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 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 Establishing Fair Funds and Transferring Fair Funds to a Court-Appointed Monitor
Posted: October 19, 2017, 5:00 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
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
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
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
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
Notice That Initial Decision Has Become Final
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 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 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 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 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 First Payment Default Practice Fair Fund
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 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 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 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 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 Appointing Tax Administrator
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(f) and 203(k) of the Investment Advisers Act of 1940,...
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(e), 203(f) and 203(k) of the Investment Advisers Act ...
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
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
Notice of Proposed Plan of Distribution and Opportunity for Comment
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 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 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, 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 Aja Cannafacturing, 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 Medbook World 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 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
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
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
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 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 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 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 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
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 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
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 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 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 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, and Imposing 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, Imposing Civil Penalties, and 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 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 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 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 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 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
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
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 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 Approving Plan of Distribution
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, Making Findings, and Imposing Remedial Sanctions and a Cease- And-Desist Order Pursuant to Sections 20...
Posted: May 5, 2017, 1:33 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 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 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 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 Approving Plan of Distribution
Posted: April 28, 2017, 9:47 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 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 Section 203(f) of the Investment Advisers Act of 1940 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 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 Granting Motion to Extend Time to File Certified Record
Posted: April 20, 2017, 2:31 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 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 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 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, 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 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, 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, Making Findings, and Imposing a Cease-and-Desist Order
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
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
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 Approving Plan of Distribution
Posted: March 23, 2017, 7:48 pm
Order Making Findings and Imposing Remedial Sanctions
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
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
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 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 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 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
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 Directing Third Disbursement of Fair Fund
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 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 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 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
Regulation a Exemption of Web Debt Solutions, LLC Temporarily Suspended
Posted: February 28, 2017, 10:38 pm
Order Granting in Part Motion for Extension Oftime to File Briefs
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, 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 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, 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 and Civil Penalties
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
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, and Notice of Hearing
Posted: February 7, 2017, 10:20 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 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 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 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 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 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 Directing Disbursement of Fair Fund
Posted: January 26, 2017, 5:51 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 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 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 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 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 DIRECTING DISBURSEMENT OF FAIR FUND
Posted: January 19, 2017, 10:47 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 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 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 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 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 of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: January 18, 2017, 3:26 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 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 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 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 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 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
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: December 29, 2016, 8:19 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 29, 2016, 3:55 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 29, 2016, 3:55 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 29, 2016, 3:55 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: December 27, 2016, 9:44 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: December 27, 2016, 9:44 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 27, 2016, 6:55 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 27, 2016, 6:55 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Posted: December 27, 2016, 6:55 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Posted: December 27, 2016, 6:55 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Posted: December 27, 2016, 6:55 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: December 23, 2016, 7:37 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Odyssey Pictures Corporation
Posted: December 23, 2016, 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 Intercore, Inc.
Posted: December 23, 2016, 2:30 pm
Order Instituting Public Administrative and Cease-And- Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 Imposing Remedial Sanctions
Posted: December 22, 2016, 9:45 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 Practic...
Posted: December 22, 2016, 9:45 pm
Order Granting Consent to Associate and to Serve or Act in Certain Capacities
Posted: December 22, 2016, 9:45 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 22, 2016, 5:35 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 22, 2016, 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 Hitor Group, Inc.
Posted: December 22, 2016, 2:30 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: December 21, 2016, 10:42 pm
Notice That Initial Decision Has Become Final
Posted: December 21, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 21, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 21, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 21, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 21, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 21, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 21, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 21, 2016, 2:30 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 and Section 9(b) of the Investment Company A...
Posted: December 20, 2016, 10:20 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: December 20, 2016, 10:20 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 20, 2016, 6:00 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: December 20, 2016, 3:00 pm
Order Making Findings and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b)(6)(a) and 21C of the Securities Exchange Act of 1934
Posted: December 19, 2016, 10:35 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: December 19, 2016, 7:45 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, as to Respondent Stephen Jones
Posted: December 19, 2016, 7:00 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, as to Respondent 3C Advisors & Assoc...
Posted: December 19, 2016, 7:00 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Kogeto, Inc.
Posted: December 19, 2016, 2:30 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securties Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Posted: December 16, 2016, 6:29 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: December 16, 2016, 6:14 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: December 16, 2016, 6:14 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: December 16, 2016, 6:14 pm
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, and Sections 17A and 21C of the Securities Exchange Act of 1934, Makin...
Posted: December 16, 2016, 5:51 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: December 16, 2016, 5:51 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 15(b) of the Securities Exchange Act of 1934, and Rule 102(e)...
Posted: December 16, 2016, 5:51 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 15(b) of the Securities Exchange Act of 1934, and Rule 102(e)...
Posted: December 16, 2016, 5:51 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 2...
Posted: December 16, 2016, 3:44 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 15, 2016, 9:13 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: December 15, 2016, 9:13 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, Sections 203(f) and 203(k) of the Inves...
Posted: December 15, 2016, 8:12 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 15, 2016, 5:55 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 15, 2016, 5:55 pm
Order Directing Disbursement of Fair Fund and Vacating Prior Order of Disbursement
Posted: December 14, 2016, 8:10 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 an...
Posted: December 14, 2016, 7:36 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 13, 2016, 8:17 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: December 12, 2016, 9:38 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Ce...
Posted: December 12, 2016, 9:38 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940 a...
Posted: December 9, 2016, 7:16 pm
Third Extension Order
Posted: December 8, 2016, 10:34 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, 2016, 9:45 pm
Order Appointing Tax Administrator
Posted: December 8, 2016, 9:19 pm
Extension Order
Posted: December 8, 2016, 5:39 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: December 8, 2016, 5:39 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 8, 2016, 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: December 7, 2016, 7:45 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: December 7, 2016, 4:22 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 7, 2016, 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 Superdirectories, Inc.
Posted: December 7, 2016, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 6, 2016, 8:46 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: December 6, 2016, 8:27 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: December 6, 2016, 8:18 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: December 6, 2016, 7:25 pm
Notice That Initial Decision Has Become Final
Posted: December 6, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 6, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 6, 2016, 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 Boreal Water Collection, Inc.
Posted: December 5, 2016, 2:30 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: December 2, 2016, 10:06 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 2, 2016, 10:06 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: December 2, 2016, 5:30 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: December 2, 2016, 4:36 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Harvey Westbury Corp.
Posted: December 2, 2016, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: December 1, 2016, 10:01 pm
Extension Order
Posted: December 1, 2016, 9:57 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 Compan...
Posted: December 1, 2016, 6:57 pm
Order Approving Plan of Distribution and Authorizing Transfer of Fair Fund
Posted: December 1, 2016, 6:47 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 30, 2016, 6:20 pm
Order Approving Plan of Distribution and Directing Disbursement of Fair Funds
Posted: November 29, 2016, 10:35 pm
Order Instituting Administrative Proceedings Pursuant to Sections 203(e) and 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: November 29, 2016, 7:29 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 29, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: November 29, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: November 29, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: November 29, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: November 29, 2016, 2:30 pm
Order Extending Time to File Brief in Support of Petition for Review
Posted: November 28, 2016, 10:02 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Posted: November 23, 2016, 7:44 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: November 23, 2016, 7:04 pm
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant
Posted: November 23, 2016, 7:04 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: November 23, 2016, 7:04 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: November 23, 2016, 7:04 pm
Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant
Posted: November 23, 2016, 7:04 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 22, 2016, 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 Xun Energy, Inc.
Posted: November 22, 2016, 2:30 pm
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers Act of 1940 and Rul...
Posted: November 21, 2016, 10:01 pm
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers Act of 1940 and Ru...
Posted: November 21, 2016, 10:01 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: November 21, 2016, 9:43 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 21, 2016, 9:43 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 21, 2016, 9:43 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 21, 2016, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions
Posted: November 18, 2016, 5:52 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 18, 2016, 5:52 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: November 17, 2016, 6:06 pm
Order Granting Consent to Associate
Posted: November 17, 2016, 6:06 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing Order ...
Posted: November 17, 2016, 4:26 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: November 17, 2016, 3:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 17, 2016, 2:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 17, 2016, 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 and Notice of Hearing
Posted: November 16, 2016, 5:28 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 16, 2016, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 15, 2016, 9:52 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act, Making Findings, and Imposing a Cease-and-Desist Order
Posted: November 15, 2016, 9:52 pm
Extension Order
Posted: November 14, 2016, 7:35 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, and Notice of Hearing
Posted: November 14, 2016, 5:10 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, and...
Posted: November 14, 2016, 5:10 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, and...
Posted: November 14, 2016, 5:10 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: November 10, 2016, 8:45 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: November 10, 2016, 6:00 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Hangover Joe's Holding Corp.
Posted: November 10, 2016, 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: November 8, 2016, 8:37 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: November 7, 2016, 9:03 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 Imposi...
Posted: November 7, 2016, 7:45 pm
Order Directing Disbursement for Second Distribution, Payment of Fund Administrator Fees, and Approval of Future Fees and Expenses
Posted: November 4, 2016, 9:53 pm
Order Approving Plan of Distribution
Posted: November 4, 2016, 9:53 pm
Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933
Posted: November 4, 2016, 9:02 pm
Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933
Posted: November 4, 2016, 9:02 pm
Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933
Posted: November 4, 2016, 9:02 pm
Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933
Posted: November 4, 2016, 9:02 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: November 4, 2016, 5:09 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: November 3, 2016, 9:33 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to John D. Oil and Gas Company
Posted: November 3, 2016, 7:40 pm
Order Directing Disbursement of Fair Fund
Posted: November 3, 2016, 7:40 pm
Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
Posted: November 3, 2016, 5:13 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 3, 2016, 3:00 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Jilco Industries, Inc.
Posted: November 3, 2016, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 2, 2016, 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 as to Luigi Agostini
Posted: November 1, 2016, 8:42 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: November 1, 2016, 4:38 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: November 1, 2016, 4:38 pm
Notice That Initial Decision Has Become Final
Posted: November 1, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: November 1, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: November 1, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: November 1, 2016, 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 31, 2016, 7:54 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: October 31, 2016, 7:54 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: October 31, 2016, 6:50 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: October 31, 2016, 6:50 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
Posted: October 31, 2016, 5:10 pm
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 4C and 21C of the Securities Exchange Act of 1934, and Rul...
Posted: October 31, 2016, 4:10 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: October 28, 2016, 5:41 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 28, 2016, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 28, 2016, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15C and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cea...
Posted: October 27, 2016, 8:35 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: October 27, 2016, 8:35 pm
Order 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 Imposing Remedial Sanctions as to Robert P. Bedwell, CPA
Posted: October 27, 2016, 8:35 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 27, 2016, 4:22 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: October 27, 2016, 4:22 pm
Order Denying Motion to Lift Temporary Suspension and Directing Hearing
Posted: October 26, 2016, 9:31 pm
Jason Jiang
Posted: October 26, 2016, 9:31 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 26, 2016, 6:31 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: October 24, 2016, 7:44 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 24, 2016, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 24, 2016, 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 All Energy Corp.
Posted: October 24, 2016, 1:30 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: October 21, 2016, 8:47 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 21, 2016, 5:53 pm
Order Approving Use of Fair Fund to Pay Outstanding and Remaining Fees and Expenses
Posted: October 21, 2016, 5:31 pm
Order Making Findings and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934
Posted: October 21, 2016, 5:31 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: October 20, 2016, 5:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Sections 203(f) and 203(k) of the Investment Advisers Act of...
Posted: October 20, 2016, 5:00 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: October 19, 2016, 8:11 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 19, 2016, 7:20 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: October 19, 2016, 7:20 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 19, 2016, 5:45 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Posted: October 19, 2016, 2:44 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
Posted: October 19, 2016, 2:44 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and (k) of the Investment Advisers...
Posted: October 18, 2016, 6:38 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: October 18, 2016, 4:06 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the...
Posted: October 18, 2016, 3:08 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: October 18, 2016, 2:35 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 17, 2016, 9:15 pm
Notice That Initial Decision Has Become Final
Posted: October 17, 2016, 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: October 14, 2016, 9:02 pm
Notice That Initial Decision Has Become Final
Posted: October 14, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 14, 2016, 1:30 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: October 13, 2016, 5:18 pm
Order Instituting Administrative Proceedings Pursuant to Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: October 13, 2016, 3:35 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 12, 2016, 4:24 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 203(e) of the Investment Advisers Act of 1940...
Posted: October 12, 2016, 3:17 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: October 11, 2016, 6:10 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Posted: October 6, 2016, 9:30 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 6, 2016, 8:47 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 6, 2016, 8:47 pm
Third Extension Order
Posted: October 6, 2016, 5:36 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: October 5, 2016, 4:58 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: October 5, 2016, 4:58 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: October 5, 2016, 4:15 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 5, 2016, 1:30 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(k...
Posted: October 4, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: October 4, 2016, 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 StarInvest Group, Inc.
Posted: October 4, 2016, 1:30 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: October 3, 2016, 12:59 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: October 3, 2016, 12:59 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 Imposi...
Posted: October 3, 2016, 12:59 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 30, 2016, 6:54 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 30, 2016, 6:54 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 30, 2016, 5:32 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 30, 2016, 4:58 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 30, 2016, 4:58 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(k) of the Investment Advisers A...
Posted: September 30, 2016, 4:58 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: September 30, 2016, 10:23 am
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 29, 2016, 9:08 pm
Order Instituting Administrative Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, Accepting Settlement, Implementing Settlement, and Staying Proceeding...
Posted: September 29, 2016, 9:08 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, 2016, 9:08 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: September 29, 2016, 8:56 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: September 29, 2016, 8:56 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: September 29, 2016, 8:56 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: September 29, 2016, 7:28 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, and Sections 203(e), 203(f) and 203(k) of the Investment Advisers A...
Posted: September 29, 2016, 6:07 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: September 29, 2016, 5:28 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: September 29, 2016, 5:28 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, 2016, 5:28 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions an...
Posted: September 29, 2016, 2:12 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 29, 2016, 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 28, 2016, 8:49 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 28, 2016, 8:49 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b)(4) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 28, 2016, 3:15 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: September 28, 2016, 2:21 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to As Seen On TV, Inc.
Posted: September 28, 2016, 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: September 27, 2016, 8:38 pm
Order Instituting 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 102(e) of...
Posted: September 27, 2016, 4:45 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 27, 2016, 4:45 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: September 27, 2016, 2:12 pm
Notice That Initial Decision Has Become Final
Posted: September 27, 2016, 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: September 27, 2016, 11:00 am
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 27, 2016, 11:00 am
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 27, 2016, 11:00 am
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 27, 2016, 11:00 am
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: September 26, 2016, 8:26 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: September 26, 2016, 8:03 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 26, 2016, 8:03 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 26, 2016, 8:03 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 203(e) of the Investment Advisers Act of 1940...
Posted: September 26, 2016, 3:28 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 23, 2016, 9:23 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 23, 2016, 6:20 pm
Order Instituting Cease- And-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: September 23, 2016, 6:20 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 Civil Penalties
Posted: September 23, 2016, 6:20 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 Civil Penalties
Posted: September 23, 2016, 6:20 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 Imposin...
Posted: September 23, 2016, 4:53 pm
Notice That Initial Decision Has Become Final
Posted: September 23, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 23, 2016, 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: September 22, 2016, 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 22, 2016, 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 22, 2016, 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 22, 2016, 6:52 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, 2016, 8:15 pm
Corrected 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 21, 2016, 8:15 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 and Civil Penalties
Posted: September 21, 2016, 8:15 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: September 21, 2016, 4:36 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 20, 2016, 8:22 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 20, 2016, 7:55 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: September 20, 2016, 7:55 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 20, 2016, 6:04 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Pan American Goldfields Ltd.
Posted: September 20, 2016, 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 Frawley Corporation
Posted: September 20, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 20, 2016, 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, ...
Posted: September 19, 2016, 9:10 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, as to Respondent David Prolman
Posted: September 19, 2016, 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: September 19, 2016, 7:31 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: September 19, 2016, 2:00 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 Pract...
Posted: September 19, 2016, 2:00 pm
Notice That Initial Decision Has Become Final
Posted: September 19, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 19, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 19, 2016, 1:30 pm
Order Temporarily Suspending Exemption Pursuant to Section 3(b) of the Securities Act of 1933 and Regulation a Thereunder, Statement of Reasons for Entry of Order, and Notice of and Opportunity for...
Posted: September 16, 2016, 8:51 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: September 16, 2016, 7:17 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Notice of Hearing
Posted: September 16, 2016, 7:17 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 16, 2016, 7:17 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: September 16, 2016, 7:17 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 4C, 15(b) and 21C of the Securities Exchange Act of 1934, and Rule ...
Posted: September 16, 2016, 7:17 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: September 16, 2016, 7:17 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 16, 2016, 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 16, 2016, 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 15, 2016, 9:53 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 15, 2016, 8:27 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 15, 2016, 8:27 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: September 15, 2016, 8:27 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 14, 2016, 8:40 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 14, 2016, 5:22 pm
Extension Order
Posted: September 14, 2016, 5:22 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: September 13, 2016, 8:19 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 13, 2016, 4:32 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 13, 2016, 4:25 pm
Order Denying Second Motion for Extension of Briefing Schedule
Posted: September 12, 2016, 8:45 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Legal Life Plans, Inc.
Posted: September 12, 2016, 1:30 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-an...
Posted: September 9, 2016, 5:30 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: September 8, 2016, 5:30 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: September 8, 2016, 5:30 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 8, 2016, 2:02 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 7, 2016, 4:42 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 Imposi...
Posted: September 7, 2016, 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: September 2, 2016, 6:51 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Posted: September 1, 2016, 8:07 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: September 1, 2016, 8:07 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: August 31, 2016, 3:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: August 31, 2016, 3:30 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 31, 2016, 3:30 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: August 31, 2016, 3:20 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 31, 2016, 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 31, 2016, 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: August 30, 2016, 9:26 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 30, 2016, 6:49 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 30, 2016, 5:00 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 30, 2016, 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 and Notice of Hearing
Posted: August 29, 2016, 7:17 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: August 29, 2016, 4:55 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Dominion Minerals Corp.
Posted: August 29, 2016, 1:30 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: August 26, 2016, 9:48 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: August 26, 2016, 9:48 pm
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rules 102(e)(3) of the Commission's Rules of Practice
Posted: August 26, 2016, 3:21 pm
Notice That Initial Decision Has Become Final
Posted: August 26, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 26, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 26, 2016, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940...
Posted: August 25, 2016, 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: August 25, 2016, 6:48 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 25, 2016, 4:00 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 24, 2016, 7:31 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: August 24, 2016, 4:25 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 24, 2016, 3:18 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 24, 2016, 3:18 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 24, 2016, 3:18 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 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 24, 2016, 2:58 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2016, 8:32 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: August 23, 2016, 8:32 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2016, 5:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2016, 5:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2016, 5:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2016, 5:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2016, 5:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2016, 5:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 23, 2016, 5:16 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 a Cease-and-Desist Order
Posted: August 23, 2016, 3:34 pm
Order Extending Briefing Schedule
Posted: August 22, 2016, 4:55 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 22, 2016, 4:55 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: August 22, 2016, 4:55 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 17A and 21C of the Securities Exchange Act of 1934
Posted: August 18, 2016, 1:49 pm
Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 4C, 15(b) and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's...
Posted: August 17, 2016, 9:15 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: August 17, 2016, 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: August 17, 2016, 9:15 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: August 17, 2016, 6:56 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 17, 2016, 4:42 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
Posted: August 16, 2016, 7:35 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: August 16, 2016, 7:35 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: August 16, 2016, 5:00 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: August 16, 2016, 3:58 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, ...
Posted: August 16, 2016, 3:03 pm
Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Posted: August 16, 2016, 2:35 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: August 16, 2016, 2:35 pm
Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Posted: August 16, 2016, 2:35 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: August 16, 2016, 2:35 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: August 16, 2016, 2:35 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: August 16, 2016, 2:35 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: August 15, 2016, 8:08 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 Com...
Posted: August 15, 2016, 6:13 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, ...
Posted: August 15, 2016, 6:13 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) a...
Posted: August 15, 2016, 5:49 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: August 15, 2016, 2:48 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 12, 2016, 8:31 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 12, 2016, 1:30 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 12, 2016, 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 12, 2016, 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: August 11, 2016, 8:56 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: August 11, 2016, 8:02 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 11, 2016, 4:37 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: August 11, 2016, 4:25 pm
Second Order Directing Disbursement of Fair Fund
Posted: August 11, 2016, 2:52 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 10, 2016, 8:43 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 10, 2016, 8:15 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: August 10, 2016, 8:15 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 10, 2016, 8:15 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 10, 2016, 8:15 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 10, 2016, 3:14 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: August 9, 2016, 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 Imposi...
Posted: August 9, 2016, 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: August 9, 2016, 7:46 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: August 9, 2016, 2:44 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 9, 2016, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: August 8, 2016, 7:19 pm
Notice That Initial Decision Has Become Final
Posted: August 8, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 8, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 8, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 8, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 8, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 8, 2016, 1:30 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: August 3, 2016, 9:40 pm
Extension Order
Posted: August 2, 2016, 9:50 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers A...
Posted: August 2, 2016, 7:07 pm
Order Denying Motion for Additional Time for Oral Argument
Posted: July 29, 2016, 9:16 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Dragon Bright Mintai Botanical Technology Cayman Ltd.
Posted: July 29, 2016, 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: July 28, 2016, 9:17 pm
Order Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933 and Fixing Time and Place of Public Hearing
Posted: July 27, 2016, 9:32 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: July 26, 2016, 5:36 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 Practice...
Posted: July 26, 2016, 4:43 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 25, 2016, 9:27 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: July 25, 2016, 8:56 pm
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i) of the Commission's Rules of Practice
Posted: July 25, 2016, 8:56 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: July 25, 2016, 2:58 pm
Notice That Initial Decision Has Become Final
Posted: July 25, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 25, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 25, 2016, 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: July 22, 2016, 8:39 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: July 22, 2016, 6:51 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 22, 2016, 1:02 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 8A of the Securities Act of 1933 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Finding...
Posted: July 21, 2016, 8:36 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 8A of the Securities Act of 1933 and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making...
Posted: July 21, 2016, 8:36 pm
Order Directing Disbursement of Fair Fund
Posted: July 20, 2016, 7:19 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: July 20, 2016, 4:44 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 20, 2016, 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
Posted: July 19, 2016, 8:23 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 19, 2016, 8:23 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 19, 2016, 8:23 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 18, 2016, 8:33 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 18, 2016, 8:33 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: July 18, 2016, 8:15 pm
Amended 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 15, 2016, 8:53 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 15, 2016, 8:53 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 Penalties
Posted: July 15, 2016, 3:42 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to MIT Holding, Inc.
Posted: July 15, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 15, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 15, 2016, 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: July 14, 2016, 3:30 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: July 14, 2016, 3:00 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) and 203(f...
Posted: July 14, 2016, 3:00 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Cascade Technologies Corp.
Posted: July 14, 2016, 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: July 13, 2016, 8:08 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 13, 2016, 1:30 pm
Extension Order
Posted: July 12, 2016, 6:05 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: July 12, 2016, 3:35 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 11, 2016, 8:29 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 11, 2016, 8:29 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: July 11, 2016, 8:29 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 11, 2016, 7:19 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 11, 2016, 4:27 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing ...
Posted: July 11, 2016, 4:27 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing ...
Posted: July 11, 2016, 4:27 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: July 8, 2016, 7:25 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 8, 2016, 7:25 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 8, 2016, 7:25 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 8, 2016, 3:12 pm
Notice That Initial Decision Has Become Final
Posted: July 8, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 8, 2016, 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 Essential Telecommunications, Inc.
Posted: July 8, 2016, 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 Macau Resources Group Ltd.
Posted: July 6, 2016, 1:30 pm
Order Directing Disbursement of Fair Fund
Posted: July 5, 2016, 9:44 pm
Extension Order
Posted: July 5, 2016, 7:52 pm
Order Approving Application of Fund Administrator for Payment of Fees and Expenses
Posted: July 1, 2016, 7:24 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Parallax Diagnostics, Inc.
Posted: July 1, 2016, 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 30, 2016, 8:34 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 30, 2016, 8:34 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 30, 2016, 8:34 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 30, 2016, 8:34 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 30, 2016, 8:34 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: June 29, 2016, 9:10 pm
Notice That Initial Decision Has Become Final
Posted: June 29, 2016, 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 and Section 15(b)(6) of the Securities Exchange Act ...
Posted: June 28, 2016, 9:30 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(f...
Posted: June 28, 2016, 8:36 pm
Order Directing Disbursement of Fair Fund
Posted: June 28, 2016, 4:08 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: June 28, 2016, 4:08 pm
Order Granting Extension to File Petition for Review
Posted: June 27, 2016, 6:01 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: June 27, 2016, 4:34 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 27, 2016, 4:06 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(f) of the Investment Advisers Ac...
Posted: June 23, 2016, 9:22 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Rule 102(e) of the Commission's Rules of Practice
Posted: June 23, 2016, 5:36 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, ...
Posted: June 23, 2016, 2:07 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: June 23, 2016, 2:07 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 23, 2016, 2:07 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 23, 2016, 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 23, 2016, 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 23, 2016, 1:30 pm
Order Appointing Fund Plan Administrator and Setting Bond Amount
Posted: June 22, 2016, 7:59 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: June 22, 2016, 4:38 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, as to Respondents Steven J. Muehler,...
Posted: June 21, 2016, 7:54 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b), 15B(c)(2) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanc...
Posted: June 21, 2016, 7:54 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 21, 2016, 7:54 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, 2016, 6:30 pm
Order Approving Amended Plan of Distribution
Posted: June 17, 2016, 8:57 pm
Order Scheduling Oral Argument
Posted: June 17, 2016, 7:35 pm
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i) of the Commission's Rules of Practice
Posted: June 17, 2016, 5:16 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: June 17, 2016, 5:16 pm
Extension Order
Posted: June 17, 2016, 3:58 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 16, 2016, 9:23 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 Imposi...
Posted: June 16, 2016, 5:00 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: June 16, 2016, 3:05 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: June 16, 2016, 3:05 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, 2016, 8:34 pm
Order Rescheduling Oral Argument
Posted: June 15, 2016, 8:34 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 15, 2016, 7:46 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: June 15, 2016, 7:46 pm
Order Scheduling Oral Argument
Posted: June 15, 2016, 7:46 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: June 15, 2016, 7:46 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: June 15, 2016, 5:47 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 15, 2016, 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 15, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: June 15, 2016, 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 15, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: June 15, 2016, 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 14, 2016, 6:02 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15B(c) and 21C, and Rule 15Bc4-1 of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedia...
Posted: June 13, 2016, 5:33 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15B(c) and 21C, and Rule 15Bc4-1 of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Co...
Posted: June 13, 2016, 5:33 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Ce...
Posted: June 13, 2016, 4:34 pm
Order Making Findings and 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 193...
Posted: June 13, 2016, 3:48 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 13, 2016, 3:07 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 10, 2016, 6:27 pm
Order Directing Disbursement of Fair Fund
Posted: June 10, 2016, 5:22 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 10, 2016, 3:00 pm
Order Appointing Tax Administrator
Posted: June 9, 2016, 9:01 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: June 8, 2016, 6:05 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: June 8, 2016, 6:05 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advise...
Posted: June 8, 2016, 4:28 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: June 8, 2016, 4:28 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, Mak...
Posted: June 8, 2016, 3:16 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 4C and 21C of the Securities Exchange Act of 193...
Posted: June 7, 2016, 9:12 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice as to Carlton W. V...
Posted: June 7, 2016, 8:57 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commiss...
Posted: June 7, 2016, 8:57 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934 as to David M. Hall
Posted: June 7, 2016, 8:57 pm
Extension Order
Posted: June 7, 2016, 6:46 pm
Second Extension Order
Posted: June 7, 2016, 1:57 pm
Notice That Initial Decision Has Become Final
Posted: June 7, 2016, 1:30 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, Mak...
Posted: June 6, 2016, 8:22 pm
Notice That Initial Decision Has Become Final
Posted: June 3, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: June 3, 2016, 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: June 3, 2016, 1:30 pm
Second Extension Order
Posted: June 2, 2016, 9:37 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 2, 2016, 6:53 pm
Sandra Dyche
Posted: June 2, 2016, 6:53 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 4C and 15(b) of the Securities Exchange Act of 1934, and Rule 102(e...
Posted: June 2, 2016, 3:20 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, 2016, 9:47 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: June 1, 2016, 8:40 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 1, 2016, 6:27 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, 2016, 6:27 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advise...
Posted: June 1, 2016, 3:38 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: May 31, 2016, 8:10 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: May 31, 2016, 5:33 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: May 27, 2016, 5:40 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: May 27, 2016, 3:52 pm
Notice That Initial Decision Has Become Final
Posted: May 27, 2016, 1:30 pm
Order Scheduling Oral Argument
Posted: May 26, 2016, 6:06 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: May 26, 2016, 4:52 pm
Order Appointing Tax Administrator
Posted: May 26, 2016, 4:22 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b), 17A and 21C of the Securities Exchange Act of 1934, and Sect...
Posted: May 25, 2016, 8:53 pm
Notice That Initial Decision Has Become Final
Posted: May 25, 2016, 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 24, 2016, 8:03 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: May 24, 2016, 8:03 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: May 24, 2016, 3:03 pm
Order Scheduling Oral Argument
Posted: May 20, 2016, 9:03 pm
Notice That Initial Decision Has Become Final
Posted: May 20, 2016, 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 20, 2016, 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 20, 2016, 1:30 pm
Order Directing the Filing of Briefs
Posted: May 19, 2016, 9:36 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(e), 203(f) ...
Posted: May 19, 2016, 8:49 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: May 18, 2016, 9:19 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: May 18, 2016, 9:19 pm
Extension Order
Posted: May 16, 2016, 8:54 pm
Notice That Initial Decision Has Become Final
Posted: May 16, 2016, 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: May 13, 2016, 5:27 pm
Notice That Initial Decision Has Become Final
Posted: May 13, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: May 13, 2016, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: May 12, 2016, 9:14 pm
Order Approving Plan of Distribution
Posted: May 12, 2016, 1:37 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: May 11, 2016, 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 11, 2016, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: May 10, 2016, 8:37 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: May 10, 2016, 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: May 9, 2016, 4:21 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 5, 2016, 2:13 pm
Corrected Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: May 5, 2016, 1:41 pm
Notice That Initial Decision Has Become Final
Posted: May 5, 2016, 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 4, 2016, 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 Cellynx Group, Inc.
Posted: May 4, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: May 4, 2016, 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 4, 2016, 1:30 pm
Corrected Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: May 3, 2016, 8:32 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: May 2, 2016, 7:00 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: May 2, 2016, 3:01 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers Act of 1940, and Rule 102(...
Posted: April 29, 2016, 4:05 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 29, 2016, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 29, 2016, 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: April 27, 2016, 9:20 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: April 27, 2016, 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: April 27, 2016, 5:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 27, 2016, 5:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 27, 2016, 5:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 27, 2016, 5:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 27, 2016, 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: April 26, 2016, 9:15 pm
Notice of Proposed Amended Plan of Distribution and Opportunity for Comment
Posted: April 26, 2016, 4:24 pm
Order Appointing Tax Administrator
Posted: April 26, 2016, 4:24 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: April 25, 2016, 4:52 pm
Notice That Initial Decision Has Become Final
Posted: April 25, 2016, 1:30 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934
Posted: April 22, 2016, 8:28 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 22, 2016, 2:38 pm
Notice That Initial Decision Has Become Final
Posted: April 22, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: April 22, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: April 22, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: April 21, 2016, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 21, 2016, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 21, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: April 21, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: April 21, 2016, 1:30 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: April 20, 2016, 9:08 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: April 20, 2016, 8:34 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: April 20, 2016, 8:34 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: April 20, 2016, 3:25 pm
Notice That Initial Decision Has Become Final
Posted: April 20, 2016, 1:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: April 19, 2016, 9:10 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: April 19, 2016, 4:23 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Ad...
Posted: April 19, 2016, 4:23 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: April 19, 2016, 2:44 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: April 19, 2016, 2:44 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 19, 2016, 2:44 pm
Order Making Findings and Imposing Remedial Sanctions
Posted: April 15, 2016, 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: April 15, 2016, 2:53 pm
Notice That Initial Decision Has Become Final
Posted: April 15, 2016, 1:30 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: April 14, 2016, 9:49 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 Adv...
Posted: April 14, 2016, 8:41 pm
Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
Posted: April 14, 2016, 7:56 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 14, 2016, 4:57 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, Sections 203(e), 203(f) and 203(k) of the Investme...
Posted: April 14, 2016, 4:38 pm
Notice That Initial Decision Has Become Final
Posted: April 14, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: April 14, 2016, 1:30 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, 2016, 2:31 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Map IV Acquisition, Inc.
Posted: April 13, 2016, 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: April 12, 2016, 9:12 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 12, 2016, 8:21 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: April 8, 2016, 3:39 pm
Notice That Initial Decision Has Become Final
Posted: April 8, 2016, 11:59 am
Notice That Initial Decision Has Become Final
Posted: April 8, 2016, 11:59 am
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: April 7, 2016, 9:55 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 7, 2016, 4:15 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 6, 2016, 5:00 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: April 6, 2016, 4:26 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: April 6, 2016, 4:26 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 6, 2016, 4:26 pm
Notice That Initial Decision Has Become Final
Posted: April 6, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: April 6, 2016, 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: April 5, 2016, 9:38 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: April 5, 2016, 9:15 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: April 5, 2016, 9:15 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: April 5, 2016, 7:31 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 a...
Posted: April 5, 2016, 7:31 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 5, 2016, 6:23 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 5, 2016, 5:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: April 5, 2016, 5:16 pm
Notice That Initial Decision Has Become Final
Posted: April 5, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: April 5, 2016, 1:30 pm
Order Extending Time in Which to File Briefs
Posted: April 4, 2016, 9:28 pm
Order Appointing Fund Administrator and Setting Administrator Bond Amount
Posted: April 1, 2016, 4:45 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: April 1, 2016, 4:45 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: April 1, 2016, 3:06 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 31, 2016, 6:02 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 31, 2016, 2:52 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: March 31, 2016, 1:52 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 31, 2016, 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, Sections 203(e), 203(f) and 203(k) of the Investme...
Posted: March 30, 2016, 4:00 pm
Notice That Initial Decision Has Become Final
Posted: March 30, 2016, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: March 30, 2016, 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 29, 2016, 5:51 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: March 29, 2016, 5:51 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: March 28, 2016, 8:48 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: March 28, 2016, 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: March 25, 2016, 8:52 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: March 25, 2016, 3:26 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 24, 2016, 8:59 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: March 24, 2016, 2:38 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: March 23, 2016, 7:52 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: March 23, 2016, 5:51 pm
Notice That Initial Decision Has Become Final
Posted: March 23, 2016, 11:14 am
Notice That Initial Decision Has Become Final
Posted: March 23, 2016, 11:14 am
Notice That Initial Decision Has Become Final
Posted: March 23, 2016, 11:14 am
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 17, 2016, 9:03 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 Imposi...
Posted: March 17, 2016, 5:22 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: March 16, 2016, 9:36 pm
Notice That Initial Decision Has Become Final
Posted: March 16, 2016, 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 a...
Posted: March 15, 2016, 5:18 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: March 15, 2016, 2:51 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b)(4), 15(b)(6), 15B(c)(2), 15B(c)(4), and 21C of the Securities Exchange Act of 1934, Sections 203(e) and ...
Posted: March 15, 2016, 2:33 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: March 14, 2016, 6:06 pm
Order Instituting Adminstrative 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 Impos...
Posted: March 10, 2016, 10:40 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: March 10, 2016, 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: March 10, 2016, 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: March 10, 2016, 9:30 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 Practi...
Posted: March 10, 2016, 9:30 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 Practi...
Posted: March 10, 2016, 9:30 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: March 9, 2016, 5:25 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 9, 2016, 4:25 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: March 8, 2016, 10:15 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 8, 2016, 10:15 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: March 8, 2016, 7:48 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: March 8, 2016, 6:00 pm
Notice That Initial Decision Has Become Final
Posted: March 8, 2016, 12:03 pm
Notice That Initial Decision Has Become Final
Posted: March 8, 2016, 12:03 pm
Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities
Posted: March 8, 2016, 12:03 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 15E of the Securities Exchange Act of 1934, Making Findings, and ...
Posted: March 8, 2016, 11:54 am
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b), 15B(c)(2) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanc...
Posted: March 7, 2016, 3:23 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: March 3, 2016, 7:32 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: March 3, 2016, 7:32 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 3, 2016, 5:25 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 2, 2016, 8:34 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 2, 2016, 4:04 pm
Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities
Posted: March 2, 2016, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Posted: March 1, 2016, 9:31 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Posted: March 1, 2016, 9:31 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, Making Findings, and Imposi...
Posted: March 1, 2016, 8:07 pm
Order Appointing Tax Administrator
Posted: March 1, 2016, 6:09 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: March 1, 2016, 6:09 pm
Order Rescheduling Oral Argument
Posted: March 1, 2016, 6:09 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease­And-Desist Order
Posted: March 1, 2016, 5:58 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: March 1, 2016, 4:48 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: March 1, 2016, 4:48 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: March 1, 2016, 4:48 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Lazare Kaplan International, Inc.
Posted: March 1, 2016, 2:30 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 29, 2016, 10:03 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, a...
Posted: February 29, 2016, 8:55 pm
Notice That Initial Decision Has Become Final
Posted: February 29, 2016, 2:30 pm
Corrected Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: February 26, 2016, 2:37 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 25, 2016, 10:14 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 25, 2016, 10:14 pm
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission's Rules of Practice
Posted: February 25, 2016, 5:29 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 24, 2016, 10:35 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 24, 2016, 10:10 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing R...
Posted: February 24, 2016, 7:06 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: February 24, 2016, 7:06 pm
Extension Order
Posted: February 24, 2016, 4:24 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 24, 2016, 4:24 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to WNC Housing Tax Credit Fund VI, L.P., Series 12
Posted: February 24, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: February 24, 2016, 2:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C, 15(b) and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice
Posted: February 23, 2016, 9:28 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: February 23, 2016, 8:09 pm
Extension Order
Posted: February 23, 2016, 4:49 pm
Extension Order
Posted: February 23, 2016, 4:49 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 Find...
Posted: February 19, 2016, 7:07 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: February 19, 2016, 5:43 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: February 18, 2016, 6:59 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 17, 2016, 10:26 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 17, 2016, 10:26 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 17, 2016, 6:46 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 17, 2016, 6:46 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, ...
Posted: February 17, 2016, 4:40 pm
Notice That Initial Decision Has Become Final
Posted: February 17, 2016, 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: February 16, 2016, 5:17 pm
Notice That Initial Decision Has Become Final
Posted: February 16, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: February 16, 2016, 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 and Notice of Hearing
Posted: February 12, 2016, 9:26 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing
Posted: February 12, 2016, 9:26 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 12, 2016, 9:26 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 12, 2016, 9:26 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 12, 2016, 9:26 pm
Order Appointing Tax Administrator
Posted: February 12, 2016, 7:55 pm
Order Appointing Tax Administrator
Posted: February 12, 2016, 6:36 pm
Extension Order
Posted: February 11, 2016, 5:45 pm
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 4C and 21C of the Securities Exchange Act of 1934 and Rule ...
Posted: February 11, 2016, 5:45 pm
Extenstion Order
Posted: February 10, 2016, 9:29 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: February 10, 2016, 9:29 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 10, 2016, 2:44 pm
Notice That Initial Decision Has Become Final
Posted: February 10, 2016, 2:30 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 10, 2016, 2:30 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: February 9, 2016, 10:01 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 9, 2016, 7:07 pm
Order Instituting 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 102(e) o...
Posted: February 9, 2016, 6:54 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: February 8, 2016, 10:27 pm
Order Scheduling Order Scheduling
Posted: February 5, 2016, 9:16 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b), 4C and 21C of the Securities Exchange Act of 1934 and Rule 10...
Posted: February 5, 2016, 9:16 pm
Order Directing Transfer of Remaining Funds to the United States Treasury
Posted: February 5, 2016, 9:16 pm
Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
Posted: February 4, 2016, 10:13 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 4, 2016, 10:13 pm
Order Scheduling Oral Argument
Posted: February 4, 2016, 8:58 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 4, 2016, 8:58 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 4, 2016, 8:45 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 4, 2016, 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 Impos...
Posted: February 4, 2016, 7:15 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 4, 2016, 7:15 pm
Order Approving Plan of Distribution
Posted: February 4, 2016, 11:09 am
Order Granting Extension of Time to Submit Proposed Plan of Distribution
Posted: February 3, 2016, 9:14 pm
Notice That Initial Decision Has Become Final
Posted: February 3, 2016, 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 and Notice of Hearing
Posted: February 2, 2016, 6:46 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15B(c) of the Securities Exchange Act of 1934, Making Findings...
Posted: February 2, 2016, 6:00 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15B(c) of the Securities Exchange Act of 1934, Making Findings...
Posted: February 2, 2016, 4:08 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,...
Posted: February 2, 2016, 4:08 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15B(c) of the Securities Exchange Act of 1934, Making Findings...
Posted: February 2, 2016, 4:08 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,...
Posted: February 2, 2016, 4:08 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,...
Posted: February 2, 2016, 4:08 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, and...
Posted: February 2, 2016, 4:08 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,...
Posted: February 2, 2016, 4:08 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,...
Posted: February 2, 2016, 4:08 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...
Posted: February 2, 2016, 4:08 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,...
Posted: February 2, 2016, 4:08 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,...
Posted: February 2, 2016, 4:08 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,...
Posted: February 2, 2016, 4:08 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, ...
Posted: February 2, 2016, 4:08 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...
Posted: February 2, 2016, 4:08 pm
Notice That Initial Decision Has Become Final
Posted: February 2, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: February 2, 2016, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 1, 2016, 10:32 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 1, 2016, 10:32 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 1, 2016, 7:18 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Starcore International Ventures Ltd. (a/k/a Starcore Internation...
Posted: February 1, 2016, 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 Fi...
Posted: January 31, 2016, 9:30 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: January 31, 2016, 9:30 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: January 29, 2016, 10:28 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: January 28, 2016, 7:43 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 28, 2016, 4:55 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 28, 2016, 4:55 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Making Findings, and Imposing Remedial Sanctions
Posted: January 28, 2016, 4:45 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Making Findings, and Imposing Remedial Sanctions
Posted: January 28, 2016, 4:45 pm
Order Denying Petition to Lift Temporary Suspension and Directing Hearing
Posted: January 27, 2016, 9:36 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act Of 1934
Posted: January 27, 2016, 9:36 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: January 27, 2016, 8:42 pm
Order Scheduling Oral Argument
Posted: January 27, 2016, 8:42 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: January 27, 2016, 7:19 pm
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i) of the Commission's Rules of Practice
Posted: January 27, 2016, 7:19 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 22, 2016, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 22, 2016, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 21, 2016, 7:34 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, and...
Posted: January 21, 2016, 7:34 pm
Order Scheduling Oral Argument
Posted: January 21, 2016, 7:14 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 21, 2016, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 21, 2016, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 21, 2016, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 21, 2016, 2:30 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 20, 2016, 8:35 pm
Extension Order
Posted: January 20, 2016, 3:00 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 Imposi...
Posted: January 19, 2016, 10:32 pm
Order Modifying 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 ...
Posted: January 19, 2016, 4:05 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, and Section 203(e) of th...
Posted: January 19, 2016, 3:45 pm
Notice That Initial Decision Has Become Final
Posted: January 19, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: January 19, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: January 19, 2016, 2:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, and Sections 9(b) and 9(f) of the Investment Company Act of 1940, ...
Posted: January 15, 2016, 2:47 pm
Notice That Initial Decision Has Become Final
Posted: January 15, 2016, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: January 15, 2016, 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 Gundaker/Jordan American Holdings, Inc. (a/k/a Jordan American H...
Posted: January 15, 2016, 2:30 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 and Section 15(b)(6) of the Securities Excha...
Posted: January 14, 2016, 7:31 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: January 14, 2016, 7:05 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 14, 2016, 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 14, 2016, 6:15 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 14, 2016, 2:26 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: January 13, 2016, 5:36 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, and Notice of Hearing
Posted: January 13, 2016, 5:36 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 13, 2016, 2:30 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: January 12, 2016, 8:10 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: January 12, 2016, 5:56 pm
Order Making Findings and Imposing a Cease-and-Desist Order and Penalties Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934 as to Miller En...
Posted: January 12, 2016, 5:56 pm
Order Approving Plan of Distribution
Posted: January 12, 2016, 5:56 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: January 11, 2016, 10:13 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 11, 2016, 10:13 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 11, 2016, 9:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Posted: January 11, 2016, 5:10 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 11, 2016, 12:37 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Making Findings, and Imposing Remedial Sanctions
Posted: January 8, 2016, 10:01 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: January 8, 2016, 6:00 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 7, 2016, 4:16 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 7, 2016, 4:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: January 6, 2016, 10:19 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: January 6, 2016, 4:30 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: January 5, 2016, 10:49 pm
Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
Posted: January 5, 2016, 10:49 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: January 5, 2016, 6:44 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 4, 2016, 7:19 pm
Extension Order
Posted: December 31, 2015, 8:48 pm
Notice That Initial Decision Has Become Final
Posted: December 31, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 31, 2015, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 30, 2015, 5:11 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 30, 2015, 5:11 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 30, 2015, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 30, 2015, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 29, 2015, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 29, 2015, 2:30 pm
Notice of Proposed Plan of Distribution and Oppurtunity for Comment
Posted: December 24, 2015, 6:00 pm
Extension Order
Posted: December 24, 2015, 4:00 pm
Extenstion Order
Posted: December 24, 2015, 4:00 pm
Notice That Initial Decision Has Become Final
Posted: December 24, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 24, 2015, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: December 23, 2015, 6:58 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: December 23, 2015, 5:07 pm
Order Instituting Administrative Proceeding and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 23, 2015, 5:07 pm
Notice That Initial Decision Has Become Final
Posted: December 23, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 23, 2015, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 23, 2015, 2:30 pm
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: December 22, 2015, 9:16 pm
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: December 22, 2015, 9:16 pm
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Rule 102(e) of the Commission's...
Posted: December 22, 2015, 9:16 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: December 22, 2015, 8:17 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: December 22, 2015, 8:05 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 22, 2015, 7:02 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: December 22, 2015, 5:49 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: December 22, 2015, 4:50 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: December 22, 2015, 4:50 pm
Notice That Initial Decision Has Become Final
Posted: December 22, 2015, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 22, 2015, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 22, 2015, 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 Find...
Posted: December 21, 2015, 10:36 pm
Order Directing Disbursement of Fair Fund
Posted: December 21, 2015, 9:58 pm
Order Directing Disbursbursement of Fair Fund
Posted: December 21, 2015, 9:56 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: December 21, 2015, 7:36 pm
Order Authorizing the Transfer to the U.S. Treasury of Residual Funds and Any Funds Received by the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: December 21, 2015, 7:15 pm
Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933
Posted: December 21, 2015, 5:49 pm
Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933
Posted: December 21, 2015, 5:49 pm
Notice That Initial Decision Has Become Final
Posted: December 21, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 21, 2015, 2:30 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: December 21, 2015, 11:38 am
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: December 18, 2015, 8:29 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 18, 2015, 5:40 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) an...
Posted: December 18, 2015, 4:30 pm
Notice That Initial Decision Has Become Final
Posted: December 18, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 18, 2015, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 17, 2015, 10:14 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 17, 2015, 10:14 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: December 16, 2015, 3:44 pm
Notice That Initial Decision Has Become Final
Posted: December 16, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 16, 2015, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: December 15, 2015, 10:39 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(e), 203(f) and 203(k) of the Invest...
Posted: December 14, 2015, 10:30 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections...
Posted: December 14, 2015, 10:30 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: December 14, 2015, 9:43 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: December 14, 2015, 9:43 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: December 14, 2015, 9:43 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 9(b) of th...
Posted: December 14, 2015, 1:46 pm
Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities
Posted: December 11, 2015, 2:30 pm
Order Rescheduling Oral Argument
Posted: December 10, 2015, 10:30 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, Making Findings, and Imposin...
Posted: December 10, 2015, 6:40 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: December 10, 2015, 6:40 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 Imposin...
Posted: December 10, 2015, 6:40 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: December 10, 2015, 6:40 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: December 10, 2015, 6:40 pm
Notice That Initial Decision Has Become Final
Posted: December 10, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 10, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 10, 2015, 2:30 pm
Order Appointing Tax Administrator
Posted: December 9, 2015, 4:34 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: December 8, 2015, 10:16 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 8, 2015, 4:22 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 8, 2015, 4:22 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: December 8, 2015, 3:16 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 8, 2015, 2:14 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: December 7, 2015, 4:39 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: December 7, 2015, 4:39 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: December 7, 2015, 4:39 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: December 7, 2015, 4:39 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: December 7, 2015, 4:39 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: December 7, 2015, 4:39 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: December 7, 2015, 4:39 pm
Notice That Initial Decision Has Become Final
Posted: December 7, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 7, 2015, 2:30 pm
Order Cancelling Oral Argument
Posted: December 4, 2015, 10:19 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 4, 2015, 7:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: December 4, 2015, 7:28 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to the Jenex Corp.
Posted: December 4, 2015, 2:30 pm
Order Granting Motion to Amend Order Instituting Proceedings
Posted: December 3, 2015, 9:24 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: December 3, 2015, 3:29 pm
Notice That Initial Decision Has Become Final
Posted: December 3, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 3, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: December 3, 2015, 2:30 pm
Order Scheduling Oral Argument
Posted: December 2, 2015, 10:32 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: December 2, 2015, 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 Practic...
Posted: December 2, 2015, 5:00 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to VRDT Corp.
Posted: December 2, 2015, 2:30 pm
Order Authorizing the Transfer of Remaining Funds and Any Funds Returned to the Fair Fund in the Future to the U.S. Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: December 1, 2015, 10:03 pm
Order Approving Application of Fund Administrator for Payment of Fees and Expenses
Posted: December 1, 2015, 10:03 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: November 30, 2015, 8:54 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act o...
Posted: November 30, 2015, 8:54 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: November 30, 2015, 7:00 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: November 25, 2015, 5:31 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, Making Findings, and Imposi...
Posted: November 25, 2015, 4:09 pm
Notice That Initial Decision Has Become Final
Posted: November 25, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: November 25, 2015, 2:30 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 203(k) of the Investment Advisers Act of 1940, Making Findings and Imposing...
Posted: November 24, 2015, 4:30 pm
Extension Order
Posted: November 23, 2015, 10:04 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: November 23, 2015, 5:25 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: November 23, 2015, 5:25 pm
Order Making Findings and Imposing a Remedial Sanction Pursuant to Rule 102(e) of the Commission's Rules of Practice
Posted: November 23, 2015, 5:06 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: November 23, 2015, 3:10 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease- And-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 as to Christopher Kelly
Posted: November 19, 2015, 3:45 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: November 19, 2015, 3:45 pm
Order Making Findings and Imposing Penalties, 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 Against Sands B...
Posted: November 19, 2015, 3:45 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 19, 2015, 2:30 pm
Order Extending Briefing Schedule
Posted: November 18, 2015, 9:48 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: November 18, 2015, 3:20 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: November 18, 2015, 3:20 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: November 17, 2015, 10:29 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: November 17, 2015, 10:29 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 16, 2015, 9:13 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 16, 2015, 9:13 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: November 16, 2015, 4:30 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 13, 2015, 10:29 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 Imposi...
Posted: November 13, 2015, 3:52 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 13, 2015, 3:52 pm
Notice That Initial Decision Has Become Final
Posted: November 13, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: November 13, 2015, 2:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act...
Posted: November 12, 2015, 10:32 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 12, 2015, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 10, 2015, 3:50 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 9, 2015, 10:31 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: November 9, 2015, 7:29 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: November 9, 2015, 7:29 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: November 9, 2015, 7:29 pm
Notice That Initial Decision Has Become Final
Posted: November 9, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: November 9, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: November 9, 2015, 2:30 pm
Extension Order
Posted: November 6, 2015, 9:45 pm
Notice That Initial Decision Has Become Final
Posted: November 6, 2015, 2:30 pm
Notice That Initial Decision Has Become Final
Posted: November 6, 2015, 2:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 6, 2015, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: November 5, 2015, 9:06 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: November 5, 2015, 6:53 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: November 5, 2015, 6:38 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: November 5, 2015, 5:29 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 5, 2015, 2:30 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: November 4, 2015, 9:17 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(k...
Posted: November 4, 2015, 8:43 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: November 4, 2015, 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 Impos...
Posted: November 3, 2015, 9:17 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: November 3, 2015, 4:25 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: November 2, 2015, 8:35 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 2, 2015, 8:35 pm
Extension Order
Posted: November 2, 2015, 5:00 am
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Life Care Medical Devices Ltd.
Posted: October 30, 2015, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 30, 2015, 1:30 pm
Order Appointing Tax Administrator
Posted: October 30, 2015, 12:09 pm
Order Concerning Civil Penalty and Terminating Administrative and Cease-and-Desist Proceedings
Posted: October 29, 2015, 8:00 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 Section 8A of the Securi...
Posted: October 29, 2015, 8:00 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 Imposi...
Posted: October 29, 2015, 8:00 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: October 28, 2015, 2:04 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 ...
Posted: October 28, 2015, 1:57 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 ...
Posted: October 28, 2015, 1:57 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Madison Venture Capital Group, Inc.
Posted: October 28, 2015, 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: October 27, 2015, 6:56 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 27, 2015, 6:30 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: October 27, 2015, 3:33 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: October 27, 2015, 1:42 pm
Notice That Initial Decision Has Become Final
Posted: October 27, 2015, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act ...
Posted: October 26, 2015, 3:45 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15E(d) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a...
Posted: October 26, 2015, 3:20 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 26, 2015, 2:17 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: October 26, 2015, 2:17 pm
Notice That Initial Decision Has Become Final
Posted: October 26, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 26, 2015, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 23, 2015, 7:29 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 23, 2015, 7:29 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 23, 2015, 6:42 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 and Notice of Hearing
Posted: October 22, 2015, 9:39 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: October 22, 2015, 8:04 pm
Order Extending Time in Which to File Briefs
Posted: October 22, 2015, 4:29 pm
Notice That Initial Decision Has Become Final
Posted: October 22, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 22, 2015, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Sections 203(e), 203(f) and 203(k) of the Investment Advis...
Posted: October 22, 2015, 10:09 am
Extension Order
Posted: October 21, 2015, 8:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: October 21, 2015, 4:21 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 20, 2015, 7:17 pm
Order Making Findings and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934
Posted: October 19, 2015, 9:37 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, 2015, 9:37 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: October 19, 2015, 3:00 pm
Notice That Initial Decision Has Become Final
Posted: October 19, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 19, 2015, 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: October 16, 2015, 5:34 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: October 16, 2015, 5:34 pm
Order Making Findings and Imposing Remedial Sanctions, a Censure and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of ...
Posted: October 16, 2015, 5:22 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 16, 2015, 1:30 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 16, 2015, 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 15, 2015, 9:14 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 15, 2015, 9:14 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: October 15, 2015, 4:58 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to NMI Health, Inc.
Posted: October 15, 2015, 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 14, 2015, 9:12 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 14, 2015, 9:12 pm
Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Posted: October 14, 2015, 8:40 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: October 14, 2015, 7:11 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 F...
Posted: October 14, 2015, 3:07 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: October 14, 2015, 3:07 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: October 14, 2015, 3:07 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: October 14, 2015, 3:07 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: October 14, 2015, 3:07 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: October 14, 2015, 3:07 pm
Notice That Initial Decision Has Become Final
Posted: October 14, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 14, 2015, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions an...
Posted: October 13, 2015, 8:50 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: October 13, 2015, 8:50 pm
Notice That Initial Decision Has Become Final
Posted: October 13, 2015, 7:05 pm
Notice That Initial Decision Has Become Final
Posted: October 13, 2015, 7:05 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: October 13, 2015, 3:28 pm
Order Making Findings and Imposing Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934
Posted: October 9, 2015, 6:32 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Adviser...
Posted: October 8, 2015, 5:29 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: October 8, 2015, 2:56 pm
Notice That Initial Decision Has Become Final
Posted: October 8, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 8, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 8, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: October 8, 2015, 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
Posted: October 7, 2015, 4:56 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: October 7, 2015, 4:56 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 7, 2015, 2:19 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: October 7, 2015, 1:58 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: October 7, 2015, 1:58 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, Making Findings and Imposing...
Posted: October 6, 2015, 3:12 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 o...
Posted: October 5, 2015, 5:13 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: October 5, 2015, 2:28 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 5, 2015, 2:28 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: October 1, 2015, 3:33 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: October 1, 2015, 3:32 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: September 30, 2015, 7:48 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Secutrities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers ...
Posted: September 30, 2015, 7:48 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: September 30, 2015, 6:59 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 30, 2015, 5:21 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 30, 2015, 3:52 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 30, 2015, 3:26 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 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, and...
Posted: September 30, 2015, 2:00 pm
Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities
Posted: September 30, 2015, 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: September 29, 2015, 9:10 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933
Posted: September 29, 2015, 9:10 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 29, 2015, 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: September 29, 2015, 4:42 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: September 29, 2015, 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: September 29, 2015, 4:42 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 29, 2015, 2:36 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: September 29, 2015, 2:36 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 29, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 29, 2015, 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 29, 2015, 9:04 am
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 29, 2015, 9:04 am
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 Notice of Hearing
Posted: September 28, 2015, 8:14 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934
Posted: September 28, 2015, 8:14 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, 2015, 8:14 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, 2015, 8:14 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: September 28, 2015, 6:26 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposi...
Posted: September 28, 2015, 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 25, 2015, 9:44 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, Section 9(b) of the Inves...
Posted: September 24, 2015, 2:57 pm
Notice That Initial Decision Has Become Final
Posted: September 24, 2015, 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 23, 2015, 8:39 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: September 23, 2015, 4:00 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 22, 2015, 7:36 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 22, 2015, 7:10 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 22, 2015, 4:49 pm
Notice That Initial Decision Has Become Final
Posted: September 22, 2015, 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 Imposi...
Posted: September 21, 2015, 4:46 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: September 21, 2015, 3:12 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: September 21, 2015, 3:09 pm
Order Vacating Commission Order Dated August 14, 2007, File No. 3-12671, and Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exch...
Posted: September 18, 2015, 8:35 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 4C and 21C of the Securities Exchange Act of 193...
Posted: September 18, 2015, 4:11 pm
Order Instituting Public Administrative and Cease and Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 4C and 21C of the Securities Exchange Act of 1934, and Rul...
Posted: September 18, 2015, 4:11 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 4C and 21C of the Securities Exchange Act of 193...
Posted: September 18, 2015, 4:11 pm
Order Dismissing Chris Whetman, CPA From Proceeding
Posted: September 18, 2015, 4:11 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 4C and 21C of the Securities Exchange Act of 193...
Posted: September 18, 2015, 4:11 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 Section 15(b)(6) of the Securities Exchange Act of 1934 a...
Posted: September 18, 2015, 4:11 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: September 17, 2015, 8:25 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C, 15(b), and 21C of the Securities Exchange Act of 1934, Section 9...
Posted: September 17, 2015, 6:27 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 17, 2015, 4:58 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 17, 2015, 4:58 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 17, 2015, 4:58 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 16, 2015, 7:18 pm
Notice That Initial Decision Has Become Final
Posted: September 16, 2015, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securites Exchange Act of 1934, Sections 203(f) and 203(...
Posted: September 15, 2015, 9:38 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 15, 2015, 8:28 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 15, 2015, 8:28 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: September 15, 2015, 6:08 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commissions Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: September 15, 2015, 6:08 pm
Notice That Initial Decision Has Become Final
Posted: September 14, 2015, 1:30 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: September 11, 2015, 9:16 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: September 11, 2015, 9:16 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 21B and 21C of the Securities Exchange Act of 1934 and Section 9(d) of the Investment Company Act of 1940
Posted: September 11, 2015, 8:56 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 11, 2015, 4:39 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 11, 2015, 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 10, 2015, 8:44 pm
Order Establishing Fair Fund and Approving Plan of Distribution First Payment Default Practice
Posted: September 10, 2015, 6:16 pm
Order Establishing Fair Fund and Approving Plan of Distribution Bulk Settlement Practice
Posted: September 10, 2015, 6:16 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 10, 2015, 5:12 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 10, 2015, 5:12 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: September 10, 2015, 5:12 pm
Notice That Initial Decision Has Become Final
Posted: September 10, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 10, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 10, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 10, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 10, 2015, 1:30 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 9, 2015, 5:00 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(e...
Posted: September 9, 2015, 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 Practic...
Posted: September 9, 2015, 2:30 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 Practic...
Posted: September 9, 2015, 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 and Civil Penalty
Posted: September 9, 2015, 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 and Civil Penalty
Posted: September 9, 2015, 2:30 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, Imp...
Posted: September 8, 2015, 6:19 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 8, 2015, 6:19 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 Find...
Posted: September 8, 2015, 6:19 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...
Posted: September 8, 2015, 2:37 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 Cease-and-D...
Posted: September 8, 2015, 2:37 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 8, 2015, 2:37 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 8, 2015, 2:37 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...
Posted: September 8, 2015, 2:37 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...
Posted: September 8, 2015, 2:37 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 8, 2015, 2:37 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 4, 2015, 7:26 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: September 4, 2015, 4:30 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 4, 2015, 4:30 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, Imp...
Posted: September 3, 2015, 8:53 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Posted: September 3, 2015, 8:42 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: September 3, 2015, 6:52 pm
Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
Posted: September 3, 2015, 5:20 pm
Order Appointing Tax Administrator
Posted: September 3, 2015, 5:20 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: September 2, 2015, 9:24 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 2, 2015, 9:24 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 2, 2015, 9:24 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C, 15(b), and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investmen...
Posted: September 2, 2015, 6:24 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 Ordering Continuation of Proceeding...
Posted: September 2, 2015, 2:18 pm
Notice That Initial Decision Has Become Final
Posted: September 2, 2015, 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 1, 2015, 8:48 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: September 1, 2015, 8:48 pm
Order Extending Time in Which to File Briefs
Posted: September 1, 2015, 8:48 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: September 1, 2015, 1:44 pm
Notice That Initial Decision Has Become Final
Posted: September 1, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 1, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: September 1, 2015, 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, Making Findings, and Imposin...
Posted: August 31, 2015, 8:04 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Posted: August 28, 2015, 5:36 pm
Notice That Initial Decision Has Become Final
Posted: August 28, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 28, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 28, 2015, 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 27, 2015, 9:21 pm
Notice That Initial Decision Has Become Final
Posted: August 26, 2015, 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 25, 2015, 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 Imposi...
Posted: August 25, 2015, 8:42 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, Making Findin...
Posted: August 25, 2015, 8:42 pm
Extension Order
Posted: August 25, 2015, 4:03 pm
Notice That Initial Decision Has Become Final
Posted: August 20, 2015, 1:30 pm
Order Authorizing 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: August 19, 2015, 9:18 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: August 19, 2015, 5:02 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: August 19, 2015, 5:02 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 19, 2015, 4:02 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Adviser...
Posted: August 19, 2015, 2:55 pm
Notice That Initial Decision Has Become Final
Posted: August 19, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 19, 2015, 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 Biocoral, Inc.
Posted: August 19, 2015, 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 18, 2015, 9:13 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: August 18, 2015, 3:50 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 18, 2015, 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 17, 2015, 9:10 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: August 17, 2015, 9:10 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 15(b)(4) of the Securities Exchange Act of 1934, and Sections 203(e) ...
Posted: August 17, 2015, 2:30 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 14, 2015, 8:20 pm
Order Approving Application of Fund Administrator for Payment of Fees and Expenses
Posted: August 14, 2015, 7:38 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: August 13, 2015, 3:35 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings,...
Posted: August 13, 2015, 3:35 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Silverado Gold Mines Ltd.
Posted: August 13, 2015, 1:30 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, Sect...
Posted: August 13, 2015, 1:03 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b), 15B(c), and 21C of the Securities Exchange Act of 1934, M...
Posted: August 13, 2015, 1:03 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: August 12, 2015, 8:16 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 12, 2015, 8:07 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 12, 2015, 7:17 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 12, 2015, 7:17 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 12, 2015, 7:17 pm
Order Directing Disbursement of Disgorgement Fund
Posted: August 12, 2015, 5:56 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: August 12, 2015, 4:41 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: August 12, 2015, 3:20 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: August 12, 2015, 3:20 pm
Notice That Initial Decision Has Become Final
Posted: August 12, 2015, 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 Madison Acquisition Ventures, Inc.
Posted: August 12, 2015, 1:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 8A of the Securities Act of 1933, and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings a...
Posted: August 12, 2015, 1:00 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing...
Posted: August 11, 2015, 9:45 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: August 11, 2015, 8:37 pm
Extension Order
Posted: August 11, 2015, 8:37 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: August 11, 2015, 8:37 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 10, 2015, 4:04 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: August 10, 2015, 4:04 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 10, 2015, 4:04 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: August 10, 2015, 3:35 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 Imp...
Posted: August 7, 2015, 4:08 pm
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: August 7, 2015, 4:08 pm
Notice That Initial Decision Has Become Final
Posted: August 7, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: August 7, 2015, 1:30 pm
Order Making Findings and Suspending the Effectiveness of Registration Statement Pursuant to Section 8(d) of the Securities Act of 1933
Posted: August 6, 2015, 8:36 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Inv...
Posted: August 6, 2015, 3:21 pm
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment C...
Posted: August 6, 2015, 3:21 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 1940...
Posted: August 6, 2015, 3:21 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers Act of 1940, and Rule 102(...
Posted: August 6, 2015, 3:21 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 ...
Posted: August 6, 2015, 1:55 pm
Notice That Initial Decision Has Become Final
Posted: August 6, 2015, 1:30 pm
Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Posted: August 5, 2015, 9:16 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: August 5, 2015, 9:16 pm
Order Granting Extension
Posted: August 5, 2015, 9:16 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, Section 203(f...
Posted: August 5, 2015, 9:16 pm
Order Instituting Public Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: August 5, 2015, 3:05 pm
Order Instituting Public Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: August 5, 2015, 2:52 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: August 5, 2015, 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 5, 2015, 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 4, 2015, 9:47 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 4, 2015, 5:29 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 194...
Posted: August 4, 2015, 4:55 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 4, 2015, 3:55 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 4, 2015, 3:55 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 4, 2015, 3:55 pm
Extension Order
Posted: August 3, 2015, 9:23 pm
Notice That Initial Decision Has Become Final
Posted: August 3, 2015, 1:30 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: July 31, 2015, 9:20 pm
Notice That Initial Decision Has Become Final
Posted: July 31, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 31, 2015, 1:30 pm
Order Appointing Tax Administrator
Posted: July 30, 2015, 9:32 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: July 30, 2015, 9:32 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: July 30, 2015, 4:52 pm
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: July 30, 2015, 4:52 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: July 30, 2015, 4:52 pm
Notice That Initial Decision Has Become Final
Posted: July 30, 2015, 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 Sedona Corp.
Posted: July 30, 2015, 1:30 pm
Order Directing Disbursement of Fair Fund
Posted: July 29, 2015, 9:06 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 29, 2015, 6:05 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 29, 2015, 2:24 pm
Notice That Initial Decision Has Become Final
Posted: July 29, 2015, 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 Wolverine Holding Corp. (a/k/a Mobility Plus Medical Equipment, ...
Posted: July 29, 2015, 1:30 pm
Order Granting Extensions and Clarifying Prior Orders
Posted: July 28, 2015, 8:44 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: July 28, 2015, 8:44 pm
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS AND NOTICE OF HEARING PURSUANT TO SECTION 12(j) OF THE SECURITIES EXCHANGE ACT OF 1934
Posted: July 28, 2015, 8:44 pm
Extension Order
Posted: July 28, 2015, 7:54 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 203(f) of the Investment Adv...
Posted: July 28, 2015, 4:41 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 Ordering Continuation of Proceeding...
Posted: July 28, 2015, 4:41 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 Ordering Continuation of Proceeding...
Posted: July 28, 2015, 4:41 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: July 28, 2015, 2:40 pm
Extension Order
Posted: July 27, 2015, 7:23 pm
Notice That Initial Decision Has Become Final
Posted: July 27, 2015, 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 LL&E Royalty Trust
Posted: July 27, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 27, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 27, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 27, 2015, 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, Making Findings, and Imposin...
Posted: July 24, 2015, 8:02 pm
Order Approving Plan of Distribution
Posted: July 24, 2015, 7:06 pm
Order Approving a Plan of Distribution
Posted: July 24, 2015, 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 an...
Posted: July 24, 2015, 4:51 pm
Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
Posted: July 23, 2015, 5:46 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, Section 203(f) of the I...
Posted: July 23, 2015, 4:37 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 23, 2015, 4:37 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, and...
Posted: July 23, 2015, 4:37 pm
Notice That Initial Decision Has Become Final
Posted: July 23, 2015, 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 Microsmart Devices, Inc.
Posted: July 23, 2015, 1:30 pm
Order Granting Extension of Time to Submit Proposed Plan of Distribution
Posted: July 22, 2015, 8:56 pm
Extension Order
Posted: July 22, 2015, 6:56 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: July 21, 2015, 7:47 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 20, 2015, 9:54 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 20, 2015, 9:54 pm
Order Directing Disbursement of a Fair Fund
Posted: July 17, 2015, 9:01 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: July 17, 2015, 9:01 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: July 17, 2015, 6:45 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: July 16, 2015, 7:55 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 16, 2015, 6:14 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 16, 2015, 6:14 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: July 16, 2015, 6:14 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Oraco Resources, Inc.
Posted: July 15, 2015, 1:30 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 15, 2015, 1:30 pm
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 15, 2015, 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: July 14, 2015, 9:17 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, 2015, 4:55 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 14, 2015, 2:00 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Savicorp (a/k/a Savi Media Group, Inc.)
Posted: July 13, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 13, 2015, 1:30 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, Imposing Remedial Sancti...
Posted: July 10, 2015, 4:31 pm
Notice That Initial Decision Has Become Final
Posted: July 10, 2015, 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: July 9, 2015, 9:40 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 9, 2015, 9:40 pm
Notice That Initial Decision Has Become Final
Posted: July 9, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 9, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 9, 2015, 1:30 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, Section 9(b) of the Invest...
Posted: July 8, 2015, 9:44 pm
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS AND NOTICE OF HEARING PURSUANT TO SECTION 12(j) OF THE SECURITIES EXCHANGE ACT OF 1934
Posted: July 8, 2015, 8:24 pm
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS AND NOTICE OF HEARING PURSUANT TO SECTION 12(j) OF THE SECURITIES EXCHANGE ACT OF 1934
Posted: July 8, 2015, 8:24 pm
Notice That Initial Decision Has Become Final
Posted: July 8, 2015, 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 8, 2015, 1:30 pm
Order Amending 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 R...
Posted: July 8, 2015, 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 8, 2015, 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 7, 2015, 8:05 pm
Order Instituting Cease-Anddesist Proceedings Pursuant to Section 9(f) of the Investment Company Act of 1940, Making Findings and Imposing a Ceaseand- Desist Order
Posted: July 7, 2015, 2:17 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Heartland Wisconsin, Corp.
Posted: July 7, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 7, 2015, 1:30 pm
Notice That Initial Decision Has Become Final
Posted: July 7, 2015, 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 Cea...
Posted: July 6, 2015, 6:11 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Smoky Market Foods, Inc.
Posted: July 2, 2015, 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 1, 2015, 7:46 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: July 1, 2015, 7:46 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: July 1, 2015, 6:03 pm
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934, Section 9(f) of the Investment Company Act of 1940, ...
Posted: July 1, 2015, 5:40 pm
Extension Order
Posted: July 1, 2015, 3:29 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 1, 2015, 2:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers Act of 1940 and Sectio...
Posted: July 1, 2015, 2:30 pm