| Enforcement Actions |
| EA Number |
Action Type |
PN Due/Proof PN Due PN Done/Proof PN Done |
Action Name |
Status |
Date |
| 2018-120825 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
R |
03-05-2020 |
| 2018-120826 |
SIE |
03-17-2018
/
03-27-2018
/
|
ST PUBLIC NOTIF REQUESTED |
R |
03-05-2020 |
| 2020-120834 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
03-02-2020 |
| 2020-120832 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
02-20-2020 |
| 2020-120835 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
02-20-2020 |
| 2020-120833 |
SIE |
02-19-2021
/
03-12-2020
03-02-2020
/
03-02-2020
|
ST PUBLIC NOTIF REQUESTED |
T |
02-20-2020 |
| 2021-120836 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
09-30-2019 |
| 2019-120830 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
08-16-2019 |
| 2019-120829 |
SIE |
08-14-2020
/
08-24-2020
08-16-2019
/
08-16-2019
|
ST PUBLIC NOTIF REQUESTED |
T |
08-15-2019 |
| 2019-120828 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
08-15-2019 |
| 2018-120827 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
03-28-2018 |
| 2018-120824 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
10-06-2017 |
| 2017-120823 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
09-22-2017 |
| 2017-120822 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
04-05-2017 |
| 2017-120821 |
SIE |
03-17-2018
/
03-27-2018
03-29-2017
/
04-05-2017
|
ST PUBLIC NOTIF REQUESTED |
T |
03-17-2017 |
| 2017-120820 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
03-17-2017 |
| 2017-120819 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
10-05-2016 |
| 2016-120818 |
SIE |
09-30-2017
/
10-14-2016
10-04-2016
/
10-05-2016
|
ST PUBLIC NOTIF REQUESTED |
T |
09-30-2016 |
| 2016-120817 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
09-30-2016 |
| 2020-120831 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
04-16-2014 |
| 2012-120816 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
02-09-2012 |
| 2011-120813 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
04-12-2011 |
| 2011-120812 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
04-12-2011 |
| 2011-120811 |
SOX |
|
ST COMPLIANCE ACHIEVED |
T |
03-28-2011 |
| 2011-120810 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
02-08-2011 |
| 2011-120814 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
01-20-2011 |
| 2011-120809 |
SIE |
|
ST PUBLIC NOTIF REQUESTED |
T |
01-20-2011 |
| 2011-120815 |
SIE |
01-20-2012
/
01-30-2012
02-08-2011
/
02-08-2011
|
ST PUBLIC NOTIF REQUESTED |
T |
01-20-2011 |
| 2009-120807 |
SIE |
|
ST PUBLIC NOTIF REQUESTED |
T |
08-04-2009 |
| 2009-120808 |
SIE |
|
ST PUBLIC NOTIF REQUESTED |
T |
08-04-2009 |
| 2006-120806 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
11-15-2005 |
| 2001-120701 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
07-20-2001 |
| 2001-120601 |
SIE |
|
ST PUBLIC NOTIF REQUESTED |
T |
06-21-2001 |
| 2001-120501 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
06-21-2001 |
| 1998-47298 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
05-12-1998 |
| 1998-47098 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
05-11-1998 |
| 1998-47198 |
SIE |
|
ST PUBLIC NOTIF REQUESTED |
T |
05-11-1998 |
| 1998-2898 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
11-05-1997 |
| 1998-2698 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
11-05-1997 |
| 1998-2798 |
SIE |
|
ST PUBLIC NOTIF REQUESTED |
T |
11-05-1997 |
| 1997-24597 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
05-29-1997 |
| 1997-24497 |
SIE |
|
ST PUBLIC NOTIF REQUESTED |
T |
05-21-1997 |
| 1997-24397 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
05-21-1997 |
| 1995-41195 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
03-23-1995 |
| 1995-40995 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
03-21-1995 |
| 1995-41095 |
SIE |
|
ST PUBLIC NOTIF REQUESTED |
T |
03-21-1995 |
| 1994-95594 |
SIA |
|
ST VIOLATION/REMINDER NOTICE |
T |
08-05-1994 |
| 1994-95794 |
SIF |
|
ST PUBLIC NOTIF RECEIVED |
T |
08-05-1994 |
| 1994-95694 |
SIE |
|
ST PUBLIC NOTIF REQUESTED |
T |
08-05-1994 |