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SEC.gov Updates: Administrative Proceedings



The latest administrative proceedings from the Securities and Exchange Commission



Published: Thu, 27 Apr 2017 00:00:01 GMT

Last Build Date: Thu, 27 Apr 2017 15:31:41 EDT

 



Abida Khan

Thu, 27 Apr 2017 15:31:41 EDT

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



Christopher Cervino

Thu, 27 Apr 2017 15:31:41 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing



Focus Media Holding Limited and Jason Jiang

Thu, 27 Apr 2017 14:58:55 EDT

Third Extension Order



Bear, Stearns & Co. and Bear, Stearns Securities Corp.

Thu, 27 Apr 2017 14:58:55 EDT

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



Yul L. Pinto Ayala

Thu, 27 Apr 2017 13:08:35 EDT

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



UBS Financial Services Incorporated of Puerto Rico

Thu, 27 Apr 2017 13:08:35 EDT

Notice of Proposed Plan of Distribution and Opportunity for Comment



Wilson-Davis & Company, Inc.

Wed, 26 Apr 2017 17:19:16 EDT

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



Prospect Ventures, Inc., et al.

Wed, 26 Apr 2017 17:19:16 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Blackrock Fund Advisors

Wed, 26 Apr 2017 16:34:26 EDT

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



Harold Ray Smith

Wed, 26 Apr 2017 09:09:23 EDT

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 Cease-and-Desist Order



Alliance Capital Management, L.P.

Tue, 25 Apr 2017 17:58:35 EDT

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



Blackrock Fund Advisors

Tue, 25 Apr 2017 16:50:17 EDT

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



Axesstel, Inc.

Tue, 25 Apr 2017 09:30:00 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Jared M. Galanis

Mon, 24 Apr 2017 16:16:27 EDT

Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice



Mark McKinnies, CPA

Fri, 21 Apr 2017 13:25:57 EDT

Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions



Biovest International, Inc., et al.

Thu, 20 Apr 2017 10:31:57 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



ABN AMRO Clearing Chicago LLC

Thu, 20 Apr 2017 10:31:57 EDT

Order Granting Motion to Extend Time to File Certified Record



6D Global Technologies, Inc. the NASDAQ Stock Market LLC

Wed, 19 Apr 2017 17:32:39 EDT

Order Regarding NASDAQ's Motion to Dismiss and Proposed Briefing Schedule On the Motion to Dismiss



Mark J. Varacchi

Wed, 19 Apr 2017 16:09:22 EDT

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Michael D. Shumway

Tue, 18 Apr 2017 17:20:20 EDT

Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice



Jeffory Churchfield

Tue, 18 Apr 2017 12:21:19 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Anthony Coronati and Bidtoask LLC

Mon, 17 Apr 2017 13:48:05 EDT

Order Approving Plan of Distribution



Prestige Financial Corp., et al.

Mon, 17 Apr 2017 09:30:00 EDT

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.



Paul Leon White, II

Fri, 14 Apr 2017 16:03:54 EDT

Order Granting Motion to Extend Time to File Briefs



Joseph J. Fox

Fri, 14 Apr 2017 11:07:58 EDT

Extension Order



Mark D. Holt and (a/k/a Mark D. Holthusen)

Thu, 13 Apr 2017 18:00:50 EDT

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



CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc.

Thu, 13 Apr 2017 16:10:00 EDT

Order Directing Disbursement of Fair Fund



Solar Shore One, Inc., et al.

Thu, 13 Apr 2017 12:40:52 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Anthony G. Sciarra

Wed, 12 Apr 2017 17:10:49 EDT

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 Remedial Sanctions



Travis A. Wetzel

Wed, 12 Apr 2017 17:10:49 EDT

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 Remedial Sanctions



Focus Media Holding Limited and Jason Jiang

Tue, 11 Apr 2017 17:33:46 EDT

Order Appointing Fund Plan Administrator and Setting Bond Amount



Clayton A. Cohn

Tue, 11 Apr 2017 16:42:22 EDT

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Andrew C. Powell

Tue, 11 Apr 2017 16:42:22 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Robert N. Tricarico

Mon, 10 Apr 2017 16:52:45 EDT

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 Remedial Sanctions



Christopher French

Mon, 10 Apr 2017 10:30 EDT

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-Desist Order



Manish Singh and Lavos, LLC

Mon, 10 Apr 2017 10:30 EDT

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 Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Lion Biotechnologies, Inc.

Mon, 10 Apr 2017 10:30 EDT

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-Desist Order



Craig Keolanui

Mon, 10 Apr 2017 10:30 EDT

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-Desist Order



ImmunoCellular Therapeutics, Ltd.

Mon, 10 Apr 2017 10:30 EDT

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-Desist Order



Galena Biopharma, Inc. and Mark J. Ahn

Mon, 10 Apr 2017 10:30 EDT

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-Desist Order



Cytrx Corporation

Mon, 10 Apr 2017 10:30 EDT

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



Ciaran Thornton

Mon, 10 Apr 2017 10:30 EDT

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-Desist Order



Michael A. McCarthy, et al.

Mon, 10 Apr 2017 10:30 EDT

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



Stephen Ramey

Mon, 10 Apr 2017 10:30 EDT

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-Desist Order



Edward Borrelli and Dunedin, Inc.

Mon, 10 Apr 2017 10:30 EDT

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



Joel Corenman

Mon, 10 Apr 2017 10:30 EDT

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-Desist Order



Anthony C. Zufelt

Fri, 07 Apr 2017 14:14:13 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934



William B. Fretz, Jr., et al.

Thu, 06 Apr 2017 14:09:45 EDT

Notice of Proposed Plan of Distribution and Opportunity for Comment



Dustin S. Smith

Thu, 06 Apr 2017 14:09:45 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Ashif Jiwa

Thu, 06 Apr 2017 12:54:58 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



John T. Lynch, Jr.

Wed, 05 Apr 2017 11:57:26 EDT

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, Section 9(b) of the Investment Company Act of 1940, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing



Lawson Financial Corporation and Robert Lawson

Wed, 05 Apr 2017 11:57:26 EDT

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 Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Sanford Michael Katz

Tue, 04 Apr 2017 14:29:43 EDT

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 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Credit Suisse Securities (USA) LLC

Tue, 04 Apr 2017 14:29:43 EDT

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 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



William Joseph Kouser Jr., CPA and Ryan James Dougherty, CPA

Tue, 04 Apr 2017 12:30 EDT

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 Imposing Remedial Sanctions



International Building Concepts Ltd. (n/k/a Home Builders International, Inc.), et al.

Mon, 03 Apr 2017 17:40:37 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Cygs, LLC

Fri, 31 Mar 2017 14:17:17 EDT

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 Cease-and-Desist Order



Kenneth Mack and Bryan McMillan

Fri, 31 Mar 2017 14:17:17 EDT

Extension Order



Orthofix International N.V.

Fri, 31 Mar 2017 14:17:17 EDT

Extension Order



Brian McCollum

Fri, 31 Mar 2017 14:17:17 EDT

Extension Order



Jeffrey Hammel, CPA

Fri, 31 Mar 2017 14:17:17 EDT

Extension Order



Thomas H. Caniford

Fri, 31 Mar 2017 10:16:32 EDT

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



Real Hip-Hop Network, Inc., et al.

Thu, 30 Mar 2017 16:16:26 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Paul L. Gomez

Thu, 30 Mar 2017 16:16:26 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Vincent Mehdizadeh

Thu, 30 Mar 2017 16:03:31 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Covenant Financial Services, LLC and Stephen Shafer

Wed, 29 Mar 2017 16:30:54 EDT

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 Sanctions and a Cease-and-Desist Order



Louis Capital Markets, LP

Wed, 29 Mar 2017 16:30:54 EDT

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 Cease-and-Desist Order



Alison, LLC and Stephen D. Alison

Wed, 29 Mar 2017 13:12:31 EDT

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 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Advanced Emissions Solutions, Inc.

Wed, 29 Mar 2017 13:12:31 EDT

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-Desist Order



CirTran Corp., et al.

Tue, 28 Mar 2017 09:30:00 EDT

Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to CirTran Corp.



William Quigley

Fri, 24 Mar 2017 15:47:37 EDT

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 1934, as to Respondent



Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry

Thu, 23 Mar 2017 15:48:53 EDT

Order Approving Plan of Distribution



Sheldon Rose and MKJJ Consulting LLC

Thu, 23 Mar 2017 15:48:53 EDT

Order Making Findings and Imposing Remedial Sanctions



William D. Bucci

Wed, 22 Mar 2017 16:44:13 EDT

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



Sen Yu International Holdings, Inc.

Wed, 22 Mar 2017 09:30:00 EDT

Notice That Initial Decision Has Become Final



China Biopharma, Inc., et al.

Wed, 22 Mar 2017 09:30:00 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Vampt America, Inc. and Westport Energy Holdings, Inc.

Wed, 22 Mar 2017 09:30:00 EDT

Notice That Initial Decision Has Become Final



Aquanatural Co., Bullet Sports International, Inc. and Pearce Systems International, Inc.

Wed, 22 Mar 2017 09:30:00 EDT

Notice That Initial Decision Has Become Final



PAB Bankshares, Inc. and USABG Corp.

Wed, 22 Mar 2017 09:30:00 EDT

Notice That Initial Decision Has Become Final



Ben Franklin Retail Stores, Inc., Enrotek Corp. and Spectre Gaming, Inc.

Wed, 22 Mar 2017 09:30:00 EDT

Notice That Initial Decision Has Become Final



David P. Hobson

Mon, 20 Mar 2017 12:25:09 EDT

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 Remedial Sanctions



Ubiquity, Inc.

Mon, 20 Mar 2017 09:30:00 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Ernst & Young LLP, et al.

Fri, 17 Mar 2017 14:24:00 EDT

Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA



Shallbetter Industries, Inc., et al.

Fri, 17 Mar 2017 08:55:09 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Warren D. Nadel

Thu, 16 Mar 2017 15:37:14 EDT

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



Aaron R. Parthemer

Tue, 14 Mar 2017 13:00 EDT

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 Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing



Nima Hedayati

Tue, 14 Mar 2017 13:00 EDT

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, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Jeremy S. Hixson

Mon, 13 Mar 2017 16:58:24 EDT

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 Remedial Sanctions



Stifel and Nicolaus & Company, Incorporated

Mon, 13 Mar 2017 16:25:28 EDT

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



Computer Sciences Corporation, et al.

Mon, 13 Mar 2017 16:25:28 EDT

Notice of Proposed Plan of Distribution and Opportunity for Comment



G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC

Mon, 13 Mar 2017 16:25:28 EDT

Order Directing Third Disbursement of Fair Fund



Michael J. Breton

Mon, 13 Mar 2017 12:20:37 EDT

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Victor Alfaya

Fri, 10 Mar 2017 11:31:45 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing



Talman Harris

Fri, 10 Mar 2017 11:31:45 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing



Ronald Loshin

Fri, 10 Mar 2017 11:31:45 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Mark M. George

Thu, 09 Mar 2017 17:46:49 EST

Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice



Patrick Churchville

Thu, 09 Mar 2017 11:49:51 EST

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 Remedial Sanctions



Voya Financial Advisors, Inc.

Wed, 08 Mar 2017 13:15:31 EST

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 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Adam L. Plumer

Wed, 08 Mar 2017 13:15:31 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



GCA I Acquisition Corp., et al.

Wed, 08 Mar 2017 12:32:07 EST

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934