For those looking for info on the old managment prior to July 2017 -
Note that this does not apply or have any impications against the new ownership and/ or managment and is strictly for historical information for those who may still come here looking for infomation about Barton, Goode, et al. Do not delete as this is relevant history and cases involving this ticker are still ongoing.
UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
v
RAYMOND H. BARTON, WILLIAM G. GOODE, MATTHEW CHARLES BRIGGS, KENNETH MANZO, and JUSTIN SINDELMAN, Defendants.
https://www.sec.gov/litigation/complaints/2017/comp-pr2017-33.pdf SECURITIES EXCHANGE ACT OF 1934
Release No.80000/ February 9, 2017
ADMINISTRATIVE PROCEEDING File No.3-17836
In the Matter of RAYMOND H. BARTON,Respondent.
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS
https://www.sec.gov/litigation/admin/2017/34-80000.pdf SECURITIES EXCHANGE ACT OF 1934
Release No. 80001 / February 9, 2017
ADMINISTRATIVE PROCEEDING File No.3-178371
In the Matter of WILLIAM G. GOODE Respondent.
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS
https://www.sec.gov/litigation/admin/2017/34-80001.pdf Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme
https://www.sec.gov/news/pressrelease/2017-33.html SECURITIES ACT OF 1933
Release No. 10293 / January 25, 2017
SECURITIES EXCHANGE ACT OF 1934
Release No. 79877 / January 25, 2017
INVESTMENT COMPANY ACT OF 1940
Release No. 32451 / January 25, 2017
ADMINISTRATIVE PROCEEDING
File No.3-17813
In the Matter of WINDSOR STREET CAPITAL, L.P. (f/k/a MEYERS ASSOCIATES, L.P. ) and JOHN DAVID TELFER, Respondents
ORDER INSTITUTING ADMINISTRATIVE AND CEASE - AND - DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, AND SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940 AND NOTICE OF HEARING
https://www.sec.gov/litigation/admin/2017/33-10293.pdf