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SEC.gov Updates: Administrative Proceedings



The latest administrative proceedings from the Securities



Published: Fri, 20 Apr 2018 00:00:01 GMT

Last Build Date: Fri, 20 Apr 2018 15:21:35 EDT

 



Mark P. French

Fri, 20 Apr 2018 15:21:35 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



Steven M. Simmons

Fri, 20 Apr 2018 14:00:17 EDT

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



Medifirst Solutions, Inc. and Bruce J. Schoengood

Thu, 19 Apr 2018 14:18:24 EDT

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



Gemini Fund Services, LLC

Thu, 19 Apr 2018 14:01:56 EDT

Order Appointing Tax Administrator



Jeremy A. Licht d/b/a Jl Capital Management

Thu, 19 Apr 2018 12:26:44 EDT

Order Appointing Tax Administrator



Gemini Fund Services, LLC

Thu, 19 Apr 2018 12:33:01 EDT

Order Directing Payment of Certain Funds Received by the Commission and Directing Transfer of Remaining Funds to the U.S. Treasury



Scott Newsholme

Tue, 17 Apr 2018 13:57:39 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



Jason A. Wallace

Mon, 16 Apr 2018 16:18:34 EDT

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



Douglas Nelson

Mon, 16 Apr 2018 14:28:28 EDT

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



Arlington Capital Management, Inc. and Joseph F. LoPresti

Mon, 16 Apr 2018 12:23:33 EDT

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Michael S. Moses

Thu, 12 Apr 2018 15:38:46 EDT

Order Making Findings and Imposing Remedial Sanctions



Li, Company, PC and Tony Zhicong Li, CPA

Thu, 12 Apr 2018 09:45:59 EDT

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



Wellness Center USA, Inc.

Thu, 12 Apr 2018 09:45:59 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



Matthew T. Mushlin

Thu, 12 Apr 2018 09:45:59 EDT

Order Instituting Public 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



Laura Pendergest-Holt

Tue, 10 Apr 2018 16:45:41 EDT

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



Guardian 8 Holdings, et al.

Tue, 10 Apr 2018 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 Mecklermedia Corporation



Troy C. Baldridge

Mon, 09 Apr 2018 15:21:40 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



Philip John James, CA and Kevin Silverwood, CA

Mon, 09 Apr 2018 14:38:39 EDT

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



Daryl G. Bank and Bobby D. Jones

Mon, 09 Apr 2018 12:14:03 EDT

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



Charles G. Preston

Fri, 06 Apr 2018 15:58:51 EDT

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



Tobias J. Preston

Fri, 06 Apr 2018 15:58:51 EDT

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



Caleb J. Preston

Fri, 06 Apr 2018 15:58:51 EDT

Order Instituting Public 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



Securities America Advisors, Inc.

Fri, 06 Apr 2018 11:35 EDT

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



PNC Investments LLC

Fri, 06 Apr 2018 11:35 EDT

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



Geneos Wealth Management, Inc.

Fri, 06 Apr 2018 11:35 EDT

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



Joshua D. Mosshart

Thu, 05 Apr 2018 17:15:56 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing



Clayborne Group, LLC and Dean A. Heinemann

Thu, 05 Apr 2018 14:51:40 EDT

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Gregory John Tuthill

Wed, 04 Apr 2018 14:48:01 EDT

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



NextGlass Technologies Corporation

Wed, 04 Apr 2018 09:30:00 EDT

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



James Moodhe

Mon, 02 Apr 2018 14:54:22 EDT

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



Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA

Fri, 30 Mar 2018 14:15:34 EDT

Order Appointing Fund Administrator and Setting Administrator Bond Amount



Howard B. Present

Thu, 29 Mar 2018 14:25:06 EDT

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



Kent Maerki

Thu, 29 Mar 2018 09:30:09 EDT

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



Eugene Terracciano

Wed, 28 Mar 2018 11:38:05 EDT

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing



Kevin Mckenna and Robert Eide

Wed, 28 Mar 2018 11:38:05 EDT

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



Aegis Capital Corporation

Wed, 28 Mar 2018 11:38:05 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 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Wedbush Securities, Inc.

Tue, 27 Mar 2018 15:15:00 EDT

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



Timary Delorme

Tue, 27 Mar 2018 15:15:00 EDT

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



JH Darbie & Co., Inc. and Robert Y. Rabinowitz

Tue, 27 Mar 2018 11:48:40 EDT

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Maxwell Technologies, Inc., et al.

Tue, 27 Mar 2018 11:25 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 Remedial Sanctions and a Cease-and-Desist Order ("Order")



Kinross Gold Corporation

Mon, 26 Mar 2018 12:41:21 EDT

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






Robert L. Baker, et al.

Thu, 22 Mar 2018 12:23:17 EDT

Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order 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 as to Robert L. Baker, Jacob B. Herrera, and Michael D. Bowen, and Ordering Additional Proceedings



Howard Richards; James Goodland, and Securus Wealth Management, LLC

Mon, 19 Mar 2018 15:05:44 EDT

Order Appointing Fund Administrator and Waiving Bond



Electronic Transaction Clearing, Inc.

Mon, 19 Mar 2018 13:35 EDT

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



New Global Energy, Inc.

Mon, 19 Mar 2018 09:30:00 EDT

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



David Gray

Thu, 15 Mar 2018 15:08:06 EDT

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



John W. Adams and AIP, LLC

Thu, 15 Mar 2018 11:59:53 EDT

Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future, Discharging the Plan Administrator, Canceling the Plan Administrator's Bond, and Terminating the Disgorgement Fund



Edmund W. Bailey

Wed, 14 Mar 2018 16:31:17 EDT

Order Instituting 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



KPMG

Tue, 13 Mar 2018 10:35:00 EDT

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 Remedial Sanctions



Deloitte & Touche Chartered Accountants

Tue, 13 Mar 2018 10:35:00 EDT

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 Remedial Sanctions



KPMG Inc.

Tue, 13 Mar 2018 10:35:00 EDT

Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing a Cease-and-Desist Order, a Censure and a Civil Penalty



BDO Canada LLP (f/k/a BDO Dunwoody LLP)

Tue, 13 Mar 2018 10:35:00 EDT

Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing a Cease-and-Desist Order, a Censure and a Civil Penalty



Credit Karma, Inc.

Mon, 12 Mar 2018 16:56:54 EDT

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order



Elbit Imaging Ltd.

Fri, 09 Mar 2018 13:52:52 EST

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



Gregg Z. Schonhorn

Fri, 09 Mar 2018 11:33:56 EST

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



Deborah D. Kelley

Fri, 09 Mar 2018 11:33:56 EST

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



Robert Joseph Ritch

Fri, 09 Mar 2018 09:30:00 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



Valor Capital Asset Management, LLC and Robert Mark Magee

Thu, 08 Mar 2018 16:39:06 EST

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



Voya Investments, LLC and Directed Services LLC

Thu, 08 Mar 2018 16:10:09 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



Howard Richards; James Goodland and Securus Wealth Management, LLC

Thu, 08 Mar 2018 13:53:47 EST

Order Appointing Tax Administrator



Merrill Lynch, Pierce and Fenner & Smith Incorporated

Thu, 08 Mar 2018 09:51:20 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



DMS Advisors, Inc.

Wed, 07 Mar 2018 15:12:15 EST

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



Peter R. Kohli

Wed, 07 Mar 2018 15:12:15 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



Eric Lovy f/k/a Eric Beltran

Wed, 07 Mar 2018 14:46:29 EST

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



New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc.

Tue, 06 Mar 2018 12:35:38 EST

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 19(h)(1) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Jacob W. L. Stocking

Mon, 05 Mar 2018 14:33:31 EST

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



Financial Fiduciaries, LLC and Thomas Batterman

Mon, 05 Mar 2018 13:40:45 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



Edwin Shaw, LLC

Mon, 05 Mar 2018 13:35:19 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



Ameriprise Financial Services, Inc.

Wed, 28 Feb 2018 12:09:00 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 Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Stefan Lumiere

Wed, 28 Feb 2018 09:55:55 EST

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



Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA

Tue, 27 Feb 2018 09:08:37 EST

Order Establishing a Fair Fund



Steven Zoernack and Equitystar Capital Management, LLC

Mon, 26 Feb 2018 15:13:32 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 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



Derik J. Todd, et al.

Fri, 23 Feb 2018 12:49:02 EST

Extension Order



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