Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.
The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions
Additional Archives
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SEC Administrative Proceedings RSS Feed
| Release No. | Date | Respondents |
|---|---|---|
First Quarter | ||
| 34-79867 | Jan. 24, 2017 | Geoffrey J. Block
Other Release Nos.: IA-4622, IC-32430 |
| 34-79866 | Jan. 24, 2017 | Sandra Dyche See also: Plan of Distribution |
| 33-10290 | Jan. 24, 2017 | Morgan Stanley Smith Barney LLC |
| 33-10289 | Jan. 24, 2017 | Citigroup, Inc. and Citigroup Global Markets Holdings, Inc. |
| 33-10288 | Jan. 24, 2017 | Citigroup Global Markets, Inc. |
| 34-79856 | Jan. 23, 2017 | Donald P. Jones, CPA
Other Release No.: AAER-3854 |
| 34-79855 | Jan. 23, 2017 | Shelly R. McGuire, CPA
Other Release No.: AAER-3853 |
| 34-79854 | Jan. 23, 2017 | Ane Plate
Other Release No.: IA-4621 |
| 33-10286 | Jan. 23, 2017 | Overseas Shipholding Group, Inc. and Myles Robert Itkin
Other Release Nos.: 34-79857, AAER-3855 |
| IA-4620 | Jan. 19, 2017 | Bob Brakeman Enterprises, LLC and Robert D. Brakeman
Other Release No.: IC-32429 |
| 34-79850 | Jan. 19, 2017 | VCAP Securities, LLC and Brett Thomas Graham |
| 34-79848 | Jan. 19, 2017 | Susan M. Diamond
Other Release Nos.: IA-4619, IC-32428 See also: Administrative Summary |
| 34-79847 | Jan. 19, 2017 | Andrew Scott Jensen |
| 34-79844 | Jan. 19, 2017 | HomeStreet, Inc. and Darrell Van Amen
Other Release No.: AAER-3852 |
| 33-10285 | Jan. 18, 2017 | Mer Telemanagement Solutions Ltd.
Other Release No.: 34-79827 See also: Administrative Summary |
| 33-10284 | Jan. 18, 2017 | Eytan Bar
Other Release No.: 34-79826 See also: Administrative Summary |
| 34-79828 | Jan. 18, 2017 | Orthofix International N.V.
Other Release No.: AAER-3851 |
| 34-79825 | Jan. 18, 2017 | General Motors Company
Other Release Nos.: AAER-3850 |
| 34-79820 | Jan. 18, 2017 | Kenneth Mack and Bryan McMillan
Other Release No.: AAER-3848 |
| 34-79819 | Jan. 18, 2017 | Brian McCollum
Other Release No.: AAER-3847 |
| 33-10283 | Jan. 18, 2017 | MDC Partners Inc.
Other Release Nos.: 34-79823, AAER-3849 |
| 33-10282 | Jan. 18, 2017 | Jeffrey Hammel, CPA
Other Release Nos.: 34-79817, AAER-3846 |
| 33-10281 | Jan. 18, 2017 | Orthofix International N.V.
Other Release Nos.: 34-79815, AAER-3845 |
| 34-79824 | Jan. 18, 2017 | Charles A. Bennett |
| 34-79814 | Jan. 17, 2017 | Allergan, Inc. |
| 34-79813 | Jan. 17, 2017 | Abraham M. Fisch, Esq. |
| 34-79804 | Jan. 17, 2017 | BlackRock, Inc. |
| IA-4618 | Jan. 17, 2017 | Gregory W. Gray, Jr. |
| IA-4617 | Jan. 17, 2017 | Adams Capital Management, Inc. |
| IA-4616 | Jan. 17, 2017 | Aisling Capital LLC |
| IA-4615 | Jan. 17, 2017 | Commonwealth Venture Management Corp. |
| IA-4614 | Jan. 17, 2017 | Alta Communications, Inc. |
| IA-4613 | Jan. 17, 2017 | Cypress Advisors, Inc. |
| IA-4612 | Jan. 17, 2017 | NGN Capital LLC |
| IA-4611 | Jan. 17, 2017 | Lime Rock Management LP |
| IA-4610 | Jan. 17, 2017 | FFL Partners, LLC |
| IA-4609 | Jan. 17, 2017 | The Banc Funds Company, L.L.C. |
| IA-4608 | Jan. 17, 2017 | Pershing Square Capital Management, L.P. |
| 34-79803 | Jan. 13, 2017 | Haidar Capital Management, LLC, Haidar Capital Advisors, LLC and Said N. Haidar |
| 34-79799 | Jan. 13, 2017 | Gregg R. Mulholland |
| 34-79795 | Jan. 13, 2017 | Sociedad Quimica Y Minera De Chile and S.A. |
| 34-79794 | Jan. 13, 2017 | Morgan Stanley Smith Barney, LLC
Other Release No.: IA-4607 |
| 33-10280 | Jan. 13, 2017 | Citadel Securities LLC
Other Release No.: 34-79790 |
| 34-79789 | Jan. 13, 2017 | Q Lotus Holdings, Inc. and Spare Backup, Inc. |
| 34-79788 | Jan. 13, 2017 | AIC International Resources Corp. and Stellar Metals, Inc. |
| 34-79787 | Jan. 13, 2017 | Cantab Pharmaceuticals PLC, et al. |
| 34-79786 | Jan. 13, 2017 | Sierra Resource Group, Inc. |
| 34-79785 | Jan. 13, 2017 | Global Earth Energy, Inc. |
| 34-79777 | Jan. 12, 2017 | The Bank of New York Mellon Corporation |
| 34-79780 | Jan. 12, 2017 | Biomet, Inc.
Other Release No.: AAER-3843 |
| 33-10279 | Jan. 12, 2017 | ITG Inc.
Other Release No.: 34-79776 |
| 34-79772 | Jan. 11, 2017 | L3 Technologies, Inc. |
| IA-4604 | Jan. 10, 2017 | Centre Partners Management, LLC
See also: Administrative Summary |
| 33-10278 | Jan. 10, 2017 | The Port Authority of New York, New Jersey |
| 34-79765 | Jan. 10, 2017 | Larry Lee Crawford, CPA
Other Release No.: AAER-3842 |
| 34-79757 | Jan. 9, 2017 | Essex Financial Services, Inc.
Other Release No.: IA-4603 |
| 34-79756 | Jan. 9, 2017 | Peter Hershman, Esq.
Other Release Nos.: IA-4602, IC-32417 |
| 34-79755 | Jan. 9, 2017 | John W. Rafal
Other Release Nos.: IA-4601, IC-32416 |
| 34-79754 | Jan. 6, 2017 | UBS Financial Services Inc. of Puerto Rico See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-79753 | Jan. 6, 2017 | Cadbury Limited and Mondelēz International, Inc.
Other Release No.: AAER-3841 See also: Administrative Summary |
| 34-79727 | Jan. 4, 2017 | Capital Preferred Yield Fund-III, LP, Clearly Canadian Beverage Corp. and Diversinet Corp. |
| 34-79723 | Jan. 3, 2017 | Elliot R. Berman, CPA and Berman & Company, P.A.
See also: Administrative Summary |