Enforcement Action No. |
Action Type |
Name |
Status |
Date |
2021-5503 |
SOX |
ST COMPLIANCE ACHIEVED |
T |
01-17-2020
|
2018-5477 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
08-14-2018
|
2018-5476 |
SFJ |
ST FORMAL NOV ISSUED |
T |
08-14-2018
|
2018-5473 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
01-26-2018
|
2018-5472 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-26-2018
|
2017-5469 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-19-2017
|
2017-5470 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-19-2017
|
2017-5468 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
02-03-2017
|
2017-5467 |
SFJ |
ST FORMAL NOV ISSUED |
T |
02-03-2017
|
2016-5465 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-21-2016
|
2016-5466 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-21-2016
|
2016-5462 |
SFJ |
ST FORMAL NOV ISSUED |
T |
05-31-2016
|
2016-5463 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
05-31-2016
|
2015-5460 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-27-2015
|
2015-5461 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-27-2015
|
2015-5458 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
01-16-2015
|
2015-5457 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-16-2015
|
2014-5455 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-21-2014
|
2014-5456 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-21-2014
|
2013-5448 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-22-2013
|
2013-5447 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-22-2013
|
2012-5432 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
03-19-2012
|
2012-5431 |
SFJ |
ST FORMAL NOV ISSUED |
T |
03-19-2012
|
2011-5426 |
SFJ |
ST FORMAL NOV ISSUED |
T |
02-14-2011
|
2011-5427 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
02-14-2011
|
2010-5425 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
08-12-2010
|
2010-5424 |
SFJ |
ST FORMAL NOV ISSUED |
T |
08-12-2010
|
2010-5010 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-25-2010
|
2010-5423 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
01-25-2010
|
2009-5422 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-20-2009
|
2009-4809 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-20-2009
|
2009-4709 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-23-2009
|
2009-5421 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
01-23-2009
|
2005-4305 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-28-2005
|
2005-2905 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
01-28-2005
|
2004-4204 |
SFJ |
ST FORMAL NOV ISSUED |
T |
12-09-2003
|
2004-2804 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
12-09-2003
|