Enforcement Action No. |
Action Type |
Name |
Status |
Date |
2016-8413 |
SOX |
ST COMPLIANCE ACHIEVED |
T |
08-26-2016
|
2016-8406 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
05-31-2016
|
2016-8405 |
SFJ |
ST FORMAL NOV ISSUED |
T |
05-31-2016
|
2015-8395 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-27-2015
|
2015-8394 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-27-2015
|
2015-8389 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-16-2015
|
2015-8390 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
01-16-2015
|
2014-8386 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-14-2014
|
2014-8385 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-14-2014
|
2013-8362 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-22-2013
|
2013-8363 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
07-22-2013
|
2012-8339 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
08-01-2012
|
2012-8338 |
SFJ |
ST FORMAL NOV ISSUED |
T |
08-01-2012
|
2012-8332 |
SFJ |
ST FORMAL NOV ISSUED |
T |
03-19-2012
|
2012-8333 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
03-19-2012
|
2011-8327 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
02-14-2011
|
2011-8326 |
SFJ |
ST FORMAL NOV ISSUED |
T |
02-14-2011
|
2010-8324 |
SFJ |
ST FORMAL NOV ISSUED |
T |
08-12-2010
|
2010-8325 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
08-12-2010
|
2010-8322 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-25-2010
|
2010-8323 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
01-25-2010
|
2009-7309 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-15-2009
|
2009-6609 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-23-2009
|
2009-6509 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
01-23-2009
|
2008-5208 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-28-2008
|
2008-5108 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
07-28-2008
|
2008-4908 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
03-03-2008
|
2008-5008 |
SFJ |
ST FORMAL NOV ISSUED |
T |
03-03-2008
|
2007-3007 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
08-02-2007
|
2007-4807 |
SFJ |
ST FORMAL NOV ISSUED |
T |
08-02-2007
|
2007-2507 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
01-10-2007
|
2007-4707 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-10-2007
|
2006-4606 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-11-2006
|
2006-2206 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
01-11-2006
|
2005-4505 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-15-2005
|
2005-2105 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
07-15-2005
|
2005-4405 |
SFJ |
ST FORMAL NOV ISSUED |
T |
01-12-2005
|
2005-2005 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
01-12-2005
|
2004-4304 |
SFJ |
ST FORMAL NOV ISSUED |
T |
07-13-2004
|
2004-1904 |
SFG |
ST PUBLIC NOTIF ISSUED |
T |
07-13-2004
|