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Preview: SEC.gov Updates: Administrative Proceedings

SEC.gov Updates: Administrative Proceedings



The latest administrative proceedings from the Securities and Exchange Commission



Published: Tue, 21 Feb 2017 00:00:01 GMT

Last Build Date: Tue, 21 Feb 2017 12:21:27 EST

 



UBS Financial Services Inc. of Puerto Rico

Tue, 21 Feb 2017 12:21:27 EST

Order Approving Plan of Distribution



Kalex Corp.

Tue, 21 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



BioNovo, Inc. InterAmerican Gaming, Inc. and Spot Mobile International Ltd.

Tue, 21 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Accel Brands, Inc.

Tue, 21 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



MFN Technologies, Inc.

Tue, 21 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Christopher M. Cunningham

Fri, 17 Feb 2017 15:32:30 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



Joseph L. Pittera, Esq.

Fri, 17 Feb 2017 14:54:24 EST

Order Making Findings and Imposing Remedial Sanction Pursuant to Rule 102(e) of the Commission's Rules of Practice



Hydrocarb Energy Corp.

Fri, 17 Feb 2017 12:28:46 EST

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



Edward M. Daspin and a/k/a "Edward (Ed) Michael"

Fri, 17 Feb 2017 09:54:52 EST

Order Denying Request for Extension of Time to File Reply Brief



Jay T. Comeaux

Fri, 17 Feb 2017 09:54:52 EST

Order Making Findings and Imposing Disgorgement and Civil Penalties



Angel Oak Capital Partners, LLC, et al.

Thu, 16 Feb 2017 15:35:01 EST

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, and Notice of Hearing



James P. Griffin

Thu, 16 Feb 2017 12:56:52 EST

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



Morgan Asset Management, Inc., et al.

Wed, 15 Feb 2017 17:13:47 EST

Order Setting Fund Administrator’s Bond Amount



CVR Energy, Inc.

Tue, 14 Feb 2017 15:47:28 EST

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



Jeffrey E. Eberwein; Lone Star Value Management, et al.

Tue, 14 Feb 2017 15:47:28 EST

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



Morgan Stanley Smith Barney, LLC

Tue, 14 Feb 2017 10:26:32 EST

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 a Cease-and-Desist Order



Thomas R. Stanley, II

Mon, 13 Feb 2017 17:38:50 EST

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



Sidoti & Company, LLC

Mon, 13 Feb 2017 14:30 EST

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



Joseph A. Nelson

Mon, 13 Feb 2017 14:30 EST

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



Columbia Management Investment Services Corp.

Fri, 10 Feb 2017 13:54:01 EST

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 Cease-and-Desist Order



Sylvester King Jr.

Fri, 10 Feb 2017 13:54:01 EST

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



William G. Goode

Thu, 09 Feb 2017 16:29:08 EST

Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Raymond H. Barton

Thu, 09 Feb 2017 16:19:43 EST

Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Jaypee International, Inc. and Sorabh Arora

Thu, 09 Feb 2017 15:25:56 EST

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



Credit Suisse Alternative Capital, et al.

Thu, 09 Feb 2017 10:07:41 EST

Order Approving Plan of Distribution and Directing Disbursement of Fair Fund



Darren Goodrich

Wed, 08 Feb 2017 17:26:00 EST

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



Jeffrey Slocum & Associates, Inc. and Jeffrey C. Slocum

Wed, 08 Feb 2017 16:49:45 EST

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 a Cease-and-Desist Order



Ash Narayan

Wed, 08 Feb 2017 16:31:19 EST

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



Thomas A. Guerriero

Wed, 08 Feb 2017 09:39:00 EST

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



Oxford City Football Club, Inc.

Wed, 08 Feb 2017 09:30:00 EST

Order Instituting Administrative Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities



Gregg D. Caplitz

Tue, 07 Feb 2017 17:20:07 EST

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



Rosalind Herman

Tue, 07 Feb 2017 17:20:07 EST

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing



Olde Monmouth Stock Transfer Co., Inc. and Matthew J. Troster

Tue, 07 Feb 2017 15:52:48 EST

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 Imposing Remedial Sanctions and a Cease-and-Desist Order



SLRA Inc. as Successor Entity to Liquid Realty Advisors III, LLC and Scott M. Landress

Tue, 07 Feb 2017 13:05 EST

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



Robert S. McGregor

Tue, 07 Feb 2017 11:38:01 EST

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



Aaron Nash Kazinec

Mon, 06 Feb 2017 15:12:55 EST

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



Dynamic Response Group, Inc., Eagle Telephonics, Inc. and Far East Energy Corporation

Mon, 06 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Questrust Ventures, Inc. and Zaring Homes, Inc.

Mon, 06 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Ixia and Victor Alston

Fri, 03 Feb 2017 17:39:33 EST

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 Sanctions and a Cease-and-Desist Order



Karl E. Hahn

Fri, 03 Feb 2017 15:44:11 EST

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



Kirk D. Porter

Fri, 03 Feb 2017 15:44:11 EST

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



Thomas H. Caniford

Thu, 02 Feb 2017 17:36:12 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 and Notice of Hearing



Fibercorp International, Inc., Hygenics Pharmaceuticals, Inc. and Investors Trust, Inc.

Thu, 02 Feb 2017 14:58:58 EST

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



AVT, Inc., et al.

Thu, 02 Feb 2017 14:58:58 EST

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



Delverton Resorts International Inc.

Thu, 02 Feb 2017 14:58:58 EST

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



David A. Aronson, CPA

Tue, 31 Jan 2017 10:54:08 EST

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 of Practice



GL Investment Services, LLC

Mon, 30 Jan 2017 16:09:35 EST

Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Notice of Hearing



GL Capital Partners, LLC

Mon, 30 Jan 2017 16:09:35 EST

Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Notice of Hearing



Bill the Butcher, Inc.

Mon, 30 Jan 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Harvey Altholtz

Fri, 27 Jan 2017 12:54:08 EST

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



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

Fri, 27 Jan 2017 12:44:00 EST

Notice of Proposed Plan of Distribution and Oppurtunity for Comment



Sandra Dyche

Thu, 26 Jan 2017 12:51:14 EST

Order Directing Disbursement of Fair Fund



Anderson Bradshaw PLLC, et al.

Thu, 26 Jan 2017 12:51:14 EST

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



Citigroup Global Markets, Inc.

Thu, 26 Jan 2017 12:10 EST

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



Palestra Capital Management LLC

Thu, 26 Jan 2017 12:10 EST

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



Richard Medina, Jr.

Wed, 25 Jan 2017 16:35:39 EST

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



Infeed Medica Corp.

Wed, 25 Jan 2017 16:35:39 EST

Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933



Windsor Street Capital, et al.

Wed, 25 Jan 2017 16:35:39 EST

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(b) of the Investment Company Act of 1940 and Notice of Hearing



Hans Peter Black and Interinvest Corporation, Inc.

Tue, 24 Jan 2017 17:37:36 EST

Order Instituting Administrative Proceedings Pursuant to Sections 203(e) and (f) of the Investment Advisers Act of 1940 and Notice of Hearing



Jan E. Helen

Tue, 24 Jan 2017 15:34:19 EST

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, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940



Geoffrey J. Block

Tue, 24 Jan 2017 13:10:30 EST

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



Sandra Dyche

Tue, 24 Jan 2017 13:10:30 EST

Order Approving Plan of Distribution



Morgan Stanley Smith Barney LLC

Tue, 24 Jan 2017 12:45:48 EST

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



Citigroup Global Markets, Inc.

Tue, 24 Jan 2017 12:45:48 EST

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



Donald P. Jones, CPA

Mon, 23 Jan 2017 15:53:18 EST

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



Shelly R. McGuire, CPA

Mon, 23 Jan 2017 15:53:18 EST

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



Overseas Shipholding Group, Inc. and Myles Robert Itkin

Mon, 23 Jan 2017 15:45 EST

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



Ane Plate

Mon, 23 Jan 2017 12:10:31 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



Bob Brakeman Enterprises, LLC and Robert D. Brakeman

Thu, 19 Jan 2017 17:47:07 EST

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



VCAP Securities, LLC and Brett Thomas Graham

Thu, 19 Jan 2017 17:47:07 EST

ORDER DIRECTING DISBURSEMENT OF FAIR FUND



Susan M. Diamond

Thu, 19 Jan 2017 14:57:34 EST

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



Andrew Scott Jensen

Thu, 19 Jan 2017 14:36:56 EST

Extension Order



HomeStreet, Inc. and Darrell Van Amen

Thu, 19 Jan 2017 13:00 EST

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



Orthofix International N.V.

Wed, 18 Jan 2017 14:45:34 EST

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



Mer Telemanagement Solutions Ltd.

Wed, 18 Jan 2017 14:32:09 EST

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



Eytan Bar

Wed, 18 Jan 2017 14:32:09 EST

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



MDC Partners Inc.

Wed, 18 Jan 2017 13:15 EST

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



General Motors Company

Wed, 18 Jan 2017 11:40 EST

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



Kenneth Mack and Bryan McMillan

Wed, 18 Jan 2017 11:20 EST

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



Brian McCollum

Wed, 18 Jan 2017 11:20 EST

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



Jeffrey Hammel, CPA

Wed, 18 Jan 2017 11:20 EST

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 102(e) of the Commission's Rules of Practice, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order



Orthofix International N.V.

Wed, 18 Jan 2017 11:20 EST

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 Sanctions and a Cease-and-Desist Order



Charles A. Bennett

Wed, 18 Jan 2017 10:26:34 EST

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



Gregory W. Gray, Jr.

Tue, 17 Jan 2017 16:11:59 EST

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



Allergan, Inc.

Tue, 17 Jan 2017 16:11:59 EST

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



Abraham M. Fisch, Esq.

Tue, 17 Jan 2017 16:11:59 EST

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



Adams Capital Management, Inc.

Tue, 17 Jan 2017 12:50 EST

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 a Cease-and-Desist Order



Aisling Capital LLC

Tue, 17 Jan 2017 12:50 EST

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 a Cease-and-Desist Order



Commonwealth Venture Management Corp.

Tue, 17 Jan 2017 12:50 EST

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 a Cease-and-Desist Order



Alta Communications, Inc.

Tue, 17 Jan 2017 12:50 EST

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 a Cease-and-Desist Order



Cypress Advisors, Inc.

Tue, 17 Jan 2017 12:50 EST

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 a Cease-and-Desist Order



NGN Capital LLC

Tue, 17 Jan 2017 12:50 EST

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 a Cease-and-Desist Order



Lime Rock Management LP

Tue, 17 Jan 2017 12:50 EST

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 a Cease-and-Desist Order



FFL Partners, LLC

Tue, 17 Jan 2017 12:50 EST

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 a Cease-and-Desist Order



The Banc Funds Company, L.L.C.

Tue, 17 Jan 2017 12:50 EST

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 a Cease-and-Desist Order



Pershing Square Capital Management, L.P.

Tue, 17 Jan 2017 12:50 EST

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 a Cease-and-Desist Order



BlackRock, Inc.

Tue, 17 Jan 2017 10:45:27 EST

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



Haidar Capital Management, LLC, Haidar Capital Advisors, LLC and Said N. Haidar

Fri, 13 Jan 2017 17:33:18 EST

ORDER DIRECTING DISBURSEMENT OF FAIR FUND



Gregg R. Mulholland

Fri, 13 Jan 2017 15:30 EST

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



Sociedad Quimica Y Minera De Chile and S.A.

Fri, 13 Jan 2017 15:30 EST

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