Enforcement Action No. |
Action Type |
Name |
Status |
Date |
2020-3991 |
SOX |
ST COMPLIANCE ACHIEVED |
T |
10-22-2020
|
2018-3980 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
08-10-2018
|
2018-3979 |
SFJ |
ST FORMAL NOV ISSUED |
T |
08-10-2018
|
2017-3974 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-19-2017
|
2017-3973 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-19-2017
|
2017-3972 |
SFL |
ST AO (W/O PENALTY) ISSUED |
T |
02-17-2017
|
2016-3970 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-21-2016
|
2016-3971 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-21-2016
|
2016-3967 |
SFJ |
ST FORMAL NOV ISSUED |
T |
05-26-2016
|
2016-3968 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
05-26-2016
|
2015-3965 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-27-2015
|
2015-3966 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-27-2015
|
2015-3958 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
01-16-2015
|
2015-3957 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-16-2015
|
2014-3954 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-10-2014
|
2014-3953 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-10-2014
|
2014-3951 |
SFJ |
ST FORMAL NOV ISSUED |
T |
06-04-2014
|
2014-3952 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
06-04-2014
|
2013-3934 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-22-2013
|
2013-3933 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-22-2013
|
2013-3918 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
10-15-2012
|
2013-3917 |
SFJ |
ST FORMAL NOV ISSUED |
T |
10-15-2012
|