UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION, Plaintiff,
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