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Legal Case Name Defendant Name Defendant Type First Document Date First Resolution Date AllegationTypeString
SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey Adelphia Communications Corp. Public Company 24-Jul-2002 30-Oct-2008 Issuer Reporting and Disclosure
SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey James P. Rigas Individual 24-Jul-2002 30-Oct-2008 Issuer Reporting and Disclosure
SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey James R. Brown Individual 24-Jul-2002 30-Oct-2008 Issuer Reporting and Disclosure
SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey John J. Rigas Individual 24-Jul-2002 30-Oct-2008 Issuer Reporting and Disclosure
SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey Michael C. Mulcahey Individual 24-Jul-2002 30-Oct-2008 Issuer Reporting and Disclosure
SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey Michael J. Rigas Individual 24-Jul-2002 30-Oct-2008 Issuer Reporting and Disclosure
SEC v. Adelphia Communications Corporation, John J. Rigas, Tmothy J. Rigas, Michael J. Rigas, James P. Rigas, James R. Brown, and Michael C. Mulcahey Timothy J. Rigas Individual 24-Jul-2002 30-Oct-2008 Issuer Reporting and Disclosure
SEC v. HealthSouth Corp. and Richard M. Scrushy Healthsouth Corp. Public Company 19-Mar-2003 22-Jun-2005 Issuer Reporting and Disclosure
SEC v. HealthSouth Corp. and Richard M. Scrushy Richard M. Scrushy Individual 19-Mar-2003 22-Jun-2005 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. Blagman Media International, Inc. Other 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. David Calkins Individual 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. David Giles Individual 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. Francis Scott Widen Individual 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. Frank J. Custable, Jr. Individual 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. Gary Heesch Individual 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. Gateway Distributors, Ltd. Other 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. Pacel Corporation Other 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. Richard Bailey Individual 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. Sara Wetzel Individual 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. Suburban Capital Corporation Other 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. ThermoElastic Technologies, Inc. Other 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Frank J. Custable, Jr., Sara Wetzel, Suburban Capital Corporation, Francis Scott Widen, Wasatch Pharmaceutical Inc., David Giles, Gary Heesch, Pacel Corporation, David Calkins, Gateway Distributors, Ltd., Richard Bailey, and Thermoelastic Technologies, Inc. Wasatch Pharmaceutical, Inc. Other 01-Apr-2003 23-Feb-2010 Issuer Reporting and Disclosure
SEC v. Bear, Stearns & Co. Inc. Bear, Stearns & Co. Inc.
Aliases
Subsidiary of Public Company 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
SEC v. Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
SEC v. Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation Credit Suisse First Boston LLC Subsidiary of Public Company 28-Apr-2003 31-Oct-2003 Investment Advisers/Investment Companies
SEC v. Goldman, Sachs & Co. Goldman, Sachs & Co. Subsidiary of Public Company 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
SEC v. Henry McKelvey Blodget Henry McKelvey Blodget Individual 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
SEC v. J.P. Morgan Securities Inc. J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
SEC v. Jack B. Grubman Jack B. Grubman Individual 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
SEC v. Lehman Brothers, Inc. Lehman Brothers, Inc. Subsidiary of Public Company 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
SEC v. Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
SEC v. Morgan Stanley & Co. Incorporated Morgan Stanley and Co. LLC
Aliases
Subsidiary of Public Company 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
SEC v. U.S. Bancorp Piper Jaffray, Inc. U.S. Bancorp Piper Jaffray, Inc. Subsidiary of Public Company 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
SEC v. UBS Securities LLC, f/k/a UBS Warburg LLC UBS Securities LLC Subsidiary of Public Company 28-Apr-2003 28-Apr-2003 Investment Advisers/Investment Companies
In the Matter of Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., John Patrick Pierce, and Gary L. Winn Freedom Financial Group, Inc. Other 04-Sep-2003 15-Aug-2013 Issuer Reporting and Disclosure
SEC v. Kenneth P. D'Angelo and RBF International, Inc. Kenneth P. D'Angelo Individual 11-Sep-2003 25-May-2004 Broker Dealer
SEC v. Kenneth P. D'Angelo and RBF International, Inc. RBF International, Inc. Other 11-Sep-2003 25-May-2004 Broker Dealer
In the Matter of Theodore Charles Sihpol III Theodore Charles Sihpol III Individual 16-Sep-2003 16-Sep-2003 Investment Advisers/Investment Companies
In the Matter of Putnam Investment Management, LLC Putnam Investment Management, LLC Subsidiary of Public Company 28-Oct-2003 13-Nov-2003 Investment Advisers/Investment Companies
SEC v. Justin M. Scott and Omid Kamshad Justin M. Scott Individual 28-Oct-2003 04-Jun-2007 Investment Advisers/Investment Companies
SEC v. Justin M. Scott and Omid Kamshad Omid Kamshad Individual 28-Oct-2003 04-Jun-2007 Investment Advisers/Investment Companies
SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon John S. Peffer Individual 04-Nov-2003 07-Dec-2005 Investment Advisers/Investment Companies
SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon Justin F. Ficken Individual 04-Nov-2003 07-Dec-2005 Investment Advisers/Investment Companies
SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon Marc J. Bilotti Individual 04-Nov-2003 07-Dec-2005 Investment Advisers/Investment Companies
SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon Martin J. Druffner Individual 04-Nov-2003 07-Dec-2005 Investment Advisers/Investment Companies
SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon Robert E. Shannon Individual 04-Nov-2003 07-Dec-2005 Investment Advisers/Investment Companies
SEC v. Martin J. Druffner, Justin F. Ficken, Skifter Ajro, John S. Peffer, Marc J. Bilotti, and Robert E. Shannon Skifter Ajro Individual 04-Nov-2003 07-Dec-2005 Investment Advisers/Investment Companies
In the Matter of Alliance Capital Management, LP Alliance Capital Management, LP Public Company 15-Jan-2004 15-Jan-2004 Investment Advisers/Investment Companies
In the Matter of Paul A. Flynn Paul A. Flynn Individual 03-Feb-2004 02-Aug-2006 Investment Advisers/Investment Companies
In the Matter of Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke John W. Ballen Individual 05-Feb-2004 05-Feb-2004 Investment Advisers/Investment Companies
In the Matter of Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke Kevin R. Parke Individual 05-Feb-2004 05-Feb-2004 Investment Advisers/Investment Companies
In the Matter of Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke Massachusetts Financial Services Company Subsidiary of Public Company 05-Feb-2004 05-Feb-2004 Investment Advisers/Investment Companies
In the Matter of Bear Wagner Specialists LLC Bear Wagner Specialists LLC Subsidiary of Public Company 30-Mar-2004 30-Mar-2004 Broker Dealer
In the Matter of Fleet Specialist, Inc. Fleet Specialist, Inc. Subsidiary of Public Company 30-Mar-2004 30-Mar-2004 Broker Dealer
In the Matter of LaBranche & Co. LLC LaBranche & Co. LLC Subsidiary of Public Company 30-Mar-2004 30-Mar-2004 Broker Dealer
In the Matter of Spear, Leeds & Kellogg Specialists LLC Spear, Leeds & Kellogg Specialists LLC Subsidiary of Public Company 30-Mar-2004 30-Mar-2004 Broker Dealer
In the Matter of Van der Moolen Specialists USA, LLC Van der Moolen Specialists USA, LLC Subsidiary of Public Company 30-Mar-2004 30-Mar-2004 Broker Dealer
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Adam Klein Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Christopher Quintana Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Delta Asset Management Company, LLC Other 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Fidra Holdings Ltd. Other 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Frank Dolney Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Gary Todd Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Iain Brown Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Iain H.T. Brown Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Jeffrey Richardson Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Joseph Ferragamo Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Mario Casias Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Michelle Kramish Kain Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Nick Pirgousis Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Peter Moulinos Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Syndicated Food Service International, Inc. Other 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis Thomas Tanis Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis William Brown Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis William Keeler Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
SEC v. Syndicated Food Service International Inc., Nick Pirgousis, Frank Dolney, William Brown, Gary Todd, Mario Casias, Delta Asset Management Company, LLC, William Keeler, William Scott, Iain H.T. Brown, Iain Brown, FIDRA Holdings Ltd., Jeffrey Richardson, Peter Moulinos, Michelle Kramish Kain, Joseph Ferragamo, Adam Klein, Christopher Quintana, and Thomas Tanis William Scott Individual 30-Mar-2004 12-Jul-2013 Market Manipulation
In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato Anthony J. D'Amato Individual 20-May-2004 20-May-2004 Investment Advisers/Investment Companies
In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato Richard S. Strong Individual 20-May-2004 20-May-2004 Investment Advisers/Investment Companies
In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato Strong Capital Management, Inc. Other 20-May-2004 20-May-2004 Investment Advisers/Investment Companies
In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato Strong Investments, Inc. Other 20-May-2004 20-May-2004 Investment Advisers/Investment Companies
In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato Strong Investor Services, Inc. Other 20-May-2004 20-May-2004 Investment Advisers/Investment Companies
In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato Thomas A. Hooker, Jr. Individual 20-May-2004 20-May-2004 Investment Advisers/Investment Companies
In the Matter of Banc One Investment Advisors Corporation and Mark A. Beeson Banc One Investment Advisors Corporation Subsidiary of Public Company 29-Jun-2004 29-Jun-2004 Investment Advisers/Investment Companies
In the Matter of Banc One Investment Advisors Corporation and Mark A. Beeson Mark A. Beeson Individual 29-Jun-2004 29-Jun-2004 Investment Advisers/Investment Companies
In the Matter of J. Michael Scarborough and Royal Alliance Associates, Inc. J. Michael Scarborough Individual 08-Jul-2004 08-Jul-2004 Broker Dealer
In the Matter of J. Michael Scarborough and Royal Alliance Associates, Inc. Royal Alliance Associates, Inc. Subsidiary of Public Company 08-Jul-2004 08-Jul-2004 Broker Dealer
In the Matter of Performance Specialist Group LLC Performance Specialist Group LLC Other 26-Jul-2004 26-Jul-2004 Broker Dealer
In the Matter of SIG Specialists, Inc. SIG Specialists, Inc. Other 26-Jul-2004 26-Jul-2004 Broker Dealer
In the Matter of Franklin Advisers, Inc. Franklin Advisers, Inc. Subsidiary of Public Company 02-Aug-2004 02-Aug-2004 Investment Advisers/Investment Companies
In the Matter of CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. CIHC, Inc. Subsidiary of Public Company 09-Aug-2004 09-Aug-2004 Investment Advisers/Investment Companies
In the Matter of CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. Conseco Equity Sales Inc.
Aliases
Subsidiary of Public Company 09-Aug-2004 09-Aug-2004 Investment Advisers/Investment Companies
In the Matter of CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. Conseco Services, LLC Subsidiary of Public Company 09-Aug-2004 09-Aug-2004 Investment Advisers/Investment Companies
In the Matter of Inviva, Inc. and Jefferson National Life Insurance Company Inviva, Inc. Other 09-Aug-2004 09-Aug-2004 Investment Advisers/Investment Companies
In the Matter of Inviva, Inc. and Jefferson National Life Insurance Company Jefferson National Life Insurance Company
Aliases
Other 09-Aug-2004 09-Aug-2004 Investment Advisers/Investment Companies
SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike Chauncey D. Steele Individual 11-Aug-2004 08-Jul-2005 Market Manipulation
SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike Competitive Technologies, Inc. Public Company 11-Aug-2004 08-Jul-2005 Market Manipulation
SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike Frank R. McPike Individual 11-Aug-2004 08-Jul-2005 Market Manipulation
SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike John R. Glushko Individual 11-Aug-2004 08-Jul-2005 Market Manipulation
SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike Richard A. Kwak Individual 11-Aug-2004 08-Jul-2005 Market Manipulation
SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike Sheldon A. Strauss Individual 11-Aug-2004 08-Jul-2005 Market Manipulation
SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike Stephen J. Wilson Individual 11-Aug-2004 08-Jul-2005 Market Manipulation
SEC v. Competitive Technologies, Inc., Chauncey D. Steele, John R. Glushko, Thomas C. Kocherhans, Richard A. Kwak, Sheldon A. Strauss, Stephen J. Wilson and Frank R. McPike Thomas C. Kocherhans Individual 11-Aug-2004 08-Jul-2005 Market Manipulation
In the Matter of Janus Capital Management LLC Janus Capital Management LLC
Aliases
Subsidiary of Public Company 18-Aug-2004 18-Aug-2004 Investment Advisers/Investment Companies
In the Matter of Royal Dutch Petroleum Company and The "Shell" Transport and Tradng Co., p.l.c. Royal Dutch Petroleum Company Public Company 24-Aug-2004 24-Aug-2004 Market Manipulation
In the Matter of Royal Dutch Petroleum Company and The "Shell" Transport and Tradng Co., p.l.c. The “Shell” Transport and Trading Co. Public Company 24-Aug-2004 24-Aug-2004 Market Manipulation
SEC v. Deutsche Bank Securities, Inc. Deutsche Bank Securities, Inc.
Aliases
Subsidiary of Public Company 26-Aug-2004 26-Aug-2004 Investment Advisers/Investment Companies
SEC v. Thomas Weisel Partners LLC Thomas Weisel Partners LLC Other 26-Aug-2004 26-Aug-2004 Investment Advisers/Investment Companies
In the Matter of PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC PA Distributors LLC Subsidiary of Public Company 13-Sep-2004 13-Sep-2004 Investment Advisers/Investment Companies
In the Matter of PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC PA Fund Management LLC Subsidiary of Public Company 13-Sep-2004 13-Sep-2004 Investment Advisers/Investment Companies
In the Matter of PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC PEA Capital LLC Subsidiary of Public Company 13-Sep-2004 13-Sep-2004 Investment Advisers/Investment Companies
In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom David Lee Ullom Individual 30-Sep-2004 28-Jan-2005 Investment Advisers/Investment Companies
In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom J. Stephen Putnam Individual 30-Sep-2004 28-Jan-2005 Investment Advisers/Investment Companies
In the Matter of Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom Raymond James Financial Services, Inc. Subsidiary of Public Company 30-Sep-2004 28-Jan-2005 Investment Advisers/Investment Companies
In the Matter of Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. AIM Advisors, Inc. Subsidiary of Public Company 08-Oct-2004 08-Oct-2004 Investment Advisers/Investment Companies
In the Matter of Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. AIM Distributors, Inc. Subsidiary of Public Company 08-Oct-2004 08-Oct-2004 Investment Advisers/Investment Companies
In the Matter of Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. Invesco Funds Group, Inc. Subsidiary of Public Company 08-Oct-2004 08-Oct-2004 Investment Advisers/Investment Companies
In the Matter of Fremont Investment Advisors, Inc. Fremont Investment Advisors, Inc. Other 04-Nov-2004 04-Nov-2004 Investment Advisers/Investment Companies
In the Matter of Larry Adams Larry Adams Individual 04-Nov-2004 19-May-2005 Investment Advisers/Investment Companies
In the Matter of Nancy C. Tengler Nancy C. Tengler Individual 04-Nov-2004 04-Nov-2004 Investment Advisers/Investment Companies
SEC v. Stephen J. Treadway and Kenneth W. Corba Kenneth W. Corba Individual 10-Nov-2004 13-Jun-2006 Investment Advisers/Investment Companies
SEC v. Stephen J. Treadway and Kenneth W. Corba Stephen J. Treadway Individual 10-Nov-2004 13-Jun-2006 Investment Advisers/Investment Companies
In the Matter of Knight Securities L.P. Knight Securities L.P. Subsidiary of Public Company 16-Dec-2004 16-Dec-2004 Broker Dealer
In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh Daniel R. Leland Individual 10-Jan-2005 10-Jan-2005 Broker Dealer
In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh Kerry M. Rigdon Individual 10-Jan-2005 10-Jan-2005 Broker Dealer
In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh Kevin J. Marsh Individual 10-Jan-2005 10-Jan-2005 Broker Dealer
In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh Southwest Securities, Inc. Subsidiary of Public Company 10-Jan-2005 10-Jan-2005 Broker Dealer
SEC v. Courtney D. Smith Courtney D. Smith Individual 07-Feb-2005 02-Mar-2009 Market Manipulation
In the Matter of Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC BACAP Distributors, LLC Subsidiary of Public Company 09-Feb-2005 09-Feb-2005 Investment Advisers/Investment Companies
In the Matter of Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC Banc of America Capital Management, LLC Subsidiary of Public Company 09-Feb-2005 09-Feb-2005 Investment Advisers/Investment Companies
In the Matter of Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC Banc of America Securities LLC
Aliases
Subsidiary of Public Company 09-Feb-2005 09-Feb-2005 Investment Advisers/Investment Companies
In the Matter of Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. Columbia Funds Distributor, Inc. Subsidiary of Public Company 09-Feb-2005 09-Feb-2005 Investment Advisers/Investment Companies
In the Matter of Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. Columbia Management Advisors, Inc. Subsidiary of Public Company 09-Feb-2005 09-Feb-2005 Investment Advisers/Investment Companies
In the Matter of Erik Gustafson Erik Gustafson Individual 09-Feb-2005 09-Feb-2005 Investment Advisers/Investment Companies
In the Matter of Joseph Palombo Joseph Palombo Individual 09-Feb-2005 09-Feb-2005 Investment Advisers/Investment Companies
In the Matter of Peter Martin Peter Martin Individual 09-Feb-2005 09-Feb-2005 Investment Advisers/Investment Companies
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. James V. Parolisi Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Patrick E. Murphy Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Robert A. Johnson, Jr. Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Robert W. Luckow Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Todd J. Christie Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. David A. Finnerty Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Donald R. Foley II Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Frank A. Delaney IV Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Freddy DeBoer Individual 12-Apr-2005 27-Nov-2007 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Gerard T. Hayes Individual 12-Apr-2005 23-May-2007 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Joseph Bongiorno Individual 12-Apr-2005 23-May-2007 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Kevin M. Fee Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Michael F. Stern Individual 12-Apr-2005 23-May-2007 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Michael J. Hayward Individual 12-Apr-2005 23-May-2007 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Patrick J. McGagh, Jr. Individual 12-Apr-2005 23-May-2007 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Richard P. Volpe Individual 12-Apr-2005 23-May-2007 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Robert A. Scavone, Jr. Individual 12-Apr-2005 23-May-2007 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Scott G. Hunt Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Thomas J. Murphy, Jr. Individual 12-Apr-2005 15-Oct-2008 Broker Dealer
In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Warren E. Turk Individual 12-Apr-2005 23-May-2007 Broker Dealer
SEC v. Joseph W. Leighton John P. Leighton Individual 20-Apr-2005 05-May-2005 Broker Dealer
In the Matter of Gerald T. Malone Gerald T. Malone Individual 28-Apr-2005 28-Apr-2005 Investment Advisers/Investment Companies
In the Matter of John D. Carifa John D. Carifa Individual 28-Apr-2005 28-Apr-2005 Investment Advisers/Investment Companies
In the Matter of Michael J. Laughlin Michael J. Laughlin Individual 28-Apr-2005 28-Apr-2005 Investment Advisers/Investment Companies
In the Matter of Smith Barney Fund Management LLC and Citigroup Global Markets Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 31-May-2005 31-May-2005 Investment Advisers/Investment Companies
In the Matter of Smith Barney Fund Management LLC and Citigroup Global Markets Inc. Smith Barney Fund Management LLC Subsidiary of Public Company 31-May-2005 31-May-2005 Investment Advisers/Investment Companies
In the Matter of Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA Huntington Bancshares, Inc. Public Company 02-Jun-2005 02-Jun-2005 Issuer Reporting and Disclosure
In the Matter of Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA John Van Fleet Individual 02-Jun-2005 02-Jun-2005 Issuer Reporting and Disclosure
In the Matter of Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA Michael J. McMennamin Individual 02-Jun-2005 02-Jun-2005 Issuer Reporting and Disclosure
In the Matter of Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA Thomas E. Hoaglin Individual 02-Jun-2005 02-Jun-2005 Issuer Reporting and Disclosure
SEC v. John Houldsworth and Richard Napier John Houldsworth Individual 10-Jun-2005 27-Jun-2005 Issuer Reporting and Disclosure
SEC v. John Houldsworth and Richard Napier Richard Napier Individual 10-Jun-2005 27-Jun-2005 Issuer Reporting and Disclosure
In the Matter of Ford Motor Credit Company Ford Motor Credit Company LLC Subsidiary of Public Company 14-Jun-2005 14-Jun-2005 Securities Offering
In the Matter of Edgar M. Larsen Edgar M. Larsen Individual 18-Jul-2005 18-Jul-2005 Investment Advisers/Investment Companies
In the Matter of Canadian Imperial Holdings, Inc. and CIBC World Markets Corp. Canadian Imperial Holdings Inc.
Aliases
Subsidiary of Public Company 20-Jul-2005 20-Jul-2005 Broker Dealer
In the Matter of Canadian Imperial Holdings, Inc. and CIBC World Markets Corp. CIBC World Markets Corp. Subsidiary of Public Company 20-Jul-2005 20-Jul-2005 Broker Dealer
SEC v. Kenneth D. Pasternak and John P. Leighton John P. Leighton Individual 08-Aug-2005 24-Jun-2008 Broker Dealer
SEC v. Kenneth D. Pasternak and John P. Leighton Kenneth D. Pasternak Individual 08-Aug-2005 24-Jun-2008 Broker Dealer
SEC v. Thomas v. Jones and Lewis E. Daidone Lewis E. Daidone Individual 08-Aug-2005 26-Feb-2007 Investment Advisers/Investment Companies
SEC v. Thomas v. Jones and Lewis E. Daidone Thomas W. Jones Individual 08-Aug-2005 26-Feb-2007 Investment Advisers/Investment Companies
In the Matter of John Houldsworth, CA John Houldsworth Individual 11-Oct-2005 11-Oct-2005 Issuer Reporting and Disclosure
SEC v. Theodore Charles Sihpol III Theodore Charles Sihpol III Individual 12-Oct-2005 18-Oct-2005 Investment Advisers/Investment Companies
SEC v. PacketPort.com, Inc., Ronald Durando, PacketPort, Inc., Microphase Corp., Robert H. Jaffe, Gustave Dotoli, IP Equity, Inc., M. Christopher Agarwal, Theodore Kunzog, and William Coons, III Packetport.com, Inc. Other 15-Nov-2005 Market Manipulation
In the Matter of Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company Federated Investment Management Company Subsidiary of Public Company 28-Nov-2005 28-Nov-2005 Investment Advisers/Investment Companies
In the Matter of Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company Federated Securities Corp. Subsidiary of Public Company 28-Nov-2005 28-Nov-2005 Investment Advisers/Investment Companies
In the Matter of Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company Federated Shareholder Services Company Subsidiary of Public Company 28-Nov-2005 28-Nov-2005 Investment Advisers/Investment Companies
In the Matter of American Express Financial Advisors Inc. Ameriprise Financial Services, Inc.
Aliases
Subsidiary of Public Company 01-Dec-2005 01-Dec-2005 Issuer Reporting and Disclosure
In the Matter of American Express Financial Corporation (now known as Ameriprise Financial, Inc.) Ameriprise Financial, Inc
Aliases
Public Company 01-Dec-2005 01-Dec-2005 Investment Advisers/Investment Companies
SEC v. McAfee Inc. McAfee, Inc. Public Company 04-Jan-2006 09-Feb-2006 Issuer Reporting and Disclosure
SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand Christian Milton Individual 02-Feb-2006 25-Sep-2009 Issuer Reporting and Disclosure
SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand Christopher Garand Individual 02-Feb-2006 25-Sep-2009 Issuer Reporting and Disclosure
SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand Elizabeth Monrad Individual 02-Feb-2006 25-Sep-2009 Issuer Reporting and Disclosure
SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand Robert D. Graham Individual 02-Feb-2006 25-Sep-2009 Issuer Reporting and Disclosure
SEC v. Richard Ferguson, Elizabeth Monrad, Christian Milton, Robert Graham and Christopher Garand Ronald Ferguson Individual 02-Feb-2006 25-Sep-2009 Issuer Reporting and Disclosure
SEC v. American International Group, Inc. American International Group, Inc. Public Company 09-Feb-2006 17-Feb-2006 Issuer Reporting and Disclosure
In the Matter of Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp. Bear, Stearns & Co. Inc.
Aliases
Subsidiary of Public Company 16-Mar-2006 16-Mar-2006 Investment Advisers/Investment Companies
In the Matter of Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp. Bear, Stearns Securities Corp. Subsidiary of Public Company 16-Mar-2006 16-Mar-2006 Investment Advisers/Investment Companies
SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson Adnan M. Khashoggi Individual 13-Apr-2006 31-Mar-2010 Market Manipulation
SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson Douglas E. Jacobson Individual 13-Apr-2006 31-Mar-2010 Market Manipulation
SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson GenesisIntermedia, Inc. Public Company 13-Apr-2006 31-Mar-2010 Market Manipulation
SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson Ramy Y. El-Batrawi Individual 13-Apr-2006 31-Mar-2010 Market Manipulation
SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson Richard J. Evangelista Individual 13-Apr-2006 31-Mar-2010 Market Manipulation
SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson Ultimate Holdings, Ltd. Other 13-Apr-2006 31-Mar-2010 Market Manipulation
SEC v. Ramy Y. El-Batrawi, GenesisIntermedia, Inc., Ultimate Holdings, Ltd., Adnan M. Khashoggi, Richard J. Evangelista, Wayne Breedon, and Douglas E. Jacobson Wayne Breedon Individual 13-Apr-2006 31-Mar-2010 Market Manipulation
SEC v. Ranko "Ron" Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. Public Company 25-Apr-2006 Issuer Reporting and Disclosure
SEC v. Ranko "Ron" Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. Jesus Bonilla-Valdez Individual 25-Apr-2006 Issuer Reporting and Disclosure
SEC v. Ranko "Ron" Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. Ranko "Ron" Cucuz Individual 25-Apr-2006 Issuer Reporting and Disclosure
SEC v. Ranko "Ron" Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. Ronald Lee Kolakowski Individual 25-Apr-2006 Issuer Reporting and Disclosure
SEC v. Ranko "Ron" Cucuz, William D. Shovers, Jesus Bonilla-Valdez, Ronald Lee Kolakowski, and HLI Operating Company, Inc., f/k/a Hayes Lemmerz International, Inc. William D. Shovers Individual 25-Apr-2006 Issuer Reporting and Disclosure
SEC v. Lumenis, Ltd., Sagi A. Genger, and Kevin Morano Kevin Morano
Aliases
Individual 26-Apr-2006 02-May-2006 Issuer Reporting and Disclosure
SEC v. Lumenis, Ltd., Sagi A. Genger, and Kevin Morano Lumenis Ltd. Public Company 26-Apr-2006 02-May-2006 Issuer Reporting and Disclosure
SEC v. Lumenis, Ltd., Sagi A. Genger, and Kevin Morano Sagi A. Genger Individual 26-Apr-2006 02-May-2006 Issuer Reporting and Disclosure
SEC v. James Tambone and Robert Hussey James Tambone Individual 19-May-2006 13-Apr-2012 Investment Advisers/Investment Companies
SEC v. James Tambone and Robert Hussey Robert Hussey Individual 19-May-2006 13-Apr-2012 Investment Advisers/Investment Companies
SEC v. Federal National Mortgage Association Federal National Mortgage Association Public Company 23-May-2006 23-May-2006 Issuer Reporting and Disclosure
In the Matter of Kenneth W. Corba Kenneth W. Corba Individual 16-Jun-2006 16-Jun-2006 Investment Advisers/Investment Companies
SEC v. Raytheon Company, Daniel P. Burnman, and Aldo R. Servello Aldo R. Servello Individual 28-Jun-2006 23-Aug-2006 Issuer Reporting and Disclosure
SEC v. Raytheon Company, Daniel P. Burnman, and Aldo R. Servello Daniel P. Burnham Individual 28-Jun-2006 23-Aug-2006 Issuer Reporting and Disclosure
SEC v. Raytheon Company, Daniel P. Burnman, and Aldo R. Servello Raytheon Corporation Public Company 28-Jun-2006 23-Aug-2006 Issuer Reporting and Disclosure
SEC v. John Samson, John G. A. Munro, Ian N. Campbell, John H. Whelan Ian N. Campbell Individual 05-Jul-2006 14-Jul-2006 Foreign Corrupt Practices Act
SEC v. John Samson, John G. A. Munro, Ian N. Campbell, John H. Whelan John G. A. Munro Individual 05-Jul-2006 14-Jul-2006 Foreign Corrupt Practices Act
SEC v. John Samson, John G. A. Munro, Ian N. Campbell, John H. Whelan John H. Whelan Individual 05-Jul-2006 14-Jul-2006 Foreign Corrupt Practices Act
SEC v. John Samson, John G. A. Munro, Ian N. Campbell, John H. Whelan John Samson Individual 05-Jul-2006 14-Jul-2006 Foreign Corrupt Practices Act
In the Matter of Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company Waddell & Reed Investment Management Company
Aliases
Subsidiary of Public Company 24-Jul-2006 24-Jul-2006 Investment Advisers/Investment Companies
In the Matter of Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company Waddell & Reed Services Company Subsidiary of Public Company 24-Jul-2006 24-Jul-2006 Investment Advisers/Investment Companies
In the Matter of Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company Waddell & Reed, Inc.
Aliases
Subsidiary of Public Company 24-Jul-2006 24-Jul-2006 Investment Advisers/Investment Companies
In the Matter of Warren Lammert, Lars Soderberg, and Lance Newcomb Lance Newcomb Individual 31-Jul-2006 28-Apr-2008 Investment Advisers/Investment Companies
In the Matter of Warren Lammert, Lars Soderberg, and Lance Newcomb Lars Soderberg Individual 31-Jul-2006 28-Apr-2008 Investment Advisers/Investment Companies
In the Matter of Warren Lammert, Lars Soderberg, and Lance Newcomb Warren Lammert Individual 31-Jul-2006 28-Apr-2008 Investment Advisers/Investment Companies
SEC v. Dawn M. Schlegel, and Sandra L. Hatfield Dawn M. Schlegel Individual 17-Aug-2006 11-Aug-2015 Issuer Reporting and Disclosure
SEC v. Dawn M. Schlegel, and Sandra L. Hatfield Sandra Hatfield Individual 17-Aug-2006 11-Aug-2015 Issuer Reporting and Disclosure
In the Matter of Prudential Equity Group, LLC, formerly known as Prudential Securities, Inc. Prudential Equity Group, LLC Subsidiary of Public Company 28-Aug-2006 28-Aug-2006 Broker Dealer
SEC v. Doral Financial Corporation Doral Financial Corporation Public Company 19-Sep-2006 04-Dec-2006 Issuer Reporting and Disclosure
In the Matter of BISYS Fund Services, Inc. BISYS Fund Services Inc.
Aliases
Subsidiary of Public Company 26-Sep-2006 26-Sep-2006 Investment Advisers/Investment Companies
In the Matter of Strong Capital Management, Inc. Strong Capital Management, Inc. Other 29-Sep-2006 29-Sep-2006 Investment Advisers/Investment Companies
In the Matter of Stephen J. Treadway Stephen J. Treadway Individual 07-Nov-2006 07-Nov-2006 Investment Advisers/Investment Companies
In the Matter of Hartford Investment Financial Services, et al. Hartford Investment Financial Services, LLC Subsidiary of Public Company 08-Nov-2006 08-Nov-2006 Investment Advisers/Investment Companies
In the Matter of Hartford Investment Financial Services, et al. Hartford Securities Distribution Company, Inc. Subsidiary of Public Company 08-Nov-2006 08-Nov-2006 Investment Advisers/Investment Companies
In the Matter of Hartford Investment Financial Services, et al. HL Investment Advisors, LLC Subsidiary of Public Company 08-Nov-2006 08-Nov-2006 Investment Advisers/Investment Companies
SEC v. Jamie L. Solow Jamie L. Solow Individual 08-Nov-2006 14-May-2008 Broker Dealer
In the Matter of Jefferies & Co., Inc. and Scott Jones Jefferies LLC
Aliases
Subsidiary of Public Company 01-Dec-2006 01-Dec-2006 Broker Dealer
In the Matter of Jefferies & Co., Inc. and Scott Jones Scott Jones Individual 01-Dec-2006 01-Dec-2006 Broker Dealer
In the Matter of Kevin W. Quinn Kevin W. Quinn Individual 01-Dec-2006 01-Dec-2006 Broker Dealer
In the Matter of MBIA Inc. MBIA Inc. Public Company 29-Jan-2007 27-Mar-2009 Issuer Reporting and Disclosure
SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor Craig A. Johnson Individual 12-Mar-2007 02-May-2008 Issuer Reporting and Disclosure
SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor Douglas A. Hamilton Individual 12-Mar-2007 02-May-2008 Issuer Reporting and Disclosure
SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor Douglas C. Beatty Individual 12-Mar-2007 02-May-2008 Issuer Reporting and Disclosure
SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor Frank A. Dunn Individual 12-Mar-2007 02-May-2008 Issuer Reporting and Disclosure
SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor James B. Kinney Individual 12-Mar-2007 02-May-2008 Issuer Reporting and Disclosure
SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor Kenneth R.W. Taylor Individual 12-Mar-2007 02-May-2008 Issuer Reporting and Disclosure
SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor MaryAnne E. Pahapill Individual 12-Mar-2007 02-May-2008 Issuer Reporting and Disclosure
SEC v. Frank A. Dunn, Douglas C. Beatty, Michael J. Gollogly and Maryanne E. Pahapill (a.k.a. Mary Anne Poland), Douglas A. Hamilton, Craig A. Johnson, James B. Kinney and Kenneth R.W. Taylor Michael J. Gollogly Individual 12-Mar-2007 02-May-2008 Issuer Reporting and Disclosure
In the Matter of Banc of America Securities LLC with Merrill Lynch, Pierce, Fenner & Smith Incorporated as Successor Banc of America Securities LLC
Aliases
Subsidiary of Public Company 14-Mar-2007 14-Mar-2007 Insider Trading
SEC v. Nicor Inc. and Jeffrey L. Metz Jeffrey L. Metz Individual 29-Mar-2007 30-Apr-2007 Issuer Reporting and Disclosure
SEC v. Nicor Inc. and Jeffrey L. Metz Nicor, Inc. Public Company 29-Mar-2007 30-Apr-2007 Issuer Reporting and Disclosure
SEC v. Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen Christi R. Sulzbach Individual 02-Apr-2007 02-Apr-2007 Issuer Reporting and Disclosure
SEC v. Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen David L. Dennis Individual 02-Apr-2007 02-Apr-2007 Issuer Reporting and Disclosure
SEC v. Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen Raymond L. Mathiasen Individual 02-Apr-2007 02-Apr-2007 Issuer Reporting and Disclosure
SEC v. Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen Tenet Healthcare Corporation Public Company 02-Apr-2007 02-Apr-2007 Issuer Reporting and Disclosure
SEC v. Tenet Healthcare Corporation, David L. Dennis, Thomas B. Mackey, Christi R. Sulzbach, and Raymond L. Mathiasen Thomas B. Mackey Individual 02-Apr-2007 02-Apr-2007 Issuer Reporting and Disclosure
In the Matter of Morgan Stanley & Co. Incorporated Morgan Stanley and Co. LLC
Aliases
Subsidiary of Public Company 09-May-2007 09-May-2007 Broker Dealer
SEC v. The BISYS Group, Inc. BISYS Group
Aliases
Public Company 23-May-2007 18-Jul-2007 Issuer Reporting and Disclosure
SEC v. Mercury Interactive, LLC (f/k/a Mercury Interactive, Inc.), Amnon Landan, Sharlene Abrams, Douglas Smith and Susan Skaer Mercury Interactive, LLC Subsidiary of Public Company 31-May-2007 20-Mar-2009 Issuer Reporting and Disclosure
In the Matter of Justin Scott Justin M. Scott Individual 04-Jun-2007 04-Jun-2007 Investment Advisers/Investment Companies
In the Matter of Omid Kamshad Omid Kamshad Individual 04-Jun-2007 04-Jun-2007 Investment Advisers/Investment Companies
SEC v. Cardinal Health, Inc. Cardinal Health, Inc. Public Company 26-Jul-2007 26-Jul-2007 Issuer Reporting and Disclosure
In the Matter of Carole D. Argo, CPA Carole D. Argo Individual 01-Aug-2007 01-Aug-2007 Issuer Reporting and Disclosure
SEC v. Carole Argo Carole D. Argo Individual 01-Aug-2007 24-Sep-2008 Issuer Reporting and Disclosure
SEC v. First Bancorp First Bancorp Public Company 07-Aug-2007 21-Aug-2007 Issuer Reporting and Disclosure
In the Matter of General American Life Insurance Company and William C. Thater General American Life Insurance Company, Inc. Subsidiary of Public Company 09-Aug-2007 09-Aug-2007 Investment Advisers/Investment Companies
In the Matter of General American Life Insurance Company and William C. Thater William C. Thater Individual 09-Aug-2007 09-Aug-2007 Investment Advisers/Investment Companies
SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens George Behrens Individual 09-Aug-2007 03-Aug-2010 Issuer Reporting and Disclosure
SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens Kathleen Halloran Individual 09-Aug-2007 03-Aug-2010 Issuer Reporting and Disclosure
SEC v. Thomas Fisher, Kathleen Halloran, and George Behrens Thomas Fisher Individual 09-Aug-2007 03-Aug-2010 Issuer Reporting and Disclosure
In the Matter of Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia Securities, LLC Evergreen Investment Management Company, LLC Subsidiary of Public Company 19-Sep-2007 19-Sep-2007 Investment Advisers/Investment Companies
In the Matter of Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia Securities, LLC Evergreen Investment Services, Inc. Subsidiary of Public Company 19-Sep-2007 19-Sep-2007 Investment Advisers/Investment Companies
In the Matter of Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia Securities, LLC Evergreen Service Company, LLC Subsidiary of Public Company 19-Sep-2007 19-Sep-2007 Investment Advisers/Investment Companies
In the Matter of Evergreen Investment Management Company, LLC, Evergreen Investment Services, Inc., Evergreen Service Company, LLC and Wachovia Securities, LLC Wachovia Securities, LLC Subsidiary of Public Company 19-Sep-2007 19-Sep-2007 Investment Advisers/Investment Companies
In the Matter of William M. Ennis William M. Ennis Individual 19-Sep-2007 19-Sep-2007 Investment Advisers/Investment Companies
SEC v. HSBC Bank USA, N.A. HSBC Bank USA, N.A. Subsidiary of Public Company 20-Sep-2007 25-Sep-2007 Issuer Reporting and Disclosure
SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Madeiras, Leonardo Madeiras Jr., Nildo Verdeja Iliana Maceiras Individual 28-Sep-2007 30-Sep-2010 Securities Offering
SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Madeiras, Leonardo Madeiras Jr., Nildo Verdeja Leonardo Maceiras Jr. Individual 28-Sep-2007 30-Sep-2010 Securities Offering
SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Madeiras, Leonardo Madeiras Jr., Nildo Verdeja Nildo Verdeja Individual 28-Sep-2007 30-Sep-2010 Securities Offering
SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Madeiras, Leonardo Madeiras Jr., Nildo Verdeja U.S. College Trust Corp. Other 28-Sep-2007 30-Sep-2010 Securities Offering
SEC v. U.S. Pension Trust Corp., U.S. College Trust Corp., Iliana Madeiras, Leonardo Madeiras Jr., Nildo Verdeja U.S. Pension Trust Corp. Other 28-Sep-2007 30-Sep-2010 Securities Offering
SEC v. York International Corp. York International Corporation Subsidiary of Public Company 01-Oct-2007 01-Oct-2007 Foreign Corrupt Practices Act
In the Matter of Morgan Stanley & Co. Incorporated Morgan Stanley and Co. LLC
Aliases
Subsidiary of Public Company 10-Oct-2007 10-Oct-2007 Broker Dealer
SEC v. Nortel Networks Corporation and Nortel Networks Limited Nortel Networks Corporation Public Company 15-Oct-2007 15-Oct-2007 Issuer Reporting and Disclosure
SEC v. Nortel Networks Corporation and Nortel Networks Limited Nortel Networks Limited Subsidiary of Public Company 15-Oct-2007 15-Oct-2007 Issuer Reporting and Disclosure
In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog Gustave Dotoli Individual 18-Oct-2007 18-Oct-2007 Securities Offering
In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog M. Christopher Agarwal Individual 18-Oct-2007 18-Oct-2007 Securities Offering
In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog Microphase Corp. Other 18-Oct-2007 18-Oct-2007 Securities Offering
In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog Packetport.com, Inc. Other 18-Oct-2007 18-Oct-2007 Securities Offering
In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog Robert H. Jaffe Individual 18-Oct-2007 18-Oct-2007 Securities Offering
In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog Ronald Durando Individual 18-Oct-2007 18-Oct-2007 Securities Offering
In the Matter of PacketPort.com, Inc., Ronald Durando, MicrophaseCorp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog Theodore Kunzog Individual 18-Oct-2007 18-Oct-2007 Securities Offering
SEC v. David H. Brooks David H. Brooks Individual 25-Oct-2007 12-Dec-2007 Issuer Reporting and Disclosure
In the Matter of Ingersoll-Rand Company Limited Ingersoll-Rand Company Ltd. Public Company 31-Oct-2007 31-Oct-2007 Foreign Corrupt Practices Act
SEC v. Chevron Corporation Chevron Corporation Public Company 14-Nov-2007 14-Nov-2007 Foreign Corrupt Practices Act
SEC v. William W. McGuire, M.D. William W. McGuire, M.D. Individual 06-Dec-2007 28-Jan-2009 Issuer Reporting and Disclosure
SEC v. Michael J. Nolan Michael J. Nolan Individual 12-Dec-2007 08-Apr-2008 Issuer Reporting and Disclosure
SEC v. Darryl A. Goldstein and Christopher L. O'Donnell Christopher L. O'Donnell Individual 14-Dec-2007 30-May-2008 Broker Dealer
SEC v. Darryl A. Goldstein and Christopher L. O'Donnell Darryl A. Goldstein Individual 14-Dec-2007 30-May-2008 Broker Dealer
In the Matter of Marc H. Plotkin Marc H. Plotkin Individual 18-Dec-2007 18-Dec-2007 Broker Dealer
In the Matter of Morgan Stanley & Co. Incorporated Morgan Stanley and Co. LLC
Aliases
Subsidiary of Public Company 18-Dec-2007 18-Dec-2007 Broker Dealer
SEC v. Joseph F. Apuzzo Joseph F. Apuzzo Individual 27-Dec-2007 08-Sep-2015 Issuer Reporting and Disclosure
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith Christopher J. Horan Individual 05-Mar-2008 11-Dec-2008 Broker Dealer
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith David K. Donovan Individual 05-Mar-2008 11-Dec-2008 Broker Dealer
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith Edward S. Driscoll Individual 05-Mar-2008 11-Dec-2008 Broker Dealer
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith Jeffrey D. Harris Individual 05-Mar-2008 11-Dec-2008 Broker Dealer
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith Kirk C. Smith Individual 05-Mar-2008 11-Dec-2008 Broker Dealer
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith Robert L. Burns Individual 05-Mar-2008 11-Dec-2008 Broker Dealer
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith Scott E. DeSano Individual 05-Mar-2008 11-Dec-2008 Broker Dealer
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith Steven P. Pascucci Individual 05-Mar-2008 11-Dec-2008 Broker Dealer
In the Matter of Scott E. DeSano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci and Kirk C. Smith Timothy J. Burnieika Individual 05-Mar-2008 11-Dec-2008 Broker Dealer
SEC v. W.P. Carey & Co. LLC, Carey Financial LLC, John J. Park, and Claude Fernandez Carey Financial LLC Subsidiary of Public Company 18-Mar-2008 20-Mar-2008 Broker Dealer
SEC v. W.P. Carey & Co. LLC, Carey Financial LLC, John J. Park, and Claude Fernandez Claude Fernandez Individual 18-Mar-2008 20-Mar-2008 Broker Dealer
SEC v. W.P. Carey & Co. LLC, Carey Financial LLC, John J. Park, and Claude Fernandez John J. Park Individual 18-Mar-2008 20-Mar-2008 Broker Dealer
SEC v. W.P. Carey & Co. LLC, Carey Financial LLC, John J. Park, and Claude Fernandez W.P. Carey & Co. LLC Public Company 18-Mar-2008 20-Mar-2008 Broker Dealer
SEC v. Biovail Corporation, Eugene N. Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling Brian Crombie Individual 24-Mar-2008 17-Feb-2011 Issuer Reporting and Disclosure
SEC v. Biovail Corporation, Eugene N. Melnyk, Brian Crombie, John Miszuk, and Kenneth G. Howling Eugene N. Melnyk Individual 24-Mar-2008 17-Feb-2011 Issuer Reporting and Disclosure
SEC v. John N. Milne John N. Milne Individual 04-Apr-2008 14-Oct-2009 Issuer Reporting and Disclosure
In the Matter of Gabelli Funds LLC Gabelli Funds LLC Subsidiary of Public Company 24-Apr-2008 24-Apr-2008 Investment Advisers/Investment Companies
SEC v. Marc J. Gabelli, and Bruce Alpert Bruce Alpert Individual 24-Apr-2008 01-Aug-2011 Investment Advisers/Investment Companies
SEC v. Marc J. Gabelli, and Bruce Alpert Marc J. Gabelli Individual 24-Apr-2008 01-Aug-2011 Investment Advisers/Investment Companies
In the Matter of Michael J. Nolan Michael J. Nolan Individual 29-Apr-2008 29-Apr-2008 Issuer Reporting and Disclosure
SEC v. Larry P. Langford, William B. Blount, Blount Parrish & Co., Inc, and Albert W. LaPierre Albert W. LaPierre Individual 30-Apr-2008 14-Jul-2010 Municipal Securities & Public Pensions
SEC v. Larry P. Langford, William B. Blount, Blount Parrish & Co., Inc, and Albert W. LaPierre Blount Parrish & Co., Inc. Other 30-Apr-2008 14-Jul-2010 Municipal Securities & Public Pensions
SEC v. Larry P. Langford, William B. Blount, Blount Parrish & Co., Inc, and Albert W. LaPierre Larry P. Langford Individual 30-Apr-2008 14-Jul-2010 Municipal Securities & Public Pensions
SEC v. Larry P. Langford, William B. Blount, Blount Parrish & Co., Inc, and Albert W. LaPierre William B. Blount Individual 30-Apr-2008 14-Jul-2010 Municipal Securities & Public Pensions
In the Matter of UTStarcom, Inc., Hong Liang Lu and Michael J. Sophie Hong Liang Lu Individual 01-May-2008 01-May-2008 Issuer Reporting and Disclosure
In the Matter of UTStarcom, Inc., Hong Liang Lu and Michael J. Sophie Michael J. Sophie Individual 01-May-2008 01-May-2008 Issuer Reporting and Disclosure
In the Matter of UTStarcom, Inc., Hong Liang Lu and Michael J. Sophie UTStarcom, Inc. Public Company 01-May-2008 01-May-2008 Issuer Reporting and Disclosure
SEC v. Hong Liang Lu and Michael J. Sophie Hong Liang Lu Individual 08-May-2008 13-May-2008 Issuer Reporting and Disclosure
SEC v. Hong Liang Lu and Michael J. Sophie Michael J. Sophie Individual 08-May-2008 13-May-2008 Issuer Reporting and Disclosure
In the Matter of Faro Technologies, Inc. Faro Technologies, Inc. Public Company 05-Jun-2008 05-Jun-2008 Foreign Corrupt Practices Act
In the Matter of Michael K. Brugman Michael K. Brugman Individual 11-Jun-2008 14-Jan-2009 Investment Advisers/Investment Companies
In the Matter of Jamie L. Solow Jamie L. Solow Individual 12-Jun-2008 Broker Dealer
In the Matter of Gordon R. Moore Gordon R. Moore Individual 01-Aug-2008 01-Aug-2008 Investment Advisers/Investment Companies
SEC v. Brent Lemons Brent Lemons Individual 01-Aug-2008 23-Feb-2010 Broker Dealer
SEC v. Albert Jackson Stanley Albert Jackson Stanley Individual 03-Sep-2008 25-Sep-2008 Foreign Corrupt Practices Act
SEC v. United Rentals, Inc. United Rentals, Inc. Public Company 08-Sep-2008 19-Sep-2008 Issuer Reporting and Disclosure
SEC v. Angel Alvarez-Perez and Annie Astor-Carbonell Angel Alvarez-Perez Individual 16-Sep-2008 17-Oct-2008 Issuer Reporting and Disclosure
SEC v. Angel Alvarez-Perez and Annie Astor-Carbonell Annie Astor-Carbonell (CPA) Individual 16-Sep-2008 17-Oct-2008 Issuer Reporting and Disclosure
In the Matter of David Blain, CPA David Blain Individual 19-Sep-2008 19-Sep-2008 Issuer Reporting and Disclosure
In the Matter of AmSouth Bank, N.A. (n/k/a Regions Bank), and AmSouth Asset Management, Inc. (n/k/a Morgan Asset Management) AmSouth Asset Management, Inc. (n/k/a Morgan Asset Management) Subsidiary of Public Company 23-Sep-2008 23-Sep-2008 Investment Advisers/Investment Companies
In the Matter of AmSouth Bank, N.A. (n/k/a Regions Bank), and AmSouth Asset Management, Inc. (n/k/a Morgan Asset Management) AmSouth Bank, N.A. (n/k/a Regions Bank) Subsidiary of Public Company 23-Sep-2008 23-Sep-2008 Investment Advisers/Investment Companies
SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo Angel Romo Individual 29-Sep-2008 21-Apr-2010 Broker Dealer
SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo Gabriel Paredes Individual 29-Sep-2008 21-Apr-2010 Broker Dealer
SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo Guillermo Haro Individual 29-Sep-2008 21-Apr-2010 Broker Dealer
SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo Jesus Gutierrez Individual 29-Sep-2008 21-Apr-2010 Broker Dealer
SEC v. Kederio Ainsworth, Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo Kederio Ainsworth Individual 29-Sep-2008 21-Apr-2010 Broker Dealer
SEC v. Wevodau Steven Wevodau Individual 30-Sep-2008 30-Sep-2008 Issuer Reporting and Disclosure
SEC v. Banc of America Securities LLC and Banc of America Investment Services, Inc. Banc of America Investment Services, Inc
Aliases
Subsidiary of Public Company 08-Oct-2008 08-Oct-2008 Broker Dealer
SEC v. Banc of America Securities LLC and Banc of America Investment Services, Inc. Banc of America Securities LLC
Aliases
Subsidiary of Public Company 08-Oct-2008 08-Oct-2008 Broker Dealer
SEC v. RBC Capital Markets Corporation RBC Capital Markets Corporation Subsidiary of Public Company 08-Oct-2008 08-Oct-2008 Broker Dealer
SEC v. RBC Capital Markets Corporation RBC Capital Markets, LLC
Aliases
Subsidiary of Public Company 08-Oct-2008 08-Oct-2008 Broker Dealer
SEC v. Blue Coat Systems, Inc. and Robert P. Verheecke Blue Coat Systems, Inc. Public Company 12-Nov-2008 12-Nov-2008 Issuer Reporting and Disclosure
SEC v. Blue Coat Systems, Inc. and Robert P. Verheecke Robert P. Verheecke Individual 12-Nov-2008 12-Nov-2008 Issuer Reporting and Disclosure
In the Matter of Annie Astor-Carbonell (CPA) Annie Astor-Carbonell (CPA) Individual 24-Nov-2008 24-Nov-2008 Issuer Reporting and Disclosure
SEC v. William J. "Boots" Del Biaggio III William J. "Boots" Del Biaggio III Individual 04-Dec-2008 12-Dec-2008 Broker Dealer
In the Matter of Robert P. Verheecke (CPA) Robert P. Verheecke Individual 09-Dec-2008 09-Dec-2008 Issuer Reporting and Disclosure
In the Matter of SCOR Holding (Switzerland) Ltd., formerly known as Converium Holding AG SCOR Holding (Switzerland) Ltd., formerly known as Converium Holding AG Public Company 11-Dec-2008 11-Dec-2008 Issuer Reporting and Disclosure
In the Matter of Zurich Financial Services Zurich Financial Services Other 11-Dec-2008 11-Dec-2008 Issuer Reporting and Disclosure
SEC v. Citigroup Global Markets, Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 11-Dec-2008 11-Dec-2008 Broker Dealer
SEC v. UBS Securities LLC and UBS Financial Services, Inc. UBS Financial Services Inc.
Aliases
Subsidiary of Public Company 11-Dec-2008 11-Dec-2008 Broker Dealer
SEC v. UBS Securities LLC and UBS Financial Services, Inc. UBS Securities LLC Subsidiary of Public Company 11-Dec-2008 11-Dec-2008 Broker Dealer
SEC v. Zurich Financial Services Zurich Financial Services Other 11-Dec-2008 02-Feb-2009 Issuer Reporting and Disclosure
SEC v. Siemens Aktiengesellschaft Siemens Aktiengesellschaft Public Company 12-Dec-2008 15-Dec-2008 Foreign Corrupt Practices Act
SEC v. National Lampoon, Inc., Daniel S. Laikin, Dennis S. Barsky, Eduardo Rodriguez and Tim Dougherty Daniel S. Laikin Individual 15-Dec-2008 12-Jun-2009 Market Manipulation
SEC v. National Lampoon, Inc., Daniel S. Laikin, Dennis S. Barsky, Eduardo Rodriguez and Tim Dougherty Dennis S. Barsky Individual 15-Dec-2008 12-Jun-2009 Market Manipulation
SEC v. National Lampoon, Inc., Daniel S. Laikin, Dennis S. Barsky, Eduardo Rodriguez and Tim Dougherty Eduardo Rodriguez Individual 15-Dec-2008 12-Jun-2009 Market Manipulation
SEC v. National Lampoon, Inc., Daniel S. Laikin, Dennis S. Barsky, Eduardo Rodriguez and Tim Dougherty National Lampoon, Inc. Public Company 15-Dec-2008 12-Jun-2009 Market Manipulation
SEC v. National Lampoon, Inc., Daniel S. Laikin, Dennis S. Barsky, Eduardo Rodriguez and Tim Dougherty Tim Dougherty Individual 15-Dec-2008 12-Jun-2009 Market Manipulation
SEC v. David J. Lubben David J. Lubben Individual 22-Dec-2008 23-Jan-2009 Issuer Reporting and Disclosure
SEC v. Fiat S.p.A. and CNH Global N.V. CNH Global N.V. Public Company 22-Dec-2008 22-Dec-2008 Foreign Corrupt Practices Act
SEC v. Fiat S.p.A. and CNH Global N.V. Fiat S.p.A. Public Company 22-Dec-2008 22-Dec-2008 Foreign Corrupt Practices Act
SEC v. UnitedHealth Group Incorporated UnitedHealth Group Incorporated Public Company 22-Dec-2008 22-Dec-2008 Issuer Reporting and Disclosure
In the Matter of Stewart Enterprises, Inc., Kenneth C. Budde, CPA, and Michael G. Hymel, CPA Kenneth C. Budde, CPA Individual 29-Dec-2008 29-Dec-2008 Issuer Reporting and Disclosure
In the Matter of Stewart Enterprises, Inc., Kenneth C. Budde, CPA, and Michael G. Hymel, CPA Michael G. Hymel, CPA Individual 29-Dec-2008 29-Dec-2008 Issuer Reporting and Disclosure
In the Matter of Stewart Enterprises, Inc., Kenneth C. Budde, CPA, and Michael G. Hymel, CPA Stewart Enterprises, Inc. Public Company 29-Dec-2008 29-Dec-2008 Issuer Reporting and Disclosure
In the Matter of William J. Del Biaggio III William J. "Boots" Del Biaggio III Individual 29-Dec-2008 29-Dec-2008 Broker Dealer
SEC v. Rica Foods, Inc. and Calixto Chaves Calixto Chaves Individual 29-Dec-2008 29-Dec-2008 Issuer Reporting and Disclosure
SEC v. Rica Foods, Inc. and Calixto Chaves Rica Foods, Inc. Public Company 29-Dec-2008 29-Dec-2008 Issuer Reporting and Disclosure
In the Matter of Gabelli Funds, LLC Gabelli Funds LLC Subsidiary of Public Company 12-Jan-2009 12-Jan-2009 Investment Advisers/Investment Companies
In the Matter of Cablevision Systems Corporation Cablevision Systems Corporation Public Company 22-Jan-2009 22-Jan-2009 Issuer Reporting and Disclosure
In the Matter of Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden Catherine R. McEnroe Individual 22-Jan-2009 22-Jan-2009 Issuer Reporting and Disclosure
In the Matter of Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden Martin R. von Ruden Individual 22-Jan-2009 22-Jan-2009 Issuer Reporting and Disclosure
In the Matter of Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden Noreen O'Loughlin Individual 22-Jan-2009 22-Jan-2009 Issuer Reporting and Disclosure
SEC v. Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden Catherine R. McEnroe Individual 22-Jan-2009 13-Feb-2009 Issuer Reporting and Disclosure
SEC v. Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden Martin R. von Ruden Individual 22-Jan-2009 13-Feb-2009 Issuer Reporting and Disclosure
SEC v. Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden Noreen O'Loughlin Individual 22-Jan-2009 13-Feb-2009 Issuer Reporting and Disclosure
SEC v. General Motors Corporation General Motors Company
Aliases
Public Company 22-Jan-2009 22-Jan-2009 Issuer Reporting and Disclosure
In the Matter of Jeffrey Swanson Jeffrey Swanson Individual 30-Jan-2009 30-Jan-2009 Investment Advisers/Investment Companies
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc. Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 30-Jan-2009 30-Jan-2009 Investment Advisers/Investment Companies
In the Matter of Michael A. Callaway Michael A. Callaway Individual 30-Jan-2009 08-Jun-2009 Investment Advisers/Investment Companies
SEC v. Wachovia Securities, LLC Wachovia Securities, LLC Subsidiary of Public Company 05-Feb-2009 05-Feb-2009 Broker Dealer
In the Matter of Ferris, Baker Watts, Inc. Ferris, Baker Watts, Inc. Subsidiary of Public Company 10-Feb-2009 10-Feb-2009 Broker Dealer
In the Matter of Patrick J. Vaughan Patrick J. Vaughan Individual 10-Feb-2009 10-Feb-2009 Broker Dealer
In the Matter of Stephen J. Glantz Stephen J. Glantz Individual 10-Feb-2009 10-Feb-2009 Broker Dealer
In the Matter of William H. Salem William H. Salem Individual 10-Feb-2009 10-Feb-2009 Broker Dealer
SEC v. Halliburton Company and KBR, Inc. Halliburton Company Public Company 11-Feb-2009 11-Feb-2009 Foreign Corrupt Practices Act
SEC v. Halliburton Company and KBR, Inc. KBR, Inc. Public Company 11-Feb-2009 11-Feb-2009 Foreign Corrupt Practices Act
SEC v. ITT Corporation ITT Corporation Public Company 11-Feb-2009 11-Feb-2009 Foreign Corrupt Practices Act
SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis Arcangelo Loberto Individual 17-Feb-2009 17-Feb-2009 Issuer Reporting and Disclosure
SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis Dennis Kavelman Individual 17-Feb-2009 17-Feb-2009 Issuer Reporting and Disclosure
SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis James Balsillie Individual 17-Feb-2009 17-Feb-2009 Issuer Reporting and Disclosure
SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis Mihal Lazaridis Individual 17-Feb-2009 17-Feb-2009 Issuer Reporting and Disclosure
SEC v. Research in Motion Limited, Dennis Kavelman, Arcangelo Loberto, James Balsillie and Mihal Lazaridis Research in Motion Limited Public Company 17-Feb-2009 17-Feb-2009 Issuer Reporting and Disclosure
SEC v. UBS AG UBS AG Public Company 18-Feb-2009 18-Feb-2009 Broker Dealer
In the Matter of David J. Lubben David J. Lubben Individual 19-Feb-2009 19-Feb-2009 Issuer Reporting and Disclosure
In the Matter of Oppenheimer & Co. Inc. Oppenheimer & Co. Inc. Subsidiary of Public Company 24-Feb-2009 24-Feb-2009 Broker Dealer
In the Matter of RBC Capital Markets Corporation RBC Capital Markets Corporation Subsidiary of Public Company 24-Feb-2009 24-Feb-2009 Municipal Securities & Public Pensions
In the Matter of Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs Execution & Clearing, L.P. Subsidiary of Public Company 04-Mar-2009 04-Mar-2009 Broker Dealer
In the Matter of Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC SLK-Hull Derivatives LLC Subsidiary of Public Company 04-Mar-2009 04-Mar-2009 Broker Dealer
In the Matter of Knight Financial Products, LLC Knight Financial Products, LLC Subsidiary of Public Company 04-Mar-2009 04-Mar-2009 Broker Dealer
In the Matter of Krispy Kreme Doughnuts, Inc. Krispy Kreme Doughnuts, Inc. Public Company 04-Mar-2009 04-Mar-2009 Issuer Reporting and Disclosure
In the Matter of Sherry J. Polonsky Sherry J. Polonsky Individual 04-Mar-2009 04-Mar-2009 Issuer Reporting and Disclosure
In the Matter of TD Options LLC TD Options LLC Subsidiary of Public Company 04-Mar-2009 04-Mar-2009 Broker Dealer
SEC v. E*Trade Capital Markets LLC E*Trade Capital Markets LLC Subsidiary of Public Company 04-Mar-2009 04-Mar-2009 Broker Dealer
SEC v. Scott A. Livengood, John W. Tate, and Randy S. Casstevens John W. Tate Individual 04-Mar-2009 01-Apr-2009 Issuer Reporting and Disclosure
SEC v. Scott A. Livengood, John W. Tate, and Randy S. Casstevens Randy S. Casstevens Individual 04-Mar-2009 01-Apr-2009 Issuer Reporting and Disclosure
SEC v. Scott A. Livengood, John W. Tate, and Randy S. Casstevens Scott A. Livengood Individual 04-Mar-2009 01-Apr-2009 Issuer Reporting and Disclosure
SEC v. Pediatrix Medical Group, Inc. (nka Mednax Services, Inc.) Pediatrix Medical Group, Inc. Public Company 05-Mar-2009 05-Mar-2009 Issuer Reporting and Disclosure
In the Matter of Merrill Lynch, Pierce, Fenner, & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 11-Mar-2009 11-Mar-2009 Broker Dealer
SEC v. Brian J. Kearns and Bruce J. Van Fossen Brian J. Kearns Individual 12-Mar-2009 14-Jun-2009 Issuer Reporting and Disclosure
SEC v. Brian J. Kearns and Bruce J. Van Fossen Brian J. Kearns Individual 12-Mar-2009 16-Feb-2010 Issuer Reporting and Disclosure
SEC v. Brian J. Kearns and Bruce J. Van Fossen Bruce J. Van Fossen Individual 12-Mar-2009 14-Jun-2009 Issuer Reporting and Disclosure
SEC v. Brian J. Kearns and Bruce J. Van Fossen Bruce J. Van Fossen Individual 12-Mar-2009 16-Feb-2010 Issuer Reporting and Disclosure
SEC v. John A. Donohoe, Jr. John A. Donohoe, Jr. Individual 12-Mar-2009 13-Mar-2009 Issuer Reporting and Disclosure
SEC v. MedQuist Inc. MedQuist Inc. Public Company 12-Mar-2009 12-Mar-2009 Issuer Reporting and Disclosure
SEC v. Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks John J. Laskey Individual 12-Mar-2009 12-Mar-2009 Issuer Reporting and Disclosure
SEC v. Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks Kevin E. Brooks Individual 12-Mar-2009 12-Mar-2009 Issuer Reporting and Disclosure
SEC v. Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks Quest Software, Inc. Public Company 12-Mar-2009 12-Mar-2009 Issuer Reporting and Disclosure
SEC v. Quest Software, Inc., Vincent C. Smith, John J. Laskey, and Kevin E. Brooks Vincent C. Smith Individual 12-Mar-2009 12-Mar-2009 Issuer Reporting and Disclosure
In the Matter of Allion Healthcare, Inc. and James G. Spencer Allion Healthcare, Inc. Public Company 18-Mar-2009 18-Mar-2009 Issuer Reporting and Disclosure
In the Matter of Allion Healthcare, Inc. and James G. Spencer James G. Spencer Individual 18-Mar-2009 18-Mar-2009 Issuer Reporting and Disclosure
In the Matter of William D. Shovers, CPA William D. Shovers Individual 18-Mar-2009 18-Mar-2009 Issuer Reporting and Disclosure
SEC v. Escala Group, inc., Gregory Manning, Larry Lee Crawford, CPA Escala Group, Inc. Public Company 23-Mar-2009 23-Mar-2009 Issuer Reporting and Disclosure
SEC v. Escala Group, inc., Gregory Manning, Larry Lee Crawford, CPA Gregory Manning Individual 23-Mar-2009 23-Mar-2009 Issuer Reporting and Disclosure
SEC v. Escala Group, inc., Gregory Manning, Larry Lee Crawford, CPA Larry Lee Crawford, CPA Individual 23-Mar-2009 23-Mar-2009 Issuer Reporting and Disclosure
SEC v. David Scott Cacchione D. Scott Cacchione Individual 24-Mar-2009 01-Apr-2009 Broker Dealer
In the Matter of Judith Kudla (CPA) Judith Kudla Individual 27-Mar-2009 27-Mar-2009 Issuer Reporting and Disclosure
In the Matter of Dennis Kavelman, C.A. and Arcangelo Loberto, C.A. Arcangelo Loberto Individual 30-Mar-2009 30-Mar-2009 Issuer Reporting and Disclosure
In the Matter of Dennis Kavelman, C.A. and Arcangelo Loberto, C.A. Dennis Kavelman Individual 30-Mar-2009 30-Mar-2009 Issuer Reporting and Disclosure
SEC v. Take-Two Interactive Software, Inc. Take-Two Interactive Software, Inc. Public Company 01-Apr-2009 01-Apr-2009 Issuer Reporting and Disclosure
In the Matter of American Skandia Investment Services, Inc. American Skandia Investment Services, Inc. Subsidiary of Public Company 17-Apr-2009 17-Apr-2009 Investment Advisers/Investment Companies
In the Matter of David Scott Cacchione D. Scott Cacchione Individual 22-Apr-2009 22-Apr-2009 Broker Dealer
In the Matter of Brad E. Parish Brad E. Parish Individual 28-Apr-2009 28-Apr-2009 Broker Dealer
In the Matter of Royal Alliance Associates, Inc. Royal Alliance Associates, Inc. Subsidiary of Public Company 28-Apr-2009 28-Apr-2009 Broker Dealer
In the Matter of INTECH Investment LLC and David E. Hurley David E. Hurley Individual 07-May-2009 07-May-2009 Investment Advisers/Investment Companies
In the Matter of INTECH Investment LLC and David E. Hurley INTECH Investment Management LLC Subsidiary of Public Company 07-May-2009 07-May-2009 Investment Advisers/Investment Companies
SEC v. Novo Nordisk A/S Novo Nordisk A/S Public Company 11-May-2009 11-May-2009 Foreign Corrupt Practices Act
In the Matter of Ingram Micro Inc. Ingram Micro Inc. Public Company 12-May-2009 12-May-2009 Issuer Reporting and Disclosure
SEC v. Monster Worldwide, Inc. Monster Worldwide, Inc. Public Company 18-May-2009 18-May-2009 Issuer Reporting and Disclosure
SEC v. WellCare Health Plans, Inc. WellCare Health Plans, Inc. Public Company 18-May-2009 18-May-2009 Issuer Reporting and Disclosure
SEC v. Apogee Technology, Inc., David B. Meyers, and Annette Jaynes Annette Jaynes Individual 19-May-2009 19-May-2009 Issuer Reporting and Disclosure
SEC v. Apogee Technology, Inc., David B. Meyers, and Annette Jaynes Apogee Technology, Inc. Public Company 19-May-2009 19-May-2009 Issuer Reporting and Disclosure
SEC v. Apogee Technology, Inc., David B. Meyers, and Annette Jaynes David B. Meyers Individual 19-May-2009 19-May-2009 Issuer Reporting and Disclosure
In the Matter of CSK Auto Corporation CSK Auto Corporation Subsidiary of Public Company 26-May-2009 26-May-2009 Issuer Reporting and Disclosure
SEC (Plaintiff) v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland (Defendants), and Aero-Marine, LLC and Tammy Knabb (Relief Defendants) Jasper Knabb Individual 26-May-2009 23-Jul-2010 Issuer Reporting and Disclosure
SEC (Plaintiff) v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland (Defendants), and Aero-Marine, LLC and Tammy Knabb (Relief Defendants) Pegasus Wireless Corporation Public Company 26-May-2009 23-Jul-2010 Issuer Reporting and Disclosure
SEC (Plaintiff) v. Pegasus Wireless Corporation, Jasper Knabb, and Stephen Durland (Defendants), and Aero-Marine, LLC and Tammy Knabb (Relief Defendants) Stephen Durland Individual 26-May-2009 23-Jul-2010 Issuer Reporting and Disclosure
In the Matter of J. David Huber J. David Huber Individual 28-May-2009 28-May-2009 Investment Advisers/Investment Companies
In the Matter of Melissa M. Hurley Melissa M. Hurley Individual 28-May-2009 28-May-2009 Investment Advisers/Investment Companies
In the Matter of United Industrial Corporation United Industrial Corporation Subsidiary of Public Company 29-May-2009 29-May-2009 Foreign Corrupt Practices Act
SEC v. Thomas Wurzel Thomas Wurzel Individual 29-May-2009 03-Jun-2009 Foreign Corrupt Practices Act
SEC v. Deutsche Bank Securities Inc. Deutsche Bank Securities, Inc.
Aliases
Subsidiary of Public Company 03-Jun-2009 03-Jun-2009 Broker Dealer
In the Matter of Dyadic International, Inc. Dyadic International, Inc. Public Company 04-Jun-2009 04-Jun-2009 Issuer Reporting and Disclosure
In the Matter of Evergreen Investment Management Company, LLC and Evergreen Investment Services, Inc. Evergreen Investment Management Company, LLC Subsidiary of Public Company 08-Jun-2009 08-Jun-2009 Investment Advisers/Investment Companies
In the Matter of Evergreen Investment Management Company, LLC and Evergreen Investment Services, Inc. Evergreen Investment Services, Inc. Subsidiary of Public Company 08-Jun-2009 08-Jun-2009 Investment Advisers/Investment Companies
In the Matter of Gary Jensen (CPA) Gary S. Jensen
Aliases
Individual 09-Jun-2009 09-Jun-2009 Issuer Reporting and Disclosure
In the Matter of Michael Beaulieu (CPA) Michael E. Beaulieu
Aliases
Individual 09-Jun-2009 09-Jun-2009 Issuer Reporting and Disclosure
In the Matter of Richard Miller (CPA) Richard J. Miller
Aliases
Individual 09-Jun-2009 09-Jun-2009 Issuer Reporting and Disclosure
In the Matter of Brent Lemons Brent Lemons Individual 10-Jun-2009 10-Jun-2009 Securities Offering
In the Matter of Elizabeth Monrad, CPA Elizabeth Monrad Individual 11-Jun-2009 11-Jun-2009 Issuer Reporting and Disclosure
SEC v. Comverse Technology, Inc. Comverse Technology, Inc. Public Company 18-Jun-2009 18-Jun-2009 Issuer Reporting and Disclosure
SEC v. Lisa M. Roberts Lisa M. Roberts Individual 18-Jun-2009 01-Jul-2009 Issuer Reporting and Disclosure
SEC v. Ulticom, Inc. Ulticom, Inc. Public Company 18-Jun-2009 18-Jun-2009 Issuer Reporting and Disclosure
In the Matter of Christi R. Sulzbach Christi R. Sulzbach Individual 25-Jun-2009 25-Jun-2009 Issuer Reporting and Disclosure
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Christie A. Andersen Individual 30-Jun-2009 30-Nov-2009 Broker Dealer
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Eric J. Brown Individual 30-Jun-2009 30-Nov-2009 Broker Dealer
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Gilman Ciocia, Inc. Other 30-Jun-2009 30-Nov-2009 Broker Dealer
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Kevin J. Walsh Individual 30-Jun-2009 30-Nov-2009 Broker Dealer
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Mark W. Wells Individual 30-Jun-2009 30-Nov-2009 Broker Dealer
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Matthew J. Collins Individual 30-Jun-2009 30-Nov-2009 Broker Dealer
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Michael P. Ryan Individual 30-Jun-2009 30-Nov-2009 Broker Dealer
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Prime Capital Services, Inc. Other 30-Jun-2009 30-Nov-2009 Broker Dealer
In the Matter of Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Rose M. Rudden Individual 30-Jun-2009 30-Nov-2009 Broker Dealer
In the Matter of Robert D. Graham, Esq. Robert D. Graham Individual 01-Jul-2009 Issuer Reporting and Disclosure
SEC v. Geotec, Inc. f/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor Bradley T. Ray Individual 02-Jul-2009 28-Jul-2010 Issuer Reporting and Disclosure
SEC v. Geotec, Inc. f/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor Geotec, Inc. Other 02-Jul-2009 28-Jul-2010 Issuer Reporting and Disclosure
SEC v. Geotec, Inc. f/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor Stephen D. Chanslor Individual 02-Jul-2009 28-Jul-2010 Issuer Reporting and Disclosure
SEC v. Geotec, Inc. f/k/a Geotec Thermal Generators, Inc., Bradley T. Ray, William Richard Lueck, and Stephen D. Chanslor William Richard Lueck Individual 02-Jul-2009 28-Jul-2010 Issuer Reporting and Disclosure
In the Matter of Ameriprise Financial Services, Inc. Ameriprise Financial Services, Inc.
Aliases
Subsidiary of Public Company 10-Jul-2009 10-Jul-2009 Broker Dealer
In the Matter of J.P. Turner & Company, LLC J.P. Turner & Company, LLC Other 17-Jul-2009 17-Jul-2009 Broker Dealer
In the Matter of LSB Industries, Inc. and Jimmie Dean Jones, CPA Jimmie Dean Jones, CPA  Individual 17-Jul-2009 17-Jul-2009 Issuer Reporting and Disclosure
In the Matter of LSB Industries, Inc. and Jimmie Dean Jones, CPA LSB Industries, Inc.   Public Company 17-Jul-2009 17-Jul-2009 Issuer Reporting and Disclosure
In the Matter of Stephen Cheryl Bauman Stephen Cheryl Bauman Individual 17-Jul-2009 17-Jul-2009 Broker Dealer
In the Matter of Ameritrade, Inc. TD Ameritrade, Inc. Subsidiary of Public Company 20-Jul-2009 20-Jul-2009 Broker Dealer
In the Matter of Morgan Stanley & Co. Incorporated Morgan Stanley and Co. LLC
Aliases
Subsidiary of Public Company 20-Jul-2009 20-Jul-2009 Investment Advisers/Investment Companies
In the Matter of William Keith Phillips William Keith Phillips  Individual 20-Jul-2009 04-Jan-2010 Investment Advisers/Investment Companies
SEC v. Morgan Keegan & Company, Inc. Morgan Keegan & Company, Inc. Subsidiary of Public Company 21-Jul-2009 15-Feb-2013 Broker Dealer
SEC v. West Marine, Inc. West Marine, Inc.  Public Company 23-Jul-2009 23-Jul-2009 Issuer Reporting and Disclosure
In the Matter of Avery Dennison Corporation Avery Dennison Corporation  Public Company 28-Jul-2009 28-Jul-2009 Foreign Corrupt Practices Act
SEC v. Avery Dennison Corporation Avery Dennison Corporation  Public Company 28-Jul-2009 28-Jul-2009 Foreign Corrupt Practices Act
In the Matter of Helmerich & Payne, Inc. Helmerich & Payne, Inc.  Public Company 30-Jul-2009 30-Jul-2009 Foreign Corrupt Practices Act
In the Matter of Integral Systems, Inc. Integral Systems, Inc. Public Company 30-Jul-2009 30-Jul-2009 Issuer Reporting and Disclosure
SEC v. Steven R. Chamberlain, Elaine M. Brown, and Gary A. Prince Elaine M. Brown Individual 30-Jul-2009 18-Feb-2010 Issuer Reporting and Disclosure
SEC v. Steven R. Chamberlain, Elaine M. Brown, and Gary A. Prince Gary A. Prince Individual 30-Jul-2009 18-Feb-2010 Issuer Reporting and Disclosure
SEC v. Steven R. Chamberlain, Elaine M. Brown, and Gary A. Prince Steven R. Chamberlain Individual 30-Jul-2009 18-Feb-2010 Issuer Reporting and Disclosure
SEC v. Nature's Sunshine Products, Inc., Douglas Faggioli and Craig D. Huff Craig D. Huff Individual 31-Jul-2009 31-Jul-2009 Foreign Corrupt Practices Act
SEC v. Nature's Sunshine Products, Inc., Douglas Faggioli and Craig D. Huff Douglas Faggioli Individual 31-Jul-2009 31-Jul-2009 Foreign Corrupt Practices Act
SEC v. Nature's Sunshine Products, Inc., Douglas Faggioli and Craig D. Huff Nature's Sunshine Products, Inc. Public Company 31-Jul-2009 31-Jul-2009 Foreign Corrupt Practices Act
SEC v. Bank of America Corporation Bank of America Corporation Public Company 03-Aug-2009 03-Aug-2009 Other
SEC v. General Electric Company General Electric Company Public Company 04-Aug-2009 04-Aug-2009 Issuer Reporting and Disclosure
SEC v. Maurice R. Greenberg and Howard I. Smith Howard I. Smith Individual 06-Aug-2009 07-Aug-2009 Issuer Reporting and Disclosure
SEC v. Maurice R. Greenberg and Howard I. Smith Maurice R. Greenberg Individual 06-Aug-2009 07-Aug-2009 Issuer Reporting and Disclosure
In the Matter of Axa Advisors, LLC AXA Advisors, LLC Subsidiary of Public Company 11-Aug-2009 11-Aug-2009 Broker Dealer
SEC v. Terex Corporation Terex Corporation  Public Company 12-Aug-2009 12-Aug-2009 Issuer Reporting and Disclosure
In the Matter of Howard I. Smith, CPA Howard I. Smith Individual 25-Aug-2009 25-Aug-2009 Issuer Reporting and Disclosure
SEC v. Oscar H. Meza Oscar H. Meza
Aliases
Individual 28-Aug-2009 25-Sep-2009 Foreign Corrupt Practices Act
SEC v. VeriFone Holdings, Inc., and Paul Periolat Paul Periolat Individual 01-Sep-2009 01-Sep-2009 Issuer Reporting and Disclosure
SEC v. VeriFone Holdings, Inc., and Paul Periolat VeriFone Holdings, Inc. Public Company 01-Sep-2009 01-Sep-2009 Issuer Reporting and Disclosure
SEC v. The Hain Celestial Group, Inc. The Hain Celestial Group, Inc.  Public Company 03-Sep-2009 03-Sep-2009 Issuer Reporting and Disclosure
In the Matter of Dana Holding Corporation (as successor registrant to Dana Corporation) Dana Holding Corporation (as Successor Registrant to Dana Corporation) Public Company 11-Sep-2009 11-Sep-2009 Issuer Reporting and Disclosure
SEC v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle Bernard N. Cole Individual 11-Sep-2009 21-Sep-2009 Issuer Reporting and Disclosure
SEC v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle Douglas W. Hodge Individual 11-Sep-2009 21-Sep-2009 Issuer Reporting and Disclosure
SEC v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle Robert E. Steimle Individual 11-Sep-2009 21-Sep-2009 Issuer Reporting and Disclosure
SEC v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle William E. Hennessy Individual 11-Sep-2009 21-Sep-2009 Issuer Reporting and Disclosure
SEC v. Isilon Systems, Inc. Isilon Systems, Inc. Public Company 14-Sep-2009 14-Sep-2009 Issuer Reporting and Disclosure
SEC v. Stuart W. Fuhlendorf Stuart W. Fuhlendorf Individual 14-Sep-2009 22-Nov-2011 Issuer Reporting and Disclosure
In the Matter of Regions Bank Regions Bank Subsidiary of Public Company 21-Sep-2009 21-Sep-2009 Broker Dealer
SEC v. Regions Bank Regions Bank Subsidiary of Public Company 21-Sep-2009 21-Sep-2009 Securities Offering
SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler Enzyme Environmental Solutions, Inc. Other 24-Sep-2009 25-Aug-2010 Securities Offering
SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler Jared E. Hochstedler Individual 24-Sep-2009 25-Aug-2010 Securities Offering
SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler K&L International Enterprises, Inc. Other 24-Sep-2009 25-Aug-2010 Securities Offering
SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler Lawrence A. Powalisz Individual 24-Sep-2009 25-Aug-2010 Securities Offering
SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler Signature Leisure, Inc. Other 24-Sep-2009 25-Aug-2010 Securities Offering
SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler Signature Worldwide Advisors, LLC Other 24-Sep-2009 25-Aug-2010 Securities Offering
SEC v. K&L International Enterprises, Inc., Signature Leisure, Inc., Signature Worldwide Advisors, LLC, Stephen W. Carnes, Lawrence A. Powalisz, Enzyme Environmental Solutions, Inc. and Jared E. Hochstedler Stephen W. Carnes Individual 24-Sep-2009 25-Aug-2010 Securities Offering
In the Matter of AGCO Corporation AGCO Corporation Public Company 30-Sep-2009 30-Sep-2009 Foreign Corrupt Practices Act
In the Matter of Banc of America Investment Services, Inc. and Virginia Holliday Banc of America Investment Services, Inc
Aliases
Subsidiary of Public Company 22-Oct-2009 22-Oct-2009 Broker Dealer
In the Matter of Banc of America Investment Services, Inc. and Virginia Holliday Virginia Holliday Individual 22-Oct-2009 22-Oct-2009 Broker Dealer
In the Matter of J.P. Morgan Securities Inc. J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 04-Nov-2009 04-Nov-2009 Municipal Securities & Public Pensions
In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson David Henigson Individual 04-Nov-2009 04-Nov-2009 Investment Advisers/Investment Companies
In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson Jean Bernhard Buttner Individual 04-Nov-2009 04-Nov-2009 Investment Advisers/Investment Companies
In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson Value Line Securities, Inc. Subsidiary of Public Company 04-Nov-2009 04-Nov-2009 Investment Advisers/Investment Companies
In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson Value Line, Inc. Public Company 04-Nov-2009 04-Nov-2009 Investment Advisers/Investment Companies
SEC v. Charles E. LeCroy and Douglas W. MacFaddin Charles E. LeCroy Individual 04-Nov-2009 04-Dec-2015 Municipal Securities & Public Pensions
SEC v. Charles E. LeCroy and Douglas W. MacFaddin Douglas W. McFaddin Individual 04-Nov-2009 04-Dec-2015 Municipal Securities & Public Pensions
SEC v. Merge Healthcare Incorporated, Richard Linden, and Scott Veech Merge Healthcare Incorporated Public Company 04-Nov-2009 04-Nov-2009 Issuer Reporting and Disclosure
SEC v. Merge Healthcare Incorporated, Richard Linden, and Scott Veech Richard A. Linden Individual 04-Nov-2009 04-Nov-2009 Issuer Reporting and Disclosure
SEC v. Merge Healthcare Incorporated, Richard Linden, and Scott Veech Scott T. Veech Individual 04-Nov-2009 04-Nov-2009 Issuer Reporting and Disclosure
In the Matter of Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar Christopher Aguilar Individual 10-Nov-2009 10-Nov-2009 Broker Dealer
In the Matter of Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar D. Jonathan Merriman Individual 10-Nov-2009 10-Nov-2009 Broker Dealer
In the Matter of Merriman Curhan Ford & Co., D. Jonathan Merriman, and Christopher Aguilar Merriman Curhan Ford & Co. Subsidiary of Public Company 10-Nov-2009 10-Nov-2009 Broker Dealer
SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko Anthony Caputo Individual 10-Nov-2009 12-Nov-2009 Issuer Reporting and Disclosure
SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko Clinton Ronald Greenman Individual 10-Nov-2009 12-Nov-2009 Issuer Reporting and Disclosure
SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko Gregory Pasko Individual 10-Nov-2009 12-Nov-2009 Issuer Reporting and Disclosure
SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko John Wilroy Individual 10-Nov-2009 12-Nov-2009 Issuer Reporting and Disclosure
SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko Kenneth Mueller Individual 10-Nov-2009 12-Nov-2009 Issuer Reporting and Disclosure
SEC v. SafeNet, Inc., Anthony Caputo, Kenneth Mueller, Clinton Ronald Greenman, John Wilroy, And Gregory Pasko SafeNet, Inc. Public Company 10-Nov-2009 12-Nov-2009 Issuer Reporting and Disclosure
SEC v. Bancinsurance Corporation and John S. Sokol Bancinsurance Corporation Public Company 16-Nov-2009 16-Nov-2009 Issuer Reporting and Disclosure
SEC v. Bancinsurance Corporation and John S. Sokol John S. Sokol Individual 16-Nov-2009 16-Nov-2009 Issuer Reporting and Disclosure
SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC Federation Advances Corp. LLC Other 23-Nov-2009 01-Apr-2011 Other
SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC Gina P. Solow Individual 23-Nov-2009 01-Apr-2011 Other
SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC Jamie L. Solow Individual 23-Nov-2009 01-Apr-2011 Other
SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC Jsolow Condo One, Inc. Other 23-Nov-2009 01-Apr-2011 Other
SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC VirtualBank, F.S.B. Other 23-Nov-2009 01-Apr-2011 Other
SEC v. Gina P. Solow, Jamie L. Solow, Jsolow Condo One, Inc., Virtualbank F.S.B. n/k/a Lydian Private Bank, S.A., Washington Mutual Bank, F.A. n/k/a JP Morgan Chase Bank, N.A., and, Federation Advances Corp. LLC Washington Mutual Bank, F.A. Subsidiary of Public Company 23-Nov-2009 01-Apr-2011 Other
SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft Brian M. Marshall Individual 30-Nov-2009 10-Dec-2009 Issuer Reporting and Disclosure
SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft Frank J. Fradella Individual 30-Nov-2009 10-Dec-2009 Issuer Reporting and Disclosure
SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft Home Solutions of America, Inc. Public Company 30-Nov-2009 10-Dec-2009 Issuer Reporting and Disclosure
SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft Jeffrey M. Mattich Individual 30-Nov-2009 10-Dec-2009 Issuer Reporting and Disclosure
SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft Jeffrey T. Craft Individual 30-Nov-2009 10-Dec-2009 Issuer Reporting and Disclosure
SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft Rick J. O'Brien Individual 30-Nov-2009 10-Dec-2009 Issuer Reporting and Disclosure
SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft Stephen C. Gringrich Individual 30-Nov-2009 10-Dec-2009 Issuer Reporting and Disclosure
SEC v. Home Solutions of America, Inc., Frank J. Fradella, Brian M. Marshall, Jeffrey M. Mattich, Rick J. O'Brien, Stephen C. Gingrich, Thomas L. Davis and Jeffrey T. Craft Thomas L. Davis Individual 30-Nov-2009 10-Dec-2009 Issuer Reporting and Disclosure
SEC v. Black Box Corporation, Frederick C. Young, and Anna M. Baird Anna M. Baird Individual 04-Dec-2009 04-Dec-2009 Issuer Reporting and Disclosure
SEC v. Black Box Corporation, Frederick C. Young, and Anna M. Baird Black Box Corporation Public Company 04-Dec-2009 04-Dec-2009 Issuer Reporting and Disclosure
SEC v. Black Box Corporation, Frederick C. Young, and Anna M. Baird Frederick C. Young Individual 04-Dec-2009 04-Dec-2009 Issuer Reporting and Disclosure
In the Matter of Clinton Ronald Greenman, CPA Clinton Ronald Greenman Individual 10-Dec-2009 10-Dec-2009 Issuer Reporting and Disclosure
In the Matter of Gregory Pasko, CPA Gregory Pasko Individual 10-Dec-2009 10-Dec-2009 Issuer Reporting and Disclosure
In the Matter of John Wilroy, CPA John Wilroy Individual 10-Dec-2009 10-Dec-2009 Issuer Reporting and Disclosure
In the Matter of Kenneth Mueller, CPA Kenneth Mueller Individual 10-Dec-2009 10-Dec-2009 Issuer Reporting and Disclosure
SEC v. Investools Inc., Michael J. Drew, and Eben D. Miller Eben D. Miller Individual 10-Dec-2009 10-Dec-2009 Securities Offering
SEC v. Investools Inc., Michael J. Drew, and Eben D. Miller Investools Inc. Public Company 10-Dec-2009 10-Dec-2009 Securities Offering
SEC v. Investools Inc., Michael J. Drew, and Eben D. Miller Michael J. Drew Individual 10-Dec-2009 10-Dec-2009 Securities Offering
SEC v. Bobby Benton Bobby Benton Individual 11-Dec-2009 09-Aug-2010 Foreign Corrupt Practices Act
In the Matter of Anna M. Baird, CPA Anna M. Baird Individual 28-Dec-2009 28-Dec-2009 Issuer Reporting and Disclosure
In the Matter of Stephen C. Gingrich (CPA) Stephen C. Gingrich (CPA) Individual 30-Dec-2009 30-Dec-2009 Issuer Reporting and Disclosure
SEC v. UTStarcom, Inc. UTStarcom, Inc. Public Company 31-Dec-2009 31-Dec-2009 Foreign Corrupt Practices Act
In the Matter of Scott T. Veech, CPA Scott T. Veech Individual 06-Jan-2010 06-Jan-2010 Issuer Reporting and Disclosure
In the Matter of Natco Group Inc. NATCO Group Inc. Public Company 11-Jan-2010 11-Jan-2010 Foreign Corrupt Practices Act
SEC v. NATCO Group Inc. NATCO Group Inc. Public Company 11-Jan-2010 11-Jan-2010 Foreign Corrupt Practices Act
SEC v. Bank of America Corporation Bank of America Corporation Public Company 12-Jan-2010 04-Feb-2010 Other
SEC v. Charles J. Marquardt Charles J. Marquardt Individual 20-Jan-2010 10-Feb-2010 Insider Trading
SEC v. General Re Corporation General Re Corporation Subsidiary of Public Company 20-Jan-2010 20-Jan-2010 Issuer Reporting and Disclosure
SEC v. Assurant, Inc. Assurant, Inc. Public Company 21-Jan-2010 21-Jan-2010 Issuer Reporting and Disclosure
In the Matter of State Street Bank and Trust Company State Street Bank and Trust Company Subsidiary of Public Company 04-Feb-2010 04-Feb-2010 Securities Offering
SEC v. State Street Bank and Trust Company State Street Bank and Trust Company Subsidiary of Public Company 04-Feb-2010 04-Feb-2010 Securities Offering
SEC v. American Equity Investment Life Holding Company, David J. Nobel, and Wendy C. Waugaman American Equity Investment Life Holding Company Public Company 03-Mar-2010 03-Mar-2010 Issuer Reporting and Disclosure
SEC v. American Equity Investment Life Holding Company, David J. Nobel, and Wendy C. Waugaman David Noble Individual 03-Mar-2010 03-Mar-2010 Issuer Reporting and Disclosure
SEC v. American Equity Investment Life Holding Company, David J. Nobel, and Wendy C. Waugaman Wendy Waugaman Individual 03-Mar-2010 03-Mar-2010 Issuer Reporting and Disclosure
SEC v. Verint Systems Inc. Verint Systems Inc. Public Company 03-Mar-2010 03-Mar-2010 Issuer Reporting and Disclosure
SEC v. Presstek, Inc. and Edward J. Marino Edward J. Marino Individual 09-Mar-2010 09-Mar-2010 Issuer Reporting and Disclosure
SEC v. Presstek, Inc. and Edward J. Marino Presstek, Inc. Public Company 09-Mar-2010 09-Mar-2010 Issuer Reporting and Disclosure
In the Matter of infoUSA Inc., k/n/a infoGROUP Inc. infoUSA Inc. Public Company 15-Mar-2010 15-Mar-2010 Issuer Reporting and Disclosure
SEC v. Rajnish K. Das and Stormy L. Dean Rajnish K. Das Individual 15-Mar-2010 29-May-2012 Issuer Reporting and Disclosure
SEC v. Rajnish K. Das and Stormy L. Dean Stormy L. Dean Individual 15-Mar-2010 29-May-2012 Issuer Reporting and Disclosure
SEC v. Vasant H. Raval Vasant H. Raval Individual 15-Mar-2010 18-Mar-2010 Issuer Reporting and Disclosure
SEC v. Vinod Gupta Vinod Gupta Individual 15-Mar-2010 17-Mar-2010 Issuer Reporting and Disclosure
In the Matter of Charles J. Marquardt Charles J. Marquardt Individual 17-Mar-2010 17-Mar-2010 Insider Trading
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: JP Morgan Securities, Inc. J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 18-Mar-2010 18-Mar-2010 Broker Dealer
SEC v. Innospec, Inc. Innospec, Inc. Public Company 18-Mar-2010 18-Mar-2010 Foreign Corrupt Practices Act
SEC v. Daimler AG Daimler AG Public Company 22-Mar-2010 01-Apr-2010 Foreign Corrupt Practices Act
In the Matter of John F. Kendrick John F. Kendrick Individual 24-Mar-2010 14-Jul-2010 Municipal Securities & Public Pensions
In the Matter of Southwest Securities, Inc. Southwest Securities, Inc. Subsidiary of Public Company 24-Mar-2010 24-Mar-2010 Municipal Securities & Public Pensions
In the Matter of Richard J. Evangelista Richard J. Evangelista Individual 02-Apr-2010 02-Apr-2010 Market Manipulation
In the Matter of Morgan Asset Management, Inc. Morgan Keegan & Company, Inc. James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA James C. Kelsoe, Jr. Individual 07-Apr-2010 22-Jun-2011 Investment Advisers/Investment Companies
In the Matter of Morgan Asset Management, Inc. Morgan Keegan & Company, Inc. James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Joseph Thompson Weller Individual 07-Apr-2010 22-Jun-2011 Investment Advisers/Investment Companies
In the Matter of Morgan Asset Management, Inc. Morgan Keegan & Company, Inc. James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Morgan Asset Management, Inc. Subsidiary of Public Company 07-Apr-2010 22-Jun-2011 Investment Advisers/Investment Companies
In the Matter of Morgan Asset Management, Inc. Morgan Keegan & Company, Inc. James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Morgan Keegan & Company, Inc. Subsidiary of Public Company 07-Apr-2010 22-Jun-2011 Investment Advisers/Investment Companies
SEC v. Goldman Sachs & Co. and Fabrice Tourre Fabrice Tourre Individual 16-Apr-2010 15-Jul-2010 Broker Dealer
SEC v. Goldman Sachs & Co. and Fabrice Tourre Goldman, Sachs & Co. Subsidiary of Public Company 16-Apr-2010 15-Jul-2010 Broker Dealer
SEC v. Bobby Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy Lynn Williams Baxter J. Myers Individual 28-Apr-2010 27-Aug-2010 Foreign Corrupt Practices Act
SEC v. Bobby Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy Lynn Williams Bobby J. Elkin, Jr. Individual 28-Apr-2010 27-Aug-2010 Foreign Corrupt Practices Act
SEC v. Bobby Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy Lynn Williams Thomas G. Reynolds Individual 28-Apr-2010 27-Aug-2010 Foreign Corrupt Practices Act
SEC v. Bobby Elkin, Jr., Baxter J. Myers, Thomas G. Reynolds, and Tommy Lynn Williams Tommy Lynn Williams Individual 28-Apr-2010 27-Aug-2010 Foreign Corrupt Practices Act
In the Matter of Goldman Sachs Execution & Clearing, L.P. Goldman Sachs Execution & Clearing, L.P. Subsidiary of Public Company 04-May-2010 04-May-2010 Broker Dealer
In the Matter of Angel Romo Angel Romo Individual 20-May-2010 20-May-2010 Broker Dealer
In the Matter of Jesus Gutierrez Jesus Gutierrez Individual 20-May-2010 20-May-2010 Broker Dealer
In the Matter of Kederio Ainsworth Kederio Ainsworth Individual 20-May-2010 20-May-2010 Broker Dealer
In the Matter of Gabriel Paredes Gabriel Paredes Individual 28-May-2010 28-May-2010 Broker Dealer
SEC v. Diebold, Inc. Diebold, Inc.
Aliases
Public Company 02-Jun-2010 02-Jun-2010 Issuer Reporting and Disclosure
SEC v. Elizabeth A. Dragon Elizabeth A. Dragon Individual 02-Jun-2010 10-Jun-2010 Market Manipulation
SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller Gregory Geswein Individual 02-Jun-2010 26-May-2015 Issuer Reporting and Disclosure
SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller Kevin Krakora Individual 02-Jun-2010 26-May-2015 Issuer Reporting and Disclosure
SEC v. Gregory Geswein, Kevin Krakora, and Sandra Miller Sandra Miller Individual 02-Jun-2010 26-May-2015 Issuer Reporting and Disclosure
SEC v. Walden W. O'Dell Walden O'Dell Individual 02-Jun-2010 14-Jun-2010 Issuer Reporting and Disclosure
In the Matter of Guillermo Haro Guillermo Haro Individual 04-Jun-2010 04-Jun-2010 Broker Dealer
In the Matter of China Yuchai International Limited China Yuchai International Limited Public Company 07-Jun-2010 07-Jun-2010 Issuer Reporting and Disclosure
In the Matter of Anthony Bonica Anthony Bonica Individual 08-Jun-2010 08-Jun-2010 Issuer Reporting and Disclosure
SEC v. Technip Technip Public Company 28-Jun-2010 28-Jun-2010 Foreign Corrupt Practices Act
SEC v. Veraz Networks, Inc. Veraz Networks, Inc. Public Company 29-Jun-2010 29-Jun-2010 Foreign Corrupt Practices Act
SEC v. ENI, S.p.A. and Snamprogetti Netherlands, B.V. ENI, S.p.A.
Aliases
Public Company 07-Jul-2010 07-Jul-2010 Foreign Corrupt Practices Act
SEC v. ENI, S.p.A. and Snamprogetti Netherlands, B.V. Snamprogetti Netherlands, B.V. Subsidiary of Public Company 07-Jul-2010 07-Jul-2010 Foreign Corrupt Practices Act
SEC v. Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen Frank C. Lin Individual 16-Jul-2010 16-Jul-2010 Issuer Reporting and Disclosure
SEC v. Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen Peter Y. Jen Individual 16-Jul-2010 16-Jul-2010 Issuer Reporting and Disclosure
SEC v. Trident Microsystems, Inc., Frank C. Lin, and Peter Y. Jen Trident Microsystems, Inc. Public Company 16-Jul-2010 16-Jul-2010 Issuer Reporting and Disclosure
SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning Dell Inc. Public Company 22-Jul-2010 22-Jul-2010 Issuer Reporting and Disclosure
SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning James M. Schneider Individual 22-Jul-2010 22-Jul-2010 Issuer Reporting and Disclosure
SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning Kevin B. Rollins Individual 22-Jul-2010 22-Jul-2010 Issuer Reporting and Disclosure
SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning Leslie L. Jackson Individual 22-Jul-2010 22-Jul-2010 Issuer Reporting and Disclosure
SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning Michael S. Dell Individual 22-Jul-2010 22-Jul-2010 Issuer Reporting and Disclosure
SEC v. Dell Inc., Michael S. Dell, Kevin B. Rollins, James M. Schneider, Leslie L. Jackson, Nicholas A.R. Dunning Nicholas A. R. Dunning Individual 22-Jul-2010 22-Jul-2010 Issuer Reporting and Disclosure
In the Matter of Kenneth J. Abod, CPA Kenneth J. Abod Individual 23-Jul-2010 23-Jul-2010 Issuer Reporting and Disclosure
SEC v. Sunrise Senior Living, Inc., Larry E. Hulse, and Kenneth J. Abod Kenneth J. Abod Individual 23-Jul-2010 23-Jul-2010 Issuer Reporting and Disclosure
SEC v. Sunrise Senior Living, Inc., Larry E. Hulse, and Kenneth J. Abod Larry E. Hulse Individual 23-Jul-2010 23-Jul-2010 Issuer Reporting and Disclosure
SEC v. Sunrise Senior Living, Inc., Larry E. Hulse, and Kenneth J. Abod Sunrise Senior Living, Inc. Public Company 23-Jul-2010 23-Jul-2010 Issuer Reporting and Disclosure
SEC v. General Electric Company, Ionics, Inc. and Amersham plc Amersham plc Subsidiary of Public Company 27-Jul-2010 27-Jul-2010 Foreign Corrupt Practices Act
SEC v. General Electric Company, Ionics, Inc. and Amersham plc General Electric Company Public Company 27-Jul-2010 27-Jul-2010 Foreign Corrupt Practices Act
SEC v. General Electric Company, Ionics, Inc. and Amersham plc Ionics, Inc. Subsidiary of Public Company 27-Jul-2010 27-Jul-2010 Foreign Corrupt Practices Act
In the Matter of Gary L. Crittenden and Arthur H. Tildesley, Jr. Arthur H. Tildesley, Jr. Individual 29-Jul-2010 29-Jul-2010 Issuer Reporting and Disclosure
In the Matter of Gary L. Crittenden and Arthur H. Tildesley, Jr. Gary L. Crittenden Individual 29-Jul-2010 29-Jul-2010 Issuer Reporting and Disclosure
In the Matter of Larry E. Hulse, CPA Larry E. Hulse Individual 29-Jul-2010 29-Jul-2010 Issuer Reporting and Disclosure
SEC v. Citigroup Inc. Citigroup Inc. Public Company 29-Jul-2010 29-Jul-2010 Issuer Reporting and Disclosure
SEC v. James W. McIntosh, Thomas M. Akers, Jr., James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz Ernest A. Stinsa Individual 04-Aug-2010 18-Aug-2010 Issuer Reporting and Disclosure
SEC v. James W. McIntosh, Thomas M. Akers, Jr., James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz James J. Stanaway Individual 04-Aug-2010 18-Aug-2010 Issuer Reporting and Disclosure
SEC v. James W. McIntosh, Thomas M. Akers, Jr., James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz James W. McIntosh Individual 04-Aug-2010 18-Aug-2010 Issuer Reporting and Disclosure
SEC v. James W. McIntosh, Thomas M. Akers, Jr., James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz Michael J. Schultz Individual 04-Aug-2010 18-Aug-2010 Issuer Reporting and Disclosure
SEC v. James W. McIntosh, Thomas M. Akers, Jr., James J. Stanaway, Ernest A. Stinsa, and Michael J. Schultz Thomas M. Akers, Jr. Individual 04-Aug-2010 18-Aug-2010 Issuer Reporting and Disclosure
SEC v. Mark T. Schwetschenau Mark T. Schwetschenau Individual 04-Aug-2010 19-Aug-2010 Issuer Reporting and Disclosure
In the Matter of Mark T. Schwetschenau Mark T. Schwetschenau Individual 05-Aug-2010 05-Aug-2010 Issuer Reporting and Disclosure
In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz Daniel C. Ustian Individual 05-Aug-2010 05-Aug-2010 Issuer Reporting and Disclosure
In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz Ernest A. Stinsa Individual 05-Aug-2010 05-Aug-2010 Issuer Reporting and Disclosure
In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz James J. Stanaway Individual 05-Aug-2010 05-Aug-2010 Issuer Reporting and Disclosure
In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz James W. McIntosh Individual 05-Aug-2010 05-Aug-2010 Issuer Reporting and Disclosure
In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz Michael J. Schultz Individual 05-Aug-2010 05-Aug-2010 Issuer Reporting and Disclosure
In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz Navistar International Corporation
Aliases
Public Company 05-Aug-2010 05-Aug-2010 Issuer Reporting and Disclosure
In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz Robert C. Lannert Individual 05-Aug-2010 05-Aug-2010 Issuer Reporting and Disclosure
In the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. SchultzIn the Matter of Navistar International Corporation, Daniel C. Ustian, Robert C. Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway, Ernest A. Stinsa, Michael J. Schultz Thomas M. Akers, Jr. Individual 05-Aug-2010 05-Aug-2010 Issuer Reporting and Disclosure
SEC v. David P. Turner and Ousama M. Naaman David P. Turner Individual 05-Aug-2010 10-Aug-2010 Foreign Corrupt Practices Act
SEC v. David P. Turner and Ousama M. Naaman Ousama M. Naaman Individual 05-Aug-2010 10-Aug-2010 Foreign Corrupt Practices Act
SEC v. Joe Summers Joe Summers Individual 05-Aug-2010 11-Aug-2010 Foreign Corrupt Practices Act
SEC v. Alliance One International, Inc. Alliance One International, Inc. Public Company 06-Aug-2010 06-Aug-2010 Foreign Corrupt Practices Act
SEC v. Universal Corporation Universal Corporation
Aliases
Public Company 06-Aug-2010 06-Aug-2010 Foreign Corrupt Practices Act
In the Matter of Stephen D. Chanslor (CPA) Stephen D. Chanslor Individual 26-Aug-2010 26-Aug-2010 Broker Dealer
SEC v. Randall D. Imhoff Randall D. Imhoff Individual 27-Aug-2010 13-Oct-2010 Issuer Reporting and Disclosure
SEC v. Robert W. Davis Robert W. Davis Individual 27-Aug-2010 13-Oct-2010 Issuer Reporting and Disclosure
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Moody's Investors Service, Inc. Moody's Investors Service, Inc. Subsidiary of Public Company 31-Aug-2010 31-Aug-2010 Other
SEC v. Sujata Sachdeva and Julie Mulvaney Julie Mulvaney Individual 31-Aug-2010 11-Jan-2011 Issuer Reporting and Disclosure
SEC v. Sujata Sachdeva and Julie Mulvaney Sujata Sachdeva Individual 31-Aug-2010 11-Jan-2011 Issuer Reporting and Disclosure
SEC v. Affiliated Computer Services, Inc. Affiliated Computer Services, Inc. Public Company 09-Sep-2010 09-Sep-2010 Issuer Reporting and Disclosure
In the Matter of KMJ Corbin & Company, LLP Kendall G. Merkley, CPA, and Anthony J. Price, CPA Anthony J. Price, CPA Individual 13-Sep-2010 13-Sep-2010 Issuer Reporting and Disclosure
In the Matter of KMJ Corbin & Company, LLP Kendall G. Merkley, CPA, and Anthony J. Price, CPA Kendall G. Merkley, CPA Individual 13-Sep-2010 13-Sep-2010 Issuer Reporting and Disclosure
In the Matter of KMJ Corbin & Company, LLP Kendall G. Merkley, CPA, and Anthony J. Price, CPA KMJ Corbin & Company, LLP Other 13-Sep-2010 13-Sep-2010 Issuer Reporting and Disclosure
In the matter of Daxor Corporation Daxor Corporation Public Company 17-Sep-2010 31-Aug-2011 Investment Advisers/Investment Companies
In the Matter of SunOpta, Inc., Steven R. Bromley, CGA, and John H. Dietrich, CA John H. Dietrich Individual 24-Sep-2010 24-Sep-2010 Issuer Reporting and Disclosure
In the Matter of SunOpta, Inc., Steven R. Bromley, CGA, and John H. Dietrich, CA Steven R. Bromley Individual 24-Sep-2010 24-Sep-2010 Issuer Reporting and Disclosure
In the Matter of SunOpta, Inc., Steven R. Bromley, CGA, and John H. Dietrich, CA SunOpta, Inc. Public Company 24-Sep-2010 24-Sep-2010 Issuer Reporting and Disclosure
SEC v. ABB Ltd ABB Ltd Public Company 29-Sep-2010 29-Sep-2010 Foreign Corrupt Practices Act
In the Matter of John P. Flannery, and James D. Hopkins James D. Hopkins Individual 30-Sep-2010 28-Oct-2011 Investment Advisers/Investment Companies
In the Matter of John P. Flannery, and James D. Hopkins John P. Flannery Individual 30-Sep-2010 28-Oct-2011 Investment Advisers/Investment Companies
In the Matter of Altschuler, Melvoin and Glasser LLP, and G. Victor Johnson, II, CPA Altschuler, Melvoin and Glasser LLP Subsidiary of Public Company 04-Oct-2010 04-Oct-2010 Investment Advisers/Investment Companies
In the Matter of Altschuler, Melvoin and Glasser LLP, and G. Victor Johnson, II, CPA G. Victor Johnson, II Individual 04-Oct-2010 04-Oct-2010 Investment Advisers/Investment Companies
In the Matter of Office Depot, Inc. Office Depot, Inc. Public Company 21-Oct-2010 21-Oct-2010 Issuer Reporting and Disclosure
In the Matter of Patricia A. McKay, CPA Patricia A. McKay Individual 21-Oct-2010 21-Oct-2010 Issuer Reporting and Disclosure
In the Matter of Stephen A. Odland Stephen A. Odland Individual 21-Oct-2010 21-Oct-2010 Issuer Reporting and Disclosure
SEC v. Office Depot, Inc. Office Depot, Inc. Public Company 21-Oct-2010 21-Oct-2010 Issuer Reporting and Disclosure
In the Matter of Royal Dutch Shell plc, and Shell International Exploration and Production Inc. Royal Dutch Shell plc Public Company 04-Nov-2010 04-Nov-2010 Foreign Corrupt Practices Act
In the Matter of Royal Dutch Shell plc, and Shell International Exploration and Production Inc. Shell International Exploration and Production Inc. Subsidiary of Public Company 04-Nov-2010 04-Nov-2010 Foreign Corrupt Practices Act
SEC v. GlobalSantaFe Corp. GlobalSantaFe Corp. Public Company 04-Nov-2010 04-Nov-2010 Foreign Corrupt Practices Act
SEC v. Noble Corporation Noble Corporation Public Company 04-Nov-2010 04-Nov-2010 Foreign Corrupt Practices Act
SEC v. Pride International, Inc. Pride International, Inc. Public Company 04-Nov-2010 04-Nov-2010 Foreign Corrupt Practices Act
SEC v. Tidewater Inc. Tidewater Inc. Public Company 04-Nov-2010 04-Nov-2010 Foreign Corrupt Practices Act
SEC v. Transocean Inc. Transocean Inc.
Aliases
Public Company 04-Nov-2010 04-Nov-2010 Foreign Corrupt Practices Act
In the Matter of Leslie L. Jackson, CPA Leslie L. Jackson Individual 05-Nov-2010 05-Nov-2010 Issuer Reporting and Disclosure
In the Matter of Nicholas A. R. Dunning, ACA Nicholas A. R. Dunning Individual 05-Nov-2010 05-Nov-2010 Issuer Reporting and Disclosure
In the Matter of Randall D. Imhoff (CPA) Randall D. Imhoff Individual 05-Nov-2010 05-Nov-2010 Issuer Reporting and Disclosure
In the Matter of Robert W. Davis (CPA) Robert W. Davis Individual 05-Nov-2010 05-Nov-2010 Issuer Reporting and Disclosure
In the Matter of World Group Securities, Inc. World Group Securities, Inc. Subsidiary of Public Company 22-Nov-2010 22-Nov-2010 Broker Dealer
In the Matter of Iliana Maceiras Iliana Maceiras Individual 26-Nov-2010 26-Nov-2010 Securities Offering
In the Matter of Leonard Madeiras Jr. Leonardo Maceiras Jr. Individual 26-Nov-2010 26-Nov-2010 Securities Offering
In the Matter of Nildo Verdeja Nildo Verdeja Individual 26-Nov-2010 26-Nov-2010 Securities Offering
In the Matter of Banc of America Securities LLC, now known as Merrill Lynch, Pierce, Fenner & Smith Incorporated, successor by merger Banc of America Securities LLC
Aliases
Subsidiary of Public Company 07-Dec-2010 07-Dec-2010 Municipal Securities & Public Pensions
In the Matter of Douglas Lee Campbell Douglas Lee Campbell Individual 07-Dec-2010 07-Dec-2010 Municipal Securities & Public Pensions
SEC v. RAE Systems Inc. RAE Systems Inc. Public Company 10-Dec-2010 10-Dec-2010 Foreign Corrupt Practices Act
SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, yatin D. Mody, and Nicole R. Kaplan Eugene F. Hovanec Individual 10-Dec-2010 10-Dec-2010 Issuer Reporting and Disclosure
SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, yatin D. Mody, and Nicole R. Kaplan Louis R. Tomasetta Individual 10-Dec-2010 10-Dec-2010 Issuer Reporting and Disclosure
SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, yatin D. Mody, and Nicole R. Kaplan Nicole R. Kaplan Individual 10-Dec-2010 10-Dec-2010 Issuer Reporting and Disclosure
SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, yatin D. Mody, and Nicole R. Kaplan Vitesse Semiconductor Corporation Public Company 10-Dec-2010 10-Dec-2010 Issuer Reporting and Disclosure
SEC v. Vitesse Semiconductor Corporation, Louis R. Tomasetta, Eugene F. Hovanec, yatin D. Mody, and Nicole R. Kaplan Yatin D. Mody Individual 10-Dec-2010 10-Dec-2010 Issuer Reporting and Disclosure
In the Matter of James M. Schneider, CPA James M. Schneider Individual 22-Dec-2010 22-Dec-2010 Issuer Reporting and Disclosure
SEC v. Alcatel-Lucent, S.A. Alcatel-Lucent, S.A. Public Company 27-Dec-2010 27-Dec-2010 Foreign Corrupt Practices Act
In the Matter of Hudson Highland Group, Inc. Hudson Highland Group, Inc. Public Company 10-Jan-2011 10-Jan-2011 Issuer Reporting and Disclosure
In the Matter of Charles Schwab Investment Management; Charles Schwab & Co., Inc; and Schwab Investments Charles Schwab & Co., Inc. Subsidiary of Public Company 11-Jan-2011 11-Jan-2011 Investment Advisers/Investment Companies
In the Matter of Charles Schwab Investment Management; Charles Schwab & Co., Inc; and Schwab Investments Charles Schwab Investment Management Subsidiary of Public Company 11-Jan-2011 11-Jan-2011 Investment Advisers/Investment Companies
In the Matter of Charles Schwab Investment Management; Charles Schwab & Co., Inc; and Schwab Investments Schwab Investments Other 11-Jan-2011 11-Jan-2011 Investment Advisers/Investment Companies
SEC v. Charles Schwab Investment Management, Inc.; Charles Schwab & Co., Inc; and Schwab Investments Charles Schwab & Co., Inc. Subsidiary of Public Company 11-Jan-2011 11-Jan-2011 Securities Offering
SEC v. Charles Schwab Investment Management, Inc.; Charles Schwab & Co., Inc; and Schwab Investments Charles Schwab Investment Management Subsidiary of Public Company 11-Jan-2011 11-Jan-2011 Securities Offering
SEC v. Charles Schwab Investment Management, Inc.; Charles Schwab & Co., Inc; and Schwab Investments Schwab Investments Other 11-Jan-2011 11-Jan-2011 Securities Offering
SEC v. Kimon P. Daifotis and Randall Merk Kimon P. Daifotis Individual 11-Jan-2011 21-Nov-2011 Securities Offering
SEC v. Kimon P. Daifotis and Randall Merk Randall Merk Individual 11-Jan-2011 21-Nov-2011 Securities Offering
SEC v. NIC Inc., Jeffery S. Fraser, Harry H. Herington, and Eric J. Bur Eric J. Bur Individual 12-Jan-2011 12-Jan-2011 Issuer Reporting and Disclosure
SEC v. NIC Inc., Jeffery S. Fraser, Harry H. Herington, and Eric J. Bur Harry H. Herington Individual 12-Jan-2011 12-Jan-2011 Issuer Reporting and Disclosure
SEC v. NIC Inc., Jeffery S. Fraser, Harry H. Herington, and Eric J. Bur Jeffery S. Fraser Individual 12-Jan-2011 12-Jan-2011 Issuer Reporting and Disclosure
SEC v. NIC Inc., Jeffery S. Fraser, Harry H. Herington, and Eric J. Bur NIC Inc. Public Company 12-Jan-2011 12-Jan-2011 Issuer Reporting and Disclosure
SEC v. Stephen M. Kovzan Stephen M. Kovzan Individual 12-Jan-2011 03-Dec-2013 Issuer Reporting and Disclosure
In the Matter of BNY Mellon Securities BNY Mellon Securities LLC
Aliases
Subsidiary of Public Company 14-Jan-2011 14-Jan-2011 Broker Dealer
In the Matter of Mark Shaw Mark Shaw Individual 14-Jan-2011 14-Jan-2011 Broker Dealer
In the Matter of Eric J. Bur, CPA Eric J. Bur Individual 20-Jan-2011 20-Jan-2011 Issuer Reporting and Disclosure
SEC v. Paul W. Jennings Paul W. Jennings Individual 24-Jan-2011 26-Jan-2011 Foreign Corrupt Practices Act
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 25-Jan-2011 25-Jan-2011 Broker Dealer
SEC v. Maxwell Technologies Inc. Maxwell Technologies Inc.
Aliases
Public Company 31-Jan-2011 31-Jan-2011 Foreign Corrupt Practices Act
In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA Danielle Valkner Individual 02-Feb-2011 02-Feb-2011 Issuer Reporting and Disclosure
In the Matter of Deerfield Capital Corp. and Danielle Valkner, CPA Deerfield Capital Corp. Public Company 02-Feb-2011 02-Feb-2011 Issuer Reporting and Disclosure
In the Matter of TD Ameritrade, Inc. TD Ameritrade, Inc. Subsidiary of Public Company 03-Feb-2011 03-Feb-2011 Broker Dealer
In the Matter of U.S. College Trust Corp. U.S. College Trust Corp. Other 07-Feb-2011 07-Feb-2011 Securities Offering
In the Matter of U.S. Pension Trust Corp. U.S. Pension Trust Corp. Other 07-Feb-2011 07-Feb-2011 Securities Offering
In the Matter of ArthroCare Corporation ArthroCare Corporation Public Company 09-Feb-2011 09-Feb-2011 Issuer Reporting and Disclosure
SEC v. Tyson Foods, Inc. Tyson Foods, Inc. Public Company 10-Feb-2011 10-Feb-2011 Foreign Corrupt Practices Act
SEC v. DHB Industries, Inc., n/k/a Point Blank Solutions, Inc. DHB Industries, Inc. Public Company 28-Feb-2011 28-Feb-2011 Issuer Reporting and Disclosure
SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman Cary Chasin Individual 28-Feb-2011 10-Nov-2011 Issuer Reporting and Disclosure
SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman Gary Nadelman Individual 28-Feb-2011 10-Nov-2011 Issuer Reporting and Disclosure
SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman Jerome Krantz Individual 28-Feb-2011 10-Nov-2011 Issuer Reporting and Disclosure
In the Matter of Sujata Sachdeva Sujata Sachdeva Individual 08-Mar-2011 08-Mar-2011 Other
SEC v. International Business Machines Corporation International Business Machines Corporation Public Company 18-Mar-2011 18-Mar-2011 Foreign Corrupt Practices Act
In the Matter of Ball Corporation Ball Corporation Public Company 24-Mar-2011 24-Mar-2011 Foreign Corrupt Practices Act
In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta Lovelock & Lewes Other 05-Apr-2011 05-Apr-2011 Issuer Reporting and Disclosure
In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta Price Waterhouse & Co., Bangalore Other 05-Apr-2011 05-Apr-2011 Issuer Reporting and Disclosure
In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta Price Waterhouse & Co., Calcutta Other 05-Apr-2011 05-Apr-2011 Issuer Reporting and Disclosure
In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta Price Waterhouse, Bangalore Other 05-Apr-2011 05-Apr-2011 Issuer Reporting and Disclosure
In the Matter of Lovelock & Lewes, Price Waterhouse, Bangalore, Price Waterhouse & Co., Bangalore, Price Waterhouse, Calcutta, and Price Waterhouse & Co., Calcutta Price Waterhouse, Calcutta Other 05-Apr-2011 05-Apr-2011 Issuer Reporting and Disclosure
In the Matter of Wells Fargo Securities LLC (f/k/a Wachovia Capital Markets LLC) Wells Fargo Securities LLC
Aliases
Subsidiary of Public Company 05-Apr-2011 05-Apr-2011 Broker Dealer
SEC v. Satyam Computer Services Limited d/b/a Mahindra Satyam Satyam Computer Services Limited Public Company 05-Apr-2011 05-Apr-2011 Issuer Reporting and Disclosure
SEC v. Comverse Technology, Inc. Comverse Technology, Inc. Public Company 07-Apr-2011 07-Apr-2011 Foreign Corrupt Practices Act
In the Matter of Nicole Rae Kaplan, CPA Nicole R. Kaplan Individual 08-Apr-2011 08-Apr-2011 Issuer Reporting and Disclosure
In the Matter of Yatin Dilip Mody, CPA Yatin D. Mody Individual 08-Apr-2011 08-Apr-2011 Issuer Reporting and Disclosure
SEC v. Johnson & Johnson Johnson & Johnson Public Company 08-Apr-2011 08-Apr-2011 Foreign Corrupt Practices Act
In the Matter of Rockwell Automation, Inc. Rockwell Automation, Inc. Public Company 03-May-2011 03-May-2011 Foreign Corrupt Practices Act
In the Matter of Mark Zaino Mark Zaino Individual 04-May-2011 04-May-2011 Municipal Securities & Public Pensions
SEC v. UBS Financial Services Inc. UBS Financial Services Inc.
Aliases
Subsidiary of Public Company 04-May-2011 04-May-2011 Municipal Securities & Public Pensions
In the Matter of Michael Higgins, CPA Michael Higgins Individual 11-May-2011 11-May-2011 Issuer Reporting and Disclosure
SEC v. Michael Baker Corporation, John Scullin and Dennis Higgins Dennis Higgins Individual 11-May-2011 11-May-2011 Issuer Reporting and Disclosure
SEC v. Michael Baker Corporation, John Scullin and Dennis Higgins John Scullin Individual 11-May-2011 11-May-2011 Issuer Reporting and Disclosure
SEC v. Michael Baker Corporation, John Scullin and Dennis Higgins Michael Baker Corporation Public Company 11-May-2011 11-May-2011 Issuer Reporting and Disclosure
SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff Mark C. Schwartzhoff Individual 12-May-2011 13-May-2011 Issuer Reporting and Disclosure
SEC v. Thor Industries, Inc. and Mark C. Schwartzhoff Thor Industries, Inc. Public Company 12-May-2011 13-May-2011 Issuer Reporting and Disclosure
In the Matter of George B. Doherty George B. Doherty Individual 13-May-2011 13-May-2011 Issuer Reporting and Disclosure
In the Matter of GSI Group, Inc. GSI Group, Inc. Public Company 13-May-2011 13-May-2011 Issuer Reporting and Disclosure
In the Matter of Peter DiSessa Peter DiSessa Individual 13-May-2011 13-May-2011 Issuer Reporting and Disclosure
Deferred Prosecution Agreement between the SEC and Tenaris, S.A. Tenaris S.A. Public Company 17-May-2011 17-May-2011 Foreign Corrupt Practices Act
In the Matter of John Scullin John Scullin Individual 23-May-2011 23-May-2011 Issuer Reporting and Disclosure
In the Matter of Mark C. Schwartzhoff Marc C. Schwartzhoff Individual 07-Jun-2011 07-Jun-2011 Issuer Reporting and Disclosure
In the Matter of the Registration Statements of China Intelligent Lighting and Electronics, Inc. c/o Corporation Service Company 2711 Centerville Road, Suite 400 Wilmington, DE 19808 China Intelligent Lighting and Electronics, Inc. Public Company 10-Jun-2011 22-Jul-2011 Issuer Reporting and Disclosure
In the Matter of the Registration Statement of China Century Dragon Media, Inc. c/o Corporation Service Company 2711 Centerville Road, Suite 400 Wilmington, DE 19808 HO-11603 China Century Dragon Media, Inc. Public Company 13-Jun-2011 22-Jul-2011 Issuer Reporting and Disclosure
SEC v. Edward S. Steffelin Edward S. Steffelin Individual 21-Jun-2011 16-Nov-2012 Investment Advisers/Investment Companies
SEC v. J.P. Morgan Securities LLC (f/k/a J.P. Morgan Securities Inc.) J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 21-Jun-2011 21-Jun-2011 Securities Offering
SEC v. John Raffle and David Applegate, Defendants, and Kathy Raffle, Relief Defendant David Applegate Individual 27-Jun-2011 11-Jul-2011 Issuer Reporting and Disclosure
SEC v. John Raffle and David Applegate, Defendants, and Kathy Raffle, Relief Defendant John Raffle Individual 27-Jun-2011 11-Jul-2011 Issuer Reporting and Disclosure
In the Matter of Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James & Associates, Inc. Subsidiary of Public Company 29-Jun-2011 29-Jun-2011 Broker Dealer
In the Matter of Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial Services, Inc. Subsidiary of Public Company 29-Jun-2011 29-Jun-2011 Broker Dealer
In the Matter of Labarge, Inc. LaBarge, Inc. Public Company 30-Jun-2011 30-Jun-2011 Issuer Reporting and Disclosure
In the Matter of James L. Hertz James L. Hertz Individual 07-Jul-2011 07-Jul-2011 Municipal Securities & Public Pensions
SEC v. J.P. Morgan Securities LLC J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 07-Jul-2011 07-Jul-2011 Municipal Securities & Public Pensions
SEC v. Armor Holdings, Inc. Armor Holdings, Inc. Public Company 13-Jul-2011 13-Jul-2011 Foreign Corrupt Practices Act
In the Matter of Diageo plc Diageo plc Public Company 27-Jul-2011 27-Jul-2011 Foreign Corrupt Practices Act
SEC v. Stifel, Nicolaus & Co., Inc. and David W. Noack David W. Noack Individual 10-Aug-2011 06-Dec-2016 Municipal Securities & Public Pensions
SEC v. Stifel, Nicolaus & Co., Inc. and David W. Noack Stifel, Nicolaus & Company, Inc.
Aliases
Subsidiary of Public Company 10-Aug-2011 06-Dec-2016 Municipal Securities & Public Pensions
In the Matter of GSCP (NJ), L.P. GSCP (NJ), L.P. Other 25-Aug-2011 25-Aug-2011 Investment Advisers/Investment Companies
In the Matter of Sequenom, Inc. Sequenom, Inc. Public Company 01-Sep-2011 01-Sep-2011 Issuer Reporting and Disclosure
In the Matter of RBC Capital Markets, LLC (formerly known as RBC Capital Markets Corp.) RBC Capital Markets, LLC
Aliases
Subsidiary of Public Company 27-Sep-2011 27-Sep-2011 Municipal Securities & Public Pensions
In the Matter of Hansen Medical, Inc. Hansen Medical, Inc. Public Company 06-Oct-2011 06-Oct-2011 Issuer Reporting and Disclosure
SEC v. Christopher Sells and Timothy Murawski Christopher Sells Individual 06-Oct-2011 06-Nov-2013 Issuer Reporting and Disclosure
SEC v. Christopher Sells and Timothy Murawski Timothy Murawski Individual 06-Oct-2011 06-Nov-2013 Issuer Reporting and Disclosure
In the Matter of Watts Water Technologies, Inc. and Leesen Chang Leesen Chang Individual 13-Oct-2011 13-Oct-2011 Foreign Corrupt Practices Act
In the Matter of Watts Water Technologies, Inc. and Leesen Chang Watts Water Technologies, Inc. Public Company 13-Oct-2011 13-Oct-2011 Foreign Corrupt Practices Act
In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt Credit Suisse Alternative Capital, LLC Subsidiary of Public Company 19-Oct-2011 19-Oct-2011 Investment Advisers/Investment Companies
In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt Credit Suisse Asset Management, LLC
Aliases
Subsidiary of Public Company 19-Oct-2011 19-Oct-2011 Investment Advisers/Investment Companies
In the Matter of Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt Samir H. Bhatt Individual 19-Oct-2011 19-Oct-2011 Investment Advisers/Investment Companies
SEC v. Brian H. Stoker Brian Stoker Individual 19-Oct-2011 06-Aug-2012 Securities Offering
SEC v. Citigroup Global Markets Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 19-Oct-2011 19-Oct-2011 Securities Offering
SEC v. Koss Corporation and Michael J. Koss Koss Corporation Public Company 24-Oct-2011 24-Oct-2011 Issuer Reporting and Disclosure
SEC v. Koss Corporation and Michael J. Koss Michael J. Koss Individual 24-Oct-2011 24-Oct-2011 Issuer Reporting and Disclosure
In the Matter of UBS Securities LLC UBS Securities LLC Subsidiary of Public Company 10-Nov-2011 10-Nov-2011 Market Manipulation
In the Matter of Morgan Stanley Investment Management Inc. Morgan Stanley Investment Management Inc. Subsidiary of Public Company 16-Nov-2011 16-Nov-2011 Investment Advisers/Investment Companies
In the Matter of FTN Financial Securities Corp. FTN Financial Securities Corp. Subsidiary of Public Company 17-Nov-2011 17-Nov-2011 Investment Advisers/Investment Companies
In the Matter of Fifth Third Bancorp Fifth Third Bancorp Public Company 22-Nov-2011 22-Nov-2011 Issuer Reporting and Disclosure
In the Matter Randall Merk Randall Merk Individual 28-Nov-2011 28-Nov-2011 Investment Advisers/Investment Companies
In the Matter of Dean Zenon Pinard Dean Zenon Pinard Individual 08-Dec-2011 08-Dec-2011 Municipal Securities & Public Pensions
SEC v. Wachovia Bank, N.A. now known as Wells Fargo Bank, N.A., successor by merger Wachovia Bank, N.A. Subsidiary of Public Company 08-Dec-2011 08-Dec-2011 Municipal Securities & Public Pensions
SEC v. Stiefel Laboratories Inc. and Charles W. Stiefel Charles W. Stiefel Individual 12-Dec-2011 04-Jun-2020 Issuer Reporting and Disclosure
SEC v. Stiefel Laboratories Inc. and Charles W. Stiefel Stiefel Laboratories Inc. Subsidiary of Public Company 12-Dec-2011 04-Jun-2020 Issuer Reporting and Disclosure
SEC v. Stephen M. Folan Stephen M. Folan Individual 15-Dec-2011 16-Dec-2011 Investment Advisers/Investment Companies
Non-Prosecution Agreement with Federal Home Loan Mortgage Corporation Federal Home Loan Mortgage Corporation Public Company 16-Dec-2011 16-Dec-2011 Issuer Reporting and Disclosure
Non-Prosecution Agreement with Federal National Mortgage Association Federal National Mortgage Association Public Company 16-Dec-2011 16-Dec-2011 Issuer Reporting and Disclosure
SEC v. Daniel H. Mudd, Enrico Dallavecchia, and Thomas A. Lund Daniel H. Mudd Individual 16-Dec-2011 21-Sep-2015 Issuer Reporting and Disclosure
SEC v. Daniel H. Mudd, Enrico Dallavecchia, and Thomas A. Lund Enrico Dallavecchia Individual 16-Dec-2011 21-Sep-2015 Issuer Reporting and Disclosure
SEC v. Daniel H. Mudd, Enrico Dallavecchia, and Thomas A. Lund Thomas A. Lund Individual 16-Dec-2011 21-Sep-2015 Issuer Reporting and Disclosure
SEC v. Richard F. Syron, Patricia L. Cook, and Donald J. Bisenius Donald J. Bisenius Individual 16-Dec-2011 14-Apr-2015 Issuer Reporting and Disclosure
SEC v. Richard F. Syron, Patricia L. Cook, and Donald J. Bisenius Patricia L. Cook Individual 16-Dec-2011 14-Apr-2015 Issuer Reporting and Disclosure
SEC v. Richard F. Syron, Patricia L. Cook, and Donald J. Bisenius Richard F. Syron Individual 16-Dec-2011 14-Apr-2015 Issuer Reporting and Disclosure
SEC v. Aon Corporation Aon Corporation Public Company 20-Dec-2011 20-Dec-2011 Foreign Corrupt Practices Act
SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. Heart Tronics, Inc. Public Company 20-Dec-2011 09-Aug-2012 Issuer Reporting and Disclosure
SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. J. Rowland Perkins Individual 20-Dec-2011 09-Aug-2012 Issuer Reporting and Disclosure
SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. Mark Nevdahl Individual 20-Dec-2011 09-Aug-2012 Issuer Reporting and Disclosure
SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. Martin Bert Carter Individual 20-Dec-2011 09-Aug-2012 Issuer Reporting and Disclosure
SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. Mitchell J. Stein Individual 20-Dec-2011 09-Aug-2012 Issuer Reporting and Disclosure
SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. Ryan Allan Rauch Individual 20-Dec-2011 09-Aug-2012 Issuer Reporting and Disclosure
SEC v. Heart Tronics, Inc. , Mitchell Jay Stein, Willie James Gault, J. Rowland Perkins, II, Martin Bert Carter, Mark Crosby Nevdahl, and Ryan Allan Rauch, Defendants, Tracey Hampton-Stein, Arc Finance Group, LLC, ARC Blind Trust, THS Blind Trust, Jaymi Blind Trust, Oak Tree Investments Blind Trust, WBT Investments Blind Trust, Catch 83 General Partnership, and Five Investments Partnership, Relief Defendants. Willie Gault Individual 20-Dec-2011 09-Aug-2012 Issuer Reporting and Disclosure
SEC v. GE Funding Capital Market Services, Inc. GE Funding Capital Market Services, Inc. Subsidiary of Public Company 23-Dec-2011 23-Dec-2011 Municipal Securities & Public Pensions
SEC v. Elek Straub, Andras Balogh, and Tamas Morval Andras Balogh Individual 29-Dec-2011 08-Feb-2017 Foreign Corrupt Practices Act
SEC v. Elek Straub, Andras Balogh, and Tamas Morval Elek Straub Individual 29-Dec-2011 08-Feb-2017 Foreign Corrupt Practices Act
SEC v. Elek Straub, Andras Balogh, and Tamas Morval Tamas Morval Individual 29-Dec-2011 08-Feb-2017 Foreign Corrupt Practices Act
SEC v. Magyar Telekom Plc. and Deutsche Telekom AG Deutsche Telekom, AG Public Company 29-Dec-2011 29-Dec-2011 Foreign Corrupt Practices Act
SEC v. Magyar Telekom Plc. and Deutsche Telekom AG Magyar Telekom, PLC Public Company 29-Dec-2011 29-Dec-2011 Foreign Corrupt Practices Act
SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin Brian D. Pardo Individual 03-Jan-2012 19-Jan-2014 Issuer Reporting and Disclosure
SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin David M. Martin Individual 03-Jan-2012 19-Jan-2014 Issuer Reporting and Disclosure
SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin Life Partners Holdings, Inc. Public Company 03-Jan-2012 19-Jan-2014 Issuer Reporting and Disclosure
SEC v. Life Partners Holdings, Inc., Brian D. Pardo, R. Scott Peden and David M. Martin R. Scott Peden Individual 03-Jan-2012 19-Jan-2014 Issuer Reporting and Disclosure
In the Matter of Stephen M. Folan Stephen M. Folan Individual 10-Jan-2012 10-Jan-2012 Broker Dealer
In the Matter of Lisa B. Premo Lisa B. Premo Individual 17-Jan-2012 26-Dec-2012 Investment Advisers/Investment Companies
In the Matter of UBS Global Asset Management (Americas) Inc. UBS Global Asset Management (Americas) Inc. Subsidiary of Public Company 17-Jan-2012 17-Jan-2012 Investment Advisers/Investment Companies
SEC v. BankAtlantic Bancorp, Inc. and Alan B. Levan Alan B. Levan Individual 18-Jan-2012 24-Sep-2015 Issuer Reporting and Disclosure
SEC v. BankAtlantic Bancorp, Inc. and Alan B. Levan BankAtlantic Bancorp, Inc.
Aliases
Public Company 18-Jan-2012 24-Sep-2015 Issuer Reporting and Disclosure
In the Matter of Christopher J. Kelly, ACA and Margaret Hebb, ACA Christopher J. Kelly, ACA Individual 30-Jan-2012 30-Jan-2012 Issuer Reporting and Disclosure
In the Matter of Christopher J. Kelly, ACA and Margaret Hebb, ACA Margaret Hebb, ACA Individual 30-Jan-2012 30-Jan-2012 Issuer Reporting and Disclosure
In the Matter of Symmetry Medical Inc. and Fred L. Hite Fred L. Hite Individual 30-Jan-2012 30-Jan-2012 Issuer Reporting and Disclosure
In the Matter of Symmetry Medical Inc. and Fred L. Hite Symmetry Medical, Inc. Public Company 30-Jan-2012 30-Jan-2012 Issuer Reporting and Disclosure
SEC v. Brian S. Moore Brian S. Moore Individual 30-Jan-2012 01-Feb-2012 Issuer Reporting and Disclosure
SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley Lynne Norman Individual 30-Jan-2012 01-Feb-2012 Issuer Reporting and Disclosure
SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley Matthew Bell Individual 30-Jan-2012 01-Feb-2012 Issuer Reporting and Disclosure
SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley Richard J. Senior Individual 30-Jan-2012 01-Feb-2012 Issuer Reporting and Disclosure
SEC v. Richard J. Senior, Matthew Bell, Lynne Norman and Shaun P. Whiteley Shaun P. Whiteley Individual 30-Jan-2012 01-Feb-2012 Issuer Reporting and Disclosure
SEC v. Smith & Nephew PLC Smith & Nephew PLC Public Company 06-Feb-2012 06-Feb-2012 Foreign Corrupt Practices Act
In the Matter of Lynne Norman Lynne Norman Individual 07-Feb-2012 07-Feb-2012 Issuer Reporting and Disclosure
In the Matter of Matthew Bell, ACA Matthew Bell Individual 07-Feb-2012 07-Feb-2012 Issuer Reporting and Disclosure
In the Matter of Shaun P. Whiteley Shaun P. Whiteley Individual 07-Feb-2012 07-Feb-2012 Issuer Reporting and Disclosure
SEC v. Mark A. Jackson and James J. Ruehlen James J. Ruehlen Individual 24-Feb-2012 03-Jul-2014 Foreign Corrupt Practices Act
SEC v. Mark A. Jackson and James J. Ruehlen Mark A. Jackson Individual 24-Feb-2012 03-Jul-2014 Foreign Corrupt Practices Act
SEC v. Thomas F. O'Rourke Thomas F. O'Rourke Individual 24-Feb-2012 28-Mar-2012 Foreign Corrupt Practices Act
SEC v. Biomet, Inc. Biomet Inc.
Aliases
Public Company 26-Mar-2012 26-Mar-2012 Foreign Corrupt Practices Act
SEC v. Michael A. Baker and Michael T. Gluk Michael A. Baker Individual 02-Apr-2012 29-Jun-2018 Issuer Reporting and Disclosure
SEC v. Michael A. Baker and Michael T. Gluk Michael T. Gluk Individual 02-Apr-2012 29-Jun-2018 Issuer Reporting and Disclosure
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Ai Xi Ji Individual 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li AutoChina International Limited Public Company 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Hui Kai Yan Individual 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Li Xin Ma Individual 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Rainbow Yield Limited Other 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Rui Ge Dong Individual 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Shu Ling Li Individual 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Victory First Limited Other 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Ye Wang Individual 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Yong Li Li Individual 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Yong Qi Li Individual 11-Apr-2012 25-Jun-2014 Market Manipulation
SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li Zhong Wen Zhang Individual 11-Apr-2012 25-Jun-2014 Market Manipulation
In the Matter of Goldman, Sachs & Co. Goldman, Sachs & Co. Subsidiary of Public Company 12-Apr-2012 12-Apr-2012 Broker Dealer
In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman Jonathan I. Feldman Individual 16-Apr-2012 07-Jun-2013 Broker Dealer
In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman optionsXpress, Inc. Subsidiary of Public Company 16-Apr-2012 07-Jun-2013 Broker Dealer
In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman Thomas E. Stern Individual 16-Apr-2012 07-Jun-2013 Broker Dealer
In the Matter of Peter J. Bottini, Phillip J. Hoeh, and Kevin E. Strine Kevin E. Strine Individual 16-Apr-2012 16-Apr-2012 Broker Dealer
In the Matter of Peter J. Bottini, Phillip J. Hoeh, and Kevin E. Strine Peter J. Bottini Individual 16-Apr-2012 16-Apr-2012 Broker Dealer
In the Matter of Peter J. Bottini, Phillip J. Hoeh, and Kevin E. Strine Phillip J. Hoeh Individual 16-Apr-2012 16-Apr-2012 Broker Dealer
In the Matter of Ox Trading, LLC, optionsXpress, Inc. and Thomas E. Stern optionsXpress, Inc. Subsidiary of Public Company 19-Apr-2012 22-Oct-2013 Broker Dealer
In the Matter of Ox Trading, LLC, optionsXpress, Inc. and Thomas E. Stern OX Trading, LLC Subsidiary of Public Company 19-Apr-2012 22-Oct-2013 Broker Dealer
In the Matter of Ox Trading, LLC, optionsXpress, Inc. and Thomas E. Stern Thomas E. Stern Individual 19-Apr-2012 22-Oct-2013 Broker Dealer
SEC v. SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang Boxun Zhang Individual 23-Apr-2012 21-Dec-2012 Issuer Reporting and Disclosure
SEC v. SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang Guoqiang Xin Individual 23-Apr-2012 21-Dec-2012 Issuer Reporting and Disclosure
SEC v. SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang Qingzeng Liu Individual 23-Apr-2012 21-Dec-2012 Issuer Reporting and Disclosure
SEC v. SinoTech Energy Limited, Qingzeng Liu, Guoqiang Xin, and Boxun Zhang Sinotech Energy Limited Public Company 23-Apr-2012 21-Dec-2012 Issuer Reporting and Disclosure
SEC v. Option One Mortgage Corporation n/k/a Sand Canyon Corporation Option One Mortgage Corporation
Aliases
Subsidiary of Public Company 24-Apr-2012 24-Apr-2012 Securities Offering
In the Matter of Miguel A. Ferrer, and Carlos J. Ortiz Carlos J. Ortiz Individual 01-May-2012 29-Oct-2013 Broker Dealer
In the Matter of Miguel A. Ferrer, and Carlos J. Ortiz Miguel A. Ferrer Individual 01-May-2012 29-Oct-2013 Broker Dealer
In the Matter of UBS Financial Services Inc. of Puerto Rico UBS Financial Services Inc. of Puerto Rico Subsidiary of Public Company 01-May-2012 01-May-2012 Broker Dealer
SEC v. China Natural Gas, Inc. and Qinan Ji China Natural Gas, Inc. Public Company 14-May-2012 05-Jun-2013 Issuer Reporting and Disclosure
SEC v. China Natural Gas, Inc. and Qinan Ji Qinan Ji Individual 14-May-2012 05-Jun-2013 Issuer Reporting and Disclosure
In the Matter of Edward J. Marino Edward J. Marino Individual 15-May-2012 15-May-2012 Issuer Reporting and Disclosure
SEC v. George G. Levin and Frank J. Preve Frank J. Preve Individual 22-May-2012 06-Oct-2014 Securities Offering
SEC v. George G. Levin and Frank J. Preve George G. Levin Individual 22-May-2012 06-Oct-2014 Securities Offering
SEC v. AMMB Consultant Sendirian Berhad AMMB Consultant Sendirian Berhad Other 26-Jun-2012 13-Jul-2012 Investment Advisers/Investment Companies
SEC v. FalconStor Software, Inc. FalconStor Software, Inc. Public Company 27-Jun-2012 27-Jun-2012 Issuer Reporting and Disclosure
SEC v. Orthofix International N.V. Orthofix International N.V. Public Company 10-Jul-2012 10-Jul-2012 Foreign Corrupt Practices Act
In the Matter of Alexander V. Rekeda Alexander V. Rekeda Individual 18-Jul-2012 18-Jul-2012 Securities Offering
In the Matter of Delaware Asset Advisers and Wei (Alex) Wei Delaware Asset Advisers Other 18-Jul-2012 18-Jul-2012 Investment Advisers/Investment Companies
In the Matter of Delaware Asset Advisers and Wei (Alex) Wei Wei (Alex) Wei Individual 18-Jul-2012 18-Jul-2012 Investment Advisers/Investment Companies
In the Matter of Kimon P. Daifotis Kimon P. Daifotis Individual 18-Jul-2012 18-Jul-2012 Investment Advisers/Investment Companies
In the Matter of Xavier Capdepon and Gwen Snorteland Gwen Snorteland Individual 18-Jul-2012 18-Jul-2012 Securities Offering
In the Matter of Xavier Capdepon and Gwen Snorteland Xavier Capdepon Individual 18-Jul-2012 18-Jul-2012 Securities Offering
SEC v. Mizuho Securities USA Inc. Mizuho Securities USA Inc. Subsidiary of Public Company 18-Jul-2012 18-Jul-2012 Securities Offering
In the Matter of Huron Consulting Gary L. Burge, CPA and Wayne E. Lipski, CPA Gary L. Burge Individual 19-Jul-2012 19-Jul-2012 Issuer Reporting and Disclosure
In the Matter of Huron Consulting Gary L. Burge, CPA and Wayne E. Lipski, CPA Huron Consulting Group Inc.
Aliases
Public Company 19-Jul-2012 19-Jul-2012 Issuer Reporting and Disclosure
In the Matter of Huron Consulting Gary L. Burge, CPA and Wayne E. Lipski, CPA Wayne E. Lipski Individual 19-Jul-2012 19-Jul-2012 Issuer Reporting and Disclosure
SEC v. Pfizer Inc. Pfizer Inc. Public Company 07-Aug-2012 07-Aug-2012 Foreign Corrupt Practices Act
SEC v. Wyeth LLC Wyeth LLC Subsidiary of Public Company 07-Aug-2012 07-Aug-2012 Foreign Corrupt Practices Act
In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurty Shawn Patrick McMurtry Individual 14-Aug-2012 14-Aug-2012 Municipal Securities & Public Pensions
In the Matter of Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurty Wells Fargo Securities LLC
Aliases
Subsidiary of Public Company 14-Aug-2012 14-Aug-2012 Municipal Securities & Public Pensions
SEC v. Oracle Corp. Oracle Corporation Public Company 16-Aug-2012 16-Aug-2012 Foreign Corrupt Practices Act
SEC v. China Sky One Medical, Inc. and Yan-qing Liu China Sky One Medical, Inc. Public Company 04-Sep-2012 03-Mar-2015 Issuer Reporting and Disclosure
SEC v. China Sky One Medical, Inc. and Yan-qing Liu Yan-Qing Lu Individual 04-Sep-2012 03-Mar-2015 Issuer Reporting and Disclosure
In the Matter of New York Stock Exchange, LLC, and NYSE Euronext New York Stock Exchange LLC Subsidiary of Public Company 14-Sep-2012 14-Sep-2012 Other
In the Matter of New York Stock Exchange, LLC, and NYSE Euronext NYSE Euronext Public Company 14-Sep-2012 14-Sep-2012 Other
SEC v. Waldyr Da Silva Prado Neto Waldyr Da Silva Prado Neto Individual 20-Sep-2012 07-Jan-2014 Insider Trading
SEC v. Tyco International Ltd Tyco International Ltd Public Company 24-Sep-2012 24-Sep-2012 Foreign Corrupt Practices Act
In the Matter of Goldman, Sachs & Co. Goldman, Sachs & Co. Subsidiary of Public Company 27-Sep-2012 27-Sep-2012 Municipal Securities & Public Pensions
In the Matter of Neil M.M. Morrison Neil M.M. Morrison Individual 27-Sep-2012 Municipal Securities & Public Pensions
In the Matter of Rajnish K. Das Rajnish K. Das Individual 24-Oct-2012 24-Oct-2012 Issuer Reporting and Disclosure
In the Matter of Stormy L. Dean Stormy L. Dean Individual 24-Oct-2012 24-Oct-2012 Issuer Reporting and Disclosure
SEC v. BP p.l.c. BP p.l.c. Public Company 15-Nov-2012 15-Nov-2012 Issuer Reporting and Disclosure
In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation Asset Backed Securities Corporation Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation Credit Suisse First Boston Mortgage Acceptance Corp.
Aliases
Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation Credit Suisse First Boston Mortgage Securities Corp. Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation Credit Suisse Securities (USA) LLC Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
In the Matter of Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation DLJ Mortgage Capital, Inc. Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I Bear Stearns Asset Backed Securities I, LLC Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I EMC Mortgage, LLC Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I J.P. Morgan Acceptance Corporation I Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I SACO I, Inc. Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
SEC v. J.P. Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. Morgan Acceptance Corporation I Structured Asset Mortgage Investments II, Inc. Subsidiary of Public Company 16-Nov-2012 16-Nov-2012 Securities Offering
In the Matter of KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless Dayl W. Pearson Individual 28-Nov-2012 28-Nov-2012 Issuer Reporting and Disclosure
In the Matter of KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless KCAP Financial, Inc. Public Company 28-Nov-2012 28-Nov-2012 Issuer Reporting and Disclosure
In the Matter of KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless Michael I. Wirth Individual 28-Nov-2012 28-Nov-2012 Issuer Reporting and Disclosure
In the Matter of KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA and R. Jonathan Corless R. Jonathan Corless Individual 28-Nov-2012 28-Nov-2012 Issuer Reporting and Disclosure
SEC v. China North East Petroleum Holdings Limited; Wang Hongjun; Ju Guizhi; and Jiang Chao, Defendants, Jiang Mingfu; and Sun Jishuang, Relief Defendants Chao Jiang
Aliases
Individual 29-Nov-2012 13-Jul-2015 Issuer Reporting and Disclosure
SEC v. China North East Petroleum Holdings Limited; Wang Hongjun; Ju Guizhi; and Jiang Chao, Defendants, Jiang Mingfu; and Sun Jishuang, Relief Defendants China Northeast Petroleum Holdings Limited Public Company 29-Nov-2012 13-Jul-2015 Issuer Reporting and Disclosure
SEC v. China North East Petroleum Holdings Limited; Wang Hongjun; Ju Guizhi; and Jiang Chao, Defendants, Jiang Mingfu; and Sun Jishuang, Relief Defendants Guizhi Ju
Aliases
Individual 29-Nov-2012 13-Jul-2015 Issuer Reporting and Disclosure
SEC v. China North East Petroleum Holdings Limited; Wang Hongjun; Ju Guizhi; and Jiang Chao, Defendants, Jiang Mingfu; and Sun Jishuang, Relief Defendants Hongjun Wang
Aliases
Individual 29-Nov-2012 13-Jul-2015 Issuer Reporting and Disclosure
SEC v. Igor Cornelsen and Bainbridge Group Inc. Bainbridge Group Inc. Other 30-Nov-2012 11-Dec-2012 Insider Trading
SEC v. Igor Cornelsen and Bainbridge Group Inc. Igor Cornelsen Individual 30-Nov-2012 11-Dec-2012 Insider Trading
In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III Albert C. Johnson Individual 10-Dec-2012 13-Jun-2013 Investment Advisers/Investment Companies
In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III Allen B. Morgan Jr. Individual 10-Dec-2012 13-Jun-2013 Investment Advisers/Investment Companies
In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III Archie W. Willis III Individual 10-Dec-2012 13-Jun-2013 Investment Advisers/Investment Companies
In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III J. Kenneth Alderman Individual 10-Dec-2012 13-Jun-2013 Investment Advisers/Investment Companies
In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III Jack R. Blair Individual 10-Dec-2012 13-Jun-2013 Investment Advisers/Investment Companies
In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III James Stillman R. McFadden Individual 10-Dec-2012 13-Jun-2013 Investment Advisers/Investment Companies
In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III Mary S. Stone Individual 10-Dec-2012 13-Jun-2013 Investment Advisers/Investment Companies
In the Matter of J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III W. Randall Pittman Individual 10-Dec-2012 13-Jun-2013 Investment Advisers/Investment Companies
In the Matter of Allianz SE Allianz SE Public Company 17-Dec-2012 17-Dec-2012 Foreign Corrupt Practices Act
In the Matter of J. Brian Laib, CPA J. Brian Laib Individual 17-Dec-2012 17-Dec-2012 Issuer Reporting and Disclosure
SEC v. Eric Ashman Eric Ashman Individual 18-Dec-2012 21-Dec-2012 Issuer Reporting and Disclosure
SEC v. Gregg Alwine and David Barnett David Barnett Individual 18-Dec-2012 21-Dec-2012 Issuer Reporting and Disclosure
SEC v. Gregg Alwine and David Barnett Gregg Alwine Individual 18-Dec-2012 21-Dec-2012 Issuer Reporting and Disclosure
SEC v. TheStreet, Inc. TheStreet, Inc. Public Company 18-Dec-2012 18-Dec-2012 Issuer Reporting and Disclosure
In the Matter of The New America High Income Fund, Inc.; Robert F. Birch; and Ellen E. Terry Ellen E. Terry Individual 20-Dec-2012 20-Dec-2012 Investment Advisers/Investment Companies
In the Matter of The New America High Income Fund, Inc.; Robert F. Birch; and Ellen E. Terry Robert F. Birch Individual 20-Dec-2012 20-Dec-2012 Investment Advisers/Investment Companies
In the Matter of The New America High Income Fund, Inc.; Robert F. Birch; and Ellen E. Terry The New America High Income Fund, Inc. Public Company 20-Dec-2012 20-Dec-2012 Investment Advisers/Investment Companies
SEC v. Eli Lilly and Company Eli Lilly and Company
Aliases
Public Company 20-Dec-2012 20-Dec-2012 Foreign Corrupt Practices Act
SEC v. Jack J. Egan, Jr., C.P.A. Jack J. Egan, Jr. Individual 10-Jan-2013 18-Jul-2014 Issuer Reporting and Disclosure
SEC v. Volt Information Sciences, Inc. and Debra L. Hobbs Debra L. Hobbs Individual 10-Jan-2013 11-Jan-2013 Issuer Reporting and Disclosure
SEC v. Volt Information Sciences, Inc. and Debra L. Hobbs Volt Information Sciences, Inc. Public Company 10-Jan-2013 11-Jan-2013 Issuer Reporting and Disclosure
In the Matter of Eric Ashman, CPA Eric Ashman Individual 11-Jan-2013 11-Jan-2013 Issuer Reporting and Disclosure
SEC v. Jesse C. Litvak Jesse C. Litvak Individual 28-Jan-2013 07-Nov-2014 Broker Dealer
SEC v. Keyuan Petrochemicals, Inc. and Aichun Li Aichun Li Individual 28-Feb-2013 28-Feb-2013 Issuer Reporting and Disclosure
SEC v. Keyuan Petrochemicals, Inc. and Aichun Li Keyuan Petrochemicals, Inc. Public Company 28-Feb-2013 28-Feb-2013 Issuer Reporting and Disclosure
In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Alternative Investment Management, LLC Subsidiary of Public Company 11-Mar-2013 11-Mar-2013 Investment Advisers/Investment Companies
In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Asset Management Inc. Subsidiary of Public Company 11-Mar-2013 11-Mar-2013 Investment Advisers/Investment Companies
In the Matter of Koninklijke Philips Electronics N.V. Koninklijke Philips Electronics N.V. Public Company 05-Apr-2013 05-Apr-2013 Foreign Corrupt Practices Act
SEC v. David Miller David Miller Individual 15-Apr-2013 19-Apr-2013 Broker Dealer
SEC v. Parker Drilling Company Parker Drilling Company Public Company 16-Apr-2013 16-Apr-2013 Foreign Corrupt Practices Act
SEC v. Gibraltar Global Securities, Inc., and Warren A. Davis Gibraltar Global Securities, Inc. Other 18-Apr-2013 02-Jul-2015 Broker Dealer
SEC v. Gibraltar Global Securities, Inc., and Warren A. Davis Warren A. Davis Individual 18-Apr-2013 02-Jul-2015 Broker Dealer
Non-Prosecution Agreement With Ralph Lauren Corporation Ralph Lauren Corp. Public Company 22-Apr-2013 22-Apr-2013 Foreign Corrupt Practices Act
In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa Capital One Financial Corporation Public Company 24-Apr-2013 24-Apr-2013 Issuer Reporting and Disclosure
In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa David A. LaGassa Individual 24-Apr-2013 24-Apr-2013 Issuer Reporting and Disclosure
In the Matter of Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa Peter A. Schnall Individual 24-Apr-2013 24-Apr-2013 Issuer Reporting and Disclosure
In the Matter of David Miller David Miller Individual 25-Apr-2013 Broker Dealer
SEC v. Subaye, Inc. and James T. Crane James T. Crane Individual 08-May-2013 08-May-2013 Issuer Reporting and Disclosure
SEC v. Subaye, Inc. and James T. Crane Subaye, Inc. Public Company 08-May-2013 08-May-2013 Issuer Reporting and Disclosure
SEC v. Rino International Corporation, Dejun "David" Zou, and Jianping "Amy" Qiu Dejun "David" Zou Individual 15-May-2013 15-May-2013 Issuer Reporting and Disclosure
SEC v. Rino International Corporation, Dejun "David" Zou, and Jianping "Amy" Qiu Jianping "Amy" Qiu Individual 15-May-2013 15-May-2013 Issuer Reporting and Disclosure
SEC v. Rino International Corporation, Dejun "David" Zou, and Jianping "Amy" Qiu RINO International Corporation Public Company 15-May-2013 15-May-2013 Issuer Reporting and Disclosure
In the Matter of Institutional Shareholder Services Inc. Institutional Shareholder Services, Inc.
Aliases
Subsidiary of Public Company 23-May-2013 23-May-2013 Investment Advisers/Investment Companies
In the Matter of The NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC NASDAQ Execution Services, LLC Subsidiary of Public Company 29-May-2013 29-May-2013 Securities Offering
In the Matter of The NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC The NASDAQ Stock Market, LLC Subsidiary of Public Company 29-May-2013 29-May-2013 Securities Offering
In the Matter of Total, S.A. Total, S.A. Public Company 29-May-2013 29-May-2013 Foreign Corrupt Practices Act
In the Matter of UBS O'Connor, LLC UBS O'Connor, LLC Subsidiary of Public Company 03-Jun-2013 03-Jun-2013 Market Manipulation
SEC v. PACCAR Inc and PACCAR Financial Corp. PACCAR
Aliases
Public Company 03-Jun-2013 03-Jun-2013 Issuer Reporting and Disclosure
SEC v. PACCAR Inc and PACCAR Financial Corp. PACCAR Financial Corp. Subsidiary of Public Company 03-Jun-2013 03-Jun-2013 Issuer Reporting and Disclosure
In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated C2 Options Exchange, Incorporated Subsidiary of Public Company 11-Jun-2013 11-Jun-2013 Securities Offering
In the Matter of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated Chicago Board Options Exchange, Incorporated Subsidiary of Public Company 11-Jun-2013 11-Jun-2013 Securities Offering
In the Matter of Revlon, Inc. Revlon, Inc. Public Company 13-Jun-2013 13-Jun-2013 Securities Offering
SEC v. China MediaExpress Holdings, Inc. and Zheng Cheng China MediaExpress Holdings, Inc. Public Company 20-Jun-2013 04-Oct-2013 Issuer Reporting and Disclosure
SEC v. China MediaExpress Holdings, Inc. and Zheng Cheng Zheng Cheng Individual 20-Jun-2013 04-Oct-2013 Issuer Reporting and Disclosure
SEC v. Fuqi International, inc. and Yu Kwai Chong Fuqi International, Inc. Public Company 01-Jul-2013 01-Jul-2013 Issuer Reporting and Disclosure
SEC v. Fuqi International, inc. and Yu Kwai Chong Yu Kwai Chong Individual 01-Jul-2013 01-Jul-2013 Issuer Reporting and Disclosure
SEC v. Mack D. Murrell, David A. Teekell, and Charles W. Adams, Raymond James Financial Services, Inc. Charles W. Adams Individual 01-Jul-2013 19-Jul-2013 Insider Trading
SEC v. Mack D. Murrell, David A. Teekell, and Charles W. Adams, Raymond James Financial Services, Inc. David A. Teekell Individual 01-Jul-2013 19-Jul-2013 Insider Trading
SEC v. Mack D. Murrell, David A. Teekell, and Charles W. Adams, Raymond James Financial Services, Inc. Mack D. Murrell Individual 01-Jul-2013 19-Jul-2013 Insider Trading
In the Matter of Aichun Li, CPA Aichun Li Individual 08-Jul-2013 08-Jul-2013 Issuer Reporting and Disclosure
SEC v. China Intelligent Lighting and Electronics, Inc. et al. China Intelligent Lighting and Electronics, Inc. Public Company 22-Jul-2013 10-Mar-2014 Issuer Reporting and Disclosure
SEC v. China Intelligent Lighting and Electronics, Inc. et al. NIVS IntelliMedia Technology Group, Inc. Public Company 22-Jul-2013 10-Mar-2014 Issuer Reporting and Disclosure
SEC v. China Intelligent Lighting and Electronics, Inc. et al. Tianfu Li Individual 22-Jul-2013 10-Mar-2014 Issuer Reporting and Disclosure
SEC v. China Intelligent Lighting and Electronics, Inc. et al. Xuemei Li Individual 22-Jul-2013 10-Mar-2014 Issuer Reporting and Disclosure
SEC v. Jorge Bravo, Jr. Jorge Bravo, Jr. Individual 23-Jul-2013 23-Jul-2013 Securities Offering
In the Matter of A.R. Schmeidler & Co., Inc. A.R. Schmeidler & Co., Inc. Subsidiary of Public Company 31-Jul-2013 31-Jul-2013 Investment Advisers/Investment Companies
In the Matter of UBS Securities LLC UBS Securities LLC Subsidiary of Public Company 06-Aug-2013 06-Aug-2013 Investment Advisers/Investment Companies
SEC v. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Fenner, Pierce & Smith LLC Banc of America Mortgage Securities, Inc Subsidiary of Public Company 06-Aug-2013 25-Nov-2014 Securities Offering
SEC v. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Fenner, Pierce & Smith LLC Bank of America, N.A. Subsidiary of Public Company 06-Aug-2013 25-Nov-2014 Securities Offering
SEC v. Bank of America, N.A., Banc of America Mortgage Securities, Inc., and Merrill Lynch, Fenner, Pierce & Smith LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 06-Aug-2013 25-Nov-2014 Securities Offering
SEC v. Anchor Bancorp Wisconsin, Inc. et al. Anchor Bancorp Wisconsin, Inc. Public Company 14-Aug-2013 14-Aug-2013 Issuer Reporting and Disclosure
SEC v. Anchor Bancorp Wisconsin, Inc. et al. Dale C. Riggenberg Individual 14-Aug-2013 14-Aug-2013 Issuer Reporting and Disclosure
SEC v. Javier Martin-Artajo and Julien G. Grout Javier Martin-Artajo Individual 14-Aug-2013 22-Aug-2017 Issuer Reporting and Disclosure
SEC v. Javier Martin-Artajo and Julien G. Grout Julien G. Grout Individual 14-Aug-2013 22-Aug-2017 Issuer Reporting and Disclosure
In the Matter of Brian Williamson Brian Williamson Individual 20-Aug-2013 22-Jan-2014 Investment Advisers/Investment Companies
In the Matter of J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan Douglas F. Drennan Individual 30-Aug-2013 05-Aug-2014 Investment Advisers/Investment Companies
In the Matter of J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan Ian O. Mausner Individual 30-Aug-2013 05-Aug-2014 Investment Advisers/Investment Companies
In the Matter of J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan J.S. Oliver Capital Management, L.P. Other 30-Aug-2013 05-Aug-2014 Investment Advisers/Investment Companies
In the Matter of Claritas Investments Ltd. Claritas Investment, Ltd. Subsidiary of Public Company 16-Sep-2013 16-Sep-2013 Market Manipulation
In the Matter of Brendan N. Connors, CPA Brendan N. Connors Individual 18-Sep-2013 18-Sep-2013 Issuer Reporting and Disclosure
In the Matter of Marc G. Nochimson, CPA Marc G. Nochimson Individual 18-Sep-2013 18-Sep-2013 Issuer Reporting and Disclosure
In the Matter of Medifast, Inc. Medifast, Inc. Public Company 18-Sep-2013 18-Sep-2013 Issuer Reporting and Disclosure
In the Matter of JPMorgan Chase & Co. JPMorgan Chase & Co. Public Company 19-Sep-2013 19-Sep-2013 Issuer Reporting and Disclosure
In the Matter of TD Bank, N.A. TD Bank
Aliases
Subsidiary of Public Company 23-Sep-2013 23-Sep-2013 Securities Offering
SEC v. Frank Spinosa Frank A. Spinosa Individual 23-Sep-2013 26-Jan-2015 Securities Offering
SEC v. Mercantile Bancorp, Inc., Ted Awerkamp and Michael McGrath Mercantile Bancorp, Inc. Public Company 24-Sep-2013 24-Sep-2013 Issuer Reporting and Disclosure
SEC v. Mercantile Bancorp, Inc., Ted Awerkamp and Michael McGrath Michael McGrath Individual 24-Sep-2013 24-Sep-2013 Issuer Reporting and Disclosure
SEC v. Mercantile Bancorp, Inc., Ted Awerkamp and Michael McGrath Ted Awerkamp Individual 24-Sep-2013 24-Sep-2013 Issuer Reporting and Disclosure
SEC v. Universal Travel Group, Jiangping Jiang and Jiang Xie Jiangping Jiang Individual 27-Sep-2013 27-Sep-2013 Issuer Reporting and Disclosure
SEC v. Universal Travel Group, Jiangping Jiang and Jiang Xie Jing Xie Individual 27-Sep-2013 27-Sep-2013 Issuer Reporting and Disclosure
SEC v. Universal Travel Group, Jiangping Jiang and Jiang Xie Universal Travel Group Public Company 27-Sep-2013 27-Sep-2013 Issuer Reporting and Disclosure
In the Matter of Michael McGrath, CPA Michael McGrath Individual 30-Sep-2013 30-Sep-2013 Issuer Reporting and Disclosure
In the Matter of Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA Patrizio & Zhao LLC Other 30-Sep-2013 30-Sep-2013 Issuer Reporting and Disclosure
In the Matter of Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA Xinggeng (John) Zhao, CPA Individual 30-Sep-2013 30-Sep-2013 Issuer Reporting and Disclosure
In the Matter of Jing Xie Jing Xie Individual 02-Oct-2013 02-Oct-2013 Issuer Reporting and Disclosure
In the Matter of Knight Capital Americas LLC Knight Capital Americas LLC Subsidiary of Public Company 16-Oct-2013 16-Oct-2013 Broker Dealer
In the Matter of Harding Advisory LLC and Wing F. Chau Harding Advisory LLC Other 18-Oct-2013 Securities Offering
In the Matter of Harding Advisory LLC and Wing F. Chau Wing F. Chau Individual 18-Oct-2013 Securities Offering
SEC v. Yuhe International, Inc., and Gao Zhentao Gao Zhentao Individual 18-Oct-2013 19-May-2014 Issuer Reporting and Disclosure
SEC v. Yuhe International, Inc., and Gao Zhentao Yuhe International, Inc. Public Company 18-Oct-2013 19-May-2014 Issuer Reporting and Disclosure
SEC v. Diebold, Inc. Diebold, Inc.
Aliases
Public Company 22-Oct-2013 22-Oct-2013 Foreign Corrupt Practices Act
In the Matter of Stryker Corporation Stryker Corporation Public Company 24-Oct-2013 24-Oct-2013 Foreign Corrupt Practices Act
In the Matter of Piper Jaffray & Co. and Jane Towery Jane Towery Individual 05-Nov-2013 05-Nov-2013 Municipal Securities & Public Pensions
In the Matter of Piper Jaffray & Co. and Jane Towery Piper Jaffray & Co. Subsidiary of Public Company 05-Nov-2013 05-Nov-2013 Municipal Securities & Public Pensions
In the Matter of The Greater Wenatchee Regional Events Center Public Facilities District, Allison Williams, Global Entertainment Corporation, and Richard Kozuback Allison Williams Individual 05-Nov-2013 05-Nov-2013 Municipal Securities & Public Pensions
In the Matter of The Greater Wenatchee Regional Events Center Public Facilities District, Allison Williams, Global Entertainment Corporation, and Richard Kozuback Global Entertainment Corporation Public Company 05-Nov-2013 05-Nov-2013 Municipal Securities & Public Pensions
In the Matter of The Greater Wenatchee Regional Events Center Public Facilities District, Allison Williams, Global Entertainment Corporation, and Richard Kozuback Richard Kozuback Individual 05-Nov-2013 05-Nov-2013 Municipal Securities & Public Pensions
In the Matter of The Greater Wenatchee Regional Events Center Public Facilities District, Allison Williams, Global Entertainment Corporation, and Richard Kozuback The Greater Wenatchee Regional Events Center Public Facilities District Other 05-Nov-2013 05-Nov-2013 Municipal Securities & Public Pensions
In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA Christopher A. Valleau, CPA Individual 06-Nov-2013 06-Nov-2013 Issuer Reporting and Disclosure
In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA Mark Mycio, CPA Individual 06-Nov-2013 06-Nov-2013 Issuer Reporting and Disclosure
In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA Sherb & Co., LLP Other 06-Nov-2013 06-Nov-2013 Issuer Reporting and Disclosure
In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA Steven J. Sherb, CPA Individual 06-Nov-2013 06-Nov-2013 Issuer Reporting and Disclosure
In the Matter of Sherb & Co., LLP, Steven J. Sherb, CPA, Christopher A. Valleau, CPA, Mark Mycio, CPA, and Steven N. Epstein, CPA Steven N. Epstein, CPA Individual 06-Nov-2013 06-Nov-2013 Issuer Reporting and Disclosure
SEC v. RBS Securities Inc. RBS Securities, Inc. Subsidiary of Public Company 07-Nov-2013 07-Nov-2013 Broker Dealer
SEC v. Weatherford International Ltd. Weatherford International plc
Aliases
Public Company 26-Nov-2013 26-Nov-2013 Foreign Corrupt Practices Act
In the Matter of Fifth Third Bancorp and Daniel Poston Daniel Poston Individual 04-Dec-2013 04-Dec-2013 Issuer Reporting and Disclosure
In the Matter of Fifth Third Bancorp and Daniel Poston Fifth Third Bancorp Public Company 04-Dec-2013 04-Dec-2013 Issuer Reporting and Disclosure
In the Matter of GLG Partners Inc. and GLG Partners, L.P. GLG Partners, Inc.
Aliases
Public Company 12-Dec-2013 12-Dec-2013 Issuer Reporting and Disclosure
In the Matter of GLG Partners Inc. and GLG Partners, L.P. GLG Partners, L.P. Subsidiary of Public Company 12-Dec-2013 12-Dec-2013 Issuer Reporting and Disclosure
In the Matter of Joseph G. Parish III and Scott H. Shannon Joseph G. Parish III Individual 12-Dec-2013 12-Dec-2013 Securities Offering
In the Matter of Joseph G. Parish III and Scott H. Shannon Scott H. Shannon Individual 12-Dec-2013 12-Dec-2013 Securities Offering
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 12-Dec-2013 12-Dec-2013 Securities Offering
In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC ConvergEx Execution Solutions LLC Subsidiary of Public Company 18-Dec-2013 18-Dec-2013 Broker Dealer
In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC ConvergEx Global Markets Limited Subsidiary of Public Company 18-Dec-2013 18-Dec-2013 Broker Dealer
In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC G-Trade Services LLC Subsidiary of Public Company 18-Dec-2013 18-Dec-2013 Broker Dealer
In the Matter of Jonathan Samuel Daspin Jonathan Daspin Individual 18-Dec-2013 18-Dec-2013 Broker Dealer
In the Matter of Thomas Leskargeren Thomas Lekargeren Individual 18-Dec-2013 18-Dec-2013 Broker Dealer
SEC v. Archer-Daniels-Midland Company Archer-Daniels-Midland Company Public Company 20-Dec-2013 20-Dec-2013 Foreign Corrupt Practices Act
In the Matter of Instinet, LLC Instinet, LLC Subsidiary of Public Company 26-Dec-2013 26-Dec-2013 Investment Advisers/Investment Companies
In the matter of Alcoa Inc. ALCOA INC. Public Company 09-Jan-2014 09-Jan-2014 Foreign Corrupt Practices Act
In the Matter of Michael Mendes Michael Mendes Individual 09-Jan-2014 09-Jan-2014 Issuer Reporting and Disclosure
SEC v. Diamond Foods, Inc. Diamond Foods, Inc. Public Company 09-Jan-2014 09-Jan-2014 Issuer Reporting and Disclosure
SEC v. Steven Neil Steven Neil Individual 09-Jan-2014 02-Feb-2015 Issuer Reporting and Disclosure
In the Matter of Waldyr Da Silva Prado Neto Waldyr Da Silva Prado Neto Individual 23-Jan-2014 20-May-2014 Broker Dealer
In the Matter of Western Asset Management Co. Western Asset Management Company Subsidiary of Public Company 27-Jan-2014 27-Jan-2014 Investment Advisers/Investment Companies
In the Matter of Western Asset Management Company Western Asset Management Company Subsidiary of Public Company 27-Jan-2014 27-Jan-2014 Investment Advisers/Investment Companies
In the Matter of Charles W. Adams Charles W. Adams Individual 31-Jan-2014 31-Jan-2014 Broker Dealer
In the Matter of David M. Martin CPA David M. Martin Individual 11-Feb-2014 11-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Apple Eight Advisors, Inc. Other 12-Feb-2014 12-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Apple Nine Advisors, Inc. Other 12-Feb-2014 12-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Apple REIT Eight, Inc. Other 12-Feb-2014 12-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Apple REIT Nine, Inc. Other 12-Feb-2014 12-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Apple REIT Seven, Inc. Other 12-Feb-2014 12-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Apple REIT Six, Inc. Subsidiary of Public Company 12-Feb-2014 12-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Apple Seven Advisors, Inc. Other 12-Feb-2014 12-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Apple Six Advisors, Inc. Other 12-Feb-2014 12-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Bryan F. Peery Individual 12-Feb-2014 12-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA Glade M. Knight Individual 12-Feb-2014 12-Feb-2014 Issuer Reporting and Disclosure
In the Matter of Credit Suisse Group AG Credit Suisse Group AG
Aliases
Public Company 21-Feb-2014 21-Feb-2014 Broker Dealer
In the Matter of Clayton T. Marshall Clayton T. Marshall Individual 11-Mar-2014 11-Mar-2014 Issuer Reporting and Disclosure
In the Matter of John A. Stadler John T. Stadler Individual 11-Mar-2014 11-Mar-2014 Issuer Reporting and Disclosure
SEC v. AgFeed Industries AgFeed Industries, Inc. Public Company 11-Mar-2014 15-Sep-2014 Issuer Reporting and Disclosure
SEC v. AgFeed Industries Edward J. Pazdro Individual 11-Mar-2014 15-Sep-2014 Issuer Reporting and Disclosure
SEC v. AgFeed Industries Junhong Xiong Individual 11-Mar-2014 15-Sep-2014 Issuer Reporting and Disclosure
SEC v. AgFeed Industries K. Ivan Gothner Individual 11-Mar-2014 15-Sep-2014 Issuer Reporting and Disclosure
SEC v. AgFeed Industries Selina Jin Individual 11-Mar-2014 15-Sep-2014 Issuer Reporting and Disclosure
SEC v. AgFeed Industries Shaobo Ouyang Individual 11-Mar-2014 15-Sep-2014 Issuer Reporting and Disclosure
SEC v. AgFeed Industries Songyan Li Individual 11-Mar-2014 15-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Jefferies LLC (formerly known as Jefferies & Company, Inc.) Jefferies LLC
Aliases
Subsidiary of Public Company 12-Mar-2014 12-Mar-2014 Broker Dealer
In the Matter of Lions Gate Entertainment Corp. Lions Gate Entertainment Corp. Public Company 13-Mar-2014 13-Mar-2014 Issuer Reporting and Disclosure
In the Matter of the Phoenix Companies, Inc. and PHL Variable Insurance Company PHL Variable Insurance Company Subsidiary of Public Company 21-Mar-2014 21-Mar-2014 Issuer Reporting and Disclosure
In the Matter of the Phoenix Companies, Inc. and PHL Variable Insurance Company The Phoenix Companies Inc.
Aliases
Public Company 21-Mar-2014 21-Mar-2014 Issuer Reporting and Disclosure
In the Matter of L&L Energy, Inc. and Dickson Lee, CPA Dickson Lee Individual 27-Mar-2014 01-Jun-2015 Issuer Reporting and Disclosure
In the Matter of L&L Energy, Inc. and Dickson Lee, CPA L&L Energy, Inc.
Aliases
Public Company 27-Mar-2014 01-Jun-2015 Issuer Reporting and Disclosure
In the Matter of Shirley Kiang Shirley Kiang Individual 27-Mar-2014 27-Mar-2014 Issuer Reporting and Disclosure
In the Matter of Transamerica Financial Advisors, Inc. Transamerica Financial Advisors, Inc. Subsidiary of Public Company 03-Apr-2014 03-Apr-2014 Investment Advisers/Investment Companies
In the Matter of Laird Daniels, CPA Laird Daniels Individual 08-Apr-2014 08-Apr-2014 Issuer Reporting and Disclosure
SEC v. CVS Caremark Corp. CVS Caremark Corp. Public Company 08-Apr-2014 08-Apr-2014 Issuer Reporting and Disclosure
In the Matter of Hewlett-Packard Company Hewlett-Packard Company Public Company 09-Apr-2014 09-Apr-2014 Foreign Corrupt Practices Act
SEC v. Keith A. Seilhan Keith A. Seilhan Individual 17-Apr-2014 24-Apr-2014 Insider Trading
SEC v. Barry R. Bekkedam Barry R. Bekkedam Individual 30-Apr-2014 22-Apr-2020 Securities Offering
In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. Archipelago Securities, L.L.C. Subsidiary of Public Company 01-May-2014 01-May-2014 Other
In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. New York Stock Exchange LLC Subsidiary of Public Company 01-May-2014 01-May-2014 Other
In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. NYSE Arca, Inc. Subsidiary of Public Company 01-May-2014 01-May-2014 Other
In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. NYSE MKT LLC Subsidiary of Public Company 01-May-2014 01-May-2014 Other
In the Matter of Bryce Walker, CA and Spence Walker, CA, CPA Bryce Walker, CA Individual 20-May-2014 20-May-2014 Issuer Reporting and Disclosure
In the Matter of Bryce Walker, CA and Spence Walker, CA, CPA Spence Walker, CA, CPA Individual 20-May-2014 20-May-2014 Issuer Reporting and Disclosure
SEC v. DGSE Companies Inc. and I. John Benson DGSE Companies Inc. Public Company 27-May-2014 27-May-2014 Issuer Reporting and Disclosure
SEC v. DGSE Companies Inc. and I. John Benson I. John Benson Individual 27-May-2014 27-May-2014 Issuer Reporting and Disclosure
Deferred Procecution Agreement with Regions Financial Corporation Regions Financial Corporation Public Company 10-Jun-2014 10-Jun-2014 Issuer Reporting and Disclosure
In the Matter of I. John Benson, CPA I. John Benson Individual 18-Jun-2014 18-Jun-2014 Issuer Reporting and Disclosure
In the Matter of Jeffrey C. Kuehr and Michael J. Willoughby Jeffrey C. Kuehr Individual 25-Jun-2014 25-Jun-2014 Issuer Reporting and Disclosure
In the Matter of Jeffrey C. Kuehr and Michael J. Willoughby Michael J. Willoughby Individual 25-Jun-2014 25-Jun-2014 Issuer Reporting and Disclosure
In the Matter of Thomas A. Neely, Jr. Thomas A. Neely, Jr. Individual 25-Jun-2014 Issuer Reporting and Disclosure
In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA EFP Rotenberg, LLP Other 01-Jul-2014 01-Jul-2014 Issuer Reporting and Disclosure
In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA Nicholas R. Bottini, CPA Individual 01-Jul-2014 01-Jul-2014 Issuer Reporting and Disclosure
In the Matter of Child, Van Wagoner & Bradshaw, PLLC, Russell E. Anderson, CPA, and Marty Van Wagoner, CPA Child, Van Wagoner & Bradshaw, PLLC Other 08-Jul-2014 11-Feb-2015 Issuer Reporting and Disclosure
In the Matter of Child, Van Wagoner & Bradshaw, PLLC, Russell E. Anderson, CPA, and Marty Van Wagoner, CPA Marty Van Wagoner, CPA Individual 08-Jul-2014 11-Feb-2015 Issuer Reporting and Disclosure
In the Matter of Child, Van Wagoner & Bradshaw, PLLC, Russell E. Anderson, CPA, and Marty Van Wagoner, CPA Russell E. Anderson, CPA
Aliases
Individual 08-Jul-2014 11-Feb-2015 Issuer Reporting and Disclosure
In the Matter of Debra L. Hobbs, CPA Debra L. Hobbs, CPA Individual 24-Jul-2014 24-Jul-2014 Issuer Reporting and Disclosure
In the Matter of John ("Jack") J. Egan, Jr., CPA Jack J. Egan, Jr. Individual 24-Jul-2014 24-Jul-2014 Issuer Reporting and Disclosure
In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC Morgan Stanley ABS Capital I, Inc. Subsidiary of Public Company 24-Jul-2014 24-Jul-2014 Securities Offering
In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC Morgan Stanley and Co. LLC
Aliases
Subsidiary of Public Company 24-Jul-2014 24-Jul-2014 Securities Offering
In the Matter of Morgan Stanley and Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC Morgan Stanley Mortgage Capital Holdings LLC Subsidiary of Public Company 24-Jul-2014 24-Jul-2014 Securities Offering
In the Matter of LavaFlow, Inc. LavaFlow, Inc. Subsidiary of Public Company 25-Jul-2014 25-Jul-2014 Broker Dealer
In the Matter of Smith & Wesson Holding Corporation Smith & Wesson Holding Corporation Public Company 28-Jul-2014 28-Jul-2014 Foreign Corrupt Practices Act
In the Matter of Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc. and Kevin T. McKnight Houston American Energy Corp.
Aliases
Public Company 04-Aug-2014 23-Apr-2015 Issuer Reporting and Disclosure
In the Matter of Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc. and Kevin T. McKnight John F. Terwilliger Individual 04-Aug-2014 23-Apr-2015 Issuer Reporting and Disclosure
In the Matter of Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc. and Kevin T. McKnight Kevin T. McKnight Individual 04-Aug-2014 23-Apr-2015 Issuer Reporting and Disclosure
In the Matter of Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc. and Kevin T. McKnight Undiscovered Equities, Inc. Other 04-Aug-2014 23-Apr-2015 Issuer Reporting and Disclosure
SEC v. Anthony G. Blumberg Anthony G. Blumberg Individual 07-Aug-2014 28-May-2019 Broker Dealer
In the Matter of Bank of America Corporation Bank of America Corporation Public Company 21-Aug-2014 21-Aug-2014 Issuer Reporting and Disclosure
In the Brian Scott Zwerner Brian Scott Zwerner Individual 26-Aug-2014 26-Aug-2014 Broker Dealer
In the Matter of Lynn R. Blodgett and Kevin R. Kyser, CPA Kevin R. Kyser Individual 28-Aug-2014 28-Aug-2014 Issuer Reporting and Disclosure
In the Matter of Lynn R. Blodgett and Kevin R. Kyser, CPA Lynn R. Blodgett Individual 28-Aug-2014 28-Aug-2014 Issuer Reporting and Disclosure
In the Matter of Jesse C. Litvak Jesse C. Litvak Individual 02-Sep-2014 22-Jan-2015 Broker Dealer
In the Matter of Alan M. Schnaid Alan M. Schnaid Individual 10-Sep-2014 10-Sep-2014 Other
In the Matter of Bradley S. Forsyth Bradley S. Forsyth Individual 10-Sep-2014 10-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Charles F. Willis IV Charles F. Willis IV Individual 10-Sep-2014 10-Sep-2014 Other
In the Matter of Donald A. Nunemaker Donald A. Nunemaker Individual 10-Sep-2014 10-Sep-2014 Other
In the Matter of Jones Lang LaSalle Incorporated Jones Lang LaSalle Incorporated Public Company 10-Sep-2014 10-Sep-2014 Issuer Reporting and Disclosure
in the Matter of KMG Chemicals, Inc. KMG Chemicals, Inc. Public Company 10-Sep-2014 10-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Paul D. Arling Paul D. Arling Individual 10-Sep-2014 10-Sep-2014 Other
In the Matter of Security Capital Research & Management Incorporated Security Capital Research & Management Incorporated Subsidiary of Public Company 10-Sep-2014 10-Sep-2014 Other
In the Matter of Starwood Hotel & Resorts Worldwide, Inc. Starwood Hotel & Resorts Worldwide, Inc. Public Company 10-Sep-2014 10-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Tel-Instrument Electronics Corp. Tel-Instrument Electronics Corp. Public Company 10-Sep-2014 10-Sep-2014 Issuer Reporting and Disclosure
In the Matter of The Royal Bank of Scotland Group plc Royal Bank of Scotland plc
Aliases
Public Company 10-Sep-2014 10-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Thomas C. Nord Thomas C. Nord Individual 10-Sep-2014 10-Sep-2014 Other
In the Matter of Universal Electronics Inc. Universal Electronics Inc Public Company 10-Sep-2014 10-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Willis Lease Finance Corporation Willis Lease Finance Corporation Public Company 10-Sep-2014 10-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Alexander W. Wright Alexander W. Wright Individual 11-Sep-2014 11-Sep-2014 Broker Dealer
In the Matter of Wilmington Trust Corporation Wilmington Trust Corporation Public Company 11-Sep-2014 11-Sep-2014 Issuer Reporting and Disclosure
In the Matter of BlackRock Institutional Trust Company, N.A. BlackRock Institutional Trust Company, N.A. Subsidiary of Public Company 16-Sep-2014 16-Sep-2014 Market Manipulation
In the Matter of Wells Fargo Advisors, LLC Wells Fargo Advisors, LLC Subsidiary of Public Company 22-Sep-2014 22-Sep-2014 Broker Dealer
In the Matter of Barclays Capital Inc. Barclays Capital Inc. Subsidiary of Public Company 23-Sep-2014 23-Sep-2014 Investment Advisers/Investment Companies
In the Matter of Babak ("Bobby") Yazdani Bobby Yazdani Individual 24-Sep-2014 24-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon Patrick Farrell Individual 24-Sep-2014 24-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon Saba Software, Inc. Public Company 24-Sep-2014 24-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Saba Software, Inc., Patrick Farrell and Sajeev Menon Sajeev Menon Individual 24-Sep-2014 24-Sep-2014 Issuer Reporting and Disclosure
In the Matter of David Scott Cacchione D. Scott Cacchione Individual 25-Sep-2014 25-Feb-2015 Broker Dealer
In the Matter of JDA Software Group, Inc. JDA Software Group, Inc. Public Company 25-Sep-2014 25-Sep-2014 Issuer Reporting and Disclosure
In the Matter of Bank of America Corporation Bank of America Corporation Public Company 29-Sep-2014 29-Sep-2014 Issuer Reporting and Disclosure
SEC v. China Valves Technology, Inc., Siping Fang, Jianbao Wang, and Renrui Tang China Valves Technology, Inc. Public Company 29-Sep-2014 14-May-2015 Issuer Reporting and Disclosure
SEC v. China Valves Technology, Inc., Siping Fang, Jianbao Wang, and Renrui Tang Jianbao Wang Individual 29-Sep-2014 14-May-2015 Issuer Reporting and Disclosure
SEC v. China Valves Technology, Inc., Siping Fang, Jianbao Wang, and Renrui Tang Renrui Tang Individual 29-Sep-2014 14-May-2015 Issuer Reporting and Disclosure
SEC v. China Valves Technology, Inc., Siping Fang, Jianbao Wang, and Renrui Tang Siping Fang Individual 29-Sep-2014 14-May-2015 Issuer Reporting and Disclosure
In the Matter of E*Trade Securities, LLC, and G1 Execution Services, LLC E*Trade Securities, LLC Subsidiary of Public Company 09-Oct-2014 09-Oct-2014 Broker Dealer
In the Matter of E*Trade Securities, LLC, and G1 Execution Services, LLC G1 Execution Services, LLC Subsidiary of Public Company 09-Oct-2014 09-Oct-2014 Broker Dealer
In the Matter of Judy K. Wolf Judy K. Wolf Individual 15-Oct-2014 05-Aug-2015 Broker Dealer
In the Matter of Eugene F. Hovanec, CPA Eugene F. Hovanec Individual 23-Oct-2014 23-Oct-2014 Issuer Reporting and Disclosure
In the Matter of Great Lakes Dredge & Dock Corporation Great Lakes Dredge & Dock Corporation Public Company 27-Oct-2014 27-Oct-2014 Issuer Reporting and Disclosure
In the Matter of Layne Christensen Company Layne Christensen Company Public Company 27-Oct-2014 27-Oct-2014 Foreign Corrupt Practices Act
In the Matter of Bio-Rad Laboratories, Inc. Bio-Rad Laboratories, Inc. Public Company 03-Nov-2014 03-Nov-2014 Foreign Corrupt Practices Act
In the Matter of Charles Schwab & Co., Inc. Charles Schwab & Co., Inc. Subsidiary of Public Company 03-Nov-2014 03-Nov-2014 Municipal Securities & Public Pensions
In the Matter of J.P. Morgan Securities LLC J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 03-Nov-2014 03-Nov-2014 Municipal Securities & Public Pensions
In the Matter of National Securities Corp. National Securities Corp. Subsidiary of Public Company 03-Nov-2014 03-Nov-2014 Municipal Securities & Public Pensions
In the Matter of Oppenheimer & Co., Inc. Oppenheimer & Co. Inc. Subsidiary of Public Company 03-Nov-2014 03-Nov-2014 Municipal Securities & Public Pensions
In the Matter of Stifel Nicolaus & Co., Inc. Stifel, Nicolaus & Company, Inc.
Aliases
Subsidiary of Public Company 03-Nov-2014 03-Nov-2014 Municipal Securities & Public Pensions
In the Matter of TD Ameritrade, Inc. TD Ameritrade, Inc. Subsidiary of Public Company 03-Nov-2014 03-Nov-2014 Municipal Securities & Public Pensions
In the Matter of UBS Financial Services Inc. UBS Financial Services Inc.
Aliases
Subsidiary of Public Company 03-Nov-2014 03-Nov-2014 Municipal Securities & Public Pensions
In the Matter of Dr. L.S. Smith L.S. Smith Individual 12-Nov-2014 12-Nov-2014 Issuer Reporting and Disclosure
In the Matter of Stephen Timms and Yasser Ramahi Stephen Timms Individual 17-Nov-2014 17-Nov-2014 Foreign Corrupt Practices Act
In the Matter of Stephen Timms and Yasser Ramahi Yasser Ramahi Individual 17-Nov-2014 17-Nov-2014 Foreign Corrupt Practices Act
SEC v. Robert Benou, Marc Benou, and Conolog Corporation Conolog Corporation Public Company 21-Nov-2014 06-Jan-2015 Market Manipulation
SEC v. Robert Benou, Marc Benou, and Conolog Corporation Marc Benou Individual 21-Nov-2014 06-Jan-2015 Market Manipulation
SEC v. Robert Benou, Marc Benou, and Conolog Corporation Robert Benou Individual 21-Nov-2014 06-Jan-2015 Market Manipulation
In the Matter of HSBC Private Bank (Suisse), SA HSBC Private Bank (Suisse), SA Subsidiary of Public Company 25-Nov-2014 25-Nov-2014 Investment Advisers/Investment Companies
In the Matter of Phillip Dennis Murphy Phillip Dennis Murphy Individual 03-Dec-2014 31-Dec-2014 Municipal Securities & Public Pensions
In the Matter of Hampton Roads Bankshares, Inc. Hampton Roads Bankshares, Inc. Public Company 05-Dec-2014 05-Dec-2014 Issuer Reporting and Disclosure
In the Matter of Neal A. Petrovich, CPA Neal A. Petrovich Individual 05-Dec-2014 05-Dec-2014 Issuer Reporting and Disclosure
In the Matter of Morgan Stanley & Co. LLC Morgan Stanley and Co. LLC
Aliases
Subsidiary of Public Company 10-Dec-2014 10-Dec-2014 Broker Dealer
In the Matter of The Billiard Channel, Inc., Boston Chicken, Inc. Bridgeport Capital Corp., and Broadway International Development Corp. Bridgeport Capital Corp. Other 11-Dec-2014 Other
In the Matter of The Billiard Channel, Inc., Boston Chicken, Inc. Bridgeport Capital Corp., and Broadway International Development Corp. Broadway International Development Corp. Other 11-Dec-2014 Other
In the Matter of The Billiard Channel, Inc., Boston Chicken, Inc. Bridgeport Capital Corp., and Broadway International Development Corp. The Billiard Channel, Inc. Other 11-Dec-2014 Other
In the Matter of Bruker Corporation Bruker Corporation Public Company 15-Dec-2014 15-Dec-2014 Foreign Corrupt Practices Act
In the Matter of Canadian Solar, Inc. and Yan Zhuang Canadian Solar, Inc. Public Company 15-Dec-2014 15-Dec-2014 Issuer Reporting and Disclosure
In the Matter of Canadian Solar, Inc. and Yan Zhuang Yan Zhuang Individual 15-Dec-2014 15-Dec-2014 Issuer Reporting and Disclosure
In the Matter of Baker Tilly Hong Kong Limited, Andrew David Ross, CPA, and Kwok Laiha Helena, CPA Andrew David Ross, CPA Individual 17-Dec-2014 17-Dec-2014 Issuer Reporting and Disclosure
In the Matter of Baker Tilly Hong Kong Limited, Andrew David Ross, CPA, and Kwok Laiha Helena, CPA Baker Tilly Hong Kong Limited Other 17-Dec-2014 17-Dec-2014 Issuer Reporting and Disclosure
In the Matter of Baker Tilly Hong Kong Limited, Andrew David Ross, CPA, and Kwok Laiha Helena, CPA Kwok Laiha Helena, CPA Individual 17-Dec-2014 17-Dec-2014 Issuer Reporting and Disclosure
SEC v. Avon Products, Inc. Avon Products, Inc. Public Company 17-Dec-2014 17-Dec-2014 Foreign Corrupt Practices Act
In the Matter of F-Squared Investments, Inc. F-Squared Investments, Inc. Other 22-Dec-2014 22-Dec-2014 Investment Advisers/Investment Companies
SEC v. Howard B. Present Howard B. Present Individual 22-Dec-2014 22-Mar-2018 Investment Advisers/Investment Companies
In the Matter of James T. Crane, CPA James T. Crane Individual 13-Jan-2015 13-Jan-2015 Issuer Reporting and Disclosure
In the Matter of UBS Securities LLC UBS Securities LLC Subsidiary of Public Company 15-Jan-2015 15-Jan-2015 Broker Dealer
In the Matter of Barbara Duka Barbara Duka Individual 21-Jan-2015 Other
In the Matter of Standard & Poor's Ratings Services Standard & Poor's Ratings Services Subsidiary of Public Company 21-Jan-2015 21-Jan-2015 Other
In the Matter of Standard & Poor's Ratings Services Standard & Poor's Ratings Services Subsidiary of Public Company 21-Jan-2015 21-Jan-2015 Other
In the Matter of Standard & Poor's Ratings Services Standard & Poor's Ratings Services Subsidiary of Public Company 21-Jan-2015 21-Jan-2015 Other
In the Matter of Oppenheimer & Co. Inc. Oppenheimer & Co. Inc. Subsidiary of Public Company 27-Jan-2015 27-Jan-2015 Broker Dealer
In the Matter of Steven Neil, CPA Steven Neil Individual 04-Feb-2015 04-Feb-2015 Issuer Reporting and Disclosure
SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner Broadwind Energy, Inc. Public Company 05-Feb-2015 05-Feb-2015 Issuer Reporting and Disclosure
SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner J. Cameron Drecoll Individual 05-Feb-2015 05-Feb-2015 Issuer Reporting and Disclosure
SEC v. Broadwind Energy, Inc., J. Cameron Drecoll, and Stephanie K. Kushner Stephanie K. Kushner Individual 05-Feb-2015 05-Feb-2015 Issuer Reporting and Disclosure
In the Matter of William Slater, CPA and Peter E. Williams, III Peter E. Williams, III Individual 10-Feb-2015 10-Feb-2015 Issuer Reporting and Disclosure
In the Matter of William Slater, CPA and Peter E. Williams, III William Slater Individual 10-Feb-2015 10-Feb-2015 Issuer Reporting and Disclosure
SEC v. Craig S. Lax Craig S. Lax Individual 10-Feb-2015 11-Mar-2015 Broker Dealer
In the Matter of Brian Williamson, Esq. Brian Williamson Individual 19-Feb-2015 19-Feb-2015 Investment Advisers/Investment Companies
In the Matter of The Goodyear Tire & Rubber Company The Goodyear Tire & Rubber Company Public Company 24-Feb-2015 24-Feb-2015 Foreign Corrupt Practices Act
SEC v. China Infrastructure Investment Corporation, Li Xipeng and Wang Feng China Infrastructure Investment Corp. Public Company 03-Mar-2015 26-May-2016 Issuer Reporting and Disclosure
SEC v. China Infrastructure Investment Corporation, Li Xipeng and Wang Feng Li Xipeng Individual 03-Mar-2015 26-May-2016 Issuer Reporting and Disclosure
SEC v. China Infrastructure Investment Corporation, Li Xipeng and Wang Feng Wang Feng Individual 03-Mar-2015 26-May-2016 Issuer Reporting and Disclosure
In the Matter of Craig S. Lax Craig S. Lax Individual 25-Mar-2015 25-Mar-2015 Broker Dealer
In the Matter of Polycom, Inc. Polycom, Inc. Public Company 31-Mar-2015 31-Mar-2015 Issuer Reporting and Disclosure
SEC v. Andrew M. Miller Andrew M. Miller Individual 31-Mar-2015 26-Jan-2016 Issuer Reporting and Disclosure
In the Matter of KBR, Inc. KBR, Inc. Public Company 01-Apr-2015 01-Apr-2015 Other
In the Matter of FLIR Systems, Inc. FLIR Systems, Inc. Public Company 08-Apr-2015 08-Apr-2015 Foreign Corrupt Practices Act
In the Matter of Molex Incorporated Molex Incorporated Public Company 09-Apr-2015 09-Apr-2015 Issuer Reporting and Disclosure
SEC v. Katsuichi Fusamae Katsuichi Fusamae Individual 09-Apr-2015 16-Apr-2015 Issuer Reporting and Disclosure
In the Matter of R. Scott Peden, Esq. R. Scott Peden Individual 16-Apr-2015 23-Nov-2015 Issuer Reporting and Disclosure
In the Matter of Blackrock Advisors, LLC and Bartholomew A. Battista Bartholomew A. Battista Individual 20-Apr-2015 20-Apr-2015 Investment Advisers/Investment Companies
In the Matter of Blackrock Advisors, LLC and Bartholomew A. Battista BlackRock Advisors, LLC Subsidiary of Public Company 20-Apr-2015 20-Apr-2015 Investment Advisers/Investment Companies
In the Matter of W2007 Grace Acquisition I, Inc. W2007 Grace Acquisition I, Inc. Subsidiary of Public Company 22-Apr-2015 22-Apr-2015 Issuer Reporting and Disclosure
SEC v. David R. Gibson, Robert V.A. Harra, Jr., Kevyn N. Rakowski, and William B. North David R. Gibson Individual 06-May-2015 25-Jun-2015 Issuer Reporting and Disclosure
SEC v. David R. Gibson, Robert V.A. Harra, Jr., Kevyn N. Rakowski, and William B. North Kevyn N. Rakowski Individual 06-May-2015 25-Jun-2015 Issuer Reporting and Disclosure
SEC v. David R. Gibson, Robert V.A. Harra, Jr., Kevyn N. Rakowski, and William B. North Robert V.A. Harra, Jr. Individual 06-May-2015 25-Jun-2015 Issuer Reporting and Disclosure
SEC v. David R. Gibson, Robert V.A. Harra, Jr., Kevyn N. Rakowski, and William B. North William B. North Individual 06-May-2015 25-Jun-2015 Issuer Reporting and Disclosure
SEC v. ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick Daniel M. Fitzpatrick
Aliases
Individual 12-May-2015 30-Jun-2017 Issuer Reporting and Disclosure
SEC v. ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick ITT Educational Services Inc.
Aliases
Public Company 12-May-2015 30-Jun-2017 Issuer Reporting and Disclosure
SEC v. ITT Educational Services, Inc., Kevin M. Modany, and Daniel M. Fitzpatrick Kevin M. Modany
Aliases
Individual 12-May-2015 30-Jun-2017 Issuer Reporting and Disclosure
In the Matter of Mitchell J. Stein Mitchell J. Stein Individual 15-May-2015 15-May-2015 Issuer Reporting and Disclosure
In the Matter of BHP Billiton Ltd. and BHP Billiton Plc BHP Billiton Plc Public Company 20-May-2015 20-May-2015 Foreign Corrupt Practices Act
In the Matter of BHP Billiton Ltd. and BHP Billiton Plc BHP Billiton, Ltd. Public Company 20-May-2015 20-May-2015 Foreign Corrupt Practices Act
In the Matter of Renrui Tang Renrui Tang Individual 20-May-2015 20-May-2015 Issuer Reporting and Disclosure
In the Matter of Deutsche Bank AG Deutsche Bank AG Public Company 26-May-2015 26-May-2015 Issuer Reporting and Disclosure
In the Matter of First Bancorp, Anna Hollers, and Teresa Nixon Anna Hollers Individual 01-Jun-2015 01-Jun-2015 Issuer Reporting and Disclosure
In the Matter of First Bancorp, Anna Hollers, and Teresa Nixon First Bancorp Public Company 01-Jun-2015 01-Jun-2015 Issuer Reporting and Disclosure
In the Matter of First Bancorp, Anna Hollers, and Teresa Nixon Teresa Nixon Individual 01-Jun-2015 01-Jun-2015 Issuer Reporting and Disclosure
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corporation Merrill Lynch Professional Clearing Corporation Subsidiary of Public Company 01-Jun-2015 01-Jun-2015 Broker Dealer
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corporation Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 01-Jun-2015 01-Jun-2015 Broker Dealer
In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield Claus Zilmer Individual 05-Jun-2015 05-Jun-2015 Issuer Reporting and Disclosure
In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield Computer Sciences Corporation Public Company 05-Jun-2015 05-Jun-2015 Issuer Reporting and Disclosure
In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield Michael Laphen Individual 05-Jun-2015 05-Jun-2015 Issuer Reporting and Disclosure
In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield Michael Mancuso Individual 05-Jun-2015 05-Jun-2015 Issuer Reporting and Disclosure
In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield Paul Wakefield Individual 05-Jun-2015 05-Jun-2015 Issuer Reporting and Disclosure
In the Matter of Computer Sciences Corporation, Michael Laphen, Michael Mancuso, Wayne Banks, Claus Zilmer, and Paul Wakefield Wayne Banks Individual 05-Jun-2015 05-Jun-2015 Issuer Reporting and Disclosure
SEC v. Christopher Edwards Christopher Edwards Individual 05-Jun-2015 24-Jul-2015 Issuer Reporting and Disclosure
SEC v. Edward Parker Edward Parker Individual 05-Jun-2015 09-Sep-2015 Issuer Reporting and Disclosure
SEC v. Wilfred Robert Sutcliffe Wilfred Robert Sutcliffe Individual 05-Jun-2015 09-Sep-2015 Issuer Reporting and Disclosure
In the Matter of Brian J. Ourand Brian J. Ourand Individual 15-Jun-2015 29-Mar-2016 Investment Advisers/Investment Companies
In the Matter of SFX Financial Advisory Management Enterprises, Inc. and Eugene S. Mason Eugene S. Mason Individual 15-Jun-2015 15-Jun-2015 Investment Advisers/Investment Companies
In the Matter of SFX Financial Advisory Management Enterprises, Inc. and Eugene S. Mason SFX Financial Advisory Management Enterprises, Inc. Subsidiary of Public Company 15-Jun-2015 15-Jun-2015 Investment Advisers/Investment Companies
In the Matter of BMO Capital Markets GKST Inc. BMO Capital Markets GKST Inc. Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of BNY Mellon Capital Markets, LLC BNY Mellon Capital Markets, LLC Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of BOSC, Inc. BOSC, Inc. Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Citigroup Global Markets Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Goldman, Sachs & Co. Goldman, Sachs & Co. Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of J.P. Morgan Securities LLC J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Merchant Capital, L.L.C. Merchant Capital, L.L.C. Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Merrill Lynch Pierce, Fenner & Smith, Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Morgan Stanley & Co. LLC Morgan Stanley and Co. LLC
Aliases
Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Oppenheimer & Co. Inc. Oppenheimer & Co. Inc. Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Piper Jaffray & Co. Piper Jaffray & Co. Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Raymond James & Associates, Inc. Raymond James & Associates, Inc. Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of RBC Capital Markets, LLC RBC Capital Markets, LLC
Aliases
Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Siebert Brandford Shank & Co., LLC Siebert Brandford Shank & Co., LLC Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Sterne, Agee & Leach, Inc. Sterne and Agee & Leach, Inc. Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Stifel, Nicolaus & Company, Inc. Stifel, Nicolaus & Company, Inc.
Aliases
Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of The Northern Trust Company The Northern Trust Company Subsidiary of Public Company 18-Jun-2015 18-Jun-2015 Municipal Securities & Public Pensions
In the Matter of Kohlberg Kravis Roberts & Co. L.P. Kohlberg Kravis Roberts & Co. L.P. Subsidiary of Public Company 29-Jun-2015 29-Jun-2015 Investment Advisers/Investment Companies
In the Matter of Goldman, Sachs & Co. Goldman, Sachs & Co. Subsidiary of Public Company 30-Jun-2015 30-Jun-2015 Broker Dealer
In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton ALPS Fund Services, Inc. Subsidiary of Public Company 01-Jul-2015 01-Jul-2015 Issuer Reporting and Disclosure
In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton Andrew C. Boynton Individual 01-Jul-2015 01-Jul-2015 Issuer Reporting and Disclosure
In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton Deloitte & Touche LLP Other 01-Jul-2015 01-Jul-2015 Issuer Reporting and Disclosure
In the Matter of OZ Management, LP OZ Management, LP Subsidiary of Public Company 14-Jul-2015 14-Jul-2015 Broker Dealer
In the Matter of Arthur W. Lewis Arthur W. Lewis Individual 23-Jul-2015 23-Jul-2015 Securities Offering
In the Matter of Scott A. Eisler Scott A. Eisler Individual 23-Jul-2015 23-Jul-2015 Securities Offering
In the Matter of Mead Johnson Nutrition Company Mead Johnson Nutrition Company Public Company 28-Jul-2015 28-Jul-2015 Foreign Corrupt Practices Act
In the Matter of Christopher Edwards, CA Christopher Edwards Individual 30-Jul-2015 30-Jul-2015 Issuer Reporting and Disclosure
In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton W. Vogt, III, CPA Carlton W. Vogt, III Individual 06-Aug-2015 12-Jan-2016 Issuer Reporting and Disclosure
In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton W. Vogt, III, CPA David M. Hall Individual 06-Aug-2015 12-Jan-2016 Issuer Reporting and Disclosure
In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton W. Vogt, III, CPA Miller Energy Resources, Inc. Public Company 06-Aug-2015 12-Jan-2016 Issuer Reporting and Disclosure
In the Matter of Miller Energy Resources, Inc., Paul W. Boyd, CPA, David M. Hall, and Carlton W. Vogt, III, CPA Paul W. Boyd Individual 06-Aug-2015 12-Jan-2016 Issuer Reporting and Disclosure
In the Matter of Dawn M. Schlegel, CPA Dawn M. Schlegel Individual 07-Aug-2015 Issuer Reporting and Disclosure
In the Matter of DJSP Enterprises, Inc. DJSP Enterprises, Inc. Public Company 12-Aug-2015 12-Aug-2015 Issuer Reporting and Disclosure
In the Matter of ITG Inc. and Alternet Securities, Inc. AlterNet Securities, Inc. Subsidiary of Public Company 12-Aug-2015 12-Aug-2015 Broker Dealer
In the Matter of ITG Inc. and Alternet Securities, Inc. ITG Inc. Subsidiary of Public Company 12-Aug-2015 12-Aug-2015 Broker Dealer
In the Matter of Kumar Gursahaney Kumar Gursahaney Individual 12-Aug-2015 12-Aug-2015 Issuer Reporting and Disclosure
In the Matter of Vicente E. Garcia Vincente E. Garcia Individual 12-Aug-2015 12-Aug-2015 Foreign Corrupt Practices Act
In the Matter of Cory D. Williams Cory D. Williams Individual 13-Aug-2015 13-Aug-2015 Investment Advisers/Investment Companies
In the Matter of Signator Investors, Inc. and Gregory J. Mitchell Gregory J. Mitchell Individual 13-Aug-2015 13-Aug-2015 Investment Advisers/Investment Companies
In the Matter of Signator Investors, Inc. and Gregory J. Mitchell Signator Investors, Inc. Subsidiary of Public Company 13-Aug-2015 13-Aug-2015 Investment Advisers/Investment Companies
SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill Colonial Tidewater Realty Income Partners, LLC Other 13-Aug-2015 20-Aug-2015 Investment Advisers/Investment Companies
SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill James R. Glover Individual 13-Aug-2015 20-Aug-2015 Investment Advisers/Investment Companies
SEC v. Colonial Tidewater Realty Income Partners, LLC, James R. Glover, and Sherman T. Hill Sherman T. Hill Individual 13-Aug-2015 20-Aug-2015 Investment Advisers/Investment Companies
In the Matter of Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. Citigroup Alternative Investments LLC Subsidiary of Public Company 17-Aug-2015 17-Aug-2015 Investment Advisers/Investment Companies
In the Matter of Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 17-Aug-2015 17-Aug-2015 Investment Advisers/Investment Companies
In the Matter of The Bank of New York Mellon Corporation Bank of New York Mellon Corporation
Aliases
Public Company 18-Aug-2015 18-Aug-2015 Foreign Corrupt Practices Act
In the Matter of Citigroup Global Markets, Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 19-Aug-2015 19-Aug-2015 Broker Dealer
In the Matter of Brian M. Bennett (f/k/a Brian M. Zentmyer) Brian M. Bennett
Aliases
Individual 25-Aug-2015 25-Aug-2015 Investment Advisers/Investment Companies
In the Matter of James R. Glover James R. Glover Individual 25-Aug-2015 25-Aug-2015 Investment Advisers/Investment Companies
In the Matter of Taberna Capital Management, LLC Michael Fralin and Raphael Licht Michael Fralin Individual 02-Sep-2015 02-Sep-2015 Investment Advisers/Investment Companies
In the Matter of Taberna Capital Management, LLC Michael Fralin and Raphael Licht Raphael Licht Individual 02-Sep-2015 02-Sep-2015 Investment Advisers/Investment Companies
In the Matter of Taberna Capital Management, LLC Michael Fralin and Raphael Licht Taberna Capital Management, LLC Subsidiary of Public Company 02-Sep-2015 02-Sep-2015 Investment Advisers/Investment Companies
In the Matter of Bankrate, Inc. Bankrate Inc. Public Company 08-Sep-2015 08-Sep-2015 Issuer Reporting and Disclosure
In the Matter of Hyunjin Lerner, CPA Hyunjin Lerner Individual 08-Sep-2015 08-Sep-2015 Issuer Reporting and Disclosure
SEC v. Edward DiMaria and Matthew Gamsey Edward DiMaria Individual 08-Sep-2015 15-Aug-2017 Issuer Reporting and Disclosure
SEC v. Edward DiMaria and Matthew Gamsey Matthew Gamsey
Aliases
Individual 08-Sep-2015 15-Aug-2017 Issuer Reporting and Disclosure
SEC v. Ross B. Shapiro, Michael A. Gramins, and Tyler G. Peters Michael A. Gramins Individual 08-Sep-2015 03-Oct-2018 Broker Dealer
SEC v. Ross B. Shapiro, Michael A. Gramins, and Tyler G. Peters Ross B. Shapiro Individual 08-Sep-2015 03-Oct-2018 Broker Dealer
SEC v. Ross B. Shapiro, Michael A. Gramins, and Tyler G. Peters Tyler G. Peters Individual 08-Sep-2015 03-Oct-2018 Broker Dealer
In the Matter of Edward Parker, CA Edward Parker Individual 15-Sep-2015 15-Sep-2015 Issuer Reporting and Disclosure
In the Matter of Wilfred Robert Sutcliffe Wilfred Robert Sutcliffe Individual 15-Sep-2015 15-Sep-2015 Issuer Reporting and Disclosure
In the Matter of Stein Mart, Inc. Stein Mart, Inc. Public Company 22-Sep-2015 22-Sep-2015 Issuer Reporting and Disclosure
In the Matter of Credit Suisse Securities (USA) LLC Credit Suisse Securities (USA) LLC Subsidiary of Public Company 28-Sep-2015 28-Sep-2015 Broker Dealer
SEC v. Hitachi, Ltd. Hitachi Ltd. Public Company 28-Sep-2015 28-Sep-2015 Foreign Corrupt Practices Act
In the Matter of Hyperdynamics Corporation Hyperdynamics Corporation Public Company 29-Sep-2015 29-Sep-2015 Issuer Reporting and Disclosure
In the Matter of Ramiro L. Colon, III Ramiro L. Colon, III Individual 29-Sep-2015 29-Sep-2015 Broker Dealer
In the Matter of UBS Financial Services Incorporated of Puerto Rico UBS Financial Services Inc. of Puerto Rico Subsidiary of Public Company 29-Sep-2015 29-Sep-2015 Broker Dealer
SEC v. Jose G. Ramirez, Jr. Jose G. Ramirez, Jr. Individual 29-Sep-2015 Broker Dealer
In the Matter of BB&T Securities, LLC BB&T Securities, LLC Subsidiary of Public Company 30-Sep-2015 30-Sep-2015 Municipal Securities & Public Pensions
In the Matter of Comerica Securities, Inc. Comerica Securities, Inc. Subsidiary of Public Company 30-Sep-2015 30-Sep-2015 Municipal Securities & Public Pensions
In the Matter of Commerce Bank Capital Markets Group Commerce Bank Capital Markets Group Subsidiary of Public Company 30-Sep-2015 30-Sep-2015 Municipal Securities & Public Pensions
In the Matter of Fifth Third Securities, Inc. Fifth Third Securities, Inc. Subsidiary of Public Company 30-Sep-2015 30-Sep-2015 Municipal Securities & Public Pensions
In the Matter of Focus Media Holding Limited and Jason Jiang Focus Media Holding Limited Public Company 30-Sep-2015 30-Sep-2015 Issuer Reporting and Disclosure
In the Matter of Focus Media Holding Limited and Jason Jiang Jason Jiang Individual 30-Sep-2015 30-Sep-2015 Issuer Reporting and Disclosure
In the Matter of PNC Capital Markets LLC PNC Capital Markets LLC Subsidiary of Public Company 30-Sep-2015 30-Sep-2015 Municipal Securities & Public Pensions
In the Matter of U.S. Bank Municipal Securities Group, a Division of U.S. Bank National Association U.S. Bank National Association Subsidiary of Public Company 30-Sep-2015 30-Sep-2015 Municipal Securities & Public Pensions
In the Matter of UBS Financial Services Inc. UBS Financial Services Inc.
Aliases
Subsidiary of Public Company 30-Sep-2015 30-Sep-2015 Municipal Securities & Public Pensions
In the Matter of UMB Bank, N.A. Investment Banking Division UMB Bank, N.A. Subsidiary of Public Company 30-Sep-2015 30-Sep-2015 Municipal Securities & Public Pensions
In the Matter of Bristol-Myers Squibb Company Bristol-Myers Squibb Company Public Company 05-Oct-2015 05-Oct-2015 Foreign Corrupt Practices Act
In the Matter of Home Loan Servicing Solutions, Ltd. Home Loan Servicing Solutions, Ltd. Public Company 05-Oct-2015 05-Oct-2015 Issuer Reporting and Disclosure
In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C., and Blackstone Management Partners IV L.L.C. Blackstone Management Partners III L.L.C. Subsidiary of Public Company 07-Oct-2015 07-Oct-2015 Investment Advisers/Investment Companies
In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C., and Blackstone Management Partners IV L.L.C. Blackstone Management Partners IV L.L.C. Subsidiary of Public Company 07-Oct-2015 07-Oct-2015 Investment Advisers/Investment Companies
In the Matter of Blackstone Management Partners L.L.C., Blackstone Management Partners III L.L.C., and Blackstone Management Partners IV L.L.C. Blackstone Management Partners L.L.C. Subsidiary of Public Company 07-Oct-2015 07-Oct-2015 Investment Advisers/Investment Companies
In the Matter of UBS AG UBS AG Public Company 13-Oct-2015 13-Oct-2015 Securities Offering
In the Matter of Harvest Capital Strategies LLC Harvest Capital Strategies LLC Subsidiary of Public Company 14-Oct-2015 14-Oct-2015 Securities Offering
In the Matter of J.P. Morgan Investment Management Inc. J.P. Morgan Investment Management Inc. Subsidiary of Public Company 14-Oct-2015 14-Oct-2015 Securities Offering
In the Matter of UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C. UBS Fund Advisor L.L.C. Subsidiary of Public Company 16-Oct-2015 16-Oct-2015 Investment Advisers/Investment Companies
In the Matter of UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C. UBS Willow Management L.L.C. Subsidiary of Public Company 16-Oct-2015 16-Oct-2015 Investment Advisers/Investment Companies
In the Matter of National Asset Management, Inc. National Asset Management, Inc. Subsidiary of Public Company 26-Oct-2015 26-Oct-2015 Investment Advisers/Investment Companies
In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA J. Brian Salter Individual 27-Oct-2015 27-Oct-2015 Issuer Reporting and Disclosure
In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA Janna L. Connolly Individual 27-Oct-2015 27-Oct-2015 Issuer Reporting and Disclosure
In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA Phillip B. Jones Individual 27-Oct-2015 27-Oct-2015 Issuer Reporting and Disclosure
In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA The St. Joe Company Public Company 27-Oct-2015 27-Oct-2015 Issuer Reporting and Disclosure
In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA William Britton Greene Individual 27-Oct-2015 27-Oct-2015 Issuer Reporting and Disclosure
In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA William S. McCalmont Individual 27-Oct-2015 27-Oct-2015 Issuer Reporting and Disclosure
In the Matter of Virtus Investment Advisers, Inc. Virtus Investment Advisers, Inc. Subsidiary of Public Company 16-Nov-2015 16-Nov-2015 Investment Advisers/Investment Companies
SEC v. Christopher Freeman Brogdon, Defendant, and Connie Brogdon, Tygh Brogdon, Brogdon Family LLC, Gordon Jensen Healthcare Association, Inc., JRT Group 2 Properties, LLC, Mobama Nursing, LLC, National Assistance Bureau, Inc., Saint Simons Healthcare, LLC , and Winter Haven Homes, Inc., Relief Defendants Christopher Freeman Brogdon Individual 20-Nov-2015 18-Dec-2015 Securities Offering
In the Matter of Grant Thornton, LLP Grant Thornton, LLP Other 02-Dec-2015 02-Dec-2015 Issuer Reporting and Disclosure
In the Matter of Melissa K. Koeppel, CPA, and Jeffrey J. Robinson, CPA Jeffrey J. Robinson, CPA Individual 02-Dec-2015 02-Dec-2015 Issuer Reporting and Disclosure
In the Matter of Melissa K. Koeppel, CPA, and Jeffrey J. Robinson, CPA Melissa K. Koeppel, CPA Individual 02-Dec-2015 02-Dec-2015 Issuer Reporting and Disclosure
In the Matter of Charles Loveless, CPA Charles Loveless Individual 14-Dec-2015 14-Dec-2015 Issuer Reporting and Disclosure
In the Matter of Michael McKenna, CPA Michael McKenna Individual 14-Dec-2015 14-Dec-2015 Issuer Reporting and Disclosure
In the Matter of JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 18-Dec-2015 18-Dec-2015 Investment Advisers/Investment Companies
In the Matter of JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC JPMorgan Chase Bank, N.A. Subsidiary of Public Company 18-Dec-2015 18-Dec-2015 Investment Advisers/Investment Companies
In the Matter of KCG Americas LLC KCG Americas LLC
Aliases
Subsidiary of Public Company 21-Dec-2015 21-Dec-2015 Broker Dealer
In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang Morgan Stanley Investment Management Inc. Subsidiary of Public Company 22-Dec-2015 22-Dec-2015 Investment Advisers/Investment Companies
In the Matter of Morgan Stanley Investment Management Inc. and Sheila Huang Sheila Huang Individual 22-Dec-2015 22-Dec-2015 Investment Advisers/Investment Companies
In the Matter of SG Americas Securities LLC and Yimin Ge SG Americas Securities LLC Other 22-Dec-2015 22-Dec-2015 Broker Dealer
In the Matter of SG Americas Securities LLC and Yimin Ge Yimin Ge Individual 22-Dec-2015 22-Dec-2015 Broker Dealer
In the Matter of J.P. Morgan Securities LLC J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 06-Jan-2016 06-Jan-2016 Investment Advisers/Investment Companies
In the Matter of Goldman, Sachs & Co. Goldman, Sachs & Co. Subsidiary of Public Company 14-Jan-2016 14-Jan-2016 Broker Dealer
In the Matter of State Street Bank and Trust Company State Street Bank and Trust Company Subsidiary of Public Company 14-Jan-2016 14-Jan-2016 Municipal Securities & Public Pensions
In the Matter of Vincent J. DeBaggis Vincent J. Debaggis Individual 14-Jan-2016 14-Jan-2016 Investment Advisers/Investment Companies
SEC v. Robert B. Crowe Robert B. Crowe Individual 14-Jan-2016 04-May-2017 Investment Advisers/Investment Companies
In the Matter of Ocwen Financial Corp. Ocwen Financial Corp. Public Company 20-Jan-2016 20-Jan-2016 Issuer Reporting and Disclosure
In the Matter of Barclays Capital Inc. Barclays Capital Inc. Subsidiary of Public Company 31-Jan-2016 31-Jan-2016 Broker Dealer
In the Matter of Credit Suisse Securities (USA) LLC Credit Suisse Securities (USA) LLC Subsidiary of Public Company 31-Jan-2016 31-Jan-2016 Broker Dealer
In the Matter of Credit Suisse Securities (USA) LLC Credit Suisse Securities (USA) LLC Subsidiary of Public Company 31-Jan-2016 31-Jan-2016 Broker Dealer
In the Matter of SAP SE SAP SE Public Company 01-Feb-2016 01-Feb-2016 Foreign Corrupt Practices Act
In the Matter of Barclays Capital Inc. Barclays Capital Inc. Subsidiary of Public Company 02-Feb-2016 02-Feb-2016 Municipal Securities & Public Pensions
In the Matter of Hilltop Securities Inc. Hilltop Securities Inc.
Aliases
Subsidiary of Public Company 02-Feb-2016 02-Feb-2016 Municipal Securities & Public Pensions
In the Matter of Jefferies LLC Jefferies LLC
Aliases
Subsidiary of Public Company 02-Feb-2016 02-Feb-2016 Municipal Securities & Public Pensions
In the Matter of KeyBanc Capital Markets Inc. KeyBanc Capital Markets Inc. Subsidiary of Public Company 02-Feb-2016 02-Feb-2016 Municipal Securities & Public Pensions
In the Matter of Mitsubishi UFJ Securities (USA), Inc. Mitsubishi UFJ Securities (USA), Inc. Subsidiary of Public Company 02-Feb-2016 02-Feb-2016 Municipal Securities & Public Pensions
In the Matter of TD Securities (USA) LLC TD Securities (USA) LLC Subsidiary of Public Company 02-Feb-2016 02-Feb-2016 Municipal Securities & Public Pensions
In the Matter of Wells Fargo Bank, N.A. Municipal Products Group Wells Fargo Bank and N.A. Municipal Products Group Subsidiary of Public Company 02-Feb-2016 02-Feb-2016 Municipal Securities & Public Pensions
In the Matter of Ignacio Cueto Plaza Ignacio Cueto Plaza Individual 04-Feb-2016 04-Feb-2016 Foreign Corrupt Practices Act
In the Matter of SciClone Pharmaceuticals, Inc. SciClone Pharmaceuticals, Inc. Public Company 04-Feb-2016 04-Feb-2016 Foreign Corrupt Practices Act
In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Anthony P. Hartke Individual 09-Feb-2016 09-Feb-2016 Issuer Reporting and Disclosure
In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Jonathan W. Nienas Individual 09-Feb-2016 09-Feb-2016 Issuer Reporting and Disclosure
In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Monsanto Company Public Company 09-Feb-2016 09-Feb-2016 Issuer Reporting and Disclosure
In the Matter of Monsanto Company, Sara M. Brunnquell, CPA, Anthony P. Hartke, CPA, and Jonathan W. Nienas Sara M. Brunnquell Individual 09-Feb-2016 09-Feb-2016 Issuer Reporting and Disclosure
In the Matter of Frazer Frost, LLP; Susan Woo, CPA; and Miranda Suen, CPA Frazer Frost, LLP Other 11-Feb-2016 07-Jun-2016 Issuer Reporting and Disclosure
In the Matter of Frazer Frost, LLP; Susan Woo, CPA; and Miranda Suen, CPA Miranda Suen, CPA Individual 11-Feb-2016 07-Jun-2016 Issuer Reporting and Disclosure
In the Matter of Frazer Frost, LLP; Susan Woo, CPA; and Miranda Suen, CPA Susan Woo, CPA Individual 11-Feb-2016 07-Jun-2016 Issuer Reporting and Disclosure
In the Matter of PTC Inc. PTC Inc. Public Company 16-Feb-2016 16-Feb-2016 Foreign Corrupt Practices Act
In the Matter of Charles P. Grom Charles P. Grom Individual 17-Feb-2016 17-Feb-2016 Investment Advisers/Investment Companies
In the Matter of Donald J. Glidewell, CPA Donald J. Glidewell Individual 17-Feb-2016 17-Feb-2016 Issuer Reporting and Disclosure
In the Matter of Julieta Favela Barcenas Julieta Favela Barcenas Individual 17-Feb-2016 17-Feb-2016 Issuer Reporting and Disclosure
SEC v. Hector M. Absi, Jr. Hector M. Absi, Jr. Individual 17-Feb-2016 Issuer Reporting and Disclosure
SEC v. Marrone Bio Innovations, Inc. Marrone Bio Innovations Public Company 17-Feb-2016 17-Feb-2016 Issuer Reporting and Disclosure
SEC v. VimpelCom Ltd VimpelCom Ltd. Public Company 18-Feb-2016 18-Feb-2016 Foreign Corrupt Practices Act
In the Matter of Cantella & Co. Cantella & Co. Other 23-Feb-2016 23-Feb-2016 Investment Advisers/Investment Companies
In the Matter of Jason Maiher Jason Maiher Individual 23-Feb-2016 17-Aug-2016 Broker Dealer
In the Matter of KeyBanc Capital Markets Inc. KeyBanc Capital Markets Inc. Subsidiary of Public Company 29-Feb-2016 29-Feb-2016 Broker Dealer
In the Matter of Qualcomm Incorporated Qualcomm Incorporated Public Company 01-Mar-2016 01-Mar-2016 Foreign Corrupt Practices Act
Deferred Prosecution Agreement with Bernard Thomas Marren Bernard Thomas Marren Individual 03-Mar-2016 03-Mar-2016 Issuer Reporting and Disclosure
In the Matter of Mikhail Gourevitch Mikhail Gourevitch Individual 03-Mar-2016 03-Mar-2016 Foreign Corrupt Practices Act
In the Matter of Nordion (Canada) Inc. Nordion (Canada) Inc. Public Company 03-Mar-2016 03-Mar-2016 Foreign Corrupt Practices Act
In the Matter of First Southwest Company, LLC First Southwest Company, LLC Subsidiary of Public Company 07-Mar-2016 07-Mar-2016 Municipal Securities & Public Pensions
SEC v. Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Canada, Keith W. Stokes, and James Michael Saul James Michael Saul Individual 07-Mar-2016 07-Mar-2016 Municipal Securities & Public Pensions
SEC v. Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Canada, Keith W. Stokes, and James Michael Saul Keith W. Stokes Individual 07-Mar-2016 07-Mar-2016 Municipal Securities & Public Pensions
SEC v. Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Canada, Keith W. Stokes, and James Michael Saul Peter M. Cannava Individual 07-Mar-2016 07-Mar-2016 Municipal Securities & Public Pensions
SEC v. Rhode Island Commerce Corporation (f/k/a Rhode Island Economic Development Corporation), Wells Fargo Securities, LLC, Peter M. Canada, Keith W. Stokes, and James Michael Saul Wells Fargo Securities LLC
Aliases
Subsidiary of Public Company 07-Mar-2016 07-Mar-2016 Municipal Securities & Public Pensions
SEC v. Reed J. Killion, Jeffrey W. Tomz, and Uni-Pixel, Inc. Jeffrey W. Tomz Individual 09-Mar-2016 09-Mar-2016 Issuer Reporting and Disclosure
SEC v. Reed J. Killion, Jeffrey W. Tomz, and Uni-Pixel, Inc. Reed J. Killion Individual 09-Mar-2016 09-Mar-2016 Issuer Reporting and Disclosure
SEC v. Reed J. Killion, Jeffrey W. Tomz, and Uni-Pixel, Inc. Uni-Pixel, Inc. Public Company 09-Mar-2016 09-Mar-2016 Issuer Reporting and Disclosure
In the Matter of David S. Krueger, CPA David S. Krueger, CPA Individual 10-Mar-2016 10-Mar-2016 Issuer Reporting and Disclosure
In the Matter of Joseph R. Allred, CPA Joseph R. Allred, CPA Individual 10-Mar-2016 10-Mar-2016 Issuer Reporting and Disclosure
In the Matter of Magnum Hunter Resources Corporation Magnum Hunter Resources Corporation Public Company 10-Mar-2016 10-Mar-2016 Issuer Reporting and Disclosure
In the Matter of Ronald D. Ormand Ronald D. Ormand Individual 10-Mar-2016 10-Mar-2016 Issuer Reporting and Disclosure
In the Matter of Wayne Gray, CPA Wayne Gray, CPA Individual 10-Mar-2016 10-Mar-2016 Issuer Reporting and Disclosure
In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation FSC Securities Corporation Subsidiary of Public Company 14-Mar-2016 14-Mar-2016 Investment Advisers/Investment Companies
In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation Royal Alliance Associates, Inc. Subsidiary of Public Company 14-Mar-2016 14-Mar-2016 Investment Advisers/Investment Companies
In the Matter of Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation SagePoint Financial, Inc. Subsidiary of Public Company 14-Mar-2016 14-Mar-2016 Investment Advisers/Investment Companies
In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable Catherine L. Venable Individual 15-Mar-2016 15-Mar-2016 Issuer Reporting and Disclosure
In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable Joseph C. Lawler Individual 15-Mar-2016 15-Mar-2016 Issuer Reporting and Disclosure
In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable ModusLink Global Solutions, Inc. Public Company 15-Mar-2016 15-Mar-2016 Issuer Reporting and Disclosure
In the Matter of ModusLink Global Solutions, Inc., Joseph C. Lawler, Steven G. Crane, and Catherine L. Venable Steven G. Crane Individual 15-Mar-2016 15-Mar-2016 Issuer Reporting and Disclosure
In the Matter of Novartis AG Novartis AG Public Company 23-Mar-2016 23-Mar-2016 Foreign Corrupt Practices Act
SEC v. AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer AVEO Pharmaceuticals, Inc. Public Company 29-Mar-2016 29-Mar-2016 Issuer Reporting and Disclosure
SEC v. AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer David Johnston Individual 29-Mar-2016 29-Mar-2016 Issuer Reporting and Disclosure
SEC v. AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer Tuan Ha-Ngoc Individual 29-Mar-2016 29-Mar-2016 Issuer Reporting and Disclosure
SEC v. AVEO Pharmaceuticals, Inc., Tuan Ha-Ngoc, David Johnston, and William Slichenmyer William Slichenmyer Individual 29-Mar-2016 29-Mar-2016 Issuer Reporting and Disclosure
In the Matter of Navistar International Corporation Navistar International Corporation
Aliases
Public Company 31-Mar-2016 31-Mar-2016 Issuer Reporting and Disclosure
SEC v. Daniel C. Ustian Daniel C. Ustian Individual 31-Mar-2016 27-Feb-2020 Issuer Reporting and Disclosure
In the Matter of Las Vegas Sands Corp. Las Vegas Sands Corp. Public Company 07-Apr-2016 07-Apr-2016 Foreign Corrupt Practices Act
In the Matter of INTL FCStone Inc. INTL FCStone Inc. Public Company 12-Apr-2016 12-Apr-2016 Issuer Reporting and Disclosure
SEC v. Khaled "Kal" Bassily Khaled "Kal" Bassily Individual 12-Apr-2016 21-Dec-2017 Broker Dealer
SEC v. Erik K. Bardman, and Jennifer F. Wolf Erik K. Bardman Individual 18-Apr-2016 06-Sep-2018 Issuer Reporting and Disclosure
SEC v. Erik K. Bardman, and Jennifer F. Wolf Jennifer F. Wolf Individual 18-Apr-2016 06-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Ener 1, Inc., Charles L. Gassenheimer, Jeffrey A. Seidel, and Robert R. Kamischke Charles L. Gassenheimer Individual 19-Apr-2016 19-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Ener 1, Inc., Charles L. Gassenheimer, Jeffrey A. Seidel, and Robert R. Kamischke Ener1, Inc. Public Company 19-Apr-2016 19-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Ener 1, Inc., Charles L. Gassenheimer, Jeffrey A. Seidel, and Robert R. Kamischke Jeffrey A. Seidel Individual 19-Apr-2016 19-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Ener 1, Inc., Charles L. Gassenheimer, Jeffrey A. Seidel, and Robert R. Kamischke Robert R. Kamischke Individual 19-Apr-2016 19-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Logitech International, S.A., Michael Docktorczyk, and Sherralyn Bolles, CPA Logitech International, S.A. Public Company 19-Apr-2016 19-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Logitech International, S.A., Michael Docktorczyk, and Sherralyn Bolles, CPA Michael Doktorczyk Individual 19-Apr-2016 19-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Logitech International, S.A., Michael Docktorczyk, and Sherralyn Bolles, CPA Sherralyn Bolles Individual 19-Apr-2016 19-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Robert D. Hesselgesser, CPA Robert D. Hesselgesser Individual 19-Apr-2016 19-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Cabela's Incorporated and Ralph W. Castner, CPA Cabela's Incorporated Public Company 26-Apr-2016 26-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Cabela's Incorporated and Ralph W. Castner, CPA Ralph W. Castner Individual 26-Apr-2016 26-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA Joseph A. Scolaro, CPA Individual 29-Apr-2016 29-Apr-2016 Issuer Reporting and Disclosure
In the Matter of Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA Santos, Postal & Company, P.C. Other 29-Apr-2016 29-Apr-2016 Issuer Reporting and Disclosure
SEC v. Ross I. McLellan Ross I. McLellan Individual 13-May-2016 Broker Dealer
In the Matter of Swisher Hygiene Inc. Swisher Hygiene Inc. Public Company 24-May-2016 24-May-2016 Issuer Reporting and Disclosure
SEC v. John Pierrard John Pierrard Individual 24-May-2016 24-May-2016 Issuer Reporting and Disclosure
SEC v. Michael J. Kipp and Joanne K. Viard Joanne K. Viard
Aliases
Individual 24-May-2016 11-Feb-2019 Issuer Reporting and Disclosure
SEC v. Michael J. Kipp and Joanne K. Viard Michael J. Kipp Individual 24-May-2016 11-Feb-2019 Issuer Reporting and Disclosure
In the Matter of Federated Global Investment Management Corp. Federated Global Investment Management Corp. Subsidiary of Public Company 27-May-2016 27-May-2016 Investment Advisers/Investment Companies
Non-Prosecution Agreement with Akamai Technologies, Inc. Akamai Technologies, Inc. Public Company 07-Jun-2016 07-Jun-2016 Foreign Corrupt Practices Act
Non-Prosecution Agreement with Nortek, Inc. Nortek, Inc. Public Company 07-Jun-2016 07-Jun-2016 Foreign Corrupt Practices Act
In the Matter of Galen J. Marsh Galen J. Marsh Individual 08-Jun-2016 08-Jun-2016 Broker Dealer
In the Matter of IEC Electronics Corp., Ronald J. Years, CPA, and Donald S. Doody Donald S. Doody Individual 08-Jun-2016 08-Jun-2016 Issuer Reporting and Disclosure
In the Matter of IEC Electronics Corp., Ronald J. Years, CPA, and Donald S. Doody IEC Electronics Corp. Public Company 08-Jun-2016 08-Jun-2016 Issuer Reporting and Disclosure
In the Matter of IEC Electronics Corp., Ronald J. Years, CPA, and Donald S. Doody Ronald J. Years, CPA Individual 08-Jun-2016 08-Jun-2016 Issuer Reporting and Disclosure
In the Matter of Morgan Stanley Smith Barney LLC Morgan Stanley Smith Barney LLC
Aliases
Subsidiary of Public Company 08-Jun-2016 08-Jun-2016 Broker Dealer
In the Matter of The Bank of New York Mellon The Bank of New York Mellon
Aliases
Subsidiary of Public Company 13-Jun-2016 13-Jun-2016 Investment Advisers/Investment Companies
SEC v. Andrew K. Proctor, and Atlas JG, LLC Andrew K. Proctor Individual 14-Jun-2016 16-Jun-2016 Securities Offering
SEC v. Andrew K. Proctor, and Atlas JG, LLC Atlas JG, LLC Other 14-Jun-2016 16-Jun-2016 Securities Offering
In the Matter of Analogic Corporation and Lars Frost Analogic Corporation Public Company 21-Jun-2016 21-Jun-2016 Foreign Corrupt Practices Act
In the Matter of Analogic Corporation and Lars Frost Lars Frost Individual 21-Jun-2016 21-Jun-2016 Foreign Corrupt Practices Act
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 23-Jun-2016 23-Jun-2016 Securities Offering
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. Merrill Lynch Professional Clearing Corporation Subsidiary of Public Company 23-Jun-2016 23-Jun-2016 Broker Dealer
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 23-Jun-2016 23-Jun-2016 Broker Dealer
In the Matter of William Tirrell William Tirrell Individual 23-Jun-2016 Broker Dealer
SEC v. Michael P. Toups, and Longwei Petroleum Investment Holding Limited Longwei Petroleum Investment Holding Limited Public Company 27-Jun-2016 21-Dec-2017 Issuer Reporting and Disclosure
SEC v. Michael P. Toups, and Longwei Petroleum Investment Holding Limited Michael Toups Individual 27-Jun-2016 21-Dec-2017 Issuer Reporting and Disclosure
In the Matter of Johnson Controls, Inc. Johnson Controls, Inc. Public Company 11-Jul-2016 11-Jul-2016 Foreign Corrupt Practices Act
In the Matter of Citigroup Global Markets, Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 12-Jul-2016 12-Jul-2016 Broker Dealer
In the Matter of The Phoenix Companies, Inc. The Phoenix Companies Inc.
Aliases
Public Company 15-Jul-2016 15-Jul-2016 Issuer Reporting and Disclosure
In the Matter of Washington Wealth Management, LLC Washington Wealth Management, LLC Subsidiary of Public Company 18-Jul-2016 18-Jul-2016 Investment Advisers/Investment Companies
In the Matter of LAN Airlines S.A. LAN Airlines S.A. Public Company 25-Jul-2016 25-Jul-2016 Foreign Corrupt Practices Act
In the Matter of State Street Bank and Trust Company State Street Bank and Trust Company Subsidiary of Public Company 26-Jul-2016 12-Dec-2016 Investment Advisers/Investment Companies
SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC Global Transition Solutions, Inc. Other 08-Aug-2016 21-Apr-2017 Broker Dealer
SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC Global Transition Solutions, LLC Other 08-Aug-2016 21-Apr-2017 Broker Dealer
SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC John P. Kirk Individual 08-Aug-2016 21-Apr-2017 Broker Dealer
SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC John T. Place Individual 08-Aug-2016 21-Apr-2017 Broker Dealer
SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC Paul G. Kirk Individual 08-Aug-2016 21-Apr-2017 Broker Dealer
In the Matter of Blue Linx Holdings Inc. BlueLinx Holdings Inc. Public Company 10-Aug-2016 10-Aug-2016 Other
In the Matter of Key Energy Services, Inc. Key Energy Services, Inc. Public Company 11-Aug-2016 11-Aug-2016 Foreign Corrupt Practices Act
In the Matter of Health Net, Inc. Health Net, Inc. Public Company 16-Aug-2016 16-Aug-2016 Other
In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. Apollo Commodities Management, L.P. Subsidiary of Public Company 23-Aug-2016 23-Aug-2016 Investment Advisers/Investment Companies
In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. Apollo Management V, L.P. Subsidiary of Public Company 23-Aug-2016 23-Aug-2016 Investment Advisers/Investment Companies
In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. Apollo Management VI, L.P Subsidiary of Public Company 23-Aug-2016 23-Aug-2016 Investment Advisers/Investment Companies
In the Matter of Apollo Management V, L.P., Apollo Management VI, L.P., Apollo Management VII, L.P., and Apollo Commodities Management, L.P. Apollo Management VII, L.P. Subsidiary of Public Company 23-Aug-2016 23-Aug-2016 Investment Advisers/Investment Companies
In the Matter of Casella Waste Systems, Inc. Casella Waste Systems, Inc. Public Company 24-Aug-2016 24-Aug-2016 Municipal Securities & Public Pensions
In the Matter of WL Ross & Co. LLC WL Ross & Co. LLC  Subsidiary of Public Company 24-Aug-2016 24-Aug-2016 Investment Advisers/Investment Companies
In the Matter BB&T Securities, LLC BB&T Securities, LLC Subsidiary of Public Company 25-Aug-2016 25-Aug-2016 Investment Advisers/Investment Companies
In the Matter of AssetMark, INc. (f/k/a Genworth Financial Wealth Management, Inc. AssetMark, Inc. (f/k/a Genworth Financial Wealth Management, Inc.) Subsidiary of Public Company 25-Aug-2016 25-Aug-2016 Investment Advisers/Investment Companies
In the Matter of Constellation Wealth Advisors Constellation Wealth Advisors LLC Subsidiary of Public Company 25-Aug-2016 25-Aug-2016 Investment Advisers/Investment Companies
In the Matter of Ladenburg Thalmann Asset Managemet Inc. Ladenburg Thalmann Asset Management Inc. Subsidiary of Public Company 25-Aug-2016 25-Aug-2016 Investment Advisers/Investment Companies
In the Matter of AstraZeneca PLC AstraZeneca PLC  Public Company 30-Aug-2016 30-Aug-2016 Foreign Corrupt Practices Act
In the Matter of RBC Capital Markets, LLC RBC Capital Markets, LLC
Aliases
Subsidiary of Public Company 31-Aug-2016 31-Aug-2016 Issuer Reporting and Disclosure
In the Matter of Raymond James & Associates, Inc. Raymond James & Associates, Inc. Subsidiary of Public Company 08-Sep-2016 08-Sep-2016 Investment Advisers/Investment Companies
SEC v. Brian S. Block and Lisa Pavelka McAlister Brian S. Block Individual 08-Sep-2016 11-Jan-2018 Issuer Reporting and Disclosure
SEC v. Brian S. Block and Lisa Pavelka McAlister Lisa Pavelka McAlister Individual 08-Sep-2016 11-Jan-2018 Issuer Reporting and Disclosure
In the Matter of BOKF, NA BOKF, NA Subsidiary of Public Company 09-Sep-2016 09-Sep-2016 Securities Offering
SEC v. Marrien Neilson Marrien Neilson Individual 09-Sep-2016 03-Mar-2017 Securities Offering
SEC v. RPM International Inc. and Edward W. Moore Edward W. Moore Individual 09-Sep-2016 22-Dec-2020 Issuer Reporting and Disclosure
SEC v. RPM International Inc. and Edward W. Moore RPM International, Inc. Public Company 09-Sep-2016 22-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Portugal Telecom, SGPS, S.A., now known as Pharol SGPS, S.A. Portugal Telecom SGPS S.A. Public Company 13-Sep-2016 13-Sep-2016 Issuer Reporting and Disclosure
In the Matter of Nu Skin Enterprises, Inc. Nu Skin Enterprises, Inc.  Public Company 20-Sep-2016 20-Sep-2016 Foreign Corrupt Practices Act
In the Matter of Park National Corporation Park National Corporation  Public Company 21-Sep-2016 21-Sep-2016 Issuer Reporting and Disclosure
In the Matter of Wilmington Savings Fund Society, FSB Wilmington Savings Fund Society, FSB  Subsidiary of Public Company 22-Sep-2016 22-Sep-2016 Transfer Agent
In the Matter of Aviva Investors Americas, LLC, as the successor entity to Aviva Investors North America, Inc. Aviva Investors Americas, LLC Subsidiary of Public Company 23-Sep-2016 23-Sep-2016 Investment Advisers/Investment Companies
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 26-Sep-2016 26-Sep-2016 Broker Dealer
SEC v. Mard, Inc. F/K/A KiOR, Inc. and Fred H. Cannon, Jr. Fred H. Cannon, Jr. Individual 26-Sep-2016 26-Sep-2016 Securities Offering
SEC v. Mard, Inc. F/K/A KiOR, Inc. and Fred H. Cannon, Jr. Mard, Inc.
Aliases
Public Company 26-Sep-2016 26-Sep-2016 Securities Offering
In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA Bradley S. Everly Individual 27-Sep-2016 27-Sep-2016 Issuer Reporting and Disclosure
In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA Douglas P. Barton Individual 27-Sep-2016 27-Sep-2016 Issuer Reporting and Disclosure
In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA Jeffrey W. Embly Individual 27-Sep-2016 27-Sep-2016 Issuer Reporting and Disclosure
In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA Orrstown Financial Services, Inc. Public Company 27-Sep-2016 27-Sep-2016 Issuer Reporting and Disclosure
In the Matter of Orrstown Financial Services, Inc., Thomas R. Quinn, Bradley S. Everly, CPA, Jeffrey W. Embly and Douglas P. Barton, CPA Thomas R. Quinn Individual 27-Sep-2016 27-Sep-2016 Issuer Reporting and Disclosure
In the Matter of Weatherford International plc, F/K/A Weatherford International Ltd., James Hudgins, CPA, and and Darryl Kitay, CPA Darryl Kitay Individual 27-Sep-2016 27-Sep-2016 Issuer Reporting and Disclosure
In the Matter of Weatherford International plc, F/K/A Weatherford International Ltd., James Hudgins, CPA, and and Darryl Kitay, CPA James Hudgins Individual 27-Sep-2016 27-Sep-2016 Issuer Reporting and Disclosure
In the Matter of Weatherford International plc, F/K/A Weatherford International Ltd., James Hudgins, CPA, and and Darryl Kitay, CPA Weatherford International plc
Aliases
Public Company 27-Sep-2016 27-Sep-2016 Issuer Reporting and Disclosure
In the Matter of Anheuser-Busch InBev SA/NV Anheuser-Busch InBev SA/NV  Public Company 28-Sep-2016 28-Sep-2016 Foreign Corrupt Practices Act
In the Matter of UBS Financial Services Inc. UBS Financial Services Inc.
Aliases
Subsidiary of Public Company 28-Sep-2016 28-Sep-2016 Broker Dealer
In the Matter of Altair Nanotechnologies, Inc. Altair Nanotechnologies, Inc. Public Company 29-Sep-2016 29-Sep-2016 Issuer Reporting and Disclosure
In the Matter of International Game Technology International Game Technology Subsidiary of Public Company 29-Sep-2016 29-Sep-2016 Other
In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank Daniel S. Och Individual 29-Sep-2016 29-Sep-2016 Foreign Corrupt Practices Act
In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank Joel M. Frank Individual 29-Sep-2016 29-Sep-2016 Foreign Corrupt Practices Act
In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank Och-Ziff Capital Management Group LLC
Aliases
Public Company 29-Sep-2016 29-Sep-2016 Foreign Corrupt Practices Act
In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank OZ Management, LP Subsidiary of Public Company 29-Sep-2016 29-Sep-2016 Foreign Corrupt Practices Act
In the Matter of GlaxoSmithKline plc GlaxoSmithKline plc  Public Company 30-Sep-2016 30-Sep-2016 Foreign Corrupt Practices Act
In the Matter of Credit Suisse AG Credit Suisse AG Subsidiary of Public Company 05-Oct-2016 05-Oct-2016 Issuer Reporting and Disclosure
In the Matter of Rolf Bögli Rolf Bögli Individual 05-Oct-2016 05-Oct-2016 Investment Advisers/Investment Companies
In the Matter of Deutsche Bank Securities Inc. Deutsche Bank Securities, Inc.
Aliases
Subsidiary of Public Company 12-Oct-2016 12-Oct-2016 Broker Dealer
SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina James G. Smith Individual 17-Oct-2016 17-Oct-2016 Issuer Reporting and Disclosure
SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina Joaquin Alberto Dos Santos Almeida Individual 17-Oct-2016 17-Oct-2016 Issuer Reporting and Disclosure
SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina Julianne M. Chandler Individual 17-Oct-2016 17-Oct-2016 Issuer Reporting and Disclosure
SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina Karan Raina Individual 17-Oct-2016 17-Oct-2016 Issuer Reporting and Disclosure
SEC v. Lime Energy Co., James G. Smith, Julianne M. Chandler, Joaquin Alberto Dos Santos Almeida, and Karan Raina Lime Energy Co. Public Company 17-Oct-2016 17-Oct-2016 Issuer Reporting and Disclosure
In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Craig R. Fronckiewicz Individual 18-Oct-2016 18-Oct-2016 Issuer Reporting and Disclosure
In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Ernst & Young LLP Other 18-Oct-2016 18-Oct-2016 Issuer Reporting and Disclosure
In the Matter of Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Sarah E. Adams Individual 18-Oct-2016 18-Oct-2016 Issuer Reporting and Disclosure
In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA FMC Technologies, Inc. Public Company 20-Oct-2016 20-Oct-2016 Issuer Reporting and Disclosure
In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA Jeffrey Favret Individual 20-Oct-2016 20-Oct-2016 Issuer Reporting and Disclosure
In the Matter of FMC Technologies, Inc., Jeffrey Favret, CPA, and Steven K. Croft, CPA Steven K. Croft Individual 20-Oct-2016 20-Oct-2016 Issuer Reporting and Disclosure
In the Matter of Julianne M. Chandler Julianne M. Chandler Individual 21-Oct-2016 21-Oct-2016 Issuer Reporting and Disclosure
SEC v. Embraer S.A. Embraer S.A. Public Company 24-Oct-2016 24-Oct-2016 Foreign Corrupt Practices Act
In the Matter of PowerSecure International, Inc. Powersecure International, Inc. Subsidiary of Public Company 07-Nov-2016 07-Nov-2016 Issuer Reporting and Disclosure
In the Matter of JPMorgan Chase & Co. JPMorgan Chase & Co. Public Company 17-Nov-2016 17-Nov-2016 Foreign Corrupt Practices Act
In the Matter of United Continental Holdings, Inc. United Continental Holdings, Inc. Public Company 02-Dec-2016 02-Dec-2016 Issuer Reporting and Disclosure
In the Matter of KPMG LLP KPMG LLP Other 06-Dec-2016 06-Dec-2016 Issuer Reporting and Disclosure
In the Matter of David W. Noack David W. Noack Individual 07-Dec-2016 07-Dec-2016 Municipal Securities & Public Pensions
In the Matter of Deutsche Bank Securities Inc. Deutsche Bank Securities, Inc.
Aliases
Subsidiary of Public Company 16-Dec-2016 16-Dec-2016 Broker Dealer
In the Matter of NeuStar, Inc. NeuStar, Inc. Public Company 19-Dec-2016 19-Dec-2016 Other
In the Matter of Morgan Stanley & Co. LLC Morgan Stanley and Co. LLC
Aliases
Subsidiary of Public Company 20-Dec-2016 20-Dec-2016 Broker Dealer
In the Matter of SandRidge Energy, Inc., SandRidge Energy, Inc. Public Company 20-Dec-2016 20-Dec-2016 Other
In the Matter of Jack Henry & Associates, Inc. Jack Henry & Associates, Inc. Public Company 21-Dec-2016 21-Dec-2016 Issuer Reporting and Disclosure
SEC v. Braskem, S.A. Braskem, S.A. Public Company 21-Dec-2016 21-Dec-2016 Foreign Corrupt Practices Act
In the Matter of Alok Saraf, CA Alok Saraf, CA Individual 22-Dec-2016 22-Dec-2016 Issuer Reporting and Disclosure
In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited Badree Komandur Individual 22-Dec-2016 22-Dec-2016 Issuer Reporting and Disclosure
In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited Satish Arunachalam, CA Individual 22-Dec-2016 22-Dec-2016 Issuer Reporting and Disclosure
In the Matter of Badree Komandur, ACA, Satish Arunachalam, CA, and Wipro Limited Wipro Limited Public Company 22-Dec-2016 22-Dec-2016 Issuer Reporting and Disclosure
SEC v. Teva Pharmaceutical Industries Ltd. Teva Pharmaceutical Industries Limited Public Company 22-Dec-2016 22-Dec-2016 Foreign Corrupt Practices Act
In the Matter of General Cable Corporation General Cable Corporation Public Company 29-Dec-2016 29-Dec-2016 Issuer Reporting and Disclosure
In the Matter of General Cable Corporation General Cable Corporation Public Company 29-Dec-2016 29-Dec-2016 Foreign Corrupt Practices Act
In the Matter of Karl J. Zimmer Karl J. Zimmer Individual 29-Dec-2016 29-Dec-2016 Foreign Corrupt Practices Act
In the Matter of Cadbury Limited and Mondelēz International, Inc. Cadbury Limited Subsidiary of Public Company 06-Jan-2017 06-Jan-2017 Foreign Corrupt Practices Act
In the Matter of Cadbury Limited and Mondelēz International, Inc. Mondelēz International, Inc.  Public Company 06-Jan-2017 06-Jan-2017 Foreign Corrupt Practices Act
In the Matter of L3 Technologies, Inc. L3 Technologies, Inc. Public Company 11-Jan-2017 11-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Biomet, Inc. Biomet Inc.
Aliases
Subsidiary of Public Company 12-Jan-2017 12-Jan-2017 Foreign Corrupt Practices Act
In the Matter of ITG Inc. ITG Inc. Subsidiary of Public Company 12-Jan-2017 12-Jan-2017 Broker Dealer
In the Matter of The Bank of New York Mellon Corporation Bank of New York Mellon Corporation
Aliases
Public Company 12-Jan-2017 12-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Morgan Stanley Smith Barney, LLC Morgan Stanley Smith Barney LLC
Aliases
Subsidiary of Public Company 13-Jan-2017 13-Jan-2017 Investment Advisers/Investment Companies
In the Matter of Sociedad Quimica y Minera de Chile, S.A. Sociedad Quimica Y Minera De Chile and S.A. Public Company 13-Jan-2017 13-Jan-2017 Foreign Corrupt Practices Act
In the Matter of Allergan, Inc. Allergan, Inc. Subsidiary of Public Company 17-Jan-2017 17-Jan-2017 Issuer Reporting and Disclosure
In the Matter of BlackRock, Inc. BlackRock, Inc. Public Company 17-Jan-2017 17-Jan-2017 Other
In the Matter of Brian McCollum Brian McCollum Individual 18-Jan-2017 18-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Eytan Bar Eytan Bar Individual 18-Jan-2017 18-Jan-2017 Issuer Reporting and Disclosure
In the Matter of General Motors Company General Motors Company
Aliases
Public Company 18-Jan-2017 18-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Jeffrey Hammel, CPA Jeffrey Hammel Individual 18-Jan-2017 18-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Kenneth Mack and Bryan McMillan Bryan McMillan Individual 18-Jan-2017 18-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Kenneth Mack and Bryan McMillan Kenneth Mack Individual 18-Jan-2017 18-Jan-2017 Issuer Reporting and Disclosure
In the Matter of MDC Partners Inc. MDC Partners Inc. Public Company 18-Jan-2017 18-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Mer Telemanagement Solutions Ltd. Mer Telemanagement Solutions Ltd. Public Company 18-Jan-2017 18-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Orthofix International N.V. Orthofix International N.V. Public Company 18-Jan-2017 18-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Orthofix International N.V. Orthofix International N.V. Public Company 18-Jan-2017 18-Jan-2017 Foreign Corrupt Practices Act
In the Matter of HomeStreet, Inc. and Darrell van Amen Darrell Van Amen Individual 19-Jan-2017 19-Jan-2017 Issuer Reporting and Disclosure
In the Matter of HomeStreet, Inc. and Darrell van Amen HomeStreet, Inc. Public Company 19-Jan-2017 19-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin Myles Robert Itkin Individual 23-Jan-2017 23-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Overseas Shipholding Group, Inc. and Myles Robert Itkin Overseas Shipholding Group, Inc. Public Company 23-Jan-2017 23-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Citigroup Global Markets, Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 24-Jan-2017 24-Jan-2017 Broker Dealer
In the Matter of Morgan Stanley Smith Barney LLC Morgan Stanley Smith Barney LLC
Aliases
Subsidiary of Public Company 24-Jan-2017 24-Jan-2017 Broker Dealer
SEC v. Mathias Francisco Sandoval Herrera, Maria D. Cidre, and Jose Antonio Miranda Gonzalez Jose Antonio Miranda Gonzalez Individual 24-Jan-2017 24-Jan-2017 Issuer Reporting and Disclosure
SEC v. Mathias Francisco Sandoval Herrera, Maria D. Cidre, and Jose Antonio Miranda Gonzalez Maria D. Cidre Individual 24-Jan-2017 24-Jan-2017 Issuer Reporting and Disclosure
SEC v. Mathias Francisco Sandoval Herrera, Maria D. Cidre, and Jose Antonio Miranda Gonzalez Mathias Francisco Sandoval Herrera Individual 24-Jan-2017 24-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Anderson Bradshaw PLLC, Russell Anderson, CPA, Sandra Chen, CPA, and William Denney, CPA Anderson Bradshaw PLLC Other 26-Jan-2017 26-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Anderson Bradshaw PLLC, Russell Anderson, CPA, Sandra Chen, CPA, and William Denney, CPA Russell E. Anderson, CPA
Aliases
Individual 26-Jan-2017 26-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Anderson Bradshaw PLLC, Russell Anderson, CPA, Sandra Chen, CPA, and William Denney, CPA Sandra Chen, CPA Individual 26-Jan-2017 26-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Anderson Bradshaw PLLC, Russell Anderson, CPA, Sandra Chen, CPA, and William Denney, CPA William Denney, CPA Individual 26-Jan-2017 26-Jan-2017 Issuer Reporting and Disclosure
In the Matter of Citigroup Global Markets, Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 26-Jan-2017 26-Jan-2017 Investment Advisers/Investment Companies
SEC v. Michael L. Cohen and Vanya Baros Michael L. Cohen Individual 26-Jan-2017 13-Jul-2018 Foreign Corrupt Practices Act
SEC v. Michael L. Cohen and Vanya Baros Vanya Baros Individual 26-Jan-2017 13-Jul-2018 Foreign Corrupt Practices Act
In the Matter of Ixia and Victor Alston Ixia Public Company 03-Feb-2017 03-Feb-2017 Issuer Reporting and Disclosure
In the Matter of Ixia and Victor Alston Victor Alston Individual 03-Feb-2017 03-Feb-2017 Issuer Reporting and Disclosure
SEC v. Barry F. Connell Barry F. Connell Individual 03-Feb-2017 30-Dec-2020 Investment Advisers/Investment Companies
SEC v. Thomas Miller and William Liang Thomas Miller Individual 03-Feb-2017 Issuer Reporting and Disclosure
SEC v. Thomas Miller and William Liang William Liang Individual 03-Feb-2017 Issuer Reporting and Disclosure
In the Matter of Columbia Management Investment Services Corp. Columbia Management Investment Services Corp.  Subsidiary of Public Company 10-Feb-2017 10-Feb-2017 Transfer Agent
In the Matter of CVR Energy, Inc. CVR Energy, Inc. Public Company 14-Feb-2017 14-Feb-2017 Issuer Reporting and Disclosure
In the Matter of Morgan Stanley Smith Barney, LLC Morgan Stanley Smith Barney LLC
Aliases
Subsidiary of Public Company 14-Feb-2017 14-Feb-2017 Investment Advisers/Investment Companies
SEC v. Desarrolladora Homex, S.A.B. de C.V. Desarrolladora Homex S.A.B. de C.V Public Company 03-Mar-2017 03-Mar-2017 Issuer Reporting and Disclosure
In the Matter of Voya Financial Advisors, Inc. Voya Financial Advisors, Inc. Subsidiary of Public Company 08-Mar-2017 08-Mar-2017 Investment Advisers/Investment Companies
In the Matter of Stifel, Nicolaus & Company, Incorporated Stifel, Nicolaus & Company, Inc.
Aliases
Subsidiary of Public Company 13-Mar-2017 13-Mar-2017 Investment Advisers/Investment Companies
In the Matter of Advanced Emissions Solutions, Inc. Advanced Emissions Solutions, Inc. Public Company 29-Mar-2017 29-Mar-2017 Issuer Reporting and Disclosure
SEC v. Mark McKinnies Mark McKinnies Individual 29-Mar-2017 29-Mar-2017 Issuer Reporting and Disclosure
In the Matter of Credit Suisse Securities (USA) LLC Credit Suisse Securities (USA) LLC Subsidiary of Public Company 04-Apr-2017 04-Apr-2017 Investment Advisers/Investment Companies
In the Matter of Sanford Michael Katz Sanford Michael Katz  Individual 04-Apr-2017 04-Apr-2017 Investment Advisers/Investment Companies
In the Matter of Lawson Financial Corporation and Robert Lawson Lawson Financial Corporation Other 05-Apr-2017 05-Apr-2017 Securities Offering
In the Matter of Lawson Financial Corporation and Robert Lawson Robert Lawson Individual 05-Apr-2017 05-Apr-2017 Securities Offering
In the Matter of Christopher French Christopher French Individual 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Ciaran Thornton Ciaran Thornton Individual 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of CyRx Corporation Cytrx Corporation Public Company 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Galena Biopharma, Inc. and Mark J. Ahn Galena Biopharma, Inc. Public Company 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Galena Biopharma, Inc. and Mark J. Ahn Mark J. Ahn Individual 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of ImmunoCellular Therapeutics, Ltd. ImmunoCellular Therapeutics, Ltd.  Public Company 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Joel Corenman Joel Corenman Individual 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Lion Biotechnologies, Inc. Lion Biotechnologies, Inc.  Public Company 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Manish Singh and Lavos, LLC Lavos, LLC Other 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Manish Singh and Lavos, LLC Manish Singh Individual 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC Michael A. McCarthy Individual 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC Mission Investor Relations, LLC Other 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC QualityStocks LLC Other 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Michael A. McCarthy, The DreamTeam Group, LLC, Mission Investor Relations, LLC, and QualityStocks LLC The DreamTeam Group, LLC Other 10-Apr-2017 10-Apr-2017 Market Manipulation
In the Matter of Stephen Ramey Stephen Ramey Individual 10-Apr-2017 10-Apr-2017 Market Manipulation
SEC v. Lidingo Holdings LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano Andrew Hodge Individual 10-Apr-2017 12-Apr-2017 Market Manipulation
SEC v. Lidingo Holdings LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano Brian Nichols Individual 10-Apr-2017 12-Apr-2017 Market Manipulation
SEC v. Lidingo Holdings LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano Kamilla Bjorlin Individual 10-Apr-2017 12-Apr-2017 Market Manipulation
SEC v. Lidingo Holdings LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano Lidingo Holdings, LLC Other 10-Apr-2017 12-Apr-2017 Market Manipulation
SEC v. Lidingo Holdings LLC, Kamilla Bjorlin, Andrew Hodge, Brian Nichols, and Vincent Cassano Vincent Cassano Individual 10-Apr-2017 12-Apr-2017 Market Manipulation
In the Matter of BlackRock Fund Advisors Blackrock Fund Advisors Subsidiary of Public Company 25-Apr-2017 25-Apr-2017 Investment Advisers/Investment Companies
In the Matter of David Pruitt, CPA David Pruitt Individual 28-Apr-2017 28-Apr-2017 Issuer Reporting and Disclosure
In the Matter of Mark Wentlent Mark Wentlent Individual 28-Apr-2017 28-Apr-2017 Issuer Reporting and Disclosure
In the Matter of Barclays Capital Inc. Barclays Capital Inc. Subsidiary of Public Company 01-May-2017 01-May-2017 Broker Dealer
In the Matter of David F. Wong David F. Wong Individual 01-May-2017 01-May-2017 Broker Dealer
In the Matter of MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai MagnaChip Semiconductor Corporation Public Company 01-May-2017 01-May-2017 Issuer Reporting and Disclosure
In the Matter of MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai Margaret Hye-Ryoung Sakai Individual 01-May-2017 01-May-2017 Issuer Reporting and Disclosure
In the Matter of Yoon Seok Lee Yoon Seok Lee Individual 01-May-2017 01-May-2017 Broker Dealer
In the Matter of Barclays Capital Inc. Barclays Capital Inc. Subsidiary of Public Company 10-May-2017 10-May-2017 Investment Advisers/Investment Companies
In the Matter of Miles S. Nadal Miles S. Nadal Individual 11-May-2017 11-May-2017 Issuer Reporting and Disclosure
SEC v. James H. Im James H. Im Individual 15-May-2017 Broker Dealer
SEC v. Kee Chan Kee Chan Individual 15-May-2017 16-May-2017 Broker Dealer
In the Matter of Kee Chan Kee Chan Individual 19-May-2017 19-May-2017 Broker Dealer
In the Matter of New York REIT, Inc. and New York Recovery Advisors, LLC New York Recovery Advisors, LLC Other 21-Jun-2017 21-Jun-2017 Issuer Reporting and Disclosure
In the Matter of New York REIT, Inc. and New York Recovery Advisors, LLC New York REIT, Inc. Public Company 21-Jun-2017 21-Jun-2017 Issuer Reporting and Disclosure
In the Matter of Anthony Portelli Anthony Portelli Individual 22-Jun-2017 22-Jun-2017 Broker Dealer
SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffry A. Curran and Waldemar Grab Jeffrey A. Curran
Aliases
Individual 28-Jun-2017 28-Jun-2017 Issuer Reporting and Disclosure
SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffry A. Curran and Waldemar Grab Penn West Petroleum Ltd. Public Company 28-Jun-2017 28-Jun-2017 Issuer Reporting and Disclosure
SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffry A. Curran and Waldemar Grab Todd H. Takeyasu
Aliases
Individual 28-Jun-2017 28-Jun-2017 Issuer Reporting and Disclosure
SEC v. Penn West Petroleum Ltd., d/b/a Obsidian Energy Ltd., Todd H. Takeyasu, Jeffry A. Curran and Waldemar Grab Waldemar Grab Individual 28-Jun-2017 28-Jun-2017 Issuer Reporting and Disclosure
In the Matter of Paramount Group Real Estate Advisor LLC Paramount Group Real Estate Advisor LLC Subsidiary of Public Company 06-Jul-2017 06-Jul-2017 Investment Advisers/Investment Companies
In the Matter of KMS Financial Services, Inc. KMS Financial Services, Inc. Subsidiary of Public Company 19-Jul-2017 19-Jul-2017 Investment Advisers/Investment Companies
In the Matter of Halliburton Company and Jeannot Lorenz Halliburton Company Public Company 27-Jul-2017 27-Jul-2017 Foreign Corrupt Practices Act
In the Matter of Halliburton Company and Jeannot Lorenz Jeannot Lorenz Individual 27-Jul-2017 27-Jul-2017 Foreign Corrupt Practices Act
In the Matter of KPMG LLP and John Riordan, CPA John Riordan, CPA Individual 15-Aug-2017 15-Aug-2017 Issuer Reporting and Disclosure
In the Matter of KPMG LLP and John Riordan, CPA KPMG LLP Other 15-Aug-2017 15-Aug-2017 Issuer Reporting and Disclosure
In the Matter of Edward DiMaria Edward DiMaria Individual 22-Aug-2017 22-Aug-2017 Issuer Reporting and Disclosure
In the Matter of Matthew Gamsey, CPA Matthew Gamsey
Aliases
Individual 22-Aug-2017 22-Aug-2017 Issuer Reporting and Disclosure
SEC v. Navellier & Associates, Inc., and Louis Navellier Louis Navellier Individual 31-Aug-2017 02-Jun-2020 Investment Advisers/Investment Companies
SEC v. Navellier & Associates, Inc., and Louis Navellier Navellier & Associates, Inc. Other 31-Aug-2017 02-Jun-2020 Investment Advisers/Investment Companies
In the Matter of State Street Bank and Trust Company State Street Bank and Trust Company Subsidiary of Public Company 07-Sep-2017 07-Sep-2017 Other
In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC and State Street Bank and Trust Company State Street Bank and Trust Company Subsidiary of Public Company 07-Sep-2017 07-Sep-2017 Broker Dealer
In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC and State Street Bank and Trust Company State Street Global Advisors Funds Distributors, LLC Subsidiary of Public Company 07-Sep-2017 07-Sep-2017 Broker Dealer
In the Matter of State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC and State Street Bank and Trust Company State Street Global Markets, LLC Subsidiary of Public Company 07-Sep-2017 07-Sep-2017 Broker Dealer
In the Matter of Waldemar Grab Waldemar Grab Individual 07-Sep-2017 07-Sep-2017 Issuer Reporting and Disclosure
In the Matter of Suntrust Investment Services, Inc. Suntrust Investment Services, Inc. Subsidiary of Public Company 14-Sep-2017 14-Sep-2017 Investment Advisers/Investment Companies
SEC . Aegerion Pharmaceuticals, Inc. Aegerion Pharmaceuticals, Inc. Subsidiary of Public Company 22-Sep-2017 22-Sep-2017 Issuer Reporting and Disclosure
In the Matter of Alere Inc. Alere Inc. Public Company 28-Sep-2017 28-Sep-2017 Issuer Reporting and Disclosure
SEC v. Gerardo de Nicolas Gutierrez, Carlos Javier Moctezuma Velasco, Ramon Lafarga Batiz, and Noe Corrales Reyes Carlos Javier Moctezuma Velasco Individual 11-Oct-2017 29-Jun-2021 Issuer Reporting and Disclosure
SEC v. Gerardo de Nicolas Gutierrez, Carlos Javier Moctezuma Velasco, Ramon Lafarga Batiz, and Noe Corrales Reyes Gerardo de Nicolas Gutierrez Individual 11-Oct-2017 29-Jun-2021 Issuer Reporting and Disclosure
SEC v. Gerardo de Nicolas Gutierrez, Carlos Javier Moctezuma Velasco, Ramon Lafarga Batiz, and Noe Corrales Reyes Noe Corrales Reyes Individual 11-Oct-2017 29-Jun-2021 Issuer Reporting and Disclosure
SEC v. Gerardo de Nicolas Gutierrez, Carlos Javier Moctezuma Velasco, Ramon Lafarga Batiz, and Noe Corrales Reyes Ramón Lafarga Bátiz Individual 11-Oct-2017 29-Jun-2021 Issuer Reporting and Disclosure
SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliott Guy Robert Elliott Individual 17-Oct-2017 Issuer Reporting and Disclosure
SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliott Rio Tinto Limited Other 17-Oct-2017 Issuer Reporting and Disclosure
SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliott Rio Tinto PLC Public Company 17-Oct-2017 Issuer Reporting and Disclosure
SEC v. Rio Tinto PLC, Rio Tinto Limited, Thomas Albanese, and Guy Robert Elliott Thomas Albanese Individual 17-Oct-2017 Issuer Reporting and Disclosure
Mohammed Ali Rashid Mohammed Ali Rashid Individual 25-Oct-2017 14-Oct-2020 Investment Advisers/Investment Companies
In the Matter of UBS Financial Services, Inc. UBS Financial Services Inc.
Aliases
Subsidiary of Public Company 27-Oct-2017 27-Oct-2017 Broker Dealer
SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery Bobby Dwayne Montgomery Individual 02-Nov-2017 02-Nov-2017 Issuer Reporting and Disclosure
SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery Gregory I. Law Individual 02-Nov-2017 02-Nov-2017 Issuer Reporting and Disclosure
SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery Lode B. Debrabandere Individual 02-Nov-2017 02-Nov-2017 Issuer Reporting and Disclosure
SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery Osiris Therapeutics, Inc. Public Company 02-Nov-2017 02-Nov-2017 Issuer Reporting and Disclosure
SEC v. Osiris Therapeutics, Inc.; Phillip R. Jacoby, Jr.; Gregory I. Law; Lode B. Debrabandere; and Boddy Dwayne Montgomery Phillip R. Jacoby, Jr. Individual 02-Nov-2017 02-Nov-2017 Issuer Reporting and Disclosure
In the Matter of Wells Fargo Advisors, LLC Wells Fargo Advisors, LLC Subsidiary of Public Company 13-Nov-2017 13-Nov-2017 Broker Dealer
In the Matter of Michael C. Sabatino, CPA Michael C. Sabatino, CPA Individual 17-Nov-2017 17-Nov-2017 Issuer Reporting and Disclosure
In the Matter of Ameriprise Financial Services, Inc. Ameriprise Financial Services, Inc.
Aliases
Subsidiary of Public Company 08-Dec-2017 08-Dec-2017 Investment Advisers/Investment Companies
In the Matter of Horter Investment Management, LLC Horter Investment Management, LLC Other 08-Dec-2017 08-Dec-2017 Investment Advisers/Investment Companies
In the Matter of Institutional Investor Advisers, Inc. Institutional Investor Advisers, Inc. Other 08-Dec-2017 08-Dec-2017 Investment Advisers/Investment Companies
In the Matter of Peter R. Culpepper, CPA Peter R. Culpepper, CPA Individual 12-Dec-2017 12-Dec-2017 Issuer Reporting and Disclosure
In the Matter of Provectus Biopharmaceuticals, Inc. Provectus Biopharmaceuticals, Inc. Public Company 12-Dec-2017 12-Dec-2017 Issuer Reporting and Disclosure
SEC v. Harry Craig Dees Harry Craig Dees Individual 12-Dec-2017 28-May-2019 Issuer Reporting and Disclosure
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 21-Dec-2017 21-Dec-2017 Broker Dealer
In the Matter of Khaled "Kal" Bassily Khaled "Kal" Bassily Individual 03-Jan-2018 03-Jan-2018 Broker Dealer
In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon Benjamin Solomon Individual 12-Feb-2018 12-Feb-2018 Broker Dealer
In the Matter of Deutsche Bank Securities Inc. and Benjamin Solomon Deutsche Bank Securities, Inc.
Aliases
Subsidiary of Public Company 12-Feb-2018 12-Feb-2018 Broker Dealer
In the Matter of Ameriprise Financial Services, Inc. Ameriprise Financial Services, Inc.
Aliases
Subsidiary of Public Company 28-Feb-2018 28-Feb-2018 Broker Dealer
In the Matter of New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc. New York Stock Exchange LLC Subsidiary of Public Company 06-Mar-2018 06-Mar-2018 Other
In the Matter of New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc. NYSE American LLC Subsidiary of Public Company 06-Mar-2018 06-Mar-2018 Other
In the Matter of New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc. NYSE Arca, Inc. Subsidiary of Public Company 06-Mar-2018 06-Mar-2018 Other
In the Matter of Merrill Lynch, Pierce and Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 08-Mar-2018 08-Mar-2018 Securities Offering
In the Matter of Voya Investments, LLC and Directed Services LLC Directed Services, LLC Subsidiary of Public Company 08-Mar-2018 08-Mar-2018 Investment Advisers/Investment Companies
In the Matter of Voya Investments, LLC and Directed Services LLC Voya Investments, LLC Subsidiary of Public Company 08-Mar-2018 08-Mar-2018 Investment Advisers/Investment Companies
In the Matter of Elbit Imaging Ltd. Elbit Imaging Ltd. Public Company 09-Mar-2018 09-Mar-2018 Foreign Corrupt Practices Act
In the Matter of Kinross Gold Corporation Kinross Gold Corporation Public Company 26-Mar-2018 26-Mar-2018 Foreign Corrupt Practices Act
SEC v. Akorn, Inc., Timothy Dick, and David Hebeda Akorn, Inc. Public Company 26-Mar-2018 26-Mar-2018 Issuer Reporting and Disclosure
SEC v. Akorn, Inc., Timothy Dick, and David Hebeda David Hebeda Individual 26-Mar-2018 26-Mar-2018 Issuer Reporting and Disclosure
SEC v. Akorn, Inc., Timothy Dick, and David Hebeda Timothy Dick Individual 26-Mar-2018 26-Mar-2018 Issuer Reporting and Disclosure
In the Matter of Maxwell Technologies, Inc., et al. David J. Schramm Individual 27-Mar-2018 27-Mar-2018 Issuer Reporting and Disclosure
In the Matter of Maxwell Technologies, Inc., et al. James W. DeWitt, Jr. Individual 27-Mar-2018 27-Mar-2018 Issuer Reporting and Disclosure
In the Matter of Maxwell Technologies, Inc., et al. Maxwell Technologies Inc.
Aliases
Public Company 27-Mar-2018 27-Mar-2018 Issuer Reporting and Disclosure
In the Matter of Maxwell Technologies, Inc., et al. Van M. Andrews Individual 27-Mar-2018 27-Mar-2018 Issuer Reporting and Disclosure
SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, Dorababu Penumarthi Andy Altahawi
Aliases
Individual 04-Apr-2018 06-Apr-2018 Securities Offering
SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, Dorababu Penumarthi Dorababu Penumarthi Individual 04-Apr-2018 06-Apr-2018 Securities Offering
SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, Dorababu Penumarthi Longfin Corp. Public Company 04-Apr-2018 06-Apr-2018 Securities Offering
SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, Dorababu Penumarthi Suresh Tammineedi Individual 04-Apr-2018 06-Apr-2018 Securities Offering
SEC v. Longfin Corp., Venkata S. Meenavalli, Amro Izzelden Altahwi a/k/a Andy Altahawi, Suresh Tammineedi, Dorababu Penumarthi Venkata S. Meenavalli Individual 04-Apr-2018 06-Apr-2018 Securities Offering
In the Matter of PNC Investments LLC PNC Investments LLC  Subsidiary of Public Company 06-Apr-2018 06-Apr-2018 Investment Advisers/Investment Companies
In the Matter of Securities America Advisors, Inc. Securities America Advisors, Inc. Subsidiary of Public Company 06-Apr-2018 06-Apr-2018 Investment Advisers/Investment Companies
In the Matter of the Dun & Bradstreet Corporation The Dun & Bradstreet Corporation Public Company 23-Apr-2018 23-Apr-2018 Foreign Corrupt Practices Act
In the Matter of Altaba Inc. and f/d/b/a Yahoo! Inc. Altaba, Inc. Public Company 24-Apr-2018 24-Apr-2018 Issuer Reporting and Disclosure
In the Matter of SEI Investments Global Funds Services SEI Investments Global Funds Services Subsidiary of Public Company 26-Apr-2018 26-Apr-2018 Investment Advisers/Investment Companies
In the Matter of Panasonic Corporation Panasonic Corporation Other 30-Apr-2018 30-Apr-2018 Foreign Corrupt Practices Act
In the Matter of Constant Contact, Inc. and Endurance International Group Holdings, Inc. Constant Contact, Inc. Subsidiary of Public Company 05-Jun-2018 05-Jun-2018 Issuer Reporting and Disclosure
In the Matter of Constant Contact, Inc. and Endurance International Group Holdings, Inc. Endurance International Group Holdings, Inc. Public Company 05-Jun-2018 05-Jun-2018 Issuer Reporting and Disclosure
In the Matter of Merrill Lynch, Pierce and Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 12-Jun-2018 12-Jun-2018 Broker Dealer
In the Matter of Merrill Lynch, Pierce and Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 19-Jun-2018 19-Jun-2018 Broker Dealer
In the Matter of Wells Fargo Advisors, LLC Wells Fargo Advisors, LLC Subsidiary of Public Company 25-Jun-2018 25-Jun-2018 Broker Dealer
In the Matter of Morgan Stanley Smith Barney LLC Morgan Stanley Smith Barney LLC
Aliases
Subsidiary of Public Company 29-Jun-2018 29-Jun-2018 Investment Advisers/Investment Companies
In the Matter of Beam, Inc. Beam Suntory Inc.
Aliases
Public Company 02-Jul-2018 02-Jul-2018 Foreign Corrupt Practices Act
In the Matter of KBR, Inc. KBR, Inc. Public Company 02-Jul-2018 02-Jul-2018 Issuer Reporting and Disclosure
In the Matter of The Dow Chemical Company The Dow Chemical Company Subsidiary of Public Company 02-Jul-2018 02-Jul-2018 Issuer Reporting and Disclosure
SEC v. Charles Schwab & Co., Inc. Charles Schwab & Co., Inc. Subsidiary of Public Company 02-Jul-2018 09-Jul-2018 Broker Dealer
SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson Benjamin L. Wissink Individual 03-Jul-2018 03-Jul-2018 Issuer Reporting and Disclosure
SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson Cara D. Obert Individual 03-Jul-2018 03-Jul-2018 Issuer Reporting and Disclosure
SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson David A. Hanson Individual 03-Jul-2018 03-Jul-2018 Issuer Reporting and Disclosure
SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson Hollis M. Greenlaw Individual 03-Jul-2018 03-Jul-2018 Issuer Reporting and Disclosure
SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson Theodore F. Etter Individual 03-Jul-2018 03-Jul-2018 Issuer Reporting and Disclosure
SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson United Development Funding III, LP Other 03-Jul-2018 03-Jul-2018 Issuer Reporting and Disclosure
SEC v. United Development Funding III, LP, United Development Funding IV, Hollis M. Greenlaw, Benjamin L. Wissink, Theodore F. Etter, Cara D. Obert, and David A. Hanson United Development Funding IV Public Company 03-Jul-2018 03-Jul-2018 Issuer Reporting and Disclosure
In the Matter of Credit Suisse Group AG Credit Suisse Group AG
Aliases
Public Company 05-Jul-2018 05-Jul-2018 Foreign Corrupt Practices Act
In the Matter of Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA Advanced Drainage Systems, Inc. Public Company 10-Jul-2018 10-Jul-2018 Issuer Reporting and Disclosure
In the Matter of Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA Mark Sturgeon, CPA Individual 10-Jul-2018 10-Jul-2018 Issuer Reporting and Disclosure
In the Matter of Oaktree Capital Management, L.P. Oaktree Capital Management, L.P. Subsidiary of Public Company 10-Jul-2018 10-Jul-2018 Municipal Securities & Public Pensions
In the Matter of BGC Financial, L.P. BGC Financial, L.P. Subsidiary of Public Company 17-Jul-2018 17-Jul-2018 Broker Dealer
In the Matter of Deutsche Bank Securities Inc. Deutsche Bank Securities, Inc.
Aliases
Subsidiary of Public Company 20-Jul-2018 20-Jul-2018 Broker Dealer
In the Matter of Deutsche Bank Trust Company Americas Deutsche Bank Trust Company Americas Subsidiary of Public Company 20-Jul-2018 20-Jul-2018 Broker Dealer
In the Matter of Mizuho Securities USA LLC Mizuho Securities USA LLC Subsidiary of Public Company 23-Jul-2018 23-Jul-2018 Broker Dealer
In the Matter of Ribbon Communications Inc., Mark Greenquist and Michael Swade Mark Greenquist Individual 07-Aug-2018 07-Aug-2018 Issuer Reporting and Disclosure
In the Matter of Ribbon Communications Inc., Mark Greenquist and Michael Swade Michael Swade Individual 07-Aug-2018 07-Aug-2018 Issuer Reporting and Disclosure
In the Matter of Ribbon Communications Inc., Mark Greenquist and Michael Swade Ribbon Communications Inc. Public Company 07-Aug-2018 07-Aug-2018 Issuer Reporting and Disclosure
In the Matter of Kevin M. Modany, CPA Kevin M. Modany
Aliases
Individual 08-Aug-2018 08-Aug-2018 Issuer Reporting and Disclosure
In the Matter of Daniel M. Fitzpatrick, CPA Daniel M. Fitzpatrick
Aliases
Individual 08-Aug-2018 08-Aug-2018 Issuer Reporting and Disclosure
In the Matter of Lockwood Advisors, Incorporated Lockwood Advisors, Incorporated Subsidiary of Public Company 14-Aug-2018 14-Aug-2018 Investment Advisers/Investment Companies
In the Matter of Ameriprise Financial Services, Inc. Ameriprise Financial Services, Inc.
Aliases
Subsidiary of Public Company 15-Aug-2018 15-Aug-2018 Investment Advisers/Investment Companies
In the Matter of Citigroup Global Markets Inc. and Citigroup Inc. Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 16-Aug-2018 16-Aug-2018 Broker Dealer
In the Matter of Citigroup Global Markets Inc. and Citigroup Inc. Citigroup Inc. Public Company 16-Aug-2018 16-Aug-2018 Broker Dealer
In the Matter of Citigroup Inc. Citigroup Inc. Public Company 16-Aug-2018 16-Aug-2018 Issuer Reporting and Disclosure
In the Matter of Merrill Lynch, Pierce and Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 20-Aug-2018 20-Aug-2018 Investment Advisers/Investment Companies
In the Matter of Hari K. Ravichandran Hari K. Ravichandran Individual 21-Aug-2018 21-Aug-2018 Issuer Reporting and Disclosure
In the Matter of Waruna Tivanka Ellawala Waruna Tivanka Ellawala Individual 21-Aug-2018 21-Aug-2018 Issuer Reporting and Disclosure
SEC v. Harpreet Grewal Harpreet Grewal Individual 21-Aug-2018 27-Nov-2019 Issuer Reporting and Disclosure
In the Matter of Jeffrey Scott Davis Jeffrey Scott Davis Individual 22-Aug-2018 22-Aug-2018 Investment Advisers/Investment Companies
In the Matter of AEGON USA Investment Management, LLC, et al. AEGON USA Investment Management, LLC Subsidiary of Public Company 27-Aug-2018 27-Aug-2018 Investment Advisers/Investment Companies
In the Matter of AEGON USA Investment Management, LLC, et al. Transamerica Asset Management, Inc. Subsidiary of Public Company 27-Aug-2018 27-Aug-2018 Investment Advisers/Investment Companies
In the Matter of AEGON USA Investment Management, LLC, et al. Transamerica Capital Inc. Subsidiary of Public Company 27-Aug-2018 27-Aug-2018 Investment Advisers/Investment Companies
In the Matter of AEGON USA Investment Management, LLC, et al. Transamerica Financial Advisors, Inc. Subsidiary of Public Company 27-Aug-2018 27-Aug-2018 Investment Advisers/Investment Companies
In the Matter of Bradley J. Beman Bradley J. Beman Individual 27-Aug-2018 27-Aug-2018 Investment Advisers/Investment Companies
In the Matter of Kevin A. Giles Kevin A. Giles Individual 27-Aug-2018 27-Aug-2018 Investment Advisers/Investment Companies
In the Matter of Legg Mason, Inc. Legg Mason, Inc. Public Company 27-Aug-2018 27-Aug-2018 Foreign Corrupt Practices Act
In the Matter of Moody's Investors Service, Inc. Moody's Investors Service, Inc. Subsidiary of Public Company 28-Aug-2018 28-Aug-2018 Other
In the Matter of Moody's Investors Service, Inc. Moody's Investors Service, Inc. Subsidiary of Public Company 28-Aug-2018 28-Aug-2018 Other
In the Matter of Philip R. Jacoby, Jr., CPA Phillip R. Jacoby, Jr. Individual 30-Aug-2018 Issuer Reporting and Disclosure
In the Matter of Massachusetts Financial Services Company Massachusetts Financial Services Company Subsidiary of Public Company 31-Aug-2018 31-Aug-2018 Investment Advisers/Investment Companies
In the Matter of Joanne K. Viard, CPA Joanne K. Viard
Aliases
Individual 04-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Michael J. Kipp Michael J. Kipp Individual 04-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Sanofi Sanofi  Public Company 04-Sep-2018 04-Sep-2018 Foreign Corrupt Practices Act
SEC v. Tangoe, Inc., Albert R. Subblolie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach Albert R. Subbloie Individual 04-Sep-2018 04-Sep-2018 Issuer Reporting and Disclosure
SEC v. Tangoe, Inc., Albert R. Subblolie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach Donald J. Farias Individual 04-Sep-2018 04-Sep-2018 Issuer Reporting and Disclosure
SEC v. Tangoe, Inc., Albert R. Subblolie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach Gary R. Martino Individual 04-Sep-2018 04-Sep-2018 Issuer Reporting and Disclosure
SEC v. Tangoe, Inc., Albert R. Subblolie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach Tangoe, Inc. Public Company 04-Sep-2018 04-Sep-2018 Issuer Reporting and Disclosure
SEC v. Tangoe, Inc., Albert R. Subblolie, Gary R. Martino, Donald J. Farias, and Thomas H. Beach Thomas H. Beach Individual 04-Sep-2018 04-Sep-2018 Issuer Reporting and Disclosure
In the Matter of BB&T Securities, LLC, as successor entity to BB&T Investment Services, Inc. BB&T Securities, LLC Subsidiary of Public Company 07-Sep-2018 07-Sep-2018 Investment Advisers/Investment Companies
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Alpha Capital Anstalt Other 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. ATG Capital LLC Other 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Barry C. Honig Individual 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Brian Keller Individual 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Elliot Maza Individual 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Frost Gamma Investments Trust Other 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Grander Holdings, Inc. Other 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. GRQ Consultants, Inc. Other 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. HS Contrarian Investments, LLC Other 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. John H. Ford Individual 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. John R. O'Rourke III Individual 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. John Stetson Individual 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Mark Groussman Individual 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Melechdavid, Inc. Other 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Michael Brauser Individual 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Opko Health Inc. Public Company 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Phillip Frost Individual 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Robert Ladd Individual 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Southern Biotech, Inc. Other 07-Sep-2018 21-Sep-2018 Market Manipulation
SEC v. Barry C. Honig, John Stetson, Michael Brauser, John R. O'Rourke III, Mark Groussman, Phillip Frost, Robert Ladd, Elliot Maza, Brian Keller, John H. Ford, Fil Alpha Capital Anstalt, ATG Capital LLC, Frost Gamma Investments Trust, GRQ Consultants, Inc., HS Contrarian Investments, LLC, Grander Holdings, Inc., Melechdavid, Inc., OPKO Health, Inc., Southern Biotech, Inc., and Stetson Capital Investments Inc. Stetson Capital Investments, Inc. Other 07-Sep-2018 21-Sep-2018 Market Manipulation
In the Matter of United Technologies Corporation United Technologies Corporation Public Company 12-Sep-2018 12-Sep-2018 Foreign Corrupt Practices Act
In the Matter of Convergex Execution Solutions, LLC, now known as Cowen Execution Services LLC Cowen Execution Services LLC Subsidiary of Public Company 13-Sep-2018 13-Sep-2018 Broker Dealer
In the Matter of Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC Citi Order Routing and Execution, LLC Subsidiary of Public Company 14-Sep-2018 14-Sep-2018 Broker Dealer
In the Matter of Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC Citigroup Global Markets Inc.
Aliases
Subsidiary of Public Company 14-Sep-2018 14-Sep-2018 Broker Dealer
In the Matter of Jennifer R. Johnson Jennifer R. Johnson Individual 18-Sep-2018 Investment Advisers/Investment Companies
In the Matter of Susan E. Walker Susan E. Walker Individual 18-Sep-2018 Investment Advisers/Investment Companies
SEC v. Clovis Oncology Inc., Patrick J Mahaffy, and Erle T. Mast Clovis Oncology, Inc. Public Company 18-Sep-2018 18-Sep-2018 Issuer Reporting and Disclosure
SEC v. Clovis Oncology Inc., Patrick J Mahaffy, and Erle T. Mast Erle T. Mast  Individual 18-Sep-2018 18-Sep-2018 Issuer Reporting and Disclosure
SEC v. Clovis Oncology Inc., Patrick J Mahaffy, and Erle T. Mast Patrick J. Mahaffy Individual 18-Sep-2018 18-Sep-2018 Issuer Reporting and Disclosure
SEC v. Frederick D. Jacobs Frederick D. Jacobs Individual 18-Sep-2018 18-Sep-2018 Issuer Reporting and Disclosure
SEC v. Seaworld Entertainment, Inc. and James Atchison James Atchison Individual 18-Sep-2018 18-Sep-2018 Issuer Reporting and Disclosure
SEC v. Seaworld Entertainment, Inc. and James Atchison SeaWorld Entertainment, Inc. Public Company 18-Sep-2018 18-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Sientra, Inc. Sientra, Inc. Public Company 19-Sep-2018 19-Sep-2018 Issuer Reporting and Disclosure
SEC v. Hani Zeini Hani Zeini Individual 19-Sep-2018 15-Aug-2019 Issuer Reporting and Disclosure
In the Matter of Barrett Business Services, Inc. and Mark Cannon, CPA Barrett Business Services, Inc. Public Company 20-Sep-2018 20-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Barrett Business Services, Inc. and Mark Cannon, CPA Mark Cannon, CPA Individual 20-Sep-2018 20-Sep-2018 Issuer Reporting and Disclosure
SEC v. James Douglas Miller James Douglas Miller  Individual 20-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Dasan Zhone Solutions, Inc. Dasan Zhone Solutions, Inc. Public Company 21-Sep-2018 21-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr Heartland Payment Systems, LLC Subsidiary of Public Company 21-Sep-2018 21-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr Robert O. Carr Individual 21-Sep-2018 21-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Primoris Services Corporation Primoris Services Corporation Public Company 21-Sep-2018 21-Sep-2018 Issuer Reporting and Disclosure
In the Matter of TD Ameritrade, Inc. TD Ameritrade, Inc. Subsidiary of Public Company 24-Sep-2018 24-Sep-2018 Broker Dealer
In the Matter of Voya Financial Advisors, Inc. Voya Financial Advisors, Inc. Subsidiary of Public Company 26-Sep-2018 26-Sep-2018 Broker Dealer
In the Matter of Petróleo Brasileiro S.A. – Petrobras Petróleo Brasileiro S.A. – Petrobras Public Company 27-Sep-2018 27-Sep-2018 Foreign Corrupt Practices Act
SEC v. Elon Musk Elon Musk Individual 27-Sep-2018 16-Oct-2018 Issuer Reporting and Disclosure
In the Matter of Credit Suisse Securities (USA) LLC Credit Suisse Securities (USA) LLC Subsidiary of Public Company 28-Sep-2018 28-Sep-2018 Broker Dealer
In the Matter of Lendingclub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud Laplanche, and Carrie Dolan Carrie Dolan Individual 28-Sep-2018 28-Sep-2018 Investment Advisers/Investment Companies
In the Matter of Lendingclub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud Laplanche, and Carrie Dolan LendingClub Asset Management, LLC Subsidiary of Public Company 28-Sep-2018 28-Sep-2018 Investment Advisers/Investment Companies
In the Matter of Lendingclub Asset Management, LLC, f/k/a LC Advisors, LLC, Renaud Laplanche, and Carrie Dolan Renaud Laplanche Individual 28-Sep-2018 28-Sep-2018 Investment Advisers/Investment Companies
In the Matter of Stryker Corporation Stryker Corporation Public Company 28-Sep-2018 28-Sep-2018 Foreign Corrupt Practices Act
In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon Gregory D. Wasson Individual 28-Sep-2018 28-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon Wade D. Miquelon Individual 28-Sep-2018 28-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon Walgreens Boots Alliance, Inc. Public Company 28-Sep-2018 28-Sep-2018 Issuer Reporting and Disclosure
SEC v. Adam C. Derbyshire Adam C. Derbyshire Individual 28-Sep-2018 04-Apr-2019 Issuer Reporting and Disclosure
SEC v. Salix Pharmaceuticals, LTD Salix Pharmaceuticals, Ltd. Subsidiary of Public Company 28-Sep-2018 28-Sep-2018 Issuer Reporting and Disclosure
SEC v. Tesla, Inc. Tesla, Inc. Public Company 29-Sep-2018 29-Sep-2018 Issuer Reporting and Disclosure
In the Matter of Ross B. Shapiro Ross B. Shapiro Individual 10-Oct-2018 10-Oct-2018 Broker Dealer
In the Matter of Citibank, N.A. Citibank, N.A. Subsidiary of Public Company 07-Nov-2018 07-Nov-2018 Broker Dealer
In the Matter of ITG Inc. and AlterNet Securities, Inc. AlterNet Securities, Inc. Subsidiary of Public Company 07-Nov-2018 07-Nov-2018 Broker Dealer
In the Matter of ITG Inc. and AlterNet Securities, Inc. ITG Inc. Subsidiary of Public Company 07-Nov-2018 07-Nov-2018 Broker Dealer
In the Matter of Pyxus International, Inc. Pyxus International, Inc.  Public Company 09-Nov-2018 09-Nov-2018 Issuer Reporting and Disclosure
In the Matter of Vantage Drilling International Vantage Drilling International Subsidiary of Public Company 19-Nov-2018 19-Nov-2018 Foreign Corrupt Practices Act
In the Matter of Fifth Street Management, LLC Fifth Street Management, LLC  Subsidiary of Public Company 03-Dec-2018 03-Dec-2018 Investment Advisers/Investment Companies
In the Matter of KCAP Financial, Inc. KCAP Financial, Inc. Public Company 04-Dec-2018 04-Dec-2018 Issuer Reporting and Disclosure
In the Matter of Agria Corporation Agria Corporation  Public Company 10-Dec-2018 10-Dec-2018 Issuer Reporting and Disclosure
In the Matter of Lai Guanglin (Alan) Lai Guanglin (Alan) Individual 10-Dec-2018 10-Dec-2018 Market Manipulation
In the Matter of MUFG Securities Americas Inc. MUFG Securities Americas Inc. Subsidiary of Public Company 10-Dec-2018 10-Dec-2018 Broker Dealer
In the Matter of The Hain Celestial Group, Inc. The Hain Celestial Group, Inc.  Public Company 11-Dec-2018 11-Dec-2018 Issuer Reporting and Disclosure
In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC America Modern Green Community (Houston) LLC Subsidiary of Public Company 12-Dec-2018 12-Dec-2018 Securities Offering
In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC America Modern Green Residential (Houston) LLC Subsidiary of Public Company 12-Dec-2018 12-Dec-2018 Securities Offering
In the Matter of America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC America Modern Green Senior (Houston) LLC Subsidiary of Public Company 12-Dec-2018 12-Dec-2018 Securities Offering
In the Matter of Santander Consumer USA Holdings Inc. Santander Consumer USA Holdings Inc.  Public Company 17-Dec-2018 17-Dec-2018 Issuer Reporting and Disclosure
In the Matter of The Bank of New York Mellon The Bank of New York Mellon
Aliases
Subsidiary of Public Company 17-Dec-2018 17-Dec-2018 Broker Dealer
In the Matter of UBS Financial Services Inc. UBS Financial Services Inc.
Aliases
Subsidiary of Public Company 17-Dec-2018 17-Dec-2018 Broker Dealer
In the Matter of Paul A. Margis Paul A. Margis Individual 18-Dec-2018 18-Dec-2018 Foreign Corrupt Practices Act
In the Matter of Takeshi "Tyrone" Uonaga Takeshi "Tyrone" Uonaga Individual 18-Dec-2018 18-Dec-2018 Foreign Corrupt Practices Act
In the Matter of ADT Inc. ADT Inc.  Public Company 26-Dec-2018 26-Dec-2018 Issuer Reporting and Disclosure
In the Matter of Centrais Elétricas Brasileiras S.A.  Centrais Elétricas Brasileiras S.A.  Public Company 26-Dec-2018 26-Dec-2018 Foreign Corrupt Practices Act
In the Matter of JPMorgan Chase Bank, N.A. JPMorgan Chase Bank, N.A. Subsidiary of Public Company 26-Dec-2018 26-Dec-2018 Broker Dealer
In the Matter of Polycom, Inc. Polycom, Inc. Subsidiary of Public Company 26-Dec-2018 26-Dec-2018 Foreign Corrupt Practices Act
In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation Hertz Global Holdings, Inc. Public Company 31-Dec-2018 31-Dec-2018 Issuer Reporting and Disclosure
In the Matter of Hertz Global Holdings, Inc. and The Hertz Corporation The Hertz Corporation Subsidiary of Public Company 31-Dec-2018 31-Dec-2018 Issuer Reporting and Disclosure
In the Matter of Digital Turbine, Inc. Digital Turbine, Inc.  Public Company 29-Jan-2019 29-Jan-2019 Issuer Reporting and Disclosure
In the Matter of Grupo Simec S.A.B. de C.V. Grupo Simec S.A.B. de C.V.  Public Company 29-Jan-2019 29-Jan-2019 Issuer Reporting and Disclosure
In the Matter of Lifeway Foods, Inc. Lifeway Foods, Inc. Public Company 29-Jan-2019 29-Jan-2019 Issuer Reporting and Disclosure
In the Matter of Cognizant Technology Solutions Corporation Cognizant Technology Solutions Corporation  Public Company 15-Feb-2019 15-Feb-2019 Foreign Corrupt Practices Act
SEC v. Gordon J. Coburn and Steven E. Schwartz Gordon J. Coburn Individual 15-Feb-2019 Foreign Corrupt Practices Act
SEC v. Gordon J. Coburn and Steven E. Schwartz Steven E. Schwartz Individual 15-Feb-2019 Foreign Corrupt Practices Act
In the Matter of BB&T Securities, LLC, as successor-in-interest to Valley Forge Asset Management, LLC BB&T Securities, LLC Subsidiary of Public Company 05-Mar-2019 05-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Mobile TeleSystems PJSC Mobile TeleSystems PJSC  Public Company 06-Mar-2019 06-Mar-2019 Foreign Corrupt Practices Act
In the Matter of AXA Advisors, LLC AXA Advisors, LLC Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of BB&T Securities, LLC BB&T Securities, LLC Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Bok Financial Securities, Inc. Bok Financial Securities, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Comerica Securities, Inc. Comerica Securities, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Deutsche Bank Securities Inc. Deutsche Bank Securities, Inc.
Aliases
Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of First Citizens Asset Management, Inc. First Citizens Asset Management, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of First Citizens Investor Services, Inc. First Citizens Investor Services, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of First Republic Investment Management, Inc. First Republic Investment Management, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Investacorp Advisory Services, Inc. Investacorp Advisory Services, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Lockwood Advisors, Inc. Lockwood Advisors, Incorporated Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of LPL Financial LLC LPL Financial LLC Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of National Asset Management, Inc. National Asset Management, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer & Co. Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Asset Management Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Popular Securities, LLC Popular Securities, LLC Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Principal Securities, Inc. Principal Securities, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of ProEquities, Inc. ProEquities, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Raymond James Financial Services Advisors, Inc. Raymond James Financial Services Advisors, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of RBC Capital Markets, LLC RBC Capital Markets, LLC
Aliases
Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of SA Stone Investment Advisors Inc. SA Stone Investment Advisors Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Santander Securities LLC Santander Securities LLC Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Stifel, Nicolaus & Company, Incorporated Stifel, Nicolaus & Company, Inc.
Aliases
Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Summit Financial Group, Inc. Summit Financial Group, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of The Hungtington Investment Company The Huntington Investment Company Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Transamerica Financial Advisors, Inc. Transamerica Financial Advisors, Inc. Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo Advisors Financial Network, LLC Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo Clearing Services, LLC Subsidiary of Public Company 11-Mar-2019 11-Mar-2019 Investment Advisers/Investment Companies
In the Matter of Lumber Liquidators Holdings, Inc. Lumber Liquidators Holdings, Inc. Public Company 12-Mar-2019 12-Mar-2019 Issuer Reporting and Disclosure
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 22-Mar-2019 22-Mar-2019 Broker Dealer
In the Matter of Fresenius Medical Care AG & Co. KGaA Fresenius Medical Care AG & Co. KGaA  Public Company 29-Mar-2019 29-Mar-2019 Foreign Corrupt Practices Act
In the Matter of Adam C. Derbyshire Adam C. Derbyshire Individual 10-Apr-2019 10-Apr-2019 Issuer Reporting and Disclosure
In the Matter of Deutsche Bank Trust Company Americas Deutsche Bank Trust Company Americas Subsidiary of Public Company 25-Apr-2019 25-Apr-2019 Investment Advisers/Investment Companies
SEC v. Celadon Group, Inc. Celadon Group, Inc.  Public Company 25-Apr-2019 25-Apr-2019 Issuer Reporting and Disclosure
In the Matter of GT Advanced Technologies Inc. GT Advanced Technologies Inc.  Public Company 03-May-2019 03-May-2019 Issuer Reporting and Disclosure
In the Matter of Thomas Gutierrez Thomas Gutierrez  Individual 03-May-2019 03-May-2019 Issuer Reporting and Disclosure
In the Matter of Telefônica Brasil S.A.  Telefônica Brasil S.A.  Public Company 09-May-2019 09-May-2019 Foreign Corrupt Practices Act
SEC v. Danny R. Williams Danny R. Williams  Individual 09-May-2019 16-Jul-2019 Issuer Reporting and Disclosure
SEC v. Longfin Corp., and Venkata S. Meenavalli Longfin Corp. Public Company 05-Jun-2019 26-Sep-2019 Issuer Reporting and Disclosure
SEC v. Longfin Corp., and Venkata S. Meenavalli Venkata S. Meenavalli Individual 05-Jun-2019 26-Sep-2019 Issuer Reporting and Disclosure
In the Matter of Jose G. Ramirez, Jr. Jose G. Ramirez, Jr. Individual 06-Jun-2019 Broker Dealer
In the Matter of Andy Altahawi Andy Altahawi
Aliases
Individual 10-Jun-2019 10-Jun-2019 Securities Offering
SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd, and Ability Inc. Ability Computer & Software Industries Ltd. Subsidiary of Public Company 18-Jun-2019 10-Dec-2019 Issuer Reporting and Disclosure
SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd, and Ability Inc. Ability Inc. Public Company 18-Jun-2019 10-Dec-2019 Issuer Reporting and Disclosure
SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd, and Ability Inc. Alexander Aurovsky Individual 18-Jun-2019 10-Dec-2019 Issuer Reporting and Disclosure
SEC v. Anatoly Hurgin, Alexander Aurovsky, Ability Computer & Software Industries Ltd, and Ability Inc. Anatoly Hurgin Individual 18-Jun-2019 10-Dec-2019 Issuer Reporting and Disclosure
In the Matter of Benjamin H. Gordon Benjamin H. Gordon  Individual 20-Jun-2019 20-Jun-2019 Issuer Reporting and Disclosure
In the Matter of Walmart Inc. Walmart Inc.  Public Company 20-Jun-2019 20-Jun-2019 Foreign Corrupt Practices Act
SEC v. Donald S. LaGuardia, Jr. Donald S. LaGuardia, Jr. Individual 24-Jun-2019 Investment Advisers/Investment Companies
In the Matter of State Street Bank and Trust Company State Street Bank and Trust Company Subsidiary of Public Company 27-Jun-2019 27-Jun-2019 Investment Advisers/Investment Companies
In the Matter of Nomura Securities International, Inc. Nomura Securities International, Inc. Subsidiary of Public Company 15-Jul-2019 15-Jul-2019 Broker Dealer
In the Matter of Nomura Securities International, Inc. Nomura Securities International, Inc. Subsidiary of Public Company 15-Jul-2019 15-Jul-2019 Broker Dealer
SEC v. Conn's, Inc. and Michael J. Poppe Conn's Inc. Public Company 15-Jul-2019 15-Jul-2019 Issuer Reporting and Disclosure
SEC v. Conn's, Inc. and Michael J. Poppe Michael J. Poppe Individual 15-Jul-2019 15-Jul-2019 Issuer Reporting and Disclosure
SEC v. Gary Winemaster, Craig Davis and James Needham Craig Davis Individual 19-Jul-2019 Issuer Reporting and Disclosure
SEC v. Gary Winemaster, Craig Davis and James Needham Gary Winemaster Individual 19-Jul-2019 Issuer Reporting and Disclosure
SEC v. Gary Winemaster, Craig Davis and James Needham James Needham Individual 19-Jul-2019 Issuer Reporting and Disclosure
In the Matter of Microsoft Corporation Microsoft Corporation  Public Company 22-Jul-2019 22-Jul-2019 Foreign Corrupt Practices Act
SEC v. Facebook, Inc. Facebook, Inc. Public Company 24-Jul-2019 24-Jul-2019 Issuer Reporting and Disclosure
In the Matter of Brixmor Property Group Inc. Brixmor Property Group Inc. Public Company 01-Aug-2019 01-Aug-2019 Issuer Reporting and Disclosure
SEC v. Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer Michael A. Carroll Individual 01-Aug-2019 02-Aug-2019 Issuer Reporting and Disclosure
SEC v. Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer Michael Mortimer Individual 01-Aug-2019 02-Aug-2019 Issuer Reporting and Disclosure
SEC v. Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer Michael V. Pappagallo Individual 01-Aug-2019 02-Aug-2019 Issuer Reporting and Disclosure
SEC v. Michael A. Carroll, Michael V. Pappagallo, Steven A. Splain, and Michael Mortimer Steven A. Splain Individual 01-Aug-2019 02-Aug-2019 Issuer Reporting and Disclosure
SEC v. Gerard F. Hug and Kurt W. Streams Gerard F. Hug Individual 02-Aug-2019 Issuer Reporting and Disclosure
SEC v. Gerard F. Hug and Kurt W. Streams Kurt W. Streams Individual 02-Aug-2019 Issuer Reporting and Disclosure
In the Matter of Sito Mobile, Ltd. Sito Mobile, Ltd. Public Company 05-Aug-2019 05-Aug-2019 Issuer Reporting and Disclosure
In the Matter of BMO Capital Markets Corporation BMO Capital Markets Corporation
Aliases
Subsidiary of Public Company 16-Aug-2019 16-Aug-2019 Broker Dealer
In the Matter of TherapeuticsMD, Inc. TherapeuticsMD, Inc.  Public Company 20-Aug-2019 20-Aug-2019 Issuer Reporting and Disclosure
In the Matter of Michael Filkoski, CPA, and Scott Magnuson, CPA Michael Filkoski, CPA Individual 21-Aug-2019 21-Aug-2019 Issuer Reporting and Disclosure
In the Matter of Michael Filkoski, CPA, and Scott Magnuson, CPA Scott Magnuson, CPA Individual 21-Aug-2019 21-Aug-2019 Issuer Reporting and Disclosure
In the Matter of Deutsche Bank AG Deutsche Bank AG Public Company 22-Aug-2019 22-Aug-2019 Foreign Corrupt Practices Act
In the Matter of Juniper Networks, Inc. Juniper Networks, Inc.  Public Company 29-Aug-2019 29-Aug-2019 Foreign Corrupt Practices Act
In the Matter of Omega Protein Corporation Omega Protein Corporation  Public Company 29-Aug-2019 29-Aug-2019 Issuer Reporting and Disclosure
In the Matter of Wendy Katz Wendy Katz  Individual 29-Aug-2019 29-Aug-2019 Broker Dealer
SEC v. Cetera Advisors LLC, and Cetera Advisor Networks LLC Cetera Advisor Networks LLC Subsidiary of Public Company 29-Aug-2019 Investment Advisers/Investment Companies
SEC v. Cetera Advisors LLC, and Cetera Advisor Networks LLC Cetera Advisors, LLC  Subsidiary of Public Company 29-Aug-2019 Investment Advisers/Investment Companies
In the Matter of Sridhar Thiruvengadam Sridhar Thiruvengadam Individual 13-Sep-2019 13-Sep-2019 Foreign Corrupt Practices Act
In the Matter of AST Investment Services, Inc. and PGIM Investments LLC AST Investment Services, Inc. Subsidiary of Public Company 16-Sep-2019 16-Sep-2019 Investment Advisers/Investment Companies
In the Matter of AST Investment Services, Inc. and PGIM Investments LLC PGIM Investments LLC Subsidiary of Public Company 16-Sep-2019 16-Sep-2019 Investment Advisers/Investment Companies
In the Matter of BMO Capital Markets Corp. BMO Capital Markets Corporation
Aliases
Subsidiary of Public Company 16-Sep-2019 16-Sep-2019 Broker Dealer
In the Matter of Marvell Technology Group, Ltd. Marvell Technology Group, Ltd. Public Company 16-Sep-2019 16-Sep-2019 Issuer Reporting and Disclosure
In the Matter of Stifel, Nicolaus & Company, Incorporated Stifel, Nicolaus & Company, Inc.
Aliases
Subsidiary of Public Company 16-Sep-2019 16-Sep-2019 Broker Dealer
In the Matter of Morgan Stanley Smith Barney, LLC Morgan Stanley Smith Barney LLC
Aliases
Subsidiary of Public Company 17-Sep-2019 17-Sep-2019 Municipal Securities & Public Pensions
In the Matter of Raymond James & Associates, Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. Raymond James & Associates, Inc. Subsidiary of Public Company 17-Sep-2019 17-Sep-2019 Investment Advisers/Investment Companies
In the Matter of Raymond James & Associates, Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. Raymond James Financial Services Advisors, Inc. Subsidiary of Public Company 17-Sep-2019 17-Sep-2019 Investment Advisers/Investment Companies
In the Matter of Raymond James & Associates, Inc., Raymond James Financial Services, Inc., and Raymond James Financial Services Advisors, Inc. Raymond James Financial Services, Inc. Subsidiary of Public Company 17-Sep-2019 17-Sep-2019 Investment Advisers/Investment Companies
In the Matter of David R. Gibson David R. Gibson Individual 19-Sep-2019 19-Sep-2019 Issuer Reporting and Disclosure
In the Matter of Kevyn N. Rakowski, CPA Kevyn N. Rakowski Individual 19-Sep-2019 19-Sep-2019 Issuer Reporting and Disclosure
In the Matter of Donald F. McGraw, JR. Donald F. McGraw, JR. Individual 20-Sep-2019 20-Sep-2019 Issuer Reporting and Disclosure
In the Matter of James David Hilty James David Hilty Individual 20-Sep-2019 20-Sep-2019 Issuer Reporting and Disclosure
In the Matter of The Bancorp, Inc. The Bancorp, Inc. Public Company 20-Sep-2019 20-Sep-2019 Issuer Reporting and Disclosure
In the Matter of TechnipFMC plc. TechnipFMC plc. Public Company 23-Sep-2019 23-Sep-2019 Foreign Corrupt Practices Act
In the Matter of Comscore, Inc. Comscore, Inc. Public Company 24-Sep-2019 24-Sep-2019 Issuer Reporting and Disclosure
In the Matter of Serge Matta Serge Matta Individual 24-Sep-2019 24-Sep-2019 Issuer Reporting and Disclosure
In the Matter of TMC Bonds LLC TMC Bonds, LLC Subsidiary of Public Company 24-Sep-2019 24-Sep-2019 Broker Dealer
In the Matter of Michael P. Toups Michael Toups Individual 25-Sep-2019 Issuer Reporting and Disclosure
In the Matter of Cetera Investment Advisers LLC Cetera Investment Advisers LLC Subsidiary of Public Company 26-Sep-2019 26-Sep-2019 Investment Advisers/Investment Companies
In the Matter of Mahesh Agarwal Mahesh Agarwal Individual 26-Sep-2019 26-Sep-2019 Issuer Reporting and Disclosure
In the Matter of PPG Industries, Inc. PPG Industries, Inc. Public Company 26-Sep-2019 26-Sep-2019 Issuer Reporting and Disclosure
In the Matter of Quad/Graphics, Inc. Quad/Graphics, Inc. Public Company 26-Sep-2019 26-Sep-2019 Foreign Corrupt Practices Act
In the Matter of Barclays PLC Barclays PLC Public Company 27-Sep-2019 27-Sep-2019 Foreign Corrupt Practices Act
In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp. BMO Asset Management Corp. Subsidiary of Public Company 27-Sep-2019 27-Sep-2019 Investment Advisers/Investment Companies
In the Matter of BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp. BMO Harris Financial Advisors, Inc. Subsidiary of Public Company 27-Sep-2019 27-Sep-2019 Investment Advisers/Investment Companies
In the Matter of FCA US LLC and FIAT Chrysler Automobiles N.V. FCA US LLC Public Company 27-Sep-2019 27-Sep-2019 Issuer Reporting and Disclosure
In the Matter of FCA US LLC and FIAT Chrysler Automobiles N.V. Fiat Chrysler Automobiles N.V. Public Company 27-Sep-2019 27-Sep-2019 Issuer Reporting and Disclosure
In the Matter of GFI Securities LLC GFI Securities LLC Subsidiary of Public Company 27-Sep-2019 27-Sep-2019 Broker Dealer
In the Matter of Herbalife Nutrition Ltd. Herbalife Nutrition Ltd. Public Company 27-Sep-2019 27-Sep-2019 Issuer Reporting and Disclosure
In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty Nancy Gougarty Individual 27-Sep-2019 27-Sep-2019 Foreign Corrupt Practices Act
In the Matter of Westport Fuel Systems, Inc. and Nancy Gougarty Westport Fuel Systems, Inc. Public Company 27-Sep-2019 27-Sep-2019 Foreign Corrupt Practices Act
SEC v. Mylan N.V. Mylan N.V. Public Company 27-Sep-2019 27-Sep-2019 Issuer Reporting and Disclosure
In the Matter of Hilltop Securities, Inc. and Hilltop Securities Independent Network, Inc. Hilltop Securities Inc.
Aliases
Subsidiary of Public Company 30-Sep-2019 30-Sep-2019 Investment Advisers/Investment Companies
In the Matter of Hilltop Securities, Inc. and Hilltop Securities Independent Network, Inc. Hilltop Securities Independent Network, Inc. Subsidiary of Public Company 30-Sep-2019 30-Sep-2019 Investment Advisers/Investment Companies
In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC KCG Americas LLC
Aliases
Subsidiary of Public Company 30-Sep-2019 30-Sep-2019 Broker Dealer
In the Matter of Northwest Biotherapeutics, Inc. Northwest Biotherapeutics, Inc. Public Company 10-Oct-2019 10-Oct-2019 Issuer Reporting and Disclosure
In the Matter of UQM Technologies, Inc. UQM Technologies, Inc. Public Company 11-Oct-2019 11-Oct-2019 Issuer Reporting and Disclosure
SEC v. Bolton Securities Corporation d/b/a/ Bolton Global Asset Management Bolton Securities Corporation Other 04-Nov-2019 25-Feb-2021 Investment Advisers/Investment Companies
In the Matter of Morgan Stanley Smith Barney LLC Morgan Stanley Smith Barney LLC
Aliases
Subsidiary of Public Company 07-Nov-2019 07-Nov-2019 Broker Dealer
SEC v. Jerry Li Jerry Li Individual 14-Nov-2019 28-Jun-2022 Foreign Corrupt Practices Act
In the Matter of Calumet Specialty Products Partners, L.P. Calumet Specialty Products Partners, L.P. Public Company 25-Nov-2019 25-Nov-2019 Issuer Reporting and Disclosure
SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken Michael J. Senken Individual 26-Nov-2019 26-Nov-2019 Issuer Reporting and Disclosure
SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken MiMedx Group, Inc. Public Company 26-Nov-2019 26-Nov-2019 Issuer Reporting and Disclosure
SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken Parker H. Petit Individual 26-Nov-2019 26-Nov-2019 Issuer Reporting and Disclosure
SEC v. MiMedx Group, Inc., Parker H. Petit, William C. Taylor, Michael J. Senken William C. Taylor Individual 26-Nov-2019 26-Nov-2019 Issuer Reporting and Disclosure
In the Matter of Jatindar Kapur, CPA Jatindar Kapur, CPA Individual 05-Dec-2019 05-Dec-2019 Issuer Reporting and Disclosure
In the Matter of Warren Clamen, CPA Warren Clamen, CPA Individual 05-Dec-2019 05-Dec-2019 Issuer Reporting and Disclosure
SEC v. Bobby Peavler and William Eric Meek Bobby Peavler Individual 05-Dec-2019 Issuer Reporting and Disclosure
SEC v. Bobby Peavler and William Eric Meek William Eric Meek Individual 05-Dec-2019 Issuer Reporting and Disclosure
SEC v. Iconix Brand Group, Inc. Iconix Brand Group, Inc. Public Company 05-Dec-2019 05-Dec-2019 Issuer Reporting and Disclosure
SEC v. Neil R. Cole and Seth Horowitz Neil R. Cole Individual 05-Dec-2019 13-Dec-2019 Issuer Reporting and Disclosure
SEC v. Neil R. Cole and Seth Horowitz Seth Horowitz Individual 05-Dec-2019 13-Dec-2019 Issuer Reporting and Disclosure
SEC v. Telefonaktiebolaget LM Ericsson Telefonaktiebolaget LM Ericsson Public Company 06-Dec-2019 06-Dec-2019 Foreign Corrupt Practices Act
In the Matter of Jefferies LLC Jefferies LLC
Aliases
Subsidiary of Public Company 09-Dec-2019 09-Dec-2019 Broker Dealer
In the Matter of StoneMor Partners L.P. and StoneMor GP LLC StoneMor GP LLC Other 12-Dec-2019 12-Dec-2019 Issuer Reporting and Disclosure
In the Matter of StoneMor Partners L.P. and StoneMor GP LLC StoneMor Partners L.P. Public Company 12-Dec-2019 12-Dec-2019 Issuer Reporting and Disclosure
In the Matter of Tim Leissner Tim Leissner Individual 16-Dec-2019 16-Dec-2019 Foreign Corrupt Practices Act
In the Matter of MetLife, Inc. MetLife, Inc
Aliases
Public Company 18-Dec-2019 18-Dec-2019 Issuer Reporting and Disclosure
In the Matter of Quantum Corporation Quantum Corporation Public Company 20-Dec-2019 20-Dec-2019 Issuer Reporting and Disclosure
In the Matter of J.P. Morgan Securities LLC J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 09-Jan-2020 09-Jan-2020 Broker Dealer
SEC v. Hill International, Inc., Ronald Emma, and Nicholas Tornello Nicholas Tornello Individual 16-Jan-2020 01-Oct-2020 Issuer Reporting and Disclosure
SEC v. Hill International, Inc., Ronald Emma, and Nicholas Tornello Hill International, Inc. Public Company 16-Jan-2020 17-Jan-2020 Issuer Reporting and Disclosure
SEC v. Hill International, Inc., Ronald Emma, and Nicholas Tornello Nicholas Tornello Individual 16-Jan-2020 17-Jan-2020 Issuer Reporting and Disclosure
SEC v. Hill International, Inc., Ronald Emma, and Nicholas Tornello Ronald Emma Individual 16-Jan-2020 17-Jan-2020 Issuer Reporting and Disclosure
In the Matter of Diageo plc Diageo plc Public Company 19-Feb-2020 19-Feb-2020 Issuer Reporting and Disclosure
In the Matter of Wells Fargo & Company Wells Fargo & Co.
Aliases
Public Company 21-Feb-2020 21-Feb-2020 Issuer Reporting and Disclosure
In the Matter of Lone Star Value Management LLC and Jeffrey Eberwein Jeffrey Eberwein Individual 24-Feb-2020 24-Feb-2020 Investment Advisers/Investment Companies
In the Matter of Lone Star Value Management LLC and Jeffrey Eberwein Lone Star Value Management LLC Subsidiary of Public Company 24-Feb-2020 24-Feb-2020 Investment Advisers/Investment Companies
In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC Wells Fargo Advisors Financial Network, LLC Subsidiary of Public Company 27-Feb-2020 27-Feb-2020 Investment Advisers/Investment Companies
In the Matter of Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC Wells Fargo Clearing Services, LLC Subsidiary of Public Company 27-Feb-2020 27-Feb-2020 Investment Advisers/Investment Companies
SEC v. SCANA Corporation, Dominion Energy South Carolina, Inc. (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Byrne Dominion Energy South Carolina, Inc. Subsidiary of Public Company 27-Feb-2020 02-Dec-2020 Issuer Reporting and Disclosure
SEC v. SCANA Corporation, Dominion Energy South Carolina, Inc. (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Byrne Kevin B. Marsh Individual 27-Feb-2020 02-Dec-2020 Issuer Reporting and Disclosure
SEC v. SCANA Corporation, Dominion Energy South Carolina, Inc. (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Byrne SCANA Corporation Subsidiary of Public Company 27-Feb-2020 02-Dec-2020 Issuer Reporting and Disclosure
SEC v. SCANA Corporation, Dominion Energy South Carolina, Inc. (f/k/a South Carolina Electric & Gas Company), Kevin B. Marsh, and Stephen A. Byrne Stephen A. Byrne Individual 27-Feb-2020 02-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Cardinal Health, Inc. Cardinal Health, Inc. Public Company 28-Feb-2020 28-Feb-2020 Foreign Corrupt Practices Act
In the Matter of HSBC Securities (USA) Inc. HSBC Securities (USA) Inc. Subsidiary of Public Company 16-Mar-2020 16-Mar-2020 Investment Advisers/Investment Companies
In the Matter of Ronald Emma, CPA Ronald Emma Individual 20-Mar-2020 20-Mar-2020 Issuer Reporting and Disclosure
In the Matter of Eni S.p.A. ENI, S.p.A.
Aliases
Public Company 17-Apr-2020 17-Apr-2020 Foreign Corrupt Practices Act
In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated
Aliases
Subsidiary of Public Company 17-Apr-2020 17-Apr-2020 Investment Advisers/Investment Companies
In the Matter of RBC Capital Markets LLC RBC Capital Markets, LLC
Aliases
Subsidiary of Public Company 24-Apr-2020 24-Apr-2020 Broker Dealer
In the Matter of Todd H. Takeyasu, CA Todd H. Takeyasu
Aliases
Individual 01-May-2020 01-May-2020 Issuer Reporting and Disclosure
In the Matter of Jeffery A. Curran, CA Jeffrey A. Curran
Aliases
Individual 05-May-2020 05-May-2020 Issuer Reporting and Disclosure
In the Matter of Morgan Stanley Smith Barney LLC Morgan Stanley Smith Barney LLC
Aliases
Subsidiary of Public Company 12-May-2020 12-May-2020 Investment Advisers/Investment Companies
In the Matter of Morningstar Credit Ratings, LLC Morningstar Credit Ratings, LLC Subsidiary of Public Company 15-May-2020 15-May-2020 Other
In the Matter of Ares Management LLC Ares Management LLC Subsidiary of Public Company 26-May-2020 26-May-2020 Investment Advisers/Investment Companies
In the Matter of Warren A. Davis Warren A. Davis Individual 27-May-2020 Broker Dealer
In the Matter of U.S. Bancorp Investments, Inc. U.S. Bancorp Investments, Inc. Subsidiary of Public Company 01-Jun-2020 01-Jun-2020 Investment Advisers/Investment Companies
In the Matter of Argo Group International Holdings, Ltd. Argo Group International Holdings, Ltd. Public Company 04-Jun-2020 04-Jun-2020 Issuer Reporting and Disclosure
In the Matter of Louis Navellier and Navellier & Associates, Inc. Louis Navellier Individual 12-Jun-2020 Investment Advisers/Investment Companies
In the Matter of Louis Navellier and Navellier & Associates, Inc. Navellier & Associates, Inc. Other 12-Jun-2020 Investment Advisers/Investment Companies
SEC v. AmTrust Financial Services, Inc. and Ronald E. Pipoly, Jr. AmTrust Financial Services, Inc. Public Company 17-Jun-2020 17-Jun-2020 Issuer Reporting and Disclosure
SEC v. AmTrust Financial Services, Inc. and Ronald E. Pipoly, Jr. Ronald E. Pipoly, Jr. Individual 17-Jun-2020 17-Jun-2020 Issuer Reporting and Disclosure
In the Matter of VEREIT, Inc. VEREIT, Inc.
Aliases
Public Company 23-Jun-2020 23-Jun-2020 Issuer Reporting and Disclosure
In the Matter of Novartis AG Novartis AG Public Company 25-Jun-2020 25-Jun-2020 Foreign Corrupt Practices Act
In the Matter of Alexion Pharmaceuticals, Inc. Alexion Pharmaceuticals, Inc. Public Company 02-Jul-2020 02-Jul-2020 Foreign Corrupt Practices Act
In the Matter of Franklin Advisers, Inc., and Franklin Templeton Investments Corp. Franklin Advisers, Inc. Subsidiary of Public Company 02-Jul-2020 02-Jul-2020 Investment Advisers/Investment Companies
In the Matter of Franklin Advisers, Inc., and Franklin Templeton Investments Corp. Franklin Templeton Investments Corp. Subsidiary of Public Company 02-Jul-2020 02-Jul-2020 Investment Advisers/Investment Companies
In the Matter of First Western Capital Management Company First Western Capital Management Company Subsidiary of Public Company 16-Jul-2020 16-Jul-2020 Investment Advisers/Investment Companies
In the Matter of John J. Marvin John J. Marvin Individual 20-Jul-2020 20-Jul-2020 Municipal Securities & Public Pensions
In the Matter of UBS Financial Services Inc. UBS Financial Services Inc.
Aliases
Subsidiary of Public Company 20-Jul-2020 20-Jul-2020 Municipal Securities & Public Pensions
In the Matter of William S. Costas William S. Costas Individual 20-Jul-2020 20-Jul-2020 Municipal Securities & Public Pensions
In the Matter of VALIC Financial Advisors, Inc. VALIC Financial Advisors, Inc. Subsidiary of Public Company 28-Jul-2020 28-Jul-2020 Investment Advisers/Investment Companies
In the Matter of VALIC Financial Advisors, Inc. VALIC Financial Advisors, Inc. Subsidiary of Public Company 28-Jul-2020 28-Jul-2020 Investment Advisers/Investment Companies
In the Matter of Howard B. Schiller Howard B. Schiller Individual 31-Jul-2020 31-Jul-2020 Issuer Reporting and Disclosure
In the Matter of J. Michael Pearson J. Michael Pearson Individual 31-Jul-2020 31-Jul-2020 Issuer Reporting and Disclosure
In the Matter of Tanya R. Carro, CPA Tanya R. Carro, CPA Individual 31-Jul-2020 31-Jul-2020 Issuer Reporting and Disclosure
In the Matter of Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies Inc. Bausch Health Companies, Inc.
Aliases
Public Company 31-Jul-2020 31-Jul-2020 Issuer Reporting and Disclosure
In the Matter of World Acceptance Corporation World Acceptance Corporation Public Company 06-Aug-2020 06-Aug-2020 Foreign Corrupt Practices Act
SEC v. Mark P. Frissora Mark P. Frissora Individual 13-Aug-2020 26-Aug-2020 Issuer Reporting and Disclosure
In the Matter of Charles Liang Charles Liang Individual 25-Aug-2020 25-Aug-2020 Issuer Reporting and Disclosure
In the Matter of Howard Hideshima Howard Hideshima Individual 25-Aug-2020 25-Aug-2020 Issuer Reporting and Disclosure
In the Matter of Super Micro Computer, Inc. Super Micro Computer, Inc. Public Company 25-Aug-2020 25-Aug-2020 Issuer Reporting and Disclosure
In the Matter of BorgWarner Inc. BorgWarner Inc. Public Company 26-Aug-2020 26-Aug-2020 Issuer Reporting and Disclosure
In the Matter of Herbalife Nutrition Ltd. Herbalife Nutrition Ltd. Public Company 28-Aug-2020 28-Aug-2020 Foreign Corrupt Practices Act
In the Matter of FuelCell Energy, Inc. FuelCell Energy, Inc. Public Company 03-Sep-2020 03-Sep-2020 Securities Offering
In the Matter of National Financial Services LLC National Financial Services LLC Other 03-Sep-2020 03-Sep-2020 Securities Offering
In the Matter of Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited Northern Trust Global Fund Services Cayman Limited Subsidiary of Public Company 18-Sep-2020 18-Sep-2020 Investment Advisers/Investment Companies
In the Matter of Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited Northern Trust Hedge Fund Services LLC Subsidiary of Public Company 18-Sep-2020 18-Sep-2020 Investment Advisers/Investment Companies
In the Matter of RCI Hospitality Holdings, Inc., Eric S. Langan, and Phillip K. Marshall, CPA Eric S. Langan Individual 21-Sep-2020 21-Sep-2020 Issuer Reporting and Disclosure
In the Matter of RCI Hospitality Holdings, Inc., Eric S. Langan, and Phillip K. Marshall, CPA Phillip K. Marshall, CPA Individual 21-Sep-2020 21-Sep-2020 Issuer Reporting and Disclosure
In the Matter of RCI Hospitality Holdings, Inc., Eric S. Langan, and Phillip K. Marshall, CPA RCI Hospitality Holdings, Inc. Public Company 21-Sep-2020 21-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Steven L. Jenkins, CPA Steven L. Jenkins, CPA Individual 21-Sep-2020 21-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Credit Suisse Securities (USA) LLC Credit Suisse Securities (USA) LLC Subsidiary of Public Company 22-Sep-2020 22-Sep-2020 Broker Dealer
In the Matter of Power Solutions International, Inc. Power Solutions International, Inc. Public Company 24-Sep-2020 24-Sep-2020 Issuer Reporting and Disclosure
SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner Allen Garner Individual 24-Sep-2020 24-Sep-2020 Issuer Reporting and Disclosure
SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner Daniel O'Neal Individual 24-Sep-2020 24-Sep-2020 Issuer Reporting and Disclosure
SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner James DePalma Individual 24-Sep-2020 24-Sep-2020 Issuer Reporting and Disclosure
SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner Revolution Lighting Technologies, Inc. Public Company 24-Sep-2020 24-Sep-2020 Issuer Reporting and Disclosure
SEC v. Revolution Lighting Technologies, Inc. Robert LaPenta, James DePalma, Daniel O'Neal, and Allen Garner Robert LaPenta Individual 24-Sep-2020 24-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Aeon Global Health Corp. Aeon Global Health Corp. Public Company 25-Sep-2020 25-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Hancock Whitney Investment Services, Inc. Hancock Whitney Investment Services, Inc. Subsidiary of Public Company 25-Sep-2020 25-Sep-2020 Investment Advisers/Investment Companies
In the Matter of Precigen, Inc. (f/k/a Intrexon Corporation) Precigen, Inc. Public Company 25-Sep-2020 25-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Fiat Chrysler Automobiles N.V. Fiat Chrysler Automobiles N.V. Public Company 28-Sep-2020 28-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Fulton Financial Corporation Fulton Financial Corporation Public Company 28-Sep-2020 28-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA Gregory J. Bauer, CPA Individual 28-Sep-2020 28-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA Interface, Inc. Public Company 28-Sep-2020 28-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Interface, Inc., Gregory J. Bauer, CPA, and Patrick C. Lynch, CPA Patrick C. Lynch, CPA Individual 28-Sep-2020 28-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Andrew Rooke Andrew Rooke Individual 29-Sep-2020 29-Sep-2020 Issuer Reporting and Disclosure
In the Matter of J.P. Morgan Securities LLC J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 29-Sep-2020 29-Sep-2020 Market Manipulation
In the Matter of Manitex International, Inc. Manitex International, Inc. Public Company 29-Sep-2020 29-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Michael Schneider, CPA Michael Schneider, CPA Individual 29-Sep-2020 29-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Stephen Harrison Stephen Harrison Individual 29-Sep-2020 29-Sep-2020 Issuer Reporting and Disclosure
In the Matter of BGC Partners, Inc. BGC Partners, Inc. Public Company 30-Sep-2020 30-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Hilton Worldwide Holdings Inc. Hilton Worldwide Holdings Inc. Public Company 30-Sep-2020 30-Sep-2020 Issuer Reporting and Disclosure
In the Matter of HP Inc. HP Inc. Public Company 30-Sep-2020 30-Sep-2020 Issuer Reporting and Disclosure
In the Matter of Morgan Stanley & Co. LLC Morgan Stanley and Co. LLC
Aliases
Subsidiary of Public Company 30-Sep-2020 30-Sep-2020 Broker Dealer
In the Matter of Transamerica Asset Management, Inc. Transamerica Asset Management, Inc. Subsidiary of Public Company 30-Sep-2020 30-Sep-2020 Investment Advisers/Investment Companies
SEC v. Akazoo S.A. Akazoo S.A. Public Company 30-Sep-2020 02-Apr-2021 Issuer Reporting and Disclosure
In the Matter of Nicholas Tornello, CPA Nicholas Tornello Individual 05-Oct-2020 05-Oct-2020 Issuer Reporting and Disclosure
SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants) Brent N. Whiteley Individual 08-Oct-2020 17-Dec-2020 Issuer Reporting and Disclosure
SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants) Brian A. Beatty Individual 08-Oct-2020 17-Dec-2020 Issuer Reporting and Disclosure
SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants) Jeffrey H. Hastings Individual 08-Oct-2020 17-Dec-2020 Issuer Reporting and Disclosure
SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants) Michael J. Scott Individual 08-Oct-2020 17-Dec-2020 Issuer Reporting and Disclosure
SEC (Plaintiff) v. SAExploration Holdings Inc., Jeffrey H. Hastings, Brent N. Whiteley, Brian A. Beatty, and Michael J. Scott (Defendants) and Thomas W. O'Neill and Lori E. Hastings (Relief Defendants) SAExploration Holdings, Inc. Public Company 08-Oct-2020 17-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Allen Garner Allen Garner Individual 14-Oct-2020 14-Oct-2020 Issuer Reporting and Disclosure
In the Matter of Daniel O'Neal Daniel O'Neal Individual 14-Oct-2020 14-Oct-2020 Issuer Reporting and Disclosure
In the Matter of James DePalma, CPA James DePalma Individual 14-Oct-2020 14-Oct-2020 Issuer Reporting and Disclosure
In the Matter of Andeavor LLC Andeavor LLC Subsidiary of Public Company 15-Oct-2020 15-Oct-2020 Issuer Reporting and Disclosure
In the Matter of The Goldman Sachs Group, Inc. The Goldman Sachs Group, Inc
Aliases
Public Company 22-Oct-2020 22-Oct-2020 Foreign Corrupt Practices Act
In the Matter of Mohammed Ali Rashid Mohammed Ali Rashid Individual 26-Oct-2020 Investment Advisers/Investment Companies
In the Matter of John G. Stumpf John G. Stumpf Individual 13-Nov-2020 13-Nov-2020 Issuer Reporting and Disclosure
In the Matter of Royal Alliance Associates, Inc. Royal Alliance Associates, Inc. Subsidiary of Public Company 13-Nov-2020 13-Nov-2020 Investment Advisers/Investment Companies
In the Matter of Securities America Advisors, Inc. Securities America Advisors, Inc. Subsidiary of Public Company 13-Nov-2020 13-Nov-2020 Investment Advisers/Investment Companies
In the Matter of Summit Financial Group, Inc. Summit Financial Group, Inc. Subsidiary of Public Company 13-Nov-2020 13-Nov-2020 Investment Advisers/Investment Companies
SEC v. Carrie L. Tolstedt Carrie L. Tolstedt Individual 13-Nov-2020 Issuer Reporting and Disclosure
SEC v. Eugenio Garcia Jimenez, Jr. Eugenio Garcia Jimenez, Jr. Individual 01-Dec-2020 Investment Advisers/Investment Companies
In the Matter of The Cheesecake Factory Incorporated The Cheesecake Factory Incorporated Public Company 04-Dec-2020 04-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Covia Holdings Corp. and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC Covia Holdings Corp. Public Company 08-Dec-2020 08-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Covia Holdings Corp. and Fairmount Santrol Holdings Inc. now known as Bison Merger Sub I, LLC Fairmount Santrol Holdings Inc.
Aliases
Subsidiary of Public Company 08-Dec-2020 08-Dec-2020 Issuer Reporting and Disclosure
In the Matter of General Electric Company General Electric Company Public Company 09-Dec-2020 09-Dec-2020 Issuer Reporting and Disclosure
In the Matter of ICE Data Pricing & Reference Data, LLC ICE Data Pricing & Reference Data, LLC Subsidiary of Public Company 09-Dec-2020 09-Dec-2020 Investment Advisers/Investment Companies
In the Matter of Mark E. Watson III Mark E. Watson III Individual 10-Dec-2020 10-Dec-2020 Issuer Reporting and Disclosure
SEC v. Sequential Brands Group, Inc. Sequential Brands Group, Inc. Public Company 11-Dec-2020 01-Dec-2021 Issuer Reporting and Disclosure
In the Matter of Belden Inc. and Dennis Wiser, CPA Belden Inc. Public Company 14-Dec-2020 14-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Belden Inc. and Dennis Wiser, CPA Dennis Wiser, CPA Individual 14-Dec-2020 14-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Dentsply Sirona Inc. Dentsply Sirona Inc. Public Company 16-Dec-2020 16-Dec-2020 Issuer Reporting and Disclosure
SEC v. Luckin Coffee, Inc. Luckin Coffee Inc. Public Company 16-Dec-2020 16-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Apex Global Brands Inc., fka Cherokee Inc. Apex Global Brands Inc. Public Company 17-Dec-2020 17-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Jason Boling, CPA Jason Boling, CPA Individual 17-Dec-2020 17-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. Alejandro Valdez Mendoza, C.P. Individual 17-Dec-2020 17-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. Angel Radames Corral Nieblas, C.P. Individual 17-Dec-2020 17-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Mancera, S.C., Alejandro Valdez Mendoza, C.P., and Angel Radames Corral Nieblas, C.P. Mancera, S.C. Other 17-Dec-2020 17-Dec-2020 Issuer Reporting and Disclosure
In the Matter of Cormark Securities Inc. Cormark Securities Inc. Other 21-Dec-2020 21-Dec-2020 Broker Dealer
In the Matter of India Globalization Capital, Inc. and Ramachandra "Ram" Mukunda India Globalization Capital, Inc. Public Company 21-Dec-2020 21-Dec-2020 Issuer Reporting and Disclosure
In the Matter of India Globalization Capital, Inc. and Ramachandra "Ram" Mukunda Ramachandra "Ram" Mukunda Individual 21-Dec-2020 21-Dec-2020 Issuer Reporting and Disclosure
In the Matter of ITG Canada Corp. n/k/a Virtu ITG Canada Corp. ITG Canada Corp. Subsidiary of Public Company 21-Dec-2020 21-Dec-2020 Broker Dealer
In the Matter of Voya Financial Advisors, Inc. Voya Financial Advisors, Inc. Subsidiary of Public Company 21-Dec-2020 21-Dec-2020 Investment Advisers/Investment Companies
In the Matter of Pruco Securities, LLC Pruco Securities, LLC Subsidiary of Public Company 23-Dec-2020 23-Dec-2020 Investment Advisers/Investment Companies
In the Matter of Barry F. Connell Barry F. Connell Individual 05-Jan-2021 05-Jan-2021 Investment Advisers/Investment Companies
In the Matter of Deutsche Bank AG Deutsche Bank AG Public Company 08-Jan-2021 08-Jan-2021 Foreign Corrupt Practices Act
In the Matter of Winslow, Evans & Croker, Inc. Winslow, Evans & Crocker, Inc. Subsidiary of Public Company 11-Feb-2021 11-Feb-2021 Investment Advisers/Investment Companies
SEC v. Morningstar Credit Ratings, LLC Morningstar Credit Ratings, LLC Subsidiary of Public Company 16-Feb-2021 07-Jun-2022 Other
In the Matter of Gulfport Energy Corporation Gulfport Energy Corporation Public Company 24-Feb-2021 24-Feb-2021 Issuer Reporting and Disclosure
In the Matter of Michael G. Moore Michael G. Moore Individual 24-Feb-2021 24-Feb-2021 Issuer Reporting and Disclosure
In the Matter of Ross McLellan Ross I. McLellan Individual 02-Mar-2021 02-Mar-2021 Broker Dealer
SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black AT&T, Inc. Public Company 05-Mar-2021 Issuer Reporting and Disclosure
SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black Christopher C. Womack Individual 05-Mar-2021 Issuer Reporting and Disclosure
SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black Kent D. Evans Individual 05-Mar-2021 Issuer Reporting and Disclosure
SEC v. AT&T, Inc., Christopher C. Womack, Kent D. Evans, and Michael J. Black Michael J. Black Individual 05-Mar-2021 Issuer Reporting and Disclosure
In the Matter of Asta Funding, Inc. Asta Funding, Inc. Public Company 29-Apr-2021 29-Apr-2021 Issuer Reporting and Disclosure
In the Matter of ShiftPixy, Inc. ShiftPixy, Inc. Public Company 29-Apr-2021 29-Apr-2021 Issuer Reporting and Disclosure
In the Matter of Under Armour, Inc. Under Armour, Inc. Public Company 03-May-2021 03-May-2021 Issuer Reporting and Disclosure
In the Matter of S&P Dow Jones Indices LLC S&P Dow Jones Indices LLC Subsidiary of Public Company 17-May-2021 17-May-2021 Issuer Reporting and Disclosure
In the Matter of First American Financial Corporation First American Financial Corporation Public Company 14-Jun-2021 14-Jun-2021 Issuer Reporting and Disclosure
In the Matter of Gateway One Lending & Finance, LLC Gateway One Lending & Finance, LLC Subsidiary of Public Company 24-Jun-2021 24-Jun-2021 Securities Offering
In the Matter of Amec Foster Wheeler Limited Amec Foster Wheeler Limited Public Company 25-Jun-2021 25-Jun-2021 Foreign Corrupt Practices Act
In the Matter of Neovest, Inc. Neovest, Inc. Subsidiary of Public Company 29-Jun-2021 29-Jun-2021 Broker Dealer
In the Matter of Securities America Advisors, Inc. Securities America Advisors, Inc. Subsidiary of Public Company 30-Jun-2021 30-Jun-2021 Investment Advisers/Investment Companies
In the Matter of Hilltop Securities Inc. and Daniel C. Tracy Daniel C. Tracy Individual 09-Jul-2021 09-Jul-2021 Municipal Securities & Public Pensions
In the Matter of Hilltop Securities Inc. and Daniel C. Tracy Hilltop Securities Inc.
Aliases
Subsidiary of Public Company 09-Jul-2021 09-Jul-2021 Municipal Securities & Public Pensions
In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot Brian Kabot Individual 13-Jul-2021 13-Jul-2021 Issuer Reporting and Disclosure
In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot Momentus, Inc. Other 13-Jul-2021 13-Jul-2021 Issuer Reporting and Disclosure
In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot SRC-NI Holdings, LLC Other 13-Jul-2021 13-Jul-2021 Issuer Reporting and Disclosure
In the Matter of Momentus, Inc., Stable Road Acquisition Corp., SRC-NI Holdings, LLC, and Brian Kabot Stable Road Acquisition Corp. Public Company 13-Jul-2021 13-Jul-2021 Issuer Reporting and Disclosure
In the Matter of Paul L. Chancey, Jr., CPA Paul L. Chancey, Jr. CPA Individual 13-Jul-2021 Issuer Reporting and Disclosure
SEC v. Mikhail Kororich Mikhail Kokorich Individual 13-Jul-2021 Issuer Reporting and Disclosure
In the Matter of UBS Financial Services Inc. UBS Financial Services Inc.
Aliases
Subsidiary of Public Company 19-Jul-2021 19-Jul-2021 Investment Advisers/Investment Companies
In the Matter of Tandy Leather Factory, Inc. and Shannon Greene, CPA Shannon Greene, CPA Individual 21-Jul-2021 21-Jul-2021 Issuer Reporting and Disclosure
In the Matter of Tandy Leather Factory, Inc. and Shannon Greene, CPA Tandy Leather Factory, Inc. Public Company 21-Jul-2021 21-Jul-2021 Issuer Reporting and Disclosure
In the Matter of Brent Whiteley, Esq. Brent N. Whiteley Individual 26-Jul-2021 26-Jul-2021 Issuer Reporting and Disclosure
In the Matter of Michael Mortimer Michael Mortimer Individual 26-Jul-2021 26-Jul-2021 Issuer Reporting and Disclosure
In the Matter of Steven A. Splain, CPA Steven A. Splain Individual 26-Jul-2021 26-Jul-2021 Issuer Reporting and Disclosure
SEC v. Trevor R. Milton Trevor R. Milton Individual 29-Jul-2021 Issuer Reporting and Disclosure
In the Matter of Paycom Software, Inc. Paycom Software, Inc. Public Company 30-Jul-2021 30-Jul-2021 Issuer Reporting and Disclosure
SEC v. Live Ventures Incorporated; JanOne Inc.; John Isaac a/k/a/ Jon Isaac; Kingston Diversified Holdings LLC; and Virland A. Johnson JanOne Inc. Public Company 02-Aug-2021 Issuer Reporting and Disclosure
SEC v. Live Ventures Incorporated; JanOne Inc.; John Isaac a/k/a/ Jon Isaac; Kingston Diversified Holdings LLC; and Virland A. Johnson John Isaac Individual 02-Aug-2021 Issuer Reporting and Disclosure
SEC v. Live Ventures Incorporated; JanOne Inc.; John Isaac a/k/a/ Jon Isaac; Kingston Diversified Holdings LLC; and Virland A. Johnson Kingston Diversified Holdings LLC Other 02-Aug-2021 Issuer Reporting and Disclosure
SEC v. Live Ventures Incorporated; JanOne Inc.; John Isaac a/k/a/ Jon Isaac; Kingston Diversified Holdings LLC; and Virland A. Johnson Live Ventures Incorporated Public Company 02-Aug-2021 Issuer Reporting and Disclosure
SEC v. Live Ventures Incorporated; JanOne Inc.; John Isaac a/k/a/ Jon Isaac; Kingston Diversified Holdings LLC; and Virland A. Johnson Virland A. Johnson Individual 02-Aug-2021 Issuer Reporting and Disclosure
In the Matter of National Beverage Corp. National Beverage Corp. Public Company 04-Aug-2021 04-Aug-2021 Issuer Reporting and Disclosure
In the Matter of Gary S. Klein Gary S. Klein Individual 09-Aug-2021 09-Aug-2021 Issuer Reporting and Disclosure
In the Matter of Pearson plc Pearson Plc Public Company 16-Aug-2021 16-Aug-2021 Issuer Reporting and Disclosure
In the Matter of Sofi Wealth, LLC Sofi Wealth, LLC. Subsidiary of Public Company 19-Aug-2021 19-Aug-2021 Investment Advisers/Investment Companies
In the Matter of Healthcare Services Group, Inc. Derya D. Warner Individual 24-Aug-2021 24-Aug-2021 Issuer Reporting and Disclosure
In the Matter of Healthcare Services Group, Inc. Healthcare Services Group, Inc. Public Company 24-Aug-2021 24-Aug-2021 Issuer Reporting and Disclosure
In the Matter of Healthcare Services Group, Inc. John C. Shea, CPA Individual 24-Aug-2021 24-Aug-2021 Issuer Reporting and Disclosure
In the Matter of Northwest Advisors, Inc. Northwest Advisors, Inc. Subsidiary of Public Company 24-Aug-2021 24-Aug-2021 Investment Advisers/Investment Companies
In the Matter of KMS Financial Services, Inc. KMS Financial Services, Inc. Subsidiary of Public Company 30-Aug-2021 30-Aug-2021 Investment Advisers/Investment Companies
In the Matter of Pareteum Corporation Pareteum Corporation Public Company 02-Sep-2021 02-Sep-2021 Issuer Reporting and Disclosure
SEC v. Cavco Industries, Inc.; Joseph Stegmayer; and Daniel Urness Cavco Industries, Inc. Public Company 02-Sep-2021 07-Sep-2021 Insider Trading
SEC v. Cavco Industries, Inc.; Joseph Stegmayer; and Daniel Urness Daniel Urness Individual 02-Sep-2021 07-Sep-2021 Insider Trading
SEC v. Cavco Industries, Inc.; Joseph Stegmayer; and Daniel Urness Joseph Stegmayer Individual 02-Sep-2021 07-Sep-2021 Insider Trading
SEC v. Robert Scott Parkhurst Robert Scott Parkhurst Individual 02-Sep-2021 08-Oct-2021 Insider Trading
In the Matter of The Kraft Heinz Co., and Eduardo Pelleissone Eduardo Pelleissone Individual 03-Sep-2021 03-Sep-2021 Issuer Reporting and Disclosure
In the Matter of The Kraft Heinz Co., and Eduardo Pelleissone The Kraft Heinz Co. Public Company 03-Sep-2021 03-Sep-2021 Issuer Reporting and Disclosure
SEC v. Klaus Hofmann Klaus Hofmann Individual 03-Sep-2021 09-Sep-2021 Issuer Reporting and Disclosure
In the Matter of DBRS, Inc. DBRS, Inc. Subsidiary of Public Company 13-Sep-2021 13-Sep-2021 Other
In the Matter of Jaime L. Durando Jaime L. Durando Individual 17-Sep-2021 17-Sep-2021 Municipal Securities & Public Pensions
In the Matter of Kenneth G. Friedrich Kenneth G. Friedrich Individual 17-Sep-2021 17-Sep-2021 Municipal Securities & Public Pensions
In the Matter of RBC Capital Markets, LLC RBC Capital Markets, LLC
Aliases
Subsidiary of Public Company 17-Sep-2021 17-Sep-2021 Municipal Securities & Public Pensions
In the Matter of WPP plc WPP plc Public Company 24-Sep-2021 24-Sep-2021 Foreign Corrupt Practices Act
In the Matter of Carlos Javier Moctezuma Velasco Carlos Javier Moctezuma Velasco Individual 27-Sep-2021 Issuer Reporting and Disclosure
In the Matter of Cowen Prime Advisors LLC Cowen Prime Advisors LLC Subsidiary of Public Company 27-Sep-2021 27-Sep-2021 Investment Advisers/Investment Companies
In the Matter of Noe Corrales Reyes Noe Corrales Reyes Individual 27-Sep-2021 Issuer Reporting and Disclosure
In the Matter of Ramón Lafarga Bátiz Ramón Lafarga Bátiz Individual 27-Sep-2021 Issuer Reporting and Disclosure
In the Matter of Ravindranathan Raghunathan, CPA and Craig A. Golding, CPA Craig A. Golding, CPA Individual 27-Sep-2021 27-Sep-2021 Issuer Reporting and Disclosure
In the Matter of Ravindranathan Raghunathan, CPA and Craig A. Golding, CPA Ravindranathan Raghunathan, CPA Individual 27-Sep-2021 27-Sep-2021 Issuer Reporting and Disclosure
In the Matter of LPL Financial LLC LPL Financial LLC Subsidiary of Public Company 30-Sep-2021 30-Sep-2021 Investment Advisers/Investment Companies
In the Matter of Amyris, Inc. Amyris, Inc. Public Company 15-Oct-2021 15-Oct-2021 Issuer Reporting and Disclosure
In the Matter of Credit Suisse Group AG Credit Suisse Group AG
Aliases
Public Company 19-Oct-2021 19-Oct-2021 Securities Offering
In the Matter of VTB Capital plc VTB Capital Plc Other 19-Oct-2021 19-Oct-2021 Securities Offering
In the Matter of United States Commodity Funds LLC and United States Oil Fund, LP United States Commodity Funds LLC Other 08-Nov-2021 08-Nov-2021 Issuer Reporting and Disclosure
In the Matter of United States Commodity Funds LLC and United States Oil Fund, LP United States Oil Fund, LP Public Company 08-Nov-2021 08-Nov-2021 Issuer Reporting and Disclosure
In the Matter of ProPetro Holding Corp. and Dale Redman Dale Redman Individual 22-Nov-2021 22-Nov-2021 Issuer Reporting and Disclosure
In the Matter of ProPetro Holding Corp. and Dale Redman ProPetro Holding Corp. Public Company 22-Nov-2021 22-Nov-2021 Issuer Reporting and Disclosure
SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith American Renal Associates Holdings, Inc. Public Company 06-Dec-2021 06-Dec-2021 Issuer Reporting and Disclosure
SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith Jason M. Boucher Individual 06-Dec-2021 06-Dec-2021 Issuer Reporting and Disclosure
SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith Jonathan L. Wilcox Individual 06-Dec-2021 06-Dec-2021 Issuer Reporting and Disclosure
SEC v. American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M. Boucher, and Karen J. Smith Karen J. Smith Individual 06-Dec-2021 06-Dec-2021 Issuer Reporting and Disclosure
In the Matter of WEX Inc. WEX Inc. Public Company 13-Dec-2021 13-Dec-2021 Issuer Reporting and Disclosure
In the Matter of J.P. Morgan Securities LLC J.P. Morgan Securities LLC
Aliases
Subsidiary of Public Company 17-Dec-2021 17-Dec-2021 Broker Dealer
In the Matter of 1st Global Advisors, Inc., now known as Avantax Advisory Services, Inc. 1St Global Advisors, Inc., Now Known as Avantax Advisory Services, Inc. Subsidiary of Public Company 20-Dec-2021 20-Dec-2021 Investment Advisers/Investment Companies
In the Matter of Nikola Corporation Nikola Corporation Public Company 21-Dec-2021 21-Dec-2021 Issuer Reporting and Disclosure
SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium, Inc. Andrew Murstein Individual 29-Dec-2021 Issuer Reporting and Disclosure
SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium, Inc. Ichabod's Cranium, Inc. Other 29-Dec-2021 Issuer Reporting and Disclosure
SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium, Inc. Lawrence Meyers Individual 29-Dec-2021 Issuer Reporting and Disclosure
SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod's Cranium, Inc. Medallion Financial Corp. Public Company 29-Dec-2021 Issuer Reporting and Disclosure
In the Matter of Leaf Group Ltd. Leaf Group Ltd. Subsidiary of Public Company 07-Jan-2022 07-Jan-2022 Issuer Reporting and Disclosure
In the Matter of tZERO ATS, LLC tZERO ATS, LLC Subsidiary of Public Company 10-Jan-2022 10-Jan-2022 Broker Dealer
In the Matter of KT Corporation KT Corporation Public Company 17-Feb-2022 17-Feb-2022 Foreign Corrupt Practices Act
In the Matter of Baxter International Inc. Baxter International Inc. Public Company 22-Feb-2022 22-Feb-2022 Issuer Reporting and Disclosure
In the Matter of Jeffrey Schaible Jeffrey Schaible Individual 22-Feb-2022 22-Feb-2022 Issuer Reporting and Disclosure
In the Matter of Scott Bohaboy Scott Bohaboy Individual 22-Feb-2022 22-Feb-2022 Issuer Reporting and Disclosure
In the Matter of City National Rochdale, LLC City National Rochdale, LLC Subsidiary of Public Company 03-Mar-2022 03-Mar-2022 Investment Advisers/Investment Companies
In the Matter of Rollins, Inc., and Paul Edward Northen Paul Edward Northen Individual 18-Apr-2022 18-Apr-2022 Issuer Reporting and Disclosure
In the Matter of Rollins, Inc., and Paul Edward Northen Rollins, Inc. Public Company 18-Apr-2022 18-Apr-2022 Issuer Reporting and Disclosure
In the Matter of Stericycle, Inc. Stericycle, Inc. Public Company 19-Apr-2022 19-Apr-2022 Foreign Corrupt Practices Act
In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube Brook B. Taube Individual 28-Apr-2022 28-Apr-2022 Issuer Reporting and Disclosure
In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube Medley Management Inc. Public Company 28-Apr-2022 28-Apr-2022 Issuer Reporting and Disclosure
In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube Seth B. Taube Individual 28-Apr-2022 28-Apr-2022 Issuer Reporting and Disclosure
SEC v. Vale S.A. Vale S.A. Public Company 28-Apr-2022 Issuer Reporting and Disclosure
In the Matter of NVIDIA Corporation NVIDIA Corporation Public Company 06-May-2022 06-May-2022 Issuer Reporting and Disclosure
In the Matter of First Republic Investment Management, Inc. First Republic Investment Management, Inc. Subsidiary of Public Company 19-May-2022 19-May-2022 Investment Advisers/Investment Companies
In the Matter of Wells Fargo Clearing Services, LLC Wells Fargo Clearing Services, LLC Subsidiary of Public Company 20-May-2022 20-May-2022 Broker Dealer
In the Matter of BNY Mellon Investment Adviser, Inc. BNY Mellon Investment Adviser, Inc. Subsidiary of Public Company 23-May-2022 23-May-2022 Investment Advisers/Investment Companies
In the Matter of RiverSource Distributors, Inc. RiverSource Distributors, Inc. Subsidiary of Public Company 25-May-2022 25-May-2022 Investment Advisers/Investment Companies
SEC v. iFresh, Inc. and Long Deng iFresh, Inc. Public Company 31-May-2022 Issuer Reporting and Disclosure
SEC v. iFresh, Inc. and Long Deng Long Deng Individual 31-May-2022 Issuer Reporting and Disclosure
SEC v. Marc S. Schessel and SCWorx Corporation Marc S. Schessel Individual 31-May-2022 31-May-2022 Issuer Reporting and Disclosure
SEC v. Marc S. Schessel and SCWorx Corporation SCWorx Corp. Public Company 31-May-2022 31-May-2022 Issuer Reporting and Disclosure
In the Matter of Tenaris S.A. Tenaris S.A. Public Company 02-Jun-2022 02-Jun-2022 Foreign Corrupt Practices Act
In the Matter of Clayton "Charlie" Thomas Clayton "Charlie" Thomas Individual 07-Jun-2022 07-Jun-2022 Issuer Reporting and Disclosure
In the Matter of Daniel Ives Daniel Ives Individual 07-Jun-2022 07-Jun-2022 Issuer Reporting and Disclosure
In the Matter of John Murdock John Murdock Individual 07-Jun-2022 07-Jun-2022 Issuer Reporting and Disclosure
In the Matter of Marc Bandini Marc Bandini Individual 07-Jun-2022 07-Jun-2022 Issuer Reporting and Disclosure
In the Matter of Ronald Prague, Esq. Ronald Prague, Esq. Individual 07-Jun-2022 07-Jun-2022 Issuer Reporting and Disclosure
In the Matter of Stephen G. Waldis Stephen G. Waldis Individual 07-Jun-2022 07-Jun-2022 Issuer Reporting and Disclosure
In the Matter of Synchronoss Technologies, Inc. Synchronoss Technologies, Inc. Public Company 07-Jun-2022 07-Jun-2022 Issuer Reporting and Disclosure
SEC v. Karen Rosenberger and Joanna Lanni Joanna Lanni Individual 07-Jun-2022 Issuer Reporting and Disclosure
SEC v. Karen Rosenberger and Joanna Lanni