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SEC.gov Updates: Administrative Proceedings



The latest administrative proceedings from the Securities and Exchange Commission



Published: Fri, 09 Dec 2016 00:00:01 GMT

Last Build Date: Fri, 09 Dec 2016 14:16:44 EST

 



Donald M. Stuthers

Fri, 09 Dec 2016 14:16:44 EST

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



UBS Financial Services Incorporated of Puerto Rico

Thu, 08 Dec 2016 17:34:33 EST

Third Extension Order



James Baggs

Thu, 08 Dec 2016 16:45:23 EST

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



William B. Fretz, et al.

Thu, 08 Dec 2016 16:19:25 EST

Order Appointing Tax Administrator



Interactive Brokers LLC; and Interactive Brokers Corp.

Thu, 08 Dec 2016 12:39:25 EST

Extension Order



Robert L. Baker, et al.

Thu, 08 Dec 2016 12:39:25 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



Sen Yu International Holdings, Inc.

Thu, 08 Dec 2016 09:30:00 EST

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



David W. Noack

Wed, 07 Dec 2016 14:45:14 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



Harold D. Garrison

Wed, 07 Dec 2016 11:22:45 EST

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



Grace Development, Inc., Luxeyard, Inc. and SuperDirectories, Inc.

Wed, 07 Dec 2016 09:30:00 EST

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



Curlew Lake Resources, Inc.

Wed, 07 Dec 2016 09:30:00 EST

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



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

Tue, 06 Dec 2016 15:46:54 EST

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



Roy D. Kessel, Esq.

Tue, 06 Dec 2016 15:27:54 EST

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



KPMG LLP

Tue, 06 Dec 2016 15:18:37 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



Equidate, Inc. and Equidate Holdings LLC

Tue, 06 Dec 2016 14:25:11 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



Ilio, Inc., Industrial Imaging Corporation and Jackray Corporation

Tue, 06 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Foxwedge, Inc., et al.

Tue, 06 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Dynamic Ventures Corp.

Tue, 06 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Boreal Water Collection, Inc.

Mon, 05 Dec 2016 09:30:00 EST

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.



Bruce A. Cole, Esq.

Fri, 02 Dec 2016 17:06:37 EST

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



Marc Winters

Fri, 02 Dec 2016 17:06:37 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



United Continental Holdings, Inc.

Fri, 02 Dec 2016 12:30 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



Daniel P. McKelvey

Fri, 02 Dec 2016 11:36:01 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



Harvey Westbury Corp., InterCore, Inc. and Kalex Corp.

Fri, 02 Dec 2016 09:30:00 EST

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.



Thomas A. Flowers

Thu, 01 Dec 2016 17:01:31 EST

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



Howard Richards; James Goodland and Securus Wealth Management, LLC

Thu, 01 Dec 2016 16:57:23 EST

Extension Order



Pacific Investment Management Company LLC

Thu, 01 Dec 2016 13:57:01 EST

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



GMB Capital Management LLC (Currently Known as "Clearstream Investments LLC"), et al.

Thu, 01 Dec 2016 13:47:05 EST

Order Approving Plan of Distribution and Authorizing Transfer of Fair Fund



Mars Acquisitions, Inc. and SoftNet Technology Corp.

Wed, 30 Nov 2016 13:20:48 EST

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



Michael S. Wilson, et al.

Tue, 29 Nov 2016 17:35:50 EST

Order Approving Plan of Distribution and Directing Disbursement of Fair Funds



Shervin Neman and Neman Financial, Inc.

Tue, 29 Nov 2016 14:29:22 EST

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



Safecode Drug Technologies Corp.

Tue, 29 Nov 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Ameralink, Inc., et al.

Tue, 29 Nov 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Odyssey Pictures Corporation, et al.

Tue, 29 Nov 2016 09:30:00 EST

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



Capitol City Bancshares, Inc. and Powder River Coal Corp.

Tue, 29 Nov 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Algorex Corporation, et al.

Tue, 29 Nov 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



James Michael Murray

Mon, 28 Nov 2016 17:02:19 EST

Order Extending Time to File Brief in Support of Petition for Review



Dennis Ira Ringer

Wed, 23 Nov 2016 14:44:06 EST

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



Stephen Hozie

Wed, 23 Nov 2016 14:04:55 EST

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 with the Commission



Brian Zucker, CPA

Wed, 23 Nov 2016 14:04:55 EST

Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant



Mark David Shapiro, CPA

Wed, 23 Nov 2016 14:04:55 EST

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 with the Commission



Michael K. Krohn, CPA

Wed, 23 Nov 2016 14:04:55 EST

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 with the Commission



Kendall G. Merkley, CPA

Wed, 23 Nov 2016 14:04:55 EST

Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant



American Mortgage and Investment Co.

Tue, 22 Nov 2016 09:30:00 EST

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



Bill the Butcher, Inc., Hitor Group, Inc. and Xun Energy, Inc.

Tue, 22 Nov 2016 09:30:00 EST

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.



Gary R. Purwin, CPA

Mon, 21 Nov 2016 17:01:23 EST

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



Grassi & Co., CPAs and P.C.

Mon, 21 Nov 2016 17:01:23 EST

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



Sean P. Finn and M. Dwyer LLC

Mon, 21 Nov 2016 16:43:26 EST

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



All-Pro Products, Inc., et al.

Mon, 21 Nov 2016 16:43:26 EST

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



PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA

Mon, 21 Nov 2016 16:43:26 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



MGN Technologies, Inc.

Mon, 21 Nov 2016 09:30:00 EST

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



Nicholas R. Hamilton

Fri, 18 Nov 2016 12:52:36 EST

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



Cody M. Winters

Fri, 18 Nov 2016 12:52:36 EST

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



James Y. Lee

Thu, 17 Nov 2016 13:06:30 EST

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



Randy G. Ruhl

Thu, 17 Nov 2016 13:06:30 EST

Order Granting Consent to Associate



Mark D. Holt (a/ka Mark D. Holthusen)

Thu, 17 Nov 2016 11:26:45 EST

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



JP Morgan Chase & Co.

Thu, 17 Nov 2016 10:30 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



Harvey Westbury Corp., InterCore, Inc. and Kalex Corp.

Thu, 17 Nov 2016 09:30:00 EST

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



Altair Nanotechnologies, Inc.

Thu, 17 Nov 2016 09:30:00 EST

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



Bryan Wayne Anderson

Wed, 16 Nov 2016 12:28:19 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



Kogeto, Inc., Lustros, Inc. and Med-X Systems, Inc.

Wed, 16 Nov 2016 09:30:00 EST

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



Questrust Ventures, Inc. and Zaring Homes, Inc.

Tue, 15 Nov 2016 16:52:27 EST

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



Christopher Egan

Tue, 15 Nov 2016 16:52:27 EST

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act, Making Findings, and Imposing a Cease-and-Desist Order



Kimberly Springsteen-Abbott

Mon, 14 Nov 2016 14:35:06 EST

Extension Order



OTC Global Partners, LLC and Raimundo Dias

Mon, 14 Nov 2016 12:10:55 EST

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 Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing



Casey Cummings

Mon, 14 Nov 2016 12:10:55 EST

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 Imposing Remedial Sanctions and a Cease-and-Desist Order



Alexander Kon

Mon, 14 Nov 2016 12:10:55 EST

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



EZTD Inc.

Thu, 10 Nov 2016 15:45:49 EST

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



Derik J. Todd, et al.

Thu, 10 Nov 2016 13:00:45 EST

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) 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



Cala Corporation, et al.

Thu, 10 Nov 2016 09:30:00 EST

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.



Glenn Johnson and William Sinish

Tue, 08 Nov 2016 15:37:53 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



Powersecure International, Inc.

Mon, 07 Nov 2016 16:03:46 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



Philip E. Moriarty II

Mon, 07 Nov 2016 14:45:07 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



Linkbrokers Derivatives LLC

Fri, 04 Nov 2016 17:53:54 EDT

Order Approving Plan of Distribution



Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

Fri, 04 Nov 2016 17:53:54 EDT

Order Directing Disbursement for Second Distribution, Payment of Fund Administrator Fees, and Approval of Future Fees and Expenses



The Registration Statement of Instride, Inc.

Fri, 04 Nov 2016 17:02:08 EDT

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



The Registration Statement of Zubra Inc.

Fri, 04 Nov 2016 17:02:08 EDT

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



The Registration Statement of Iloan Inc.

Fri, 04 Nov 2016 17:02:08 EDT

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



The Registration Statement of Flaster Corporation

Fri, 04 Nov 2016 17:02:08 EDT

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



Kent W. Easter

Fri, 04 Nov 2016 13:09:27 EDT

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



Harvey Altholtz

Thu, 03 Nov 2016 17:33:04 EDT

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



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

Thu, 03 Nov 2016 15:40:18 EDT

Order Directing Disbursement of Fair Fund



Capitol City Bancshares, Inc., et al.

Thu, 03 Nov 2016 15:40:18 EDT

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



UBS Financial Services Incorporated of Puerto Rico

Thu, 03 Nov 2016 13:13:02 EDT

Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount



Patrick Reagan Beason

Thu, 03 Nov 2016 11:00:11 EDT

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



Affordable Green Homes International, et al.

Thu, 03 Nov 2016 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 Jilco Industries, Inc.



Bill the Butcher, Inc., Hitor Group, Inc. and Xun Energy, Inc.

Wed, 02 Nov 2016 09:30:00 EDT

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



Edward M. Daspin, a/k/a "Edward (Ed) Michael"; Luigi Agostini; and Lawrence R. Lux

Tue, 01 Nov 2016 16:42:10 EDT

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



Ronald D. Morley and the New Wealth, LLC

Tue, 01 Nov 2016 12:38:05 EDT

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



Gregory J. Smith

Tue, 01 Nov 2016 12:38:05 EDT

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, and Notice of Hearing



Franklin Bank Corporation

Tue, 01 Nov 2016 09:30:00 EDT

Notice That Initial Decision Has Become Final



Eastland Financial Corp., Granite Cliffs, Incorporated and Greater Asia Realty Holdings, Ltd.

Tue, 01 Nov 2016 09:30:00 EDT

Notice That Initial Decision Has Become Final



Scanner Technologies Corp., Seville Ventures Corp. and the Digital Development Group Corp.

Tue, 01 Nov 2016 09:30:00 EDT

Notice That Initial Decision Has Become Final



Breitling Energy Corporation

Tue, 01 Nov 2016 09:30:00 EDT

Notice That Initial Decision Has Become Final



Joel Pensley, Esq.

Mon, 31 Oct 2016 15:54:38 EDT

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



Wade James Lawrence

Mon, 31 Oct 2016 15:54:38 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



Nicholas H. Shermeta and Napa Properties, LLC

Mon, 31 Oct 2016 14:50 EDT

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



Michael L. Reger

Mon, 31 Oct 2016 14:50 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



Adrian D. Beamish, CPA

Mon, 31 Oct 2016 13:10 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



Domenick F. Consolo, CPA and PKF O'Connor Davies, LLP

Mon, 31 Oct 2016 12:10:59 EDT

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