Sunday, July 31, 2016 6:32:59 PM
Other than the terminated subpoena action, There were no enforcement cases filed against Tracy.
The SEC hasn't filed a case alleging Tracy violated the securities laws. The documents indicate there is an SEC investigation [not a filed case] into whether or not there were violations of the securities laws. There is a reference to a second case but we don't know if Tracy was the subject of that investigation or a witness. If the SEC determines there are violations it will file a case. If it determines there were no violations it will not file a case.
At this point, we don't know what the SEC will determine. The public isn't privy to that information.
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