Enforcement Action No. |
Action Type |
Name |
Status |
Date |
2016-9095974 |
SOX |
ST COMPLIANCE ACHIEVED |
T |
10-30-2015
|
2014-9095963 |
SFO |
ST AO (W/PENALTY) ISSUED |
T |
04-24-2014
|
2013-41 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
04-26-2013
|
2013-40 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
02-28-2013
|
2013-37 |
SIC |
ST TECH ASSISTANCE VISIT |
T |
11-20-2012
|
2012-30 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
07-18-2012
|
2012-28 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
05-30-2012
|
2012-24 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
01-13-2012
|
2012-23 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
10-19-2011
|
2012-21 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
10-18-2011
|
2012-22 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
10-17-2011
|
2011-19 |
SFO |
ST AO (W/PENALTY) ISSUED |
T |
07-28-2011
|
2011-11 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
04-08-2011
|
2011-2 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
11-18-2010
|
2011-9095954 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
10-05-2010
|
2011-9095956 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
09-27-2010
|
2011-9095955 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
09-07-2010
|
2010-9095953 |
LMC |
INFORMATIONAL MAILINGS AND PHONE CALLS |
T |
05-28-2010
|
2010-9095949 |
SIF |
ST PUBLIC NOTIF RECEIVED |
T |
02-21-2010
|
2010-9095938 |
SIE |
ST PUBLIC NOTIF REQUESTED |
T |
02-12-2010
|
2010-9095939 |
SFO |
ST AO (W/PENALTY) ISSUED |
T |
02-12-2010
|