alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

SECURITIES EXCHANGE ACT OF 1934 

Release No. 91105 / February 11, 2021

ADMINISTRATIVE PROCEEDING 

File No. 3-20171

In the Matter of

Robinhood Financial, LLC

Respondent.

:

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:

:

:

:

EXTENSION ORDER

The Division of Enforcement (“Division”) has requested an extension of time until 

August 31, 2021 to submit a Proposed Plan of Distribution under Rule 1101(a) of the 

Commission’s Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1101(a).

On December 17, 2020, the Commission issued an Order Instituting Administrative 

and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and 

Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing 

Remedial Sanctions and a Cease-and-Desist Order (“Order”)1against Robinhood Financial, 

LLC (the “Respondent”). In the Order, the Commission found that, from 2015 through 

September 2018, the Respondent made material misrepresentations and omissions relating to 

its revenue sources, specifically its receipt of payments from certain principal trading firms, 

also known as electronic market makers, for routing Robinhood customer orders to them and 

relating to certain statements about the execution quality Robinhood achieved for its 

customers’ orders. Among other things, the Commission ordered the Respondent to pay a 

$65,000,000 civil money penalty The Commission also created a Fair Fund, pursuant to 

 

1

 Securities Act Rel. No. 10906 (Dec. 17, 2020).
2

Section 308(a) of the Sarbanes-Oxley Act of 2002, so the penalty can be distributed to 

investors harmed by the Respondent’s conduct described in the Order.

In its request for an extension of time, the Division states that it needs time to solicit 

and evaluate fund administrator proposals, develop the distribution methodology, and develop 

the plan of distribution. 

Accordingly, for good cause shown, IT IS HEREBY ORDERED that the Division’s 

request for an extension of time until August 31, 2021 to submit a Proposed Plan of 

Distribution is granted.

For the Commission, by its Secretary, pursuant to delegated authority. 

Vanessa A. Countryman

Secretary
#### Tal Tours (1996), Inc., et al., Appellants, v Howard Goldstein et al., Respondents.

[823 NYS2d 919]

In an action to recover damages for breach of contract, the plaintiffs appeal from an order of the Supreme Court, Nassau County (Austin, J.), dated October 7, 2005, which granted the defendants’ motion to compel arbitration by a “zebla” proceeding and denied the plaintiffs’ cross motion to compel arbitration by a proceeding conducted by the Beth Din of America.

Ordered that the order is affirmed, with costs.

Under the circumstances presented, the Supreme Court properly granted the defendants’ motion to compel arbitration *787by a procedure in which each side chooses an arbitrator, and the two chosen arbitrators agree on a third arbitrator, known as a “zebla” proceeding, and denied the plaintiffs’ cross motion to compel arbitration by a proceeding conducted by the Beth Din of America. We perceive no basis upon which to disturb the Supreme Court’s determination. Schmidt, J.E, Santucci, Lifson and Lunn, JJ., concur.
Exhibit 32.1

CERTIFICATION PURSUANT TO

18 U.S.C. ss.1350, AS ADOPTED PURSUANT TO

SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

Solely for the purposes of complying with, and the extent required by 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of
2002, the undersigned certifies, in his capacity as the Chief Executive Officer of BlastGard International, Inc., that, to his knowledge, the Quarterly Report of the company on Form 10-QSB for the period ended March 31, 2006, fully complies
with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934 and that the information contained in the report fairly presents, in all material respects, the companys financial condition and results of operations.

May12, 2006



|                                        
|----------------------------------------
|/s/ James F. Gordon                     
|James F. Gordon, Chief Executive Officer
----

            COMMISSION REGULATION (EC) No 1127/2004

of 17 June 2004         

fixing the maximum export refund for white sugar to certain third countries for the 31st partial invitation to tender issued within the framework of the standing invitation to tender provided for in Regulation (EC) No 1290/2003

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Council Regulation (EC) No 1260/2001 of 19 June 2001 on the common organisation of the markets in the sugar sector (1) and in particular the second indent of Article 27(5) thereof,

Whereas:

HAS ADOPTED THIS REGULATION:

Article 1

For the 31st partial invitation to tender for white sugar issued pursuant to Regulation (EC) No 1290/2003 the maximum amount of the export refund shall be 48,535 EUR/100 kg.

Article 2

This Regulation shall enter into force on 18 June 2004.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 17 June 2004.

For the Commission

J. M. SILVA RODRÍGUEZ            

Member of the Commission

----

(1)OJ L 178, 30.6.2001, p. 1. Regulation as last amended by Commission Regulation (EC) No 39/2004 (OJ L 6, 10.1.2004, p. 16).

(2)OJ L 181, 19.7.2003, p. 7. Regulation as amended by Regulation (EC) No 2126/2003 (OJ L 319, 4.12.2003, p. 4).

----
(No. 82-CC-2617

#### Methodist Medical Center of Illinois, Claimant, *v.*The State of Illinois, Respondent.

*Order filed February 4, 1983.*

Westervelt, Johnson, Nicoll & Keller (D. Phillip Anderson, of counsel), for Claimant.

■ Neil F. Hartigan, Attorney General (Sue Mueller, Assistant Attorney General, of counsel), for Respondent.

Roe, C.J.

This cause coming on to be heard on the Respondent’s motion to dismiss and the Court being duly advised in the premises:

Finds, that the amount the Claimant is seeking in this *872matter exceeds the specified contract amount between the Claimant and the Respondent, State of Illinois. This information was acquired from the departmental reports filed by the Illinois Department of Mental Health and Developmental Disabilities and the Illinois Department of Public Aid, State departments or agencies, a copy of which was attached to the Respondent’s motion to dismiss. These reports are considered *prima facie*evidence pursuant to Rule 14 of the Rules of the Court of Claims. The departmental reports also establish that 2% transfer funds were not available to be used to pay this claim, and the account from which this claim would have been paid has been completely depleted.

Furthermore, this Claimant is not entitled to reimbursement from the Illinois Department of Public Aid medical indigent funds since the individual to whom the Claimant rendered services was receiving treatment not covered by this program. Also, this claim was filed more than one year after the Illinois Department of Public Aid denied the claim which bars it from this Court’s jurisdiction under section 11 — 13 of the Public Aid Code. Ill. Rev. Stat., ch. 23, par. 11 — 13.

It is hereby ordered, that this cause be dismissed with prejudice.
Exhibit 32.1

SECTION 1350 CERTIFICATION

Pursuant to 18 U.S.C. Section 1350, Morteza Ejabat, Chief Executive Officer of Zhone Technologies, Inc. (the Company), and Kirk Misaka, Chief Financial Officer of the Company, each hereby
certify that, to their knowledge:



|1. | The Companys Quarterly Report on Form 10-Q for the quarter ended September 30, 2010 (the Report) fully complies with the requirements of
Section 13(a) or 15(d) of the Securities Exchange Act of 1934, and
|-- | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------



|2. | The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.
|-- | ----------------------------------------------------------------------------------------------------------------------------------------------------

Date: November 5, 2010



|                        |  |  |  |                        
|----------------------- |  |  |  | -----------------------
|/s/    MORTEZA EJABAT   |  |  |  | /s/    KIRK MISAKA     
|Morteza Ejabat          |  |  |  | Kirk Misaka            
|Chief Executive Officer |  |  |  | Chief Financial Officer
COMMONWEALTH OF MASSACHUSETTS 

EXECUTIVE OFFICE OF ENVIRONMENTAL AFFAIRS 

DEPARTMENT OF ENVIRONMENTAL PROTECTION 

ONE WINTER STREET, BOSTON, MA 02108 617-292-5500 

MITT ROMNEY 

Governor 

KERRY HEALEY 

Lieutenant Governor 

STEPHEN R. PRIT CHARD 

Secretary 

ROBERT W. GOLLEDGE, Jr. 

Commissioner 

RE: Public Review process on the proposal to amend regulations 310 CMR 7.00,310 CMR 

70.00, and 314 CMR 10.00. The key amendments add new design and performance standards, 

record keeping and compliance certification requirements for new boilers having an energy input 

capacity between 10 and 40 million Btu per hour. Amendments also add design and operation 

standards, as well as compliance certification requirements for above-ground and in-ground 

tanks. 

I hereby certify that: 

Notices of the public hearing were published on the following dates in the following newspapers: 

Boston Globe (Boston) August 7,2000 

Union News (Springfield) August 7,2000 

That the notices specified the date, time and place of the public hearings to be held on the 

proposed amendments to the Code of Massachusetts Regulations. 

That the notices specified the locations at which the proposed revisions and supporting 

information were available for public inspection. 

That the proposed revisions and supporting information were available at the locations stated in 

the notice when the notices were published as well as at the locations of the public hearings on 

the date of said hearings. 

That similar notices were mailed on or before , 2000 to the Environmental Protection Agency, to 

any affected local or pollution control agencies, and to all known potentially interested parties. 

Thli information li available in alternate format CaU Donald M. Garnet, ADA Coordinator at 617-556-1057. TDD Service -1-800-298-2207. 

MassDEP on the World Wide Web: http://www.mass.gov/dep 

O Printed on Recycled Paper 
I further certify that on the following dates and at the following locations, public hearings were 

conducted by the Department of Environmental Protection, pursuant to the above notices and in 

conformance with M.G.L. Chapter 30A and the provisions of 30 CFR 51.4(b): 

September 7,2000 - Springfield, Massachusetts -10:00 AM 

Springfield City Hall 

Room 220-2nd floor 

September 8,2000 - Boston, Massachusetts -10:00 AM 

John W. McCormack Office Building, One Ashburton Place 

Conference Room One - 21st floor 

Paul Reilly 

Hearing Officer 

August 1,2006
##### 



Exhibit 31.2 CERTIFICATION OF CHIEF FINANCIAL OFFICER
PURSUANT TO RULE 15d  14(a) I, Paul J. Siracusa, certify that:  1.
    I have reviewed this annual report on Form 10-K for the year ended December 31, 2004 of The
Hertz Corporation;2.
    Based on my knowledge, this report does not contain any untrue statement of a material fact
or omit to state a material fact necessary to make the statements made, in light of the
circumstances under which such statements were made, not misleading with respect to the period
covered by this report;3.
    Based on my knowledge, the financial statements, and other financial information included in
this report, fairly present in all material respects the financial condition, results of
operations and cash flows of the registrant as of, and for, the periods presented in this
report;4.
    The registrants other certifying officer(s) and I are responsible for establishing and
maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and
15d-15(e)) for the registrant and have:  a)
    Designed such disclosure controls and procedures, or caused such disclosure controls
and procedures to be designed under our supervision, to ensure that material information
relating to the registrant, including its consolidated subsidiaries, is made known to us by
others within those entities, particularly during the period in which this report is being
prepared;b)
    Evaluated the effectiveness of the registrants disclosure controls and procedures and
presented in this report our conclusions about the effectiveness of the disclosure controls
and procedures, as of the end of the period covered by this report based on such
evaluation; andc)
    Disclosed in this report any change in the registrants internal control over financial
reporting that occurred during the registrants most recent fiscal quarter (the
registrants fourth fiscal quarter in the case of an annual report) that has materially
affected, or is reasonably likely to materially affect, the registrants internal control
over financial reporting; and  5.
    The registrants other certifying officer(s) and I have disclosed, based on our most recent
evaluation of internal control over financial reporting, to the registrants auditors and the
audit committee of the registrants board of directors (or persons performing the equivalent
functions):  a)
    All significant deficiencies and material weaknesses in the design or operation of
internal control over financial reporting which are reasonably likely to adversely affect
the registrants ability to record, process, summarize and report financial data; andb)
    Any fraud, whether or not material, that involves management or other employees who
have a significant role in the registrants internal control over financial reporting. Date: March 21, 2005 By:
    
    /s/ Paul J. SiracusaPaul J. SiracusaChief Financial Officer
Order entered October 31, 2013

In The

Court of Appeals 

Fifth District of Texas at Dallas 

No. 05-12-01599-CV

VICTOR MALDONADO, Appellant

V.

SUMEER HOMES, INC., ET AL., Appellees

On Appeal from the 101st Judicial District Court

Dallas County, Texas

Trial Court Cause No. DC-10-01137-E

ORDER

We GRANT appellant’s October 28, 2013 unopposed motion for an extension of time to 

file reply briefs in response to the respective briefs filed by appellees. Appellant shall file his 

reply briefs on or before November 22, 2013.

/s/ DAVID LEWIS 

JUSTICE
<PAGE>

                                                                    Exhibit 21.1

                               TRIDEX CORPORATION
                 EXHIBIT 21.1 SUBSIDIARIES OF TRIDEX CORPORATION

<TABLE>
<CAPTION>


<S>                                               <C>                                     <C>              <C>
Name                                              Jurisdiction of Incorporation           Owner            Percentage Owned
---------------------------------------------------------------------------------------------------------------------------
Allu Realty Trust *                                  Massachusetts                        Tridex                 100%

RIL Corporation*                                     Connecticut                          Tridex                 100%

Progressive Software, Inc.                           North Carolina                       Tridex                 100%

Retail Resource Solutions Limited                    United Kingdom                       Tridex                 100%

*Inactive

</TABLE>
EXHIBIT 4.3

                    SOVEREIGN SPECIALTY CHEMICALS, INC.

                        EMPLOYEE STOCK PURCHASE PLAN


          1.  Name.  This plan  shall be known as the  SOVEREIGN  SPECIALTY
CHEMICALS, INC. EMPLOYEE STOCK PURCHASE PLAN (the "Plan").

          2. Purpose.  The Plan is intended to encourage  participation  in
the ownership and economic progress of Sovereign Specialty Chemicals,  Inc.
(the "Company") by offering employees the opportunity to purchase shares of
the Company's common stock, par value $0.01 per share (the "Common Stock").

          3.  Administration.   The  Plan  shall  be  administered  by  the
Compensation  Committee (the  "Committee") of the Board of Directors of the
Company (the "Board"), provided, however, that duties shall be administered
by the Board, and all references herein to the Committee shall be deemed to
reference the Board.  Subject to the express  provisions  of the plan,  the
Committee shall have the discretion (i) to construe and interpret the Plan,
(ii) to prescribe,  amend or rescind rules and regulations  relating to the
administration  of the Plan and  (iii)  to make  all  other  determinations
necessary  or  advisable  for the  administration  of the Plan,  including,
without  limitation,  who shall  participate  in the Plan,  how many shares
shall be sold to each  participant  and the price at which  shares shall be
sold under the Plan.  In the absence of the  Committee,  the Board may take
actions reserved for the Committee hereunder.

          4. Stock Subject to Plan.  The stock to be offered under the Plan
shall be an aggregate of 20,000 shares of Common Stock.  If the outstanding
Common Stock is increased,  decreased,  or changed into, or exchanged for a
different  number or kind of shares or  securities  of the Company  through
reorganization,  merger, recapitalization,  reclassification,  stock split,
stock   consolidation   or  similar   transaction,   an   appropriate   and
proportionate  adjustment  shall be made in the  number  and kind of shares
which may be sold under the Plan.

          5. Price and  Payment.  The  purchase  price for the Common Stock
issued pursuant to stock purchase rights awarded under the Plan shall be as
determined  by the  Committee.  Employees  who are  awarded  the  right  to
purchase shares under the Plan shall pay the purchase price for such shares
by check.

          6. Stock Subscription Agreement.  Any person who purchases Common
Stock pursuant to the Plan shall enter into a  Subscription  Agreement with
the Company in  substantially  the form of Exhibit A or Exhibit B hereto or
any other form approved by the Committee.

          7.  Amendment and  Termination.  The Committee  may, at any time,
suspend,   amend  or  terminate  the  Plan;  provided,   however,  that  no
suspension,  amendment or termination  hereof shall amend,  alter or impair
any rights or  obligations  with  respect to any Stock  previously  granted
under the Plan.  Unless  terminated  earlier,  this Plan shall terminate on
April 30, 2000.





Dated:  January 26, 2000
§ 212.17 Applications for the exercise of discretion relating to U nonimmigrant status. ( a ) *Filing the waiver application.* An alien applying for a waiver of inadmissibility under section 212(d)(3)(B) or (d)(14) of the Act (waivers of inadmissibility), 8 U.S.C. 1182(d)(3)(B) or (d)(14), in connection with a petition for U nonimmigrant status being filed pursuant to 8 CFR 214.14, must submit the waiver request and the petition for U nonimmigrant status on the forms designated by USCIS in accordance with the form instructions. An alien in U nonimmigrant status who is seeking a waiver of section 212(a)(9)(B) of the Act, 8 U.S.C. 1182(a)(9)(B) (unlawful presence ground of inadmissibility triggered by departure from the United States), must file the waiver request prior to his or her application for reentry to the United States in accordance with the form instructions.
( b ) *Treatment of waiver application.* ( 1 ) USCIS, in its discretion, may grant the waiver based on section 212(d)(14) of the Act, 8 U.S.C. 1182(d)(14), if it determines that it is in the public or national interest to exercise discretion to waive the applicable ground(s) of inadmissibility. USCIS may not waive a ground of inadmissibility based upon section 212(a)(3)(E) of the Act, 8 U.S.C. 1182(a)(3)(E). USCIS, in its discretion, may grant the waiver based on section 212(d)(3) of the Act, 8 U.S.C. 1182(d)(3), except where the ground of inadmissibility arises under sections 212(a)(3)(A)(i)(I), (3)(A)(ii), (3)(A)(iii), (3)(C), or (3)(E) of the Act, 8 U.S.C. 1182(a)(3)(A)(i)(I), (3)(A)(ii), (3)(A)(iii), (3)(C), or (3)(E).
( 2 ) In the case of applicants inadmissible on criminal or related grounds, in exercising its discretion USCIS will consider the number and severity of the offenses of which the applicant has been convicted. In cases involving violent or dangerous crimes or inadmissibility based on the security and related grounds in section 212(a)(3) of the Act, USCIS will only exercise favorable discretion in extraordinary circumstances.
( 3 ) There is no appeal of a decision to deny a waiver. However, nothing in this paragraph is intended to prevent an applicant from re-filing a request for a waiver of ground of inadmissibility in appropriate cases.
( c ) *Revocation.* The Secretary of Homeland Security, at any time, may revoke a waiver previously authorized under section 212(d) of the Act, 8 U.S.C. 118(d). Under no circumstances will the alien or any party acting on his or her behalf have a right to appeal from a decision to revoke a waiver.
[72 FR 53035, Sept. 17, 2007, as amended at 76 FR 53788, Aug. 29, 2011]
Exhibit 32.1

                        CERTIFICATION OF PERIODIC REPORT

Pursuant to 18 U.S.C.  Section 1350,  as adopted  pursuant to Section 906 of the
Sarbanes-Oxley  Act of  2002,  each of the  undersigned  officers  of  Carbonics
Capital  Corporation (f/k/a GreenShift  Corporation) (the "Company"),  certifies
that:

     1.   The Quarterly  Report on Form 10Q/A  (Amendment  No. 1) of the Company
          for the Quarter ended September 30, 2009 (the "Report") fully complies
          with the  requirements  of  Section  13(a) or 15(d) of the  Securities
          Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)); and

     2.   The  information  contained  in the  Report  fairly  presents,  in all
          material respects,  the financial  condition and results of operations
          of the Company.




                                      /S/      PAUL T. MILLER
                                      --------------------------------
Dated:   December 23, 2009                     PAUL T. MILLER
                                               Chief Executive Officer


                                      /S/      JACQUELINE FLYNN
                                      --------------------------------
Dated:   December 23, 2009                     JACQUELINE FLYNN
                                               Chief Financial Officer

This  certification  is made solely for the purpose of 18 U.S.C.  Section  1350,
subject  to the  knowledge  standard  contained  therein,  and not for any other
purpose.