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SEC.gov Updates: Administrative Proceedings



The latest administrative proceedings from the Securities



Published: Fri, 23 Feb 2018 00:00:01 GMT

Last Build Date: Fri, 23 Feb 2018 10:06:34 EST

 



Stephen M. Hicks

Fri, 23 Feb 2018 10:06:34 EST

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 Imposing Remedial Sanctions



Blacksands Petroleum, Inc., et al.

Fri, 23 Feb 2018 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 Blacksands Petroleum, Inc.



Affirmative Insurance Holdings, Inc., et al.

Fri, 23 Feb 2018 09:30:00 EST

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



Commonwealth Advisors, Inc. and Walter A. Morales

Thu, 22 Feb 2018 15:54:09 EST

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



Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.

Wed, 21 Feb 2018 12:05:28 EST

Second Extension Order



Alan Weinberg, CPA and Weinberg & Baer LLC

Wed, 21 Feb 2018 12:05:28 EST

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



Jonathan Strum, Esq.

Wed, 21 Feb 2018 12:05:28 EST

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



American Nano Silicon Technologies, Inc., et al.

Wed, 21 Feb 2018 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 Andalay Solar, Inc.



Barry Mcknight Skinner and Dynamic Intelligence, Inc.

Fri, 16 Feb 2018 14:04:57 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



Simcha Baer, CPA

Fri, 16 Feb 2018 13:35:00 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



Credit Suisse Securities (USA) LLC; Sanford Michael Katz

Thu, 15 Feb 2018 13:56:41 EST

Order Appointing Tax Administrator



China Precision Steel, Inc. and Golden River Resources Corp.

Thu, 15 Feb 2018 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 Golden River Resources Corp.



Canwealth Minerals Corp., et al.

Thu, 15 Feb 2018 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 ECO Integrated Technologies, Inc.



Daryl G. Bank and Bobby D. Jones

Wed, 14 Feb 2018 15:13:20 EST

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



Brian S. Block, CPA

Wed, 14 Feb 2018 13:22:24 EST

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



Ambicom Holdings, Inc., et al.

Wed, 14 Feb 2018 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 iCoreConnect, Inc. (a/k/a iMedicor, Inc. or Vemics, Inc.)



James R.J. Scheltema

Tue, 13 Feb 2018 11:10:28 EST

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



Altona Resources, Inc., et al.

Tue, 13 Feb 2018 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 Apex 11, Inc.



Ara Chackerian

Mon, 12 Feb 2018 16:01:19 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



Jay Mac Rust, Esq.

Mon, 12 Feb 2018 15:04:30 EST

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



Jay Mac Rust, Esq.

Mon, 12 Feb 2018 15:04:30 EST

Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(a) of the Commission's Rules of Practice



Deutsche Bank Securities Inc. and Benjamin Solomon

Mon, 12 Feb 2018 09:42:34 EST

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



Thomas J. Buck

Fri, 09 Feb 2018 17:38 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



Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.

Fri, 09 Feb 2018 17:38 EST

Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution



Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC

Fri, 09 Feb 2018 13:42:22 EST

Order Approving Amended Plan of Distribution



Victor M. Dandridge, III

Thu, 08 Feb 2018 15:51:03 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



Thomas Osmonde Russell, III Esq.

Wed, 07 Feb 2018 16:35:34 EST

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



Banc One Investment Advisors Corporation and Mark A. Beeson

Wed, 07 Feb 2018 16:33:18 EST

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 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940



Michael S. Moses

Wed, 07 Feb 2018 16:33:18 EST

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



California Mines Corp., Cindisue Mining Corp. and Dune Energy, Inc.

Tue, 06 Feb 2018 12:30:22 EST

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



John T. Lynch, Jr.

Tue, 06 Feb 2018 10:10:52 EST

Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940



Andrew H. Wilson, Esq.

Mon, 05 Feb 2018 14:35:49 EST

Order Instituting Administrative Proceedings Pursuant to Rule Andrew H. Wilson, Esq., Practice, Making Findings, and Imposing Remedial Sanctions



Wedbush Securities Inc.

Mon, 05 Feb 2018 12:00 EST

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



Craig Karlis

Fri, 02 Feb 2018 13:01:59 EST

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



Scott Walter Christensen

Thu, 01 Feb 2018 16:23:07 EST

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



Thomas Edward Andrews

Thu, 01 Feb 2018 16:23:07 EST

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



Canwealth Minerals Corp., et al.

Thu, 01 Feb 2018 11:51:31 EST

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



Mohlman Asset Management, LLC and Louis G. Mohlman, Jr.

Wed, 31 Jan 2018 13:15:26 EST

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



American Nano Silicon Technologies, Inc., et al.

Wed, 31 Jan 2018 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 Crimson Forest Entertainment Group, Inc.



Daniel T. Fischer

Tue, 30 Jan 2018 17:05:24 EST

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



Credit Suisse Securities (USA) LLC; Sanford Michael Katz

Mon, 29 Jan 2018 12:28:31 EST

Order Appointing Fund Administrator and Setting Administrator Bond Amount



Augustine Capital Management, et al.

Fri, 26 Jan 2018 09:53:16 EST

Extension Order



Americafirst Capital Management, LLC, Rick A. Gonsalves and Robert L. Clark

Tue, 23 Jan 2018 13:07:53 EST

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 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



Gemini Fund Services, LLC

Mon, 22 Jan 2018 11:51:39 EST

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



Brian Sweet, CPA

Mon, 22 Jan 2018 10:00:48 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, and Notice of Hearing



Cynthia Holder, CPA, et al.

Mon, 22 Jan 2018 10:00:48 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, and Notice of Hearing



Justin Samuel Cary, CPA

Fri, 19 Jan 2018 16:10:18 EST

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



John V. Bivona

Fri, 19 Jan 2018 15:14:08 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



EMRISE Corp.

Fri, 19 Jan 2018 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



Bankrate, Inc.; Hyunjin Lerner, CPA

Thu, 18 Jan 2018 15:44:32 EST

Order Appointing Fund Administrator and Setting Administrator Bond Amount



Industrial and Commercial Bank of China Financial Services LLC

Thu, 18 Jan 2018 15:29:18 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



Frank G. Mazzola

Thu, 18 Jan 2018 12:28:46 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



Altona Resources, Inc., et al.

Thu, 18 Jan 2018 11:35:42 EST

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



American Nano Silicon Technologies, Inc., et al.

Thu, 18 Jan 2018 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 American Soil Technologies, Inc.



David B. Kaplan, Esq.

Wed, 17 Jan 2018 16:22:34 EST

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



David B. Kaplan, Esq.

Wed, 17 Jan 2018 16:22:34 EST

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



John Tarpinian

Wed, 17 Jan 2018 11:46:39 EST

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



Ambicom Holdings, Inc., et al.

Wed, 17 Jan 2018 09:30:00 EST

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



Anthony P. Chiera and Jeffrey R. Belfiore

Thu, 11 Jan 2018 12:51:29 EST

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



Punch TV Studios, Inc.

Tue, 09 Jan 2018 15:25:18 EST

Order Making Findings, Specifying Procedures, and Temporarily Suspending Exemption Pursuant to Section 3(b) of the Securities Act of 1933 and Regulation a Thereunder,



Blacksands Petroleum, Inc., et al.

Tue, 09 Jan 2018 09:30:00 EST

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



James C. Tao

Mon, 08 Jan 2018 15:02:09 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



Donna Boyd (f/k/a Donna Chen)

Mon, 08 Jan 2018 15:02:09 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



Anthony A. Stovall

Fri, 05 Jan 2018 13:16:12 EST

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



Khaled "Kal" Bassily

Wed, 03 Jan 2018 15:04:57 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



LKL Investment Counsel LLC (a/k/a LKL Investments, LLC) and Mark H. Love

Wed, 03 Jan 2018 12:55:04 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



Abakan, Inc., et al.

Fri, 29 Dec 2017 09:30:00 EST

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



American Nano Silicon Technologies, Inc., et al.

Thu, 28 Dec 2017 09:30:00 EST

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



Focus Media Holding Limited and Jason Jiang

Wed, 27 Dec 2017 16:01:49 EST

Order Approving Plan of Distribution



Orthofix International N.V., Jeffrey Hammel, CPA, Brian McCollum, and Kenneth Mack and Bryan McMillan

Wed, 27 Dec 2017 16:01:49 EST

Order Consolidating Fair Funds, Appointing Fund Administrator, and Setting Administrator Bond Amount



Global Digital Solutions, Inc.

Tue, 26 Dec 2017 14:26:35 EST

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



Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim

Fri, 22 Dec 2017 13:09:09 EST

Order Directing Disbursement of Fair Fund



Train, Babcock Advisors LLC

Fri, 22 Dec 2017 13:09:09 EST

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 21C 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



Southwind Associates of NJ, Inc. (d/b/a Villafranco Wealth Management), William Villafranco and Anthony LaPeruta

Fri, 22 Dec 2017 12:55:59 EST

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



Team Financial Asset Management, LLC, Team Financial Managers, Inc. and James L. Dailey

Fri, 22 Dec 2017 12:55:59 EST

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e), 203(f) 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



Alan Shortall

Fri, 22 Dec 2017 11:48:31 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



Daniel Rivas

Fri, 22 Dec 2017 10:08:02 EST

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



TPG Capital Advisors, LLC

Thu, 21 Dec 2017 16:42:22 EST

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



Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.

Thu, 21 Dec 2017 15:53:55 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



Merrill Lynch, Pierce, and Fenner & Smith Incorporated

Thu, 21 Dec 2017 15:18:10 EST

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



Courtlin L. Holt-Nguyen

Wed, 20 Dec 2017 16:35:57 EST

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



Matrix Capital Markets, LLC and Nicholas M. Mitsakos

Wed, 20 Dec 2017 16:30 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Exchange Act of 1934 and Sections 203(e) and 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Next Galaxy Corp., et al.

Wed, 20 Dec 2017 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 Sable Natural Resources Corporation



Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company

Thu, 14 Dec 2017 16:22:27 EST

Order Directing Disbursement of a Fair Fund



Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.) et al.

Thu, 14 Dec 2017 14:15:15 EST

Order Appointing Tax Administrator



Derik J. Todd, et al.

Thu, 14 Dec 2017 14:15:15 EST

Order Appointing Tax Administrator



Justin D. Meadlin

Wed, 13 Dec 2017 16:05:42 EST

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



William J. Peiffer, Esq.

Tue, 12 Dec 2017 12:30 EST

Order Instituting Administrative Proceedings Pursuant to Rule William J. Peiffer, Esq., Practice, Making Findings, and Imposing Remedial Sanctions



Peter R. Culpepper, CPA

Tue, 12 Dec 2017 12:30 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



Provectus Biopharmaceuticals, Inc.

Tue, 12 Dec 2017 12:30 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



Coastal Equities, Inc. and Coastal Investment Advisors, Inc.

Mon, 11 Dec 2017 15:07:34 EST

Order Instituting Administrative Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Munchee Inc.

Mon, 11 Dec 2017 10:44:01 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



Steven William Sparks

Fri, 08 Dec 2017 11:42:35 EST

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



Robin Glen Charlet

Fri, 08 Dec 2017 11:42:35 EST

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



Horter Investment Management, LLC

Fri, 08 Dec 2017 10:10:12 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



Ameriprise Financial Services, Inc.

Fri, 08 Dec 2017 10:10:12 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



Institutional Investor Advisers, Inc.

Fri, 08 Dec 2017 10:10:12 EST

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 Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions



William J. Pulte

Thu, 07 Dec 2017 16:56:48 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 Penalty



American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.)

Thu, 07 Dec 2017 12:16:08 EST

Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses



Next Galaxy Corp., et al.

Wed, 06 Dec 2017 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 Occidental Development Group, Inc.