Administrative Proceeding File No. 3-16358

Respondents

Spectrum Concepts, LLC Worswick, Donald James Grosso, Michael Nicholas Brown, Michael Patrick
Release Date Release Number Other Release Numbers Name of Document
33-9806
  • 34-75144
 Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 8A of the Securities Act of 1933 and 21C of the Securities Exchange Act of 1934 Against Respondents Spectrum and Worswick
770 INITIAL DECISION ON DEFAULT AS TO MICHAEL NICHOLAS GROSSO AND MICHAEL PATRICK BROWN AND STAY AS TO SPECTRUM CONCEPTS,LLC, AND DONALD JAMES WORSWICK
AP-2417 Notice to Parties
AP-2385 Order Following Prehearing Conference
AP-2370 Order On Motion
AP-2329 Order Rescheduling Prehearing Conference
AP-2291 Order Postponing Hearing and Scheduling Prehearing Conference
AP-2261 Order Scheduling Hearing and Designating Presiding Judge
34-74123 ORDER INSTITUTING CEASE- AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 AND SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND NOTICE OF HEARING
33-9709
  • 34-74123
 Order Instituting Cease- And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Division's Status Report On Service of Process On Respondent Brown
Respondents Spectrum Concepts, LLC and Donald Worswick's Answer and Affirmative Defenses and Motion for More Definite Statement
Respondents Spectrum Concepts, LLC and Donald Worswick's Motion to Cancel Hearing and to Reschedule Prehearing Conference
Division's Third Status Report On Service of Process On Respondent Brown and Grosso
Division's Response in Opposition to Respondents Spectrum Concepts, LLC and Donald Worswick's Motion for More Definite Statement
Division's Fourth Status Report On Service of Process On Respondent Grosso
Respondents Spectrum Concepts, LLC and Worswick's Reply to Division's Response in Opposition to Motion for More Definite Statement
Letter, Undated to OS from Respondent Grosso Requesting the SEC Dismiss Its Action Against Him
Division's Motion to Deem Respondent Grosso in Default
Division's Motion to Deem Respondent Brown in Default
Letter of 4/2/15 to CALJ Murray from Respondent Grosso Stating He Answered the Court
INITIAL DECISION ON DEFAULT AS TO MICHAEL NICHOLAS GROSSO AND MICHAEL PATRICK BROWN AND STAY AS TO SPECTRUM CONCEPTS,LLC, AND DONALD JAMES WORSWICK
ORDER INSTITUTING CEASE- AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 AND SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND NOTICE OF HEARING
Notice That Initial Decision Has Become Final
Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 8A of the Securities Act of 1933 and 21C of the Securities Exchange Act of 1934 Against Respondents Spectrum and Worswick
Order Instituting Cease- And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934 and Notice of Hearing
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Rescheduling Prehearing Conference
Order On Motion
Order Following Prehearing Conference
Notice to Parties

Documents