Subscribe: SEC.gov Updates: Administrative Proceedings
http://www.sec.gov/rss/litigation/admin.xml
Preview: SEC.gov Updates: Administrative Proceedings

SEC.gov Updates: Administrative Proceedings



The latest administrative proceedings from the Securities and Exchange Commission



Published: Mon, 23 Jan 2017 00:00:01 GMT

Last Build Date: Mon, 23 Jan 2017 15:53:18 EST

 



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



Morgan Stanley Smith Barney, LLC

Fri, 13 Jan 2017 13:00 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



Citadel Securities LLC

Fri, 13 Jan 2017 10:29 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



Q Lotus Holdings, Inc. and Spare Backup, Inc.

Fri, 13 Jan 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



AIC International Resources Corp. and Stellar Metals, Inc.

Fri, 13 Jan 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Cantab Pharmaceuticals PLC, et al.

Fri, 13 Jan 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Sierra Resource Group, Inc.

Fri, 13 Jan 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Global Earth Energy, Inc.

Fri, 13 Jan 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



The Bank of New York Mellon Corporation

Thu, 12 Jan 2017 13:16:42 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



Biomet, Inc.

Thu, 12 Jan 2017 12:13:13 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



ITG Inc.

Thu, 12 Jan 2017 11:14:27 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



L3 Technologies, Inc.

Wed, 11 Jan 2017 13:55 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



Centre Partners Management, LLC

Tue, 10 Jan 2017 11:30 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 Port Authority of New York, New Jersey

Tue, 10 Jan 2017 11:30 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



Larry Lee Crawford, CPA

Tue, 10 Jan 2017 10:15:55 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



Essex Financial Services, Inc.

Mon, 09 Jan 2017 14:56 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



Peter Hershman, Esq.

Mon, 09 Jan 2017 14:56 EST

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Sections 4C and 15(b) of the Securities Exchange Act 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



John W. Rafal

Mon, 09 Jan 2017 14:56 EST

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Sections 4C and 15(b) of the Securities Exchange Act 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



UBS Financial Services Inc. of Puerto Rico

Fri, 06 Jan 2017 17:27:04 EST

Notice of Proposed Plan of Distribution and Opportunity for Comment



Cadbury Limited and Mondelez International, Inc.

Fri, 06 Jan 2017 17:05 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 a Civil Penalty



Capital Preferred Yield Fund-III, LP, Clearly Canadian Beverage Corp. and Diversinet Corp.

Wed, 04 Jan 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Elliot R. Berman, CPA and Berman & Company, P.A.

Tue, 03 Jan 2017 16:04:46 EST

Order Making Findings, Imposing Remedial Sanctions, and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e)(1)(Ii) and 102(e)(1)(Iii) of the Commission's Rules of Practice



Rafael Antonio Calleja, Jr.

Thu, 29 Dec 2016 15:19:53 EST

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



Karl J. Zimmer

Thu, 29 Dec 2016 10:55 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



General Cable Corporation

Thu, 29 Dec 2016 10:55 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



General Cable Corporation

Thu, 29 Dec 2016 10:55 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



Roy Dekel

Tue, 27 Dec 2016 16:44:42 EST

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



David A. Loppert

Tue, 27 Dec 2016 16:44:42 EST

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



Brent Loveall

Tue, 27 Dec 2016 13:55:13 EST

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



Jason B. Smith

Tue, 27 Dec 2016 13:55:13 EST

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



Robert S. McGregor

Tue, 27 Dec 2016 13:55:13 EST

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



Brian C. Rose

Tue, 27 Dec 2016 13:55:13 EST

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



Philip Greifeld, CPA

Tue, 27 Dec 2016 13:55:13 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



Island Trader LLC and Richard H. Nickles

Fri, 23 Dec 2016 14:37:10 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



Odyssey Pictures Corporation, et al.

Fri, 23 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 Odyssey Pictures Corporation



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

Fri, 23 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 Intercore, Inc.



Richard Sapio

Thu, 22 Dec 2016 16:45:09 EST

Order Granting Consent to Associate and to Serve or Act in Certain Capacities



Badree Komandur, et al.

Thu, 22 Dec 2016 16:45:09 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, a Cease-and-Desist Order, and a Civil Penalty



Alok Saraf CA

Thu, 22 Dec 2016 16:45:09 EST

Order Instituting Public Administrative and Cease-And- Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 Imposing Remedial Sanctions



PAB Bankshares, Inc. and USABG Corp.

Thu, 22 Dec 2016 12:35:29 EST

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



AFN, Inc., et al.

Thu, 22 Dec 2016 12:16:51 EST

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



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

Thu, 22 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 Hitor Group, Inc.



Jack Henry & Associates, Inc.

Wed, 21 Dec 2016 17:42:13 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



Grace Development, Inc. and Luxeyard, Inc.

Wed, 21 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Affordable Green Homes International, TMP Land Mortgage Fund, Ltd. and a California Limited Partnership

Wed, 21 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Fairfield Minerals, Ltd. and Metal Storm Limited

Wed, 21 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Ceyoniq AG (n/k/a CEYONIQ, Inc.)

Wed, 21 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Amarillo Mesquite Grill, Inc., et al.

Wed, 21 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Multi-Corp. International, Inc. and Sky Harvest Energy Corp.

Wed, 21 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Telestone Technologies Corp., US Fuel Corp. and Victory Eagle Resources Corp. .

Wed, 21 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Medient Studios, Inc., a/k/a Moon River Studios, Inc.

Wed, 21 Dec 2016 09:30:00 EST

Notice That Initial Decision Has Become Final



Augustine Capital Management, et al.

Tue, 20 Dec 2016 17:20:23 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 and Notice of Hearing



Robert D. Milligan

Tue, 20 Dec 2016 17:20:23 EST

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



SandRidge Energy, Inc.

Tue, 20 Dec 2016 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



Morgan Stanley & Co. LLC

Tue, 20 Dec 2016 10:00:00 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 P. Doxey

Mon, 19 Dec 2016 17:35:30 EST

Order Making Findings and Imposing a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b)(6)(a) and 21C of the Securities Exchange Act of 1934



NeuStar, Inc.

Mon, 19 Dec 2016 14:45:00 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



3C Advisors & Associates, Inc., Stephen Jones and David Prolman

Mon, 19 Dec 2016 14:00:45 EST

Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, as to Respondent Stephen Jones



3C Advisors & Associates, Inc., Stephen Jones and David Prolman

Mon, 19 Dec 2016 14:00:45 EST

Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, as to Respondent 3C Advisors & Associates, Inc.



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

Mon, 19 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 Kogeto, Inc.



Jo Ann Myers and Hollis W. Pickett, Jr.

Fri, 16 Dec 2016 13:29:34 EST

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securties Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order



Wilson-Davis & Company, Inc.

Fri, 16 Dec 2016 13:14:41 EST

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Notice of Hearing



Anthony B. Kerrigone

Fri, 16 Dec 2016 13:14:41 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



Byron B. Barkley and Paul N. Davis

Fri, 16 Dec 2016 13:14:41 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



Empire Stock Transfer, Inc. and Matthew J. Blevins

Fri, 16 Dec 2016 12:51:47 EST

Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, and Sections 17A and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders