3, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 3, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 3, 2017, 1:30 pm
Order Appointing Tax Administrator
Posted: August 2, 2017, 6:09 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: August 2, 2017, 1:58 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 2, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 2, 2017, 1:30 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Respondent. Making Findings, and Imposing Remedial Sanctions
Posted: August 1, 2017, 8:48 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9...
Posted: August 1, 2017, 8:48 pm
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 1...
Posted: August 1, 2017, 5:28 pm
Order Appointing Tax Administrator
Posted: July 31, 2017, 8:14 pm
Order Appointing Tax Administrator
Posted: July 31, 2017, 8:14 pm
Order Appointing Tax Administrator
Posted: July 31, 2017, 8:14 pm
Order Appointing Tax Administrator
Posted: July 31, 2017, 8:14 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: July 31, 2017, 5:17 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: July 31, 2017, 5:17 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanct...
Posted: July 28, 2017, 9:01 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of ...
Posted: July 28, 2017, 6:50 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 28, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 28, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 28, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 28, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 28, 2017, 1:30 pm
Order Appointing Tax Administrator
Posted: July 27, 2017, 9:39 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 27, 2017, 9:39 pm
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
Posted: July 27, 2017, 2:57 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 27, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 27, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 27, 2017, 1:30 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future, and Terminating the Disgorgement Fund
Posted: July 26, 2017, 9:15 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: July 26, 2017, 6:42 pm
Order Instituting Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rules 102(e)(3)(i)(A) and (B) of the Commission's Rules of Practice
Posted: July 26, 2017, 5:36 pm
Order Instituting Administrative Proceedings and Imposing to Rules 102(e)(3)(i)(A) and (B) of the Commission's Rules of Practice
Posted: July 26, 2017, 5:36 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company A...
Posted: July 25, 2017, 8:49 pm
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 Sa...
Posted: July 25, 2017, 7:41 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 4C and 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Ad...
Posted: July 19, 2017, 9:36 pm
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 Practic...
Posted: July 19, 2017, 7:38 pm
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 ...
Posted: July 19, 2017, 6:16 pm
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
Posted: July 18, 2017, 9:12 pm
Order Appointing Tax Administrator
Posted: July 17, 2017, 9:23 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: July 14, 2017, 3:12 pm
Order Appointing Tax Administrator
Posted: July 13, 2017, 8:09 pm
Order Granting Extensions
Posted: July 13, 2017, 4:15 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Gmci Corp.
Posted: July 12, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 12, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 12, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 12, 2017, 1:30 pm
Order Denying Application for Consent to Associate
Posted: July 10, 2017, 9:02 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: July 10, 2017, 5:46 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: July 7, 2017, 9:29 pm
Order Approving Plan of Distribution and Consolidating Settlement Funds for Administration
Posted: July 7, 2017, 5:30 pm
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-...
Posted: July 6, 2017, 9:46 pm
Order Instituting Administrative Proceedings Pursuant to Section 17A(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: July 6, 2017, 9:46 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and 21C of the Securities Exchange Act of 1934, Making Findings and Imposing a Cease-and-Desist O...
Posted: July 6, 2017, 9:46 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(...
Posted: July 6, 2017, 9:46 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Distributio...
Posted: July 6, 2017, 6:56 pm
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 an...
Posted: July 6, 2017, 6:24 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(f) of the Investment Company ...
Posted: July 6, 2017, 6:24 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f),...
Posted: June 30, 2017, 9:15 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company...
Posted: June 29, 2017, 8:38 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: June 29, 2017, 5:28 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: June 29, 2017, 5:28 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: June 29, 2017, 5:28 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: June 29, 2017, 5:28 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: June 29, 2017, 5:28 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: June 29, 2017, 5:28 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Double Crown Resources, Inc.
Posted: June 29, 2017, 1:30 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: June 27, 2017, 6:39 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 27, 2017, 1:30 pm
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 ...
Posted: June 26, 2017, 4:56 pm
Notice That Initial Decision Has Become Final
Posted: June 23, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: June 23, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 22, 2017, 8:45 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: June 22, 2017, 4:38 pm
Order Instituting Administrative Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 22, 2017, 3:08 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Joshua Gold Resources, Inc. (f/k/a Enhanced Energy Solutions, Inc.)
Posted: June 22, 2017, 1:30 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, Imposing Civil Penalties, and a Cease-and-Desist Order
Posted: June 21, 2017, 9:30 pm
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
Posted: June 21, 2017, 9:30 pm
Order Instituting Administrative Proceedings Pursuant to Rule Christopher K. Brenner, Practice, Making Findings, and Imposing Remedial Sanctions
Posted: June 21, 2017, 7:34 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 21, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 21, 2017, 1:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Victory Park Acquisition Corp. I
Posted: June 21, 2017, 1:30 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 8:06 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 8:06 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 6:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 6:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 6:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 6:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 6:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 6:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 4:53 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 4:53 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 19, 2017, 4:53 pm
Notice That Initial Decision Has Become Final
Posted: June 16, 2017, 1:30 pm
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
Posted: June 15, 2017, 10:18 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 15, 2017, 8:46 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 15, 2017, 8:46 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules o...
Posted: June 15, 2017, 1:51 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Compa...
Posted: June 13, 2017, 9:37 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: June 13, 2017, 8:35 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice.
Posted: June 12, 2017, 4:45 pm
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
Posted: June 9, 2017, 9:21 pm
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 1...
Posted: June 9, 2017, 8:23 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: June 9, 2017, 3:39 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 9, 2017, 1:30 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
Posted: June 8, 2017, 9:42 pm
Extension Order
Posted: June 8, 2017, 7:00 pm
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, ...
Posted: June 8, 2017, 7:00 pm
Extension Order
Posted: June 8, 2017, 7:00 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 8, 2017, 1:30 pm
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...
Posted: June 7, 2017, 9:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 6, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 5, 2017, 6:20 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 2, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: June 1, 2017, 9:40 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: June 1, 2017, 9:40 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions.
Posted: June 1, 2017, 8:06 pm
Second Extension Order
Posted: June 1, 2017, 5:57 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 1, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 17A(c)(4)(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 31, 2017, 4:31 pm
Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Section...
Posted: May 26, 2017, 7:21 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Ciralight Global, Inc.
Posted: May 26, 2017, 1:30 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: May 25, 2017, 9:55 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: May 25, 2017, 7:05 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: May 25, 2017, 7:05 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: May 25, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: May 25, 2017, 1:30 pm
Order Instituting Public Administrative Proceedings, Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice and Notice of Hearing.
Posted: May 23, 2017, 9:40 pm
Order Instituting Public Administrative Proceedings, Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposi...
Posted: May 23, 2017, 9:40 pm
Order Consolidating Fair Funds
Posted: May 22, 2017, 9:40 pm
Order
Posted: May 22, 2017, 8:31 pm
Extension Order
Posted: May 22, 2017, 5:35 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: May 19, 2017, 8:54 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 19, 2017, 7:15 pm
Order Approving Plan of Distribution
Posted: May 18, 2017, 6:30 pm
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 Imposi...
Posted: May 18, 2017, 6:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: May 17, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: May 17, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 8(d) of the Securities Act of 1933, Making Findings, and Issuing Stop Order
Posted: May 12, 2017, 6:40 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: May 12, 2017, 6:40 pm
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
Posted: May 11, 2017, 4:04 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice Making Findings, and Imposing Remedial Sanctions
Posted: May 10, 2017, 8:22 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, and Sections 203(e) a...
Posted: May 10, 2017, 3:52 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: May 10, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Impo...
Posted: May 9, 2017, 3:11 pm
Order Establishing a Fair Fund
Posted: May 8, 2017, 9:10 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 8, 2017, 8:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 8, 2017, 8:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 8, 2017, 8:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 8, 2017, 8:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 8, 2017, 8:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 8, 2017, 8:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Real Hip-Hop Network, Inc.
Posted: May 8, 2017, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 Making Findings, and Imposing Remedial Sancti...
Posted: May 5, 2017, 6:06 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanc...
Posted: May 5, 2017, 5:18 pm
Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Inve...
Posted: May 5, 2017, 1:33 pm
Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease- And-Desist Order Pursuant to Sections 20...
Posted: May 5, 2017, 1:33 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 4, 2017, 9:45 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 4, 2017, 9:45 pm
Notice That Initial Decision Has Become Final
Posted: May 4, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: May 4, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: May 4, 2017, 1:30 pm
Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the United States Treasury and Terminating the Fair Fund
Posted: May 3, 2017, 6:30 pm
Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities
Posted: May 3, 2017, 2:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company ...
Posted: May 3, 2017, 1:30 pm
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, M...
Posted: May 2, 2017, 9:46 pm
Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 203(k) of the Investment Advisers Act of 1940 and Section 9(f) of the Investment Company Act of 1940, Making Findings, and Imposi...
Posted: May 2, 2017, 9:18 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 2, 2017, 7:32 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: May 1, 2017, 8:00 pm
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 1...
Posted: May 1, 2017, 6:00 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 1, 2017, 3:18 pm
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, M...
Posted: May 1, 2017, 1:30 pm
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, M...
Posted: May 1, 2017, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 1, 2017, 1:30 pm
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 ...
Posted: April 28, 2017, 9:47 pm
Order Approving Plan of Distribution
Posted: April 28, 2017, 9:47 pm
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
Posted: April 28, 2017, 2:30 pm
Order Instituting 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 and N...
Posted: April 28, 2017, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: April 27, 2017, 7:31 pm
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
Posted: April 27, 2017, 7:31 pm
Third Extension Order
Posted: April 27, 2017, 6:58 pm
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: April 27, 2017, 6:58 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: April 27, 2017, 5:08 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: April 27, 2017, 5:08 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 26, 2017, 9:19 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934
Posted: April 26, 2017, 9:19 pm
Corrected Order Instituting Cease-and-Desist Proceedings Pursuant to Section 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
Posted: April 26, 2017, 8:34 pm
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 ...
Posted: April 26, 2017, 1:09 pm
Order Directing Transfer of Remaining Funds and Any Future Funds Received by the Fair Fund to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: April 25, 2017, 9:58 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
Posted: April 25, 2017, 8:50 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 25, 2017, 1:30 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: April 24, 2017, 8:16 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: April 21, 2017, 5:25 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 20, 2017, 2:31 pm
Order Granting Motion to Extend Time to File Certified Record
Posted: April 20, 2017, 2:31 pm
Order Regarding NASDAQ's Motion to Dismiss and Proposed Briefing Schedule On the Motion to Dismiss
Posted: April 19, 2017, 9:32 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: April 19, 2017, 8:09 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: April 18, 2017, 9:20 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 18, 2017, 4:21 pm
Order Approving Plan of Distribution
Posted: April 17, 2017, 5:48 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Prestige Financial Corp.
Posted: April 17, 2017, 1:30 pm
Order Granting Motion to Extend Time to File Briefs
Posted: April 14, 2017, 8:03 pm
Extension Order
Posted: April 14, 2017, 3:07 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, and Section 203(f) of the Investment Advisers Act of 1940
Posted: April 13, 2017, 10:00 pm
Order Directing Disbursement of Fair Fund
Posted: April 13, 2017, 8:10 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 13, 2017, 4:40 pm
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 Imposin...
Posted: April 12, 2017, 9:10 pm
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 Imposin...
Posted: April 12, 2017, 9:10 pm
Order Appointing Fund Plan Administrator and Setting Bond Amount
Posted: April 11, 2017, 9:33 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: April 11, 2017, 8:42 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 11, 2017, 8:42 pm
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 Imposin...
Posted: April 10, 2017, 8:52 pm
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...
Posted: April 10, 2017, 2:30 pm
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...
Posted: April 10, 2017, 2:30 pm
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...
Posted: April 10, 2017, 2:30 pm
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...
Posted: April 10, 2017, 2:30 pm
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...
Posted: April 10, 2017, 2:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Fin...
Posted: April 10, 2017, 2:30 pm
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
Posted: April 10, 2017, 2:30 pm
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...
Posted: April 10, 2017, 2:30 pm
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
Posted: April 10, 2017, 2:30 pm
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...
Posted: April 10, 2017, 2:30 pm
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
Posted: April 10, 2017, 2:30 pm
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...
Posted: April 10, 2017, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: April 7, 2017, 6:14 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: April 6, 2017, 6:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 6, 2017, 6:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 6, 2017, 4:54 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C, 15(b), 15B(c)(4), and 21C of the Securities Exchange Act of 1934...
Posted: April 5, 2017, 3:57 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b), 15B(c) and 21C of the Securities Exchange Act of 1934, and ...
Posted: April 5, 2017, 3:57 pm
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 1...
Posted: April 4, 2017, 6:29 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1...
Posted: April 4, 2017, 6:29 pm
Order Instituting Public Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposi...
Posted: April 4, 2017, 4:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 3, 2017, 9:40 pm
Extension Order
Posted: March 31, 2017, 6:17 pm
Extension Order
Posted: March 31, 2017, 6:17 pm
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 C...
Posted: March 31, 2017, 6:17 pm
Extension Order
Posted: March 31, 2017, 6:17 pm
Extension Order
Posted: March 31, 2017, 6:17 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
Posted: March 31, 2017, 2:16 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 30, 2017, 8:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: March 30, 2017, 8:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: March 30, 2017, 8:03 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanc...
Posted: March 29, 2017, 8:30 pm
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 ...
Posted: March 29, 2017, 8:30 pm
Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1...
Posted: March 29, 2017, 5:12 pm
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...
Posted: March 29, 2017, 5:12 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to CirTran Corp.
Posted: March 28, 2017, 1:30 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of ...
Posted: March 24, 2017, 7:47 pm
Order Making Findings and Imposing Remedial Sanctions
Posted: March 23, 2017, 7:48 pm
Order Approving Plan of Distribution
Posted: March 23, 2017, 7:48 pm
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
Posted: March 22, 2017, 8:44 pm
Notice That Initial Decision Has Become Final
Posted: March 22, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: March 22, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: March 22, 2017, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 22, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: March 22, 2017, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: March 22, 2017, 1:30 pm
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 Imposi...
Posted: March 20, 2017, 4:25 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 20, 2017, 1:30 pm
Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Posted: March 17, 2017, 6:24 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 17, 2017, 12:55 pm
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
Posted: March 16, 2017, 7:37 pm
Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the ...
Posted: March 14, 2017, 5:00 pm
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 Practi...
Posted: March 14, 2017, 5:00 pm
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 Imposin...
Posted: March 13, 2017, 8:58 pm
Order Directing Third Disbursement of Fair Fund
Posted: March 13, 2017, 8:25 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: March 13, 2017, 8:25 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
Posted: March 13, 2017, 8:25 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: March 13, 2017, 4:20 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: March 10, 2017, 4:31 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: March 10, 2017, 4:31 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: March 10, 2017, 4:31 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: March 9, 2017, 10:46 pm
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 Imposi...
Posted: March 9, 2017, 4:49 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: March 8, 2017, 6:15 pm
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 ...
Posted: March 8, 2017, 6:15 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 8, 2017, 5:32 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Making Findings, and Imposing Remedial Sanctions
Posted: March 7, 2017, 7:54 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: March 6, 2017, 6:50 pm
Notice That Initial Decision Has Become Final
Posted: March 6, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: March 6, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: March 6, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: March 6, 2017, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 3, 2017, 2:30 pm
Extension Order
Posted: March 1, 2017, 1:08 am
Order Granting in Part Motion for Extension Oftime to File Briefs
Posted: February 28, 2017, 10:38 pm
Regulation a Exemption of Web Debt Solutions, LLC Temporarily Suspended
Posted: February 28, 2017, 10:38 pm
Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933
Posted: February 27, 2017, 5:50 pm
Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933
Posted: February 27, 2017, 5:50 pm
Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933
Posted: February 27, 2017, 5:50 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 24, 2017, 10:53 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 24, 2017, 10:53 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 24, 2017, 10:53 pm
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...
Posted: February 24, 2017, 8:38 pm
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
Posted: February 23, 2017, 10:42 pm
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 Imposin...
Posted: February 23, 2017, 10:42 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: February 23, 2017, 6:15 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Comp...
Posted: February 22, 2017, 6:44 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: February 22, 2017, 6:18 pm
Order Directing Second Disbursement of Fair Fund
Posted: February 22, 2017, 4:07 pm
Order Approving Plan of Distribution
Posted: February 21, 2017, 5:21 pm
Notice That Initial Decision Has Become Final
Posted: February 21, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: February 21, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: February 21, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: February 21, 2017, 2:30 pm
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 Imposin...
Posted: February 17, 2017, 8:32 pm
Order Making Findings and Imposing Remedial Sanction Pursuant to Rule 102(e) of the Commission's Rules of Practice
Posted: February 17, 2017, 7:54 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 17, 2017, 5:28 pm
Order Denying Request for Extension of Time to File Reply Brief
Posted: February 17, 2017, 2:54 pm
Order Making Findings and Imposing Disgorgement and Civil Penalties
Posted: February 17, 2017, 2:54 pm
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 ...
Posted: February 16, 2017, 8:35 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: February 16, 2017, 5:56 pm
Order Setting Fund Administrator’s Bond Amount
Posted: February 15, 2017, 10:13 pm
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
Posted: February 14, 2017, 8:47 pm
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 and Civil Penalties
Posted: February 14, 2017, 8:47 pm
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 an...
Posted: February 14, 2017, 3:26 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(...
Posted: February 13, 2017, 10:38 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: February 13, 2017, 7:30 pm
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 ...
Posted: February 13, 2017, 7:30 pm
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 Ce...
Posted: February 10, 2017, 6:54 pm
Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the ...
Posted: February 10, 2017, 6:54 pm
Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: February 9, 2017, 9:29 pm
Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: February 9, 2017, 9:19 pm
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 ...
Posted: February 9, 2017, 8:25 pm
Order Approving Plan of Distribution and Directing Disbursement of Fair Fund
Posted: February 9, 2017, 3:07 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: February 8, 2017, 10:26 pm
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...
Posted: February 8, 2017, 9:49 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: February 8, 2017, 9:31 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: February 8, 2017, 2:39 pm
Order Instituting Administrative Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities
Posted: February 8, 2017, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: February 7, 2017, 10:20 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing
Posted: February 7, 2017, 10:20 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 17A of the Securities Exchange Act of 1934, Making Findings, and ...
Posted: February 7, 2017, 8:52 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company A...
Posted: February 7, 2017, 6:05 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: February 7, 2017, 4:38 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
Posted: February 6, 2017, 8:12 pm
Notice That Initial Decision Has Become Final
Posted: February 6, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: February 6, 2017, 2:30 pm
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 Sa...
Posted: February 3, 2017, 10:39 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
Posted: February 3, 2017, 8:44 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: February 3, 2017, 8:44 pm
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
Posted: February 2, 2017, 10:36 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 2, 2017, 7:58 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 2, 2017, 7:58 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 2, 2017, 7:58 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules o...
Posted: January 31, 2017, 3:54 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: January 30, 2017, 9:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: January 30, 2017, 9:09 pm
Notice That Initial Decision Has Become Final
Posted: January 30, 2017, 2:30 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: January 27, 2017, 5:54 pm
Notice of Proposed Plan of Distribution and Oppurtunity for Comment
Posted: January 27, 2017, 5:44 pm
Order Directing Disbursement of Fair Fund
Posted: January 26, 2017, 5:51 pm
Order Instituting 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, Maki...
Posted: January 26, 2017, 5:51 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers Act of 19...
Posted: January 26, 2017, 5:10 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Fi...
Posted: January 26, 2017, 5:10 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: January 25, 2017, 9:35 pm
Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933
Posted: January 25, 2017, 9:35 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(...
Posted: January 25, 2017, 9:35 pm
Order Instituting Administrative Proceedings Pursuant to Sections 203(e) and (f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: January 24, 2017, 10:37 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, Sectio...
Posted: January 24, 2017, 8:34 pm
Order Approving Plan of Distribution
Posted: January 24, 2017, 6:10 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 194...
Posted: January 24, 2017, 6:10 pm
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
Posted: January 24, 2017, 5:45 pm
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
Posted: January 24, 2017, 5:45 pm
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...
Posted: January 23, 2017, 8:53 pm
Order Instituting Public Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposin...
Posted: January 23, 2017, 8:53 pm
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...
Posted: January 23, 2017, 8:45 pm
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 Imposi...
Posted: January 23, 2017, 5:10 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Ac...
Posted: January 19, 2017, 10:47 pm
ORDER DIRECTING DISBURSEMENT OF FAIR FUND
Posted: January 19, 2017, 10:47 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 194...
Posted: January 19, 2017, 7:57 pm
Extension Order
Posted: January 19, 2017, 7:36 pm
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
Posted: January 19, 2017, 6:00 pm
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
Posted: January 18, 2017, 7:45 pm
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...
Posted: January 18, 2017, 7:32 pm
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...
Posted: January 18, 2017, 7:32 pm
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...
Posted: January 18, 2017, 6:15 pm
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
Posted: January 18, 2017, 4:40 pm
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 Sa...
Posted: January 18, 2017, 4:20 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Penalties
Posted: January 18, 2017, 4:20 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Cease-and-Desist Orders and Penalties
Posted: January 18, 2017, 4:20 pm
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 1...
Posted: January 18, 2017, 4:20 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: January 18, 2017, 3:26 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: January 17, 2017, 9:11 pm
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
Posted: January 17, 2017, 9:11 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: January 17, 2017, 9:11 pm
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...
Posted: January 17, 2017, 5:50 pm
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...
Posted: January 17, 2017, 5:50 pm
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...
Posted: January 17, 2017, 5:50 pm
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...
Posted: January 17, 2017, 5:50 pm
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...
Posted: January 17, 2017, 5:50 pm
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...
Posted: January 17, 2017, 5:50 pm
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...
Posted: January 17, 2017, 5:50 pm
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...
Posted: January 17, 2017, 5:50 pm
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...
Posted: January 17, 2017, 5:50 pm
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...
Posted: January 17, 2017, 5:50 pm
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
Posted: January 17, 2017, 3:45 pm
ORDER DIRECTING DISBURSEMENT OF FAIR FUND
Posted: January 13, 2017, 10:33 pm
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
Posted: January 13, 2017, 8:30 pm
Order Instituting Public Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: January 13, 2017, 8:30 pm
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 ...
Posted: January 13, 2017, 6:00 pm
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, an...
Posted: January 13, 2017, 3:29 pm
Notice That Initial Decision Has Become Final
Posted: January 13, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: January 13, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: January 13, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: January 13, 2017, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: January 13, 2017, 2:30 pm
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
Posted: January 12, 2017, 6:16 pm
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
Posted: January 12, 2017, 5:13 pm
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, a...
Posted: January 12, 2017, 4:14 pm
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
Posted: January 11, 2017, 6:55 pm
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 an...
Posted: January 10, 2017, 4:30 pm
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
Posted: January 10, 2017, 4:30 pm
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to Be Filed wit...
Posted: January 10, 2017, 3:15 pm
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 ...
Posted: January 9, 2017, 7:56 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Sections 4C and 15(b) of the Securities Exchange Act...
Posted: January 9, 2017, 7:56 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Sections 4C and 15(b) of the Securities Exchange Act...
Posted: January 9, 2017, 7:56 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: January 6, 2017, 10:27 pm
Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings and Imposing Cease-and-Desist Orders and a Civil Penalty
Posted: January 6, 2017, 10:05 pm
Notice That Initial Decision Has Become Final
Posted: January 4, 2017, 2:30 pm
Order Making Findings, Imposing Remedial Sanctions, and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e)(1)(Ii) and 102(e)(1)(Iii) of ...
Posted: January 3, 2017, 9:04 pm