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Administrative Proceedings

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.

The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions

Third Quarter |  Second Quarter | First Quarter

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Release No. Date Respondents
Third Quarter
34-75549 Jul. 29, 2015 Buckhead Community Bancorp, Inc., et al.
IA-4150 Jul. 29, 2015 Stephen M. Coleman
34-75546 Jul. 29, 2015 Oraco Resources, Inc., et al.
34-75545 Jul. 29, 2015 America West Resources, Inc., Sonoma Valley Bancorp and WorldStar Energy, Corp.
IA-4149 Jul. 28, 2015 Sachin K. Uppal
34-75544 Jul. 28, 2015 IFuture.Com, Inc., et al.
33-9870 Jul. 28, 2015 Frank H. Chiappone, et al.
Other Release Nos.: 34-75543, IA-4148, IC-31727
34-75542 Jul. 28, 2015 Brookstone Securities, Inc., et al.
34-75539 Jul. 28, 2015 David B. Havanich, Jr., et al.
Other Release No.: IA-4147
34-75538 Jul. 28, 2015 David B. Havanich, Jr., et al.
34-75537 Jul. 28, 2015 David B. Havanich, Jr., et al.
34-75532 Jul. 28, 2015 Mead Johnson Nutrition Company
34-75527 Jul. 27, 2015 John M.E. Saad
Other Release Nos.: 34-62178, 34-70632, 34-74932
34-75526 Jul. 27, 2015 Anticus International Corp., et al.
34-75525 Jul. 27, 2015 Opera Jet International Ltd.
34-75524 Jul. 27, 2015 Arctos Petroleum Corp. (a/k/a Stetson Oil & Gas, et al.
34-75523 Jul. 27, 2015 Eden Energy Corp. and Fifth Season International, Inc.
34-75522 Jul. 27, 2015 AOB Biotech, Inc., et al.
34-75521 Jul. 24, 2015 Gary B. Wolff, Esq.
34-75520 Jul. 24, 2015 Fred Alger Management, Inc. and Fred Alger & Company, Incorporated
Note: See also Plan of Distribution
34-75519 Jul. 24, 2015 G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC
Note: See also Plan of Distribution
IA-4146 Jul. 24, 2015 Dion Money Management, LLC
34-75515 Jul. 23, 2015 Fred Alger Management, Inc. and Fred Alger & Company, Inc.
34-75512 Jul. 23, 2015 Robert Okin
33-9869 Jul. 23, 2015 Arthur W. Lewis
Other Release No.: 34-75511
33-9868 Jul. 23, 2015 Scott A. Eisler
Other Release Nos.: 34-75510, IC-31725, IA-4145
34-75508 Jul. 23, 2015 Accres Holding, Inc., et al.
34-75507 Jul. 23, 2015 Carter Acquisition Corp. I, et al.
34-75506 Jul. 22, 2015 Credit Suisse Alternative Capital, et al.
33-9867 Jul. 22, 2015 Gordon Brent Pierce
Other Release No.: 34-75503
34-75500 Jul. 21, 2015 Akis C. Eracleous
Other Release No.: IA-4144
34-75496 Jul. 20, 2015 ILN Amherst Corp., et al.
34-75495 Jul. 20, 2015 Greene Power, Inc., Intacta Technologies, Inc. and Lane Co. #3, Inc.
34-75485 Jul. 17, 2015 Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company
34-75484 Jul. 17, 2015 Chad E. Wiegand
Other Release No.: IA-4143
34-75483 Jul. 17, 2015 Chih Hsuan "Kiki" Lin
34-75474 Jul. 16, 2015 Hugo Urrea
34-75466 Jul. 16, 2015 CDMemories.Com, Inc., et al.
34-75465 Jul. 16, 2015 Capital Connection, Inc., et al.
34-75462 Jul. 15, 2015 James R. Holdman
Other Release No.: IA-4142
34-75453 Jul. 15, 2015 Oraco Resources, Inc., et al.
34-75452 Jul. 15, 2015 NNN 2003 Value Fund, LLC
34-75451 Jul. 15, 2015 NNN 2002 Value Fund, LLC
34-75450 Jul. 14, 2015 Burgess Nathaniel Hallums
Other Release No.: IA-4141
IA-4139 Jul. 14, 2015 Toby D. Hunter
34-75445 Jul. 14, 2015 Oz Management, LP
34-75430 Jul. 13, 2015 Oraco Resources, Inc., et al.
34-75429 Jul. 13, 2015 Global Leadership Institute, Inc.
33-9864 Jul. 10, 2015 Gerard Boudreault
Other Release No.: 34-75420
34-75419 Jul. 10, 2015 First American Scientific Corp. and Immunosyn Corp.
34-75418 Jul. 9, 2015 Justin G. Dickson
34-75417 Jul. 9, 2015 Patrick Lehnert
34-75404 Jul. 9, 2015 Greenbridge Technology, Inc., et al.
34-75403 Jul. 9, 2015 A Better Way Financial Corp., et al.
34-75402 Jul. 9, 2015 Information Architects Corporation (n/k/a Dakota Creative Group Corporation)
34-75401 Jul. 8, 2015 VERO Capital Management, LLC, et al.
Other Release Nos.: AAER-3670, IA-4138, IC-31710
34-75400 Jul. 8, 2015 Hinds, Inc. and Kenyon, Inc.
34-75399 Jul. 8, 2015 Harvest Valley Ventures, Inc. and Introtech, Inc.
34-75387 Jul. 8, 2015 A.B. Watley Group, Inc., Cambridge Heart, Inc. and iGenii Inc.
34-75385 Jul. 8, 2015 International Hi-Tech Industries Inc., et al.
34-75383 Jul. 8, 2015 Arrin Corporation, et al.
34-75382 Jul. 7, 2015 Bryce Walker, CA and Spence Walker, CA, CPA
Other Release No.: AAER-3669
IC-31706 Jul. 7, 2015 Macquarie Capital Investment Management LLC, et al.
34-75379 Jul. 7, 2015 The American Corp. (a/k/a American Corp.), Madison Acquisition Ventures, Inc. and Nugen Holdings, Inc.
34-75370 Jul. 7, 2015 Cedar Creek Mines Ltd., et al.
34-75369 Jul. 7, 2015 Jesters Resources, Inc. and Kensington Group, Inc.
34-75368 Jul. 7, 2015 Guardian Zone Technology, et al.
33-9863 Jul. 7, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr.
Other Release Nos.: 34-75371, IA-4137, IC-31707
34-75362 Jul. 6, 2015 Wisteria Global, Inc. and Hiroshi Fujigami
34-75352 Jul. 2, 2015 Oraco Resources, Inc., et al.
34-75348 Jul. 1, 2015 Baxter Capital Co., BF Acquisition Group III, Inc. and BF Acquisition Group V, Inc.
34-75347 Jul. 1, 2015 Anmore, Inc. and Bakery Acquisition Corp.
34-75345 Jul. 1, 2015 John Jordan
34-75343 Jul. 1, 2015 Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton
Other Release Nos.: IC-31703, AAER-3668
34-75341 Jul. 1, 2015 Linkbrokers Derivatives LLC
34-75340 Jul. 1, 2015 Richard Lawrence Evans
Other Release Nos.: IA-4136, IC-31701
IA-4135 Jul. 1, 2015 Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino
Other Release No.: IC-31700
Second Quarter
IA-4134 Jun. 30, 2015 Jonathan D. Davey, CPA
Other Release No.: AAER-3666
34-75337 Jun. 30, 2015 Jonathan D. Davey, CPA
Other Release No.: AAER-3667
33-9860 Jun. 30, 2015 Peter Voutsas
34-75332 Jun. 30, 2015 Green Planet Solutions Corp., et al.
34-75331 Jun. 30, 2015 Goldman and Sachs & Co.
34-75330 Jun. 30, 2015 Bama Biotech, Inc., China inSure Holdings, Inc. and China Nutrifruit Group, Ltd.
34-75328 Jun. 29, 2015 Jerry Gruenbaum, Esq.
34-75327 Jun. 29, 2015 Jerry Gruenbaum, Esq.
Other Release No.: IA-4133
34-75319 Jun. 29, 2015 Welhouse & Associates, Inc. and Mark P. Welhouse
Other Release Nos.: IA-4132, IC-31699
IA-4131 Jun. 29, 2015 Kohlberg Kravis Roberts & Co. L.P.
Note: See also Order, Release No. 33-9855
34-75318 Jun. 29, 2015 Horizon Wimba (n/k/a Hayse Corp.), et al.
34-75310 Jun. 26, 2015 Aspire Japan, Inc., et al.
34-75308 Jun. 26, 2015 Aryeh Acquisition Corp., et al.
34-75307 Jun. 26, 2015 Accres Holding, Inc., et al.
34-75305 Jun. 26, 2015 Vantone International Group, Inc.
34-75298 Jun. 25, 2015 Michael S. Wilson, CPA and Cotterman-Wilson CPAs, Inc.
Other Release Nos.: IA-4130, AAER-3665
34-75294 Jun. 24, 2015 JP Turner & Company, LLC and William L. Mello
34-75292 Jun. 24, 2015 Larry Dearman Sr.
Other Release No.: IA-4128
34-75285 Jun. 24, 2015 Papertradex (US) Inc. and Park Hill Capital I Corp.
34-75279 Jun. 24, 2015 China SLP Filtration Technology, Inc., Sickbay Health Media, Inc. and SoTech, Inc.
34-75276 Jun. 24, 2015 AuraSound, Inc., et al.
34-75275 Jun. 24, 2015 Hi-Q Wason, Inc., IPI Fundraisng, Inc., and, Luminary Acquisition Corp.
34-75274 Jun. 24, 2015 China Education International, Inc.
34-75272 Jun. 23, 2015 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
34-75271 Jun. 23, 2015 Phil Williamson
Other Release No.: IA-4127
34-75270 Jun. 23, 2015 Bradley A. Holcom
IA-4126 Jun. 23, 2015 Pekin Singer Strauss Asset Management Inc., et al.
Other Release No.: IC-31688
34-75268 Jun. 23, 2015 Ireeco, LLC and Ireeco Limited
34-75267 Jun. 23, 2015 Adam S. Gottbetter
34-75266 Jun. 23, 2015 Adam S. Gottbetter
34-75265 Jun. 23, 2015 Ark Asset Management Co., Inc.
34-75264 Jun. 23, 2015 Comprehensive Capital Management, Inc. Note: See also Plan of Distribution
34-75263 Jun. 22, 2015 Joshua A. Yudell
IA-4124 Jun. 22, 2015 Matthew G. Teeple
IA-4123 Jun. 22, 2015 John V. Johnson
34-75249 Jun. 19, 2015 Urban AG Corp.
33-9848 Jun. 18, 2015 Certain Municipal Securities Underwritings
33-9847 Jun. 18, 2015 William Blair & Company, L.L.C.
Other Release No.: 34-75241
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9846 Jun. 18, 2015 Wells Nelson & Associates, LLC
Other Release No.: 34-75240
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9845 Jun. 18, 2015 Stifel and Nicolaus & Company, Inc.
Other Release No.: 34-75239
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9844 Jun. 18, 2015 Sterne and Agee & Leach, Inc.
Other Release No.: 34-75238
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9843 Jun. 18, 2015 Stephens Inc.
Other Release No.: 34-75237
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9842 Jun. 18, 2015 Smith Hayes Financial Services Corporation
Other Release No.: 34-75236
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9841 Jun. 18, 2015 Siebert Brandford Shank & Co., LLC
Other Release No.: 34-75235
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9840 Jun. 18, 2015 Robert W. Baird & Co. Incorporated
Other Release No.: 34-75234
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9839 Jun. 18, 2015 RBC Capital Markets, LLC
Other Release No.: 34-75233
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9838 Jun. 18, 2015 Raymond James & Associates, Inc.
Other Release No.: 34-75232
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9837 Jun. 18, 2015 Piper Jaffray & Co.
Other Release No.: 34-75231
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9836 Jun. 18, 2015 Oppenheimer & Co. Inc.
Other Release No.: 34-75230
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9835 Jun. 18, 2015 The Northern Trust Company
Other Release No.: 34-75229
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9834 Jun. 18, 2015 Morgan Stanley & Co. LLC
Other Release No.: 34-75228
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9833 Jun. 18, 2015 Merrill Lynch, Pierce and Fenner & Smith, Incorporated
Other Release No.: 34-75227
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9831 Jun. 18, 2015 Merchant Capital, L.L.C.
Other Release No.: 34-75225
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9830 Jun. 18, 2015 Martin Nelson & Co., Inc.
Other Release No.: 34-75224
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9829 Jun. 18, 2015 Loop Capital Markets LLC
Other Release No.: 34-75223
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9828 Jun. 18, 2015 L.J. Hart & Company
Other Release No.: 34-75222
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9827 Jun. 18, 2015 J.P. Morgan Securities LLC
Other Release No.: 34-75221
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9826 Jun. 18, 2015 Hutchinson, Shockey and Erley & Co.
Other Release No.: 34-75220
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9825 Jun. 18, 2015 Goldman and Sachs & Co.
Other Release No.: 34-75219
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9824 Jun. 18, 2015 George K. Baum & Company
Other Release No.: 34-75218
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9823 Jun. 18, 2015 First National Capital Markets, Inc.
Other Release No.: 34-75217
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9822 Jun. 18, 2015 Dougherty & Company LLC
Other Release No.: 34-75216
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9821 Jun. 18, 2015 Davenport & Company LLC
Other Release No.: 34-75215
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9820 Jun. 18, 2015 City Securities Corporation
Other Release No.: 34-75214
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9819 Jun. 18, 2015 Citigroup Global Markets Inc.
Other Release No.: 34-75213
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9818 Jun. 18, 2015 Central States Capital Markets, LLC
Other Release No.: 34-75212
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9817 Jun. 18, 2015 BOSC, Inc.
Other Release No.: 34-75211
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9816 Jun. 18, 2015 BNY Mellon Capital Markets, LLC
Other Release No.: 34-75210
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9815 Jun. 18, 2015 BMO Capital Markets GKST Inc.
Other Release No.: 34-75209
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9814 Jun. 18, 2015 Bernardi Securities, Inc.
Other Release No.: 34-75208
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9813 Jun. 18, 2015 Benchmark Securities, LLC
Other Release No.: 34-75207
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9812 Jun. 18, 2015 B.C. Ziegler and Company
Other Release No.: 34-75206
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9811 Jun. 18, 2015 The Baker Group, LP
Other Release No.: 34-75205
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9832 Jun. 18, 2015 Dennis J. Malouf
Other Release Nos.: 34-75226, IA-4121, IC-31682
34-75204 Jun. 18, 2015 BioCoral, Inc., et al.
34-75202 Jun. 18, 2015 KPNQwest N.V. and Preventia, Inc.
34-75200 Jun. 18, 2015 China Organic Fertilizer, Inc.
34-75198 Jun. 18, 2015 GSP-2, Inc.
34-75196 Jun. 18, 2015 The AppleTree Companies, Inc., RoomStore, Inc. and Saveene Group Corp.
IA-4120 Jun. 17, 2015 George Joseph Palathinkal, CPA
Other Release No.: AAER-3664
IC-31678 Jun. 17, 2015 Commonwealth Capital Management, LLC, et al.
33-9809 Jun. 17, 2015 Sand Hill Exchange, Gerrit Hall and Elaine Ou
34-75185 Jun. 17, 2015 Enterologics, Inc., Midas Medici Group Holdings, Inc. and SEFE, Inc.
34-75183 Jun. 17, 2015 Oraco Resources, Inc., et al.
34-75180 Jun. 17, 2015 Neologic Animation Inc.
33-9807 Jun. 16, 2015 Equity Trust Company
34-75177 Jun. 16, 2015 Hornby International, Inc., et al.
34-75176 Jun. 16, 2015 Integrated.Com, Inc. and Las Vegas Sports Resort, Inc. (f/k/a Samdrew V Inc.)
34-75175 Jun. 16, 2015 Earth Dragon Resources, Inc.
34-75174 Jun. 16, 2015 Alternate Energy Solutions, Inc., et al.
IA-4116 Jun. 15, 2015 SFX Financial Advisory Management Enterprises, Inc. and Eugene S. Mason
IA-4115 Jun. 15, 2015 Brian J. Ourand
Other Release No.: IC-31668
34-75172 Jun. 15, 2015 Helmut Anscheringer
IA-4114 Jun. 15, 2015 Christopher A. Luck
34-75171 Jun. 15, 2015 Keith E. Rode, CPA
Other Release Nos.:  IA-4113, AAER-3663
34-75164 Jun. 12, 2015 ChinaCast Education Corp. and Phoenix Agri Enterprises, Inc.
34-75163 Jun. 12, 2015 Austin Acquisitions, Inc., et al.
33-9806 Jun. 11, 2015 Spectrum Concepts, LLC, et al.
Other Release No.: 34-75144
34-75137 Jun. 10, 2015 Chatter Box Call Center Ltd., Euro Group Companies, Inc. and Golden Century Resources Limited
34-75136 Jun. 10, 2015 Winsonic Digital Media Group, Ltd.
IA-4112 Jun. 9, 2015 The ELIV Group, LLC and Scott Valente
34-75129 Jun. 9, 2015 Jason Matthew Pennington
34-75128 Jun. 9, 2015 Brian J. Schuster
Other Release No.: IA-4110
34-75127 Jun. 9, 2015 Rebecca L. Engle
Other Release No.: IA-4109
34-75126 Jun. 9, 2015 Clinton D. Fraley
Other Release No.: IA-4108
34-75125 Jun. 9, 2015 Devon J. Carlson
Other Release No.: IA-4107
34-75124 Jun. 9, 2015 Robert H. Medhus
IA-4106 Jun. 9, 2015 Frederic Elm f/k/a Frederic Elmaleh
34-75122 Jun. 8, 2015 Guardian Zone Technology, et al.
IA-4105 Jun. 8, 2015 Lawrence J. Herzing, CPA
34-75118 Jun. 5, 2015 Credit Suisse Securities (USA) LLC, et al.
34-75113 Jun. 5, 2015 Mark G. Brickman and Mark E. Baratto
Other Release No.: IC-31661
34-75111 Jun. 5, 2015 Voyager Entertainment International Inc.
33-9804 Jun. 5, 2015 Computer Sciences Corporation, et al.
Other Release Nos.: 34-75110, AAER-3662
33-9801 Jun. 3, 2015 Michael G. Thomas
Other Release Nos.: IA-4102, IC-31659
33-9800 Jun. 3, 2015 Todd M. Schoenberger
Other Release Nos.: 34-75099, IA-4101, IC-31658
34-75097 Jun. 3, 2015 First China Pharmaceutical Group, Inc.
34-75092 Jun. 2, 2015 Accelerated Acquisitions XIV, Inc., et al.
34-75091 Jun. 2, 2015 booktech.com, inc., et al.
34-75090 Jun. 2, 2015 Anticus International Corp., et al.
33-9799 Jun. 1, 2015 Dickson Lee, CPA
Other Release Nos.: 34-75088, AAER-3659
34-75086 Jun. 1, 2015 First Bancorp, Anna Hollers and Teresa Nixon (Corrected Order)
34-75084 Jun. 1, 2015 Horizon Wimba, et al.
34-75083 Jun. 1, 2015 Merrill Lynch, et al.
34-75082 Jun. 1, 2015 Ronald Lawrence Schuman
34-75081 Jun. 1, 2015 Barry Hawk
34-75080 Jun. 1, 2015 Gerard Haryman
IA-4100 Jun. 1, 2015 Benjamin Lee Grant
34-75079 Jun. 1, 2015 Longhai Steel Inc.
34-75078 Jun. 1, 2015 Discovery Oil, Ltd., Maydao Corporation and NX Global, Inc.
34-75077 May 29, 2015 Michael W. Zirinsky
34-75070 May 29, 2015 Keilen Dimone Wiley
IA-4099 May 29, 2015 Timbervest, LLC, et al.
Other Release No.: IC-31654
33-9795 May 28, 2015 Gregory T. Bolan, Jr. and Joseph C. Ruggieri
Other Release No.: 34-75066
34-75062 May 28, 2015 Christopher C. Weides
34-75059 May 28, 2015 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
33-9794 May 28, 2015 William Quigley
Other Release No.: 34-75061
34-75055 May 28, 2015 America West Resources, Inc., Sonoma Valley Bancorp and Worldstar Energy, Corp.
34-75047 May 27, 2015 Jesters Resources, Inc., Jet Neko, Inc. and Kensington Group, Inc.
34-75046 May 26, 2015 ANTH1, Inc., et al.
33-9793 May 26, 2015 David B. Havanich, et al.
Other Release No.: 34-75045
33-9792 May 26, 2015 David B. Havanich, et al.
Other Release No.: 34-75044
33-9791 May 26, 2015 David B. Havanich, et al.
Other Release No.: 34-75043
34-75040 May 26, 2015 Deutsche Bank AG
IA-4095 May 22, 2015 Stephen A. Colangelo, Jr.
34-75037 May 22, 2015 Brookstone Securities, Inc, et al.
34-75035 May 22, 2015 National Health Partners, Inc., and the Laguna Group, Inc. (a/k/a Eco Energy Pumps, Inc.)
34-75034 May 21, 2015 Sarkauskas and Associates, Inc. and James M. Sarkauskas
34-75028 May 21, 2015 Mayer Hoffman McCann, P.C.
Other Release No.: AAER-3658
33-9789 May 21, 2015 Gray Financial Group, Inc., Laurence O. Gray, and Robert C. Hubbard, IV
Other Release Nos.: 34-75021, IA-4094, IC-31643
34-75020 May 21, 2015 EC Development, Inc.
34-75019 May 21, 2015 Black Sea Metals, Inc., et al.
34-75018 May 21, 2015 Discovery Oil, Ltd., et al.
34-75017 May 21, 2015 China Education International, Inc., Delta Entertainment Group Inc. and Gulf United Energy, Inc.
34-75016 May 21, 2015 Aspire International, Inc., et al.
IA-4093 May 20, 2015 Gedrey Thompson
34-75015 May 20, 2015 Erick Laszlo Mathe
34-75014 May 20, 2015 Renrui Tang
Other Release No.: AAER-3657
34-75011 May 20, 2015 Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
Other Release Nos.: IA-4092, IC-31614
33-9788 May 20, 2015 Randy E. Olshen
Other Release No.: 34-75010
34-75000 May 20, 2015 Guy M. Jean-Pierre, Esq., a/k/a "Marcelo Dominguez De Guerra"
34-74999 May 20, 2015 Guy M. Jean-Pierre, Esq., a/k/a "Marcelo Dominguez De Guerra"
34-74997 May 20, 2015 Composite Solutions, Inc., Ruby Creek Resources, Inc. and Voyager Entertainment International Inc.
34-74998 May 20, 2015 BHP Billiton Ltd. and BHP Billiton Plc
34-74995 May 19, 2015 Barclay Road Inc., et al.
34-74994 May 19, 2015 Richard Krill
Other Release Nos.: IC-31609
34-74993 May 19, 2015 VCAP Securities, LLC and Brett Thomas Graham
34-74983 May 18, 2015 Carter Acquisition Corp. I, et al.
IA-4087 May 18, 2015 Trust & Investment Advisors, Inc., Larry K. Pitts and George M. Prugh
IA-4086 May 18, 2015 Stephen L. Kirkland
34-74978 May 15, 2015 Mitchell J. Stein
34-74977 May 15, 2015 Mitchell J. Stein
33-9772 May 15, 2015 Thomas A. Neely, Jr.
Other Release Nos.: 34-74976, AAER-3656
IC-31601 May 14, 2015 Nationwide Life Insurance Company
34-74959 May 14, 2015 Defense Industries International, Inc., EvCarCo, Inc. and or Island Breeze International, Inc.
34-74958 May 14, 2015 QSound Labs, Inc. and Wind Energy America, Inc.
34-74945 May 13, 2015 China Pharmaceuticals, Inc. and Ziyang Ceramics Corp.
34-74944 May 13, 2015 Energiz Renewable, Inc., Iron Eagle Group, Inc. and MedClean Technologies, Inc.
34-74943 May 13, 2015 Revonergy Inc., et al.
34-74942 May 13, 2015 Big Sky Industries II, Inc., et al.
34-74941 May 13, 2015 Dittybase Technologies, Inc.
33-9771 May 12, 2015 Paul Tabet
Other Release Nos.: 34-74940, IA-4082, IC-31600
34-74925 May 12, 2015 Computer Learning Centers, Inc., InferX Corp., and Sedona Corp.
IA-4081 May 11, 2015 Stephen Goodrich
33-9768 May 11, 2015 First Xeris Corp.
33-9767 May 11, 2015 Visual Acumen, Inc.
34-74912 May 8, 2015 Express Commercial Capital LLC and Sidney Banner
34-74907 May 8, 2015 Mobile Area Networks, Inc.
34-74905 May 7, 2015 John W. Adams and AIP, LLC
34-74904 May 7, 2015 Gruber & Company LLC and Edward Randall Gruber (CPA)
Other Release No.: AAER-3655
34-74899 May 7, 2015 Comprehensive Capital Management, Inc.
Note: See also Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
IA-4078 May 6, 2015 Timbervest, LLC, et al.
Other Release No.: IC-31595
34-74879 May 6, 2015 China Yili Petroleum Company
34-74878 May 6, 2015 China Education International, Inc., Delta Entertainment Group Inc. and Gulf United Energy, Inc.
34-74871 May 5, 2015 Fred Alger Management, Inc. and Fred Alger & Company, Incorporated
Note: See also Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
34-74869 May 5, 2015 A.B. Watley Group, Inc., et al.
34-74867 May 4, 2015 Kingsway Capital, Inc., Luvoo Int. Inc. and Pacific Clean Water Technologies, Inc.
34-74859 May 4, 2015 Innovative Software Technologies, Inc., et al.
IA-4076 May 1, 2015 Timbervest, LLC, et al.
Other Release No.: IC-31591
34-74852 Apr. 30, 2015 Hugo Urrea
34-74851 Apr. 30, 2015 Sarkauskas, Associates, Inc. and James M. Sarkauskas
34-74848 Apr. 30, 2015 Eden Energy Corp. and Fifth Season International, Inc.
34-74846 Apr. 30, 2015 Cedar Creek Mines Ltd., et al.
34-74828 Apr. 29, 2015 Alpha Titans LLC, Timothy P. Mccormack, and Kelly D. Kaeser, Esq.
Other Release Nos.: IA-4073, IC-31586
34-74827 Apr. 29, 2015 Simon Lesser, CPA, CA
Other Release Nos.: IA-4072, IC-31585, AAER-3654
33-9761 Apr. 28, 2015 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4071, IC-31583
IA-4070 Apr. 28, 2015 Charles R. Kokesh
34-74820 Apr. 28, 2015 Greenbridge Technology, Inc., et al.
34-74819 Apr. 28, 2015 Jesters Resources, Inc., Jet Neko, Inc. and Kensington Group, Inc.
34-74817 Apr. 27, 2015 Steven J. Manderfeld and Esq.
34-74816 Apr. 27, 2015 Donald J. Torbert, CPA, Nicole S. Stokes and CPA.
Other Release Nos.: AAER-3652, AAER-3652
34-74812 Apr. 27, 2015 Keith MacDonald Summers
Note: See also Plan of Distribution
Comments due: 30 days from publication of this Notice
34-74811 Apr. 24, 2015 Frank Perkins Hixon, Jr.
34-74808 Apr. 24, 2015 North East Capital, LLC and Anthony T. Vicidomine
34-74806 Apr. 24, 2015 Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation
34-74805 Apr. 24, 2015 Duncan J. Macdonald, III
33-9759 Apr. 23, 2015 International Precious Metals, Inc.
33-9758 Apr. 23, 2015 Kismet, Inc
33-9757 Apr. 23, 2015 Houston American Energy Corp., et al.
33-9756 Apr. 23, 2015 Houston American Energy Corp., et al.
Other Release No.: 34-74800
33-9755 Apr. 23, 2015 Edward M. Daspin, a/k/a "Edward (Ed) Michael"; Luigi Agostini; and Lawrence R. Lux
Other Release No.: 34-74799
34-74802 Apr. 23, 2015 Centaur Management Co. LLC
34-74798 Apr. 23, 2015 Tracy Morgan Spaeth
Other Release No.: IA-4069
34-74792 Apr. 23, 2015 StateTrust Investments, Inc.
34-74790 Apr. 23, 2015 21st Century Telesis II, Inc., et al.
34-74789 Apr. 23, 2015 Visa Industries of Arizona, Inc.
34-74779 Apr. 22, 2015 First American Scientific Corp. and Immunosyn Corp.
34-74782 Apr. 22, 2015 W2007 Grace Acquisition I, Inc.
34-74777 Apr. 22, 2015 Akesis Pharmaceuticals, Inc., et al.
IC-31560 Apr. 21, 2015 Kornitzer Capital Management, Inc. and Barry E. Koster
34-74772 Apr. 21, 2015 Hi-Q Wason, Inc., Ipi Fundraising, Inc. and Luminary Acquisition Corp.
34-74769 Apr. 21, 2015 AuraSound, Inc., et al.
34-74768 Apr. 20, 2015 Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt
IA-4065 Apr. 20, 2015 Blackrock Advisors, LLC and Bartholomew A. Battista
Other Release No.: IC-31558
34-74765 Apr. 20, 2015 Marc Sherman
34-74757 Apr. 17, 2015 Charles Duane Lewis
34-74756 Apr. 17, 2015 Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company
33-9752 Apr. 17, 2015 Joseph John Labadia
Other Release Nos.: 34-74754, IA-4064, IC-31556
33-9751 Apr. 17, 2015 Russell C. Schalk, Jr.
Other Release Nos.: 34-74753, IC-31555
IA-4063 Apr. 16, 2015 Sean C. Cooper
Other Release No.: IC-31554
IA-4062 Apr. 16, 2015 Alliance Capital Management, L.P.
Other Release No.: IC-31553
34-74752 Apr. 16, 2015 R. Scott Peden, Esq.
33-9750 Apr. 16, 2015 Kevin D. Miller
Other Release No.: 34-74751
33-9749 Apr. 16, 2015 Ronald A. Warren
Other Release No.: 34-74750
33-9748 Apr. 16, 2015 William J. Gaffney
Other Release No.: 34-74749
33-9747 Apr. 16, 2015 Edward T. Farmer
Other Release No.: 34-74748
34-74737 Apr. 16, 2015 OCZ Technology Group, Inc. (n/k/a ZCO Liquidating Corp.)
34-74736 Apr. 16, 2015 Discovery Oil, Ltd., et al.
34-74735 Apr. 15, 2015 Robert C. Weaver, Jr., Esq.
34-74731 Apr. 15, 2015 Eric W. Johnson
Other Release No.: IA-4060
34-74722 Apr. 13, 2015 Larry Dearman, Sr.
Other Release No.: IA-4059
34-74721 Apr. 13, 2015 Aryeh Acquisition Corp., et al.
34-74720 Apr. 13, 2015 A Better Way Financial Corp., et al.
34-74711 Apr. 10, 2015 William F. Fang
34-74710 Apr. 10, 2015 Aaron Black
34-74697 Apr. 9, 2015 Craig Danzig
33-9745 Apr. 9, 2015 Michael M. Cohen
Other Release Nos.: 34-74698, AAER-3651
34-74696 Apr. 9, 2015 Molex Incorporated
33-9744 Apr. 9, 2015 AirTouch Communications, Inc., Hideyuki Kanakubo and Jerome Kaiser, CPA
Other Release Nos.: 34-74691, AAER-3650
34-74686 Apr. 8, 2015 Arctos Petroleum Corp., et al.
34-74684 Apr. 8, 2015 AOB Biotech, Inc., et al.
33-9743 Apr. 8, 2015 Robert Gorgia
Other Release No.: 34-74683
34-74674 Apr. 8, 2015 Joseph J. Almazon and Spartan Capital Partners
34-74673 Apr. 8, 2015 FLIR Systems, Inc.
34-74672 Apr. 8, 2015 China Bus Group Co. (f/k/a Alpine Alpha 3, Ltd.) and China Oumei Real Estate, Inc.
34-74667 Apr. 7, 2015 Daniel R. Murphy
Other Release No.: IA-4055
34-74661 Apr. 7, 2015 AuraSound, Inc., et al.
34-74659 Apr. 7, 2015 Chatter Box Call Center Ltd., Euro Group of Companies, Inc. and Golden Century Resources Limited
34-74658 Apr. 7, 2015 China Education International, Inc., Delta Entertainment Group Inc. and Gulf United Energy, Inc.
34-74647 Apr. 6, 2015 Calypte Biomedical Corporation, EC Development, Inc. and Information Architects Corporation (n/k/a Dakota Creative Group Corporation)
34-74646 Apr. 3, 2015 Haider Zafar
34-74630 Apr. 2, 2015 Innovative Software Technologies, Inc., et al.
34-74626 Apr. 1, 2015 Timothy Edwin Scronce
Other Release No.: AAER-3649
34-74625 Apr. 1, 2015 Michael Hedrick
Other Release No.: AAER-3648
34-74624 Apr. 1, 2015 Marc J. Mize
Other Release No.: AAER-3647
34-74621 Apr. 1, 2015 Urban AG Corp.
34-74620 Apr. 1, 2015 Earth Dragon Resources, Inc.
34-74619 Apr. 1, 2015 KBR, Inc.
First Quarter
34-74615 Mar. 31, 2015 Leonard Eric Burd
34-74614 Mar. 31, 2015 G-Trade Services LLC, ConvergEx Global Markets Limited and ConvergEx Execution Solutions LLC
34-74613 Mar. 31, 2015 Polycom, Inc.
Other Release No.: AAER-3645
34-74608 Mar. 30, 2015 Aegis Capital, LLC, et al.
Other Release Nos.: IA-4054, IC-31541
34-74607 Mar. 30, 2015 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
Note: See also Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
Comments received are available for this proposed plan.
34-74606 Mar. 30, 2015 Comprehensive Capital Management, Inc.
IA-4053 Mar. 30, 2015 Lynn Tilton, et al.
Other Release Nos.: IC-31539, AAER-3644
34-74602 Mar. 27, 2015 Joseph Meuse
34-74586 Mar. 26, 2015 Global Fixed Income, LLC, et al.
Other Release No.: IC-31537
34-74585 Mar. 26, 2015 David Boyle
34-74584 Mar. 25, 2015 Winsonic Digital Media Group, Ltd.
34-74582 Mar. 25, 2015 Craig S. Lax
34-74574 Mar. 24, 2015 Bama Biotech, Inc., et al.
34-74573 Mar. 24, 2015 Austin Acquisitions, Inc., et al.
34-74569 Mar. 24, 2015 Jeffory D. Shields
34-74566 Mar. 23, 2015 Charles L. Rizzo and Gina M. Hornbogen
34-74549 Mar. 20, 2015 Longhai Steel Inc.
34-74547 Mar. 20, 2015 First China Pharmaceutical Group, Inc.
34-74545 Mar. 20, 2015 Inova Technology, Inc.
34-74543 Mar. 19, 2015 Matthew O. Madison
34-74542 Mar. 19, 2015 Dwight D. McGhee
34-74539 Mar. 19, 2015 Keypoint Capital Management, LLC
34-74530 Mar. 19, 2015 Agent155 Media Corp., et al.
IA-4050 Mar. 18, 2015 Acamar Global Investments, LLC and Rudolph A. Martin
Other Release No.: IC-31508
34-74527 Mar. 18, 2015 Lek Securities Corp.
34-74522 Mar. 17, 2015 CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc.
33-9738 Mar. 17, 2015 Coral Reef Media, LLC and David E. Flake
Other Release Nos.: 34-74520, IC-31505
34-74517 Mar. 17, 2015 Alternate Energy Solutions, Inc., et al.
34-74516 Mar. 17, 2015 The Appletree Companies, Inc., RoomStore, Inc. and Saveene Group Corp.
34-74515 Mar. 17, 2015 Agent155 Media Corp., et al.
IA-4049 Mar. 16, 2015 Joseph Stilwell and Stilwell Value LLC
Other Release No.: IC-31504
34-74510 Mar. 13, 2015 Robert J. Andres
34-74508 Mar. 13, 2015 VCAP Securities, LLC and Brett Thomas Graham
34-74504 Mar. 13, 2015 William A. Houlihan
34-74503 Mar. 13, 2015 Brian Potiker
34-74502 Mar. 13, 2015 SMP Investments I, LLC
34-74501 Mar. 13, 2015 Jane G. Ciabattoni
34-74500 Mar. 13, 2015 Anthony J. Ciabattoni
34-74499 Mar. 13, 2015 The Ciabattoni Living Trust Dated August 17, 2000
34-74498 Mar. 13, 2015 Berjaya Lottery Management (H.K.) Ltd.
34-74497 Mar. 13, 2015 Shuipan Lin
34-74495 Mar. 12, 2015 Albert J. Scipione
34-74494 Mar. 12, 2015 John Gray
Other Release No.: IA-4047
34-74493 Mar. 12, 2015 Cynthia A. Sabol, CPA
Other Release No.: AAER-3642
33-9737 Mar. 11, 2015 Thomas C. Priore
Other Release Nos.: 34-74480, IA-4045
34-74471 Mar. 11, 2015 Global Leadership Institute, Inc.
IA-4044 Mar. 10, 2015 Edgar R. Page and Pageone Financial Inc.
Other Release No.: IC-31503
34-74469 Mar. 10, 2015 Robert J. Lunn
Other Release No.: IA-4043
34-74461 Mar. 10, 2015 Keith MacDonald Summers
34-74459 Mar. 9, 2015 Accelerated Acquisitions XIV, Inc., et al.
34-74458 Mar. 9, 2015 booktech.com, inc., et al.
33-9736 Mar. 9, 2015 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4041, IC-31500
34-74457 Mar. 6, 2015 Redonda Lawrence Russell
Other Release No.: IA-4040
34-74447 Mar. 5, 2015 Black Sea Metals, Inc., et al.
34-74445 Mar. 5, 2015 Aspire International, Inc., et al.
34-74442 Mar. 4, 2015 Joshua Wayne Lankford
34-74429 Mar. 4, 2015 H.D. Vest Investment Securities, Inc.
34-74427 Mar. 4, 2015 China Infrastructure Investment Corp.
34-74425 Mar. 4, 2015 China Valves Technology, Inc.
34-74424 Mar. 4, 2015 Discovery Oil, Ltd., et al.
33-9735 Mar. 3, 2015 Gary Eugene Patterson, Esq.
Other Release No.: 34-74421
33-9734 Mar. 3, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, and George R. Jarkesy Jr.
Other Release Nos.: 34-74419, IA-4038, IC-31497
IA-4037 Mar. 3, 2015 Keenan R. Hauke
34-74413 Mar. 3, 2015 Thomas Kevin Keough
Other Release No.: IA-4036
34-74401 Mar. 2, 2015 Robert W. Elliot
Other Release No.: AAER-3641
34-74397 Feb. 27, 2015 Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation
33-9733 Feb. 27, 2015 Hajime Sagawa
Other Release Nos.: 34-74395, IC-31489
34-74393 Feb. 27, 2015 China Pharmaceuticals, Inc., et al.
Note: See also Chinese version of this Order
34-74391 Feb. 27, 2015 Agent155 Media Corp., et al.
34-74385 Feb. 26, 2015 Thomas Edward Kent
34-74386 Feb. 26, 2015 Inova Technology, Inc.
34-74379 Feb. 26, 2015 Diane Glatfelter
34-74376 Feb. 25, 2015 William L. Walters
Other Release No.: IA-4035
IA-4034 Feb. 25, 2015 David Scott Cacchione
IA-4032 Feb. 25, 2015 Carolyn C. Howard
34-74375 Feb. 25, 2015 Charles H. Howard, III
Other Release No.: IA-4033
34-74374 Feb. 25, 2015 Dittybase Technologies, Inc.
34-74372 Feb. 25, 2015 Defense Industries International, Inc., EvCarCo, Inc. and Island Breeze International, Inc.
34-74369 Feb. 25, 2015 China Yili Petroleum Company
34-74368 Feb. 25, 2015 Bingo.Com, Inc. and Biocol, Inc.
34-74366 Feb. 25, 2015 Energiz Renewable, Inc., Iron Eagle Group, Inc. and MedClean Technologies, Inc.
34-74365 Feb. 25, 2015 The Billiard Channel, Inc., et al.
33-9732 Feb. 24, 2015 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
Other Release No.: 34-74364
34-74355 Feb. 24, 2015 North East Capital, LLC and Anthony T. Vicidomine
34-74356 Feb. 24, 2015 The Goodyear Tire & Rubber Company
Other Release No.: AAER-3640
34-74350 Feb. 23, 2015 Halpern & Associates LLC and Barbara Halpern, CPA
Other Release No.: AAER-3639
34-74346 Feb. 20, 2015 Juan Jose Alvarez De Lugo Azpurua
33-9729 Feb. 20, 2015 Sandra Dyche
Other Release Nos.: 34-74347, IC-31463
34-74333 Feb. 20, 2015 Blue Moon Investments, et al.
34-74332 Feb. 20, 2015 Biomass Processing Technology, Inc., Biomedtex, Inc. and Carnegie International Corp.
34-74331 Feb. 20, 2015 Akesis Pharmaceuticals, Inc., et al.
34-74329 Feb. 20, 2015 Revonergy Inc., et al.
34-74327 Feb. 20, 2015 Innovative Software Technologies, Inc., et al.
34-74325 Feb. 20, 2015 Calypte Biomedical Corporation, EC Development, Inc. and Information Architects Corporation (n/k/a Dakota Creative Group Corporation)
34-74316 Feb. 19, 2015 Bradley A. Holcom
34-74315 Feb. 19, 2015 Brian Williamson, Esq
IA-4027 Feb. 19, 2015 Logical Wealth Management, Inc. and Daniel J. Gopen
Other Release No.: IC-31460
34-74305 Feb. 19, 2015 VCAP Securities, LLC and Brett Thomas Graham
Other Release Nos.: IA-4026, IC-31459
34-74300 Feb. 19, 2015 Saba Software, Inc.
34-74280 Feb. 17, 2015 Alamosa (Delaware), Inc., et al.
34-74276 Feb. 13, 2015 Joseph A. Caramadre, CPA
Other Release No.: IA-4025
33-9726 Feb. 13, 2015 Shivbir S. Grewal, Esq.
Other Release No.: 34-74275
33-9725 Feb. 13, 2015 Traci J. Anderson, CPA, Timothy W. Carnahan and Cyios Corporation
Other Release Nos.: 34-74273, AAER-3638
34-74266 Feb. 12, 2015 JPMorgan Chase & Co.
Note: See also Plan of Distribution
IC-31455 Feb. 12, 2015 Water Island Capital LLC
34-74262 Feb. 11, 2015 Child, Van Wagoner & Bradshaw, PLLC, et al.
Other Release No.: AAER-3637
34-74261 Feb. 11, 2015 Nicholas Toms
34-74249 Feb. 11, 2015 Charles L. Hill Jr.
34-74248 Feb. 11, 2015 Efstratios "Elias" D. Argyropoulos
34-74243 Feb. 11, 2015 Perfectenergy International Limited
34-74240 Feb. 10, 2015 William Slater, CPA and Peter E. Williams, III
Other Release No.: AAER-3636
34-74235 Feb. 9, 2015 Kevin Morano, CPA
Other Release No.: AAER-3635
34-74234 Feb. 9, 2015 Jeffrey P. Jorissen, CPA
Other Release No.: AAER-3634
34-74233 Feb. 9, 2015 Mark V. Sever, CPA
Other Release No.: AAER-3633
34-74231 Feb. 6, 2015 Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
34-74230 Feb. 6, 2015 Marlin R. Brinsky, CPA
Other Release No.: AAER-3632
34-74229 Feb. 6, 2015 Christopher J. Kelly, ACA
Other Release No.: AAER-3631
34-74228 Feb. 6, 2015 Jordon McCarty
34-74227 Feb. 6, 2015 Lawrence Foster
34-74226 Feb. 6, 2015 Mountain Share Transfer, LLC and Erik Sterling Nelson
IA-4023 Feb. 6, 2015 GLR Advisors, LLC
IA-4022 Feb. 6, 2015 John A. Geringer
34-74217 Feb. 6, 2015 BDO China Dahua CPA Co., Ltd., et al.
Other Release No.: AAER-3627
IA-4021 Feb. 4, 2015 Matthew D. Sample
34-74208 Feb. 4, 2015 Steven Neil, CPA
Other Release No.: AAER-3626
IA-4019 Feb. 4, 2015 Michael R. Drilling
34-74207 Feb. 4, 2015 David R. Wulf
Other Release No.: IA-4020
34-74206 Feb. 4, 2015 Douglas E. Hampton
Other Release No.: IA-4018
IA-4017 Feb. 4, 2015 New Line Capital, LLC and David A. Nagler
IA-4016 Feb. 4, 2015 Brenda L. Ridley
IA-4015 Feb. 4, 2015 Arete Ltd.
IA-4014 Feb. 4, 2015 Wyoming Investment Management Services, LLC and Craig M. Scariot
IA-4013 Feb. 3, 2015 The ELIV Group, LLC and Scott Valente
34-74189 Feb. 3, 2015 QSGI Inc.
34-74188 Feb. 3, 2015 Stirrup Creek Gold Ltd.
34-74185 Feb. 2, 2015 AARX, Inc., et al.
33-9719 Jan. 30, 2015 Airtouch Communications, Inc., Hideyuki Kanakubo and Jerome Kaiser, CPA
Other Release Nos.: 34-74183, AAER-3625
33-9718 Jan. 30, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy
Other Release Nos.: 34-74181, IA-4011, IC-31439
34-74177 Jan. 29, 2015 Laurie Bebo and John Buono, CPA
Other Release No.: AAER-3624
33-9717 Jan. 29, 2015 International Capital Group, LLC, et al.
Other Release Nos.: 34-74172, IC-31437
IA-4009 Jan. 28, 2015 Marsha Bass
34-74163 Jan. 28, 2015 David L. Marion
33-9715 Jan. 28, 2015 Ryan C. King
Other Release Nos.: 34-74162, IC-31434
33-9714 Jan. 28, 2015 First National Community Bancorp Inc. and William Lance
Other Release Nos.: 34-74161, AAER-3622
34-74157 Jan. 28, 2015 Bluesky Filing Corp., et al.
34-74156 Jan. 28, 2015 Brandeis Holdings, Inc., et al.
34-74155 Jan. 28, 2015 8 by 8, Inc., et al.
34-74154 Jan. 27, 2015 Zurich Capital Markets Inc.
33-9711 Jan. 27, 2015 Oppenheimer & Co. Inc.
Other Release Nos.: AAER-3621, 34-74141
34-74140 Jan. 27, 2015 YesDTC Holdings, Inc.
34-74137 Jan. 26, 2015 Stephen Stuart
33-9709 Jan. 23, 2015 Spectrum Concepts, LLC, et al.
Other Release No.: 34-74123
34-74124 Jan. 23, 2015 Glen Allan Galemmo
Other Release No.: IA-4006
34-74123 Jan. 23, 2015 Spectrum Concepts, LLC, et al.
34-74122 Jan. 23, 2015 Stuart E. Rawitt
34-74121 Jan. 23, 2015 Michael T. Lombardo, Jr.
33-9708 Jan. 23, 2015 David B. Havanich, Jr., et al.
Other Release Nos.: 34-74120, IA-4005
34-74119 Jan. 22, 2015 Spring Hill Capital Markets, LLC, et al.
Other Release No.: IC-31426
34-74112 Jan. 22, 2015 Walid Hatoum
Other Release No.: AAER-3620
34-74108 Jan. 21, 2015 Robert A. Ramsey, CPA
IA-4004 Jan. 21, 2015 du Pasquier & Co., Inc.
34-74103 Jan. 21, 2015 Standard & Poor's Ratings Services
33-9706 Jan. 21, 2015 Barbara Duka
Other Release Nos.: 34-74105, IC-31425
33-9705 Jan. 21, 2015 Standard & Poor's Ratings Services
Other Release No.: 34-74104
33-9704 Jan. 21, 2015 Standard & Poor's Ratings Services
Other Release No.: 34-74102
34-74090 Jan. 20, 2015 Forum National Investments, Ltd.
IA-4000 Jan. 16, 2015 Consulting Services Group, LLC
34-74089 Jan. 16, 2015 Edgar Lee Giovannetti
Other Release Nos.: IA-3999, IC-31421
34-74081 Jan. 16, 2015 Steven Durrelle Williams
34-74080 Jan. 16, 2015 Alfred P. Reeves, III
34-74079 Jan. 16, 2015 Waddell & Reed, Inc., et al.
34-74071 Jan. 15, 2015 PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC
34-74070 Jan. 15, 2015 Bill C. (Billy) Crafton, Jr.
Other Release No.: IA-3998
33-9702 Jan. 15, 2015 Wayne Middleton
Other Release No.: 34-74069
33-9701 Jan. 15, 2015 Charles Irizarry
Other Release No.: 34-74068
33-9700 Jan. 15, 2015 Stuart Carnie
Other Release No.: 34-74066
33-9699 Jan. 15, 2015 John Briner, et al.
Other Release No.: 34-74065
33-9697 Jan. 15, 2015 UBS Securities LLC
Other Release No.: 34-74060
34-74056 Jan. 15, 2015 All-American Care Centers, Inc., FDH, Inc., and USN Communications, Inc. (n/k/a CTBB Holdings, Inc.)
34-74048 Jan. 14, 2015 4301, Inc., et al.
34-74047 Jan. 14, 2015 VHGI Holdings, Inc.
IA-3996 Jan. 13, 2015 Brent F. Williams
IA-3995 Jan. 13, 2015 Guy Andrew Williams
IA-3994 Jan. 13, 2015 Duane Hamblin Slade
IA-3993 Jan. 13, 2015 Shelton Financial Group, Inc. and Jeffrey Shelton
Other Release No.: 34-74044
34-74039 Jan. 13, 2015 James T. Crane, CPA
Other Release No.: AAER-3619
34-74037 Jan. 13, 2015 Global Stevia Corp.
34-74032 Jan. 12, 2015 EDGA Exchange, Inc. and EDGX Exchange, Inc.
34-74019 Jan. 9, 2015 Accredited Business Consolidators Corp., et al.
34-74014 Jan. 8, 2015 Michael S. Steinberg
34-74013 Jan. 8, 2015 Bitech Pharma, Inc., et al.
34-74005 Jan. 6, 2015 Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

 

http://www.sec.gov/litigation/admin.shtml


Modified: 07/29/2015