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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

First Quarter

Additional Archives

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Release No. Date Respondents
First Quarter
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: 01/30/2015