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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

Second Quarter | First Quarter

Additional Archives

RSS Feed  SEC Administrative Proceedings RSS Feed

Release No. Date Respondents
Second Quarter
34-71969 Apr. 17, 2014 Julianne Chalmers
34-71967 Apr. 17, 2014 Philip Mark Cain
Other Release No.: IA-3819
34-71955 Apr. 16, 2014 Kenneth C. Tebbs
34-71951 Apr. 15, 2014 Scott T. Veech, CPA
Other Release No.: AAER-3550
34-71949 Apr. 15, 2014 Robert C. Rice
33-9575 Apr. 15, 2014 Total Wealth Management, Inc., et al.
Other Release Nos.: 34-71948, IA-3818, IC-31017
Additional Materials:  Exhibit A
34-71947 Apr. 15, 2014 Amcore Financial, Inc., et al.
34-71944 Apr. 14, 2014 Patrick J. Booths
34-71943 Apr. 14, 2014 Joshua D. Spivey
34-71942 Apr. 14, 2014 Steven J. Little
34-71937 Apr. 11, 2014 Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim
34-71930 Apr. 11, 2014 Falcon Oil & Gas Co., Inc., et al.
34-71929 Apr. 11, 2014 AgFeed Industries, Inc.
IA-3817 Apr. 10, 2014 Anthony J. Davian
34-71928 Apr. 10, 2014 Ronald E. Walblay
34-71923 Apr. 10, 2014 Network Dealer Services Holding Corp., et al.
34-71916 Apr. 9, 2014 Hewlett-Packard Company,
IA-3815 Apr. 8, 2014 James Alexander Shepherd
34-71908 Apr. 8, 2014 Herbert Steven Fouke
Other Release No.: IA-3814
34-71907 Apr. 8, 2014 Richard J. Buswell
Other Release No.: IA-3813
34-71905 Apr. 8, 2014 Matthew J. Blevins
34-71904 Apr. 8, 2014 Empire Stock Transfer, Inc. and Patrick R. Mokros
33-9574 Apr. 8, 2014 Keiko Kawamura
Other Release Nos.: 34-71903, IA-3812, IC-31012
33-9573 Apr. 8, 2014 Laird Daniels, CPA
Other Release Nos.: 34-71896, AAER-3548
33-9572 Apr. 7, 2014 Larry C. Grossman and Gregory J. Adams
Other Release Nos.: 34-71885, IA-3811, IC-31008
34-71882 Apr. 4, 2014 Inviva, Inc. and Jefferson National Life Insurance Company
34-71877 Apr. 4, 2014 Corbin Jones
34-71876 Apr. 4, 2014 Timothy J. Geidel
Other Release No.: IA-3810
34-71871 Apr. 4, 2014 Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason Medvin
Other Release No.: IC-31007
34-71867 Apr. 4, 2014 Ads in Motion, Inc., et al.
33-9571 Apr. 3, 2014 Donald J. Anthony, Jr., Frank H. Chiappone, Richard D. Feldmann, William P. Gamello, Andrew G. Guzzetti, William F. Lex, Thomas E. Livingston, Brian T. Mayer, Philip S. Rabinovich, and Ryan C. Rogers,
Other Release Nos.: 34-71864, IC-31005
34-71850 Apr. 3, 2014 Transamerica Financial Advisors, Inc.
Other Release No.: IA-3808
IA-3807 Apr. 2, 2014 Jeffrey M. Semanscin
IA-3806 Apr. 2, 2014 Delsa U. Thomas and the D. Christopher Capital Management Group, LLC
34-71847 Apr. 2, 2014 Alan Sheinwald and Alliance Advisors LLC
34-71834 Apr. 1, 2014 Aclor International, Inc., et al.
First Quarter
34-71831 Mar. 28, 2014 Charles L. Rizzo and Gina M. Hornbogen
34-71825 Mar. 27, 2014 JPMorgan Chase & Co.
Other Release Nos.: 34-71654, 34-70780, 34-70615, 34-70458
34-71824 Mar. 27, 2014 Shirley Kiang
Other Release No.: AAER-3546
33-9565 Mar. 27, 2014 L&L Energy, Inc. and Dickson Lee, CPA
Other Release Nos.: 34-71823, AAER-3545
34-71816 Mar. 27, 2014 Hendrx Corp., et al.
34-71803 Mar. 26, 2014 China Shen Zhou Mining & Resources, Inc., et al.
34-71801 Mar. 26, 2014 Jinhao Motor Company
34-71800 Mar. 26, 2014 China Metallic Resources, Inc., China Timber Work Enterprises, Inc., Premier International Hotel Group, Inc.
33-9564 Mar. 25, 2014 Creative Vision Alliance Corporation
34-71788 Mar. 25, 2014 Goolu, Inc.
34-71787 Mar. 24, 2014 Todd Newman
Other Release No.: IA-3804
34-71770 Mar. 21, 2014 Brendon P. Mcdonald, CPA
Other Release No.: AAER-3544
34-71772 Mar. 24, 2014 Matech Corp., et al.
34-71768 Mar. 21, 2014 The Phoenix Companies, Inc. and PHL Variable Insurance Company
34-71766 Mar. 21, 2014 Patrick J. Sullivan
Other Release No.: IA-3802
34-71763 Mar. 21, 2014 Aden Solutions Inc., et al.
IA-3801 Mar. 20, 2014 Aaron Jousan Johnson
34-71757 Mar. 20, 2014 Frank Mazzola and Felix Investments, LLC
Other Release No.: IA-3800
34-71755 Mar. 20, 2014 Network Dealer Services Holding Corp., et al.
34-71753 Mar. 20, 2014 IVI Communications, Inc., et al.
34-71752 Mar. 19, 2014 Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt
34-71748 Mar. 19, 2014 Wilfred J. Halpern, CPA
34-71743 Mar. 19, 2014 Feisal Sharif
34-71741 Mar. 19, 2014 Tarcon Acquisitions I, Inc.
34-71740 Mar. 19, 2014 First State Bancorporation
34-71739 Mar. 19, 2014 Bristol Rhace Natural Resource Corp.
34-71738 Mar. 18, 2014 Michael D. Montgomery
Other Release No.: IA-3798
34-71737 Mar. 18, 2014 Linda Dianne Alexander
34-71735 Mar. 18, 2014 Jenny E. Coplan
34-71734 Mar. 18, 2014 Michael Aaron Brady
Other Release No.: IA-3797
34-71732 Mar. 18, 2014 Gary Allen Cabello
34-71729 Mar. 14, 2014 Richard P. Greene, Esq.
34-71724 Mar. 14, 2014 Frank I. Reinschreiber
IA-3795 Mar. 13, 2014 Fredrick D. Scott
34-71717 Mar. 13, 2014 Lions Gate Entertainment Corp.
34-71714 Mar. 13, 2014 Marc Steven Firestone and Richard Mark Horowitz
Other Release No.: IA-3793
34-71713 Mar. 13, 2014 Howard Feder and Bdl Manager LLC
Other Release Nos.: IA-3792, IC-30980
34-71712 Mar. 13, 2014 Harold Ten, Menachem "Mark" Berger, and Debra Flowers
Other Release No.: IC-30979
33-9559 Mar. 13, 2014 Michael A. Horowitz and Moshe Marc Cohen
Other Release Nos.: 34-71715, IA-3794, IC-30981
34-71711 Mar. 13, 2014 Freedom Environmental Services, Inc.
34-71710 Mar. 13, 2014 China Dongfang Healthcare Group, Inc., et al.
34-71709 Mar. 12, 2014 Hausmann-Alain Banet
Other Release No.: IA-3791
34-71708 Mar. 12, 2014 Alan Ferraro
34-71695 Mar. 12, 2014 Jefferies LLC (formerly known as Jefferies & Company, Inc.),
34-71694 Mar. 12, 2014 George Louis Theodule
Other Release No.: IA-3790
34-71693 Mar. 12, 2014 Asia Health & Beauty Treasure, Inc., et al.
33-9557 Mar. 11, 2014 Clayton T. Marshall
Other Release Nos.: 34-71688, AAER-3542
33-9556 Mar. 11, 2014 John A. Stadler
Other Release No.: 34-71687
34-71682 Mar. 11, 2014 George Foreman Enterprises, Inc., Mackay Life Sciences, Inc., Reinsurance Technologies, Ltd. (a/k/a Solution Technology International, Inc.), Tire International Environmental Solutions, Inc., WatchIt Technologies, Inc., Weststar Financial Services Corporation, and WorldSpace, Inc.
34-71680 Mar. 11, 2014 Newnan Coweta Bancshares, Inc., Proper Power and Energy Inc., uVuMobile, Inc., Inc., WGNB Corp., and YouBlast Global, Inc.
34-71679 Mar. 11, 2014 Compusonics Video Corporation
34-71678 Mar. 10, 2014 Julio Ramirez, Jr.
34-71677 Mar. 10, 2014 David Loglisci
34-71676 Mar. 10, 2014 Henry Morris
Other Release No.: IA-3789
34-71667 Mar. 7, 2014 Craig Berkman, d/b/a Ventures Trust LLC, et al.
Other Release Nos.: IA-3788, IC-30977
34-71658 Mar. 6, 2014 Michael R. Shechtman
Other Release No.: IA-3787
34-71656 Mar. 6, 2014 Daniel Bergin
Other Release No.: IA-3786
34-71654 Mar. 5, 2014 JPMorgan Chase & Co.
34-71653 Mar. 5, 2014 Worldwide Capital, Inc., and Jeffrey W. Lynn
34-71639 Feb. 28, 2014 Paul Desjourdy, CPA, Esq.
Other Release No.: AAER-3541
34-71638 Feb. 28, 2014 BNY Mellon Securities, LCC and Mark Shaw
See also: Modified Plan of Distribution
34-71628 Feb. 27, 2014 Robert Custis, Esq.
34-71619 Feb. 26, 2014 John W. Femenia
34-71612 Feb. 25, 2014 Vincent Buonauro, Jr.
33-9551 Feb. 25, 2014 Clean Energy Capital, LLC and Scott A. Brittenham
Other Release Nos.: 34-71610, IA-3785, IC-30926
34-71604 Feb. 24, 2014 CLS Capital Group, Inc., FGBC Bancshares, Inc., Global Resource Corp., Tritec Industries, Inc., and UTG Communications International, Inc.
34-71603 Feb. 24, 2014 Left Behind Games, Inc.
34-71602 Feb. 24, 2014 Basset Enterprises, Inc.
34-71601 Feb. 21, 2014 Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
Other Release Nos.: IA-3784, IC-30922
IA-3783 Feb. 21, 2014 Anthony J. Klatch, II
34-71599 Feb. 21, 2014 Fabrizio Neves
34-71595 Feb. 21, 2014 James M. Schneider, CPA
Other Release No.: AAER-3538
34-71594 Feb. 21, 2014 Gary L. McDuff
34-71593 Feb. 21, 2014 Credit Suisse Group Ag
Other Release No.: IA-3782
34-71592 Feb. 21, 2014 Leonard Inserra
34-71591 Feb. 20, 2014 Alliance Capital Management, LP
34-71590 Feb. 20, 2014 GLG Partners, Inc. and GLG Partners, L.P.
34-71587 Feb. 20, 2014 Michael A. Tripodi
34-71585 Feb. 20, 2014 Sam Kan, CPA, and Sam Kan & Company
Other Release No.: AAER-3537
IA-3781 Feb. 20, 2014 Jerry S. Williams
34-71583 Feb. 20, 2014 Mitchell H. Fillet
34-71582 Feb. 20, 2014 Community Alliance, Inc., et al.
34-71581 Feb. 20, 2014 Ads in Motion, Inc., et al.
34-71579 Feb. 20, 2014 Tweeter Home Entertainment Group, Inc. (a/k/a TWTR, Inc.), et al.
34-71576 Feb. 19, 2014 Bdo China Dahua CPA Co., Ltd., et al.
Other Release No.: AAER-3536
34-71573 Feb. 19, 2014 Hajradin Mucovic
34-71567 Feb. 19, 2014 Catch by Gene, Inc., et al.
34-71565 Feb. 18, 2014 Mark Feathers
34-71563 Feb. 18, 2014 Mark Andrew Singer
Other Release No.: IA-3779
34-71561 Feb. 18, 2014 Michael Gordon
34-71558 Feb. 18, 2014 G-Trade Services LLC, Convergex Global Markets Limited, and Convergex Execution Solutions LLC
33-9549 Feb. 18, 2014 David F. Bandimere
Other Release Nos.: 34-71564, IA-3780, IC-30920
34-71552 Feb. 13, 2014 China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.)
34-71551 Feb. 13, 2014 Pacific Alliance Corp.
34-71548 Feb. 12, 2014 David L. Rothman
IA-3778 Feb. 12, 2014 Jerry A. Smith
34-71547 Feb. 12, 2014 Matthew Scott Menies
34-71544 Feb. 12, 2014 GLG Partners, Inc. and GLG Partners, L.P.
33-9548 Feb. 12, 2014 Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA
Other Release Nos.: 34-71546, AAER-3535
33-9547 Feb. 12, 2014 Ronald E. Huxtable II
Other Release Nos.: 34-71537, IA-3777, IC-30918
34-71523 Feb. 11, 2014 David M. Martin CPA
Other Release No.: AAER-3534
34-71522 Feb. 11, 2014 Roy Dixon, Jr.
Other Release No.: IA-3776
34-71515 Feb. 10, 2014 Fifth Third Bancorp and Daniel Poston
34-71501 Feb. 6, 2014 Salmaan Siddiqui
34-71500 Feb. 6, 2014 Faisal Siddiqui
34-71497 Feb. 6, 2014 David J. Weishaus
Other Release No.: IA-3775
34-71496 Feb. 6, 2014 ICC Worldwide, Inc., et al.
34-71495 Feb. 6, 2014 The Enlightened Gourmet, Inc., et al.
34-71493 Feb. 5, 2014 Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
Note: See also Plan of Distribution
34-71492 Feb. 5, 2014 Geoffrey W. Nehrenz
Other Release No.: IA-3773
34-71484 Feb. 5, 2014 Lawrence A. O'Donnell, CPA
Other Release No.: AAER-3532
34-71478 Feb. 4, 2014 Henry A. Condron
34-71477 Feb. 4, 2014 Benjamin Chouchane
34-71476 Feb. 4, 2014 Marek Leszczynski
34-71474 Feb. 4, 2014 West Coast Asset Management, Inc. and Lance W. Helfert
33-9544 Feb. 4, 2014 Thomas C. Gonnella
Other Release Nos.: 34-71472, IA-3771, IC-30904
33-9543 Feb. 4, 2014 Ryan C. King
Other Release Nos.: 34-71471, IC-30903
33-9542 Feb. 3, 2014 Yuma Resources Inc.
33-9541 Feb. 3, 2014 Seaview Resources Inc.
33-9540 Feb. 3, 2014 Lost Hills Mining Inc.
33-9539 Feb. 3, 2014 Kingman River Resources Inc.
33-9538 Feb. 3, 2014 CBL Resources Inc.
33-9537 Feb. 3, 2014 Bonanza Resources Corp.
33-9536 Feb. 3, 2014 Coronation Mining Corp.
33-9535 Feb. 3, 2014 Jewel Explorations Inc.
33-9534 Feb. 3, 2014 Gaspard Mining Inc.
33-9533 Feb. 3, 2014 Canyon Minerals Inc.
33-9532 Feb. 3, 2014 Gold Camp Explorations Inc.
33-9531 Feb. 3, 2014 Clearpoint Resources Inc.
33-9530 Feb. 3, 2014 Braxton Resources Inc.
33-9529 Feb. 3, 2014 Tuba City Gold Corp.
33-9528 Feb. 3, 2014 PRWC Energy Inc.
33-9527 Feb. 3, 2014 Eclipse Resources Inc.
33-9526 Feb. 3, 2014 Chum Mining Group Inc.
33-9525 Feb. 3, 2014 Goldstream Mining Inc.
33-9524 Feb. 3, 2014 Stone Boat Mining Corp.
33-9523 Feb. 3, 2014 La Paz Mining Corp.
34-71464 Jan. 31, 2014 Ross Inserra
34-71463 Jan. 31, 2014 Charles W. Adams
Other Release No.: IA-3770
34-71462 Jan. 31, 2014 Armando Ruiz and Maradon Holdings, LLC,
33-9522 Jan. 31, 2014 Gonul Colak and Milen K. Kostov,
Other Release No.: 34-71461
34-71459 Jan. 31, 2014 Dante Demiro
Other Release No.: IA-3769
34-71448 Jan. 30, 2014 Charles L. Rizzo and Gina M. Hornbogen
33-9521 Jan. 30, 2014 Navigator Money Management, Inc. and Mark A. Grimaldi
Other Release Nos.: IA-3767, IC-30897
34-71443 Jan. 30, 2014 Andrea Lando-Tanico
34-71442 Jan. 30, 2014 Melvyn Nathanson
Other Release No.: IA-3768
34-71441 Jan. 30, 2014 Patrick Verdi
34-71440 Jan. 30, 2014 Frontier Financial Corporation
34-71439 Jan. 30, 2014 Horizon Financial Corp.
34-71438 Jan. 30, 2014 Veridien Corporation
34-71437 Jan. 29, 2014 Douglas Costabile
34-71435 Jan. 29, 2014 Scottrade, Inc.
34-71434 Jan. 29, 2014 Gabriel Technologies Corp.
34-71433 Jan. 29, 2014 Houseraising, Inc., et al.
34-71426 Jan. 28, 2014 Fremont Investment Advisors, Inc.
34-71430 Jan. 28, 2014 Fredric Aaron, Esq.
34-71429 Jan. 28, 2014 Thomas C. Conradt
Other Release No.: IA-3765
34-71428 Jan. 28, 2014 Thomas C. Conradt
34-71427 Jan. 28, 2014 Shawn C. Hegedus
34-71414 Jan. 28, 2014 Michael R. Enea
34-71413 Jan. 28, 2014 Colorado 2001D Limited Partnership (f/k/a PDC 2001-D Limited Partnership)
34-71412 Jan. 28, 2014 Colorado 2001C Limited Partnership (f/k/a PDC 2001-C Limited Partnership)
34-71411 Jan. 28, 2014 Covenant Bancshares, Inc.
34-71399 Jan. 27, 2014 James A. Rathgeber
34-71398 Jan. 27, 2014 Kevin Patrick Brody
IA-3763 Jan. 27, 2014 Western Asset Management Company
IA-3762 Jan. 27, 2014 Western Asset Management Co.
Other Release No.: IC-30893
34-71389 Jan. 24, 2014 KPMG LLP
Other Release No.: AAER-3530
34-71384 Jan. 24, 2014 Advanced Pipe Fitting Technologies Inc.
34-71382 Jan. 24, 2014 Jinhao Motor Company
34-71380 Jan. 24, 2014 New Dragon Asia Corp.
34-71379 Jan. 23, 2014 Waldyr Da Silva Prado Neto
34-71369 Jan. 23, 2014 Trent Martin
34-71368 Jan. 22, 2014 Michael B. Spadino,
33-9515 Jan. 22, 2014 Brian Williamson
Other Release Nos.: 34-71364, IA-3760, IC-30887
34-71359 Jan. 21, 2014 High End Ventures, Inc.
34-71358 Jan. 21, 2014 Acies Corporation, et al.
34-71357 Jan. 21, 2014 Exmocare, Inc. (n/k/a Second Solar, Inc.), et al.
34-71356 Jan. 21, 2014 Heritage Worldwide, Inc., et al.
34-71355 Jan. 21, 2014 Protectus Medical Devices, Inc.
33-9513 Jan. 17, 2014 Eugene M. Egeberg III, CPA
Other Release Nos.: 34-71348, AAER-3529
34-71339 Jan. 17, 2014 Case Financial, Inc.
34-71338 Jan. 17, 2014 American Asset Development, Inc., et al.
34-71337 Jan. 17, 2014 Lanbo Financial Group, Inc.
34-71336 Jan. 17, 2014 Newtech Resources Ltd.
34-71335 Jan. 17, 2014 Bank of Florida Corp., et al.
34-71323 Jan. 16, 2014 China Ruitai International Holdings Co., Ltd.
34-71322 Jan. 16, 2014 China Century Dragon Media, Inc., Tia I, Inc., and Tia II, Inc.
34-71321 Jan. 16, 2014 Stonecrest One, Inc., et al.
34-71320 Jan. 16, 2014 Galena Acquisition Corp.
34-71319 Jan. 16, 2014 Carbiz, Inc., et al.
34-71315 Jan. 15, 2014 Louis J. Schaufele III
Other Release No.: IA-3757
34-71306 Jan. 15, 2014 Power Air Corporation, et al.
34-71304 Jan. 15, 2014 Aden Solutions Inc., et al.
34-71301 Jan. 14, 2014 BISYS Fund Services Inc.
Other Release Nos.: 34-62498, 34-60719, 34-60435
34-71300 Jan. 14, 2014 Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp., et al.
33-9511 Jan. 14, 2014 Richard D. Hicks
Other Release Nos.: 34-71298, IA-3755
34-71292 Jan. 14, 2014 David H. Frederickson, Esq.
34-71281 Jan. 10, 2014 Heritage Worldwide, Inc., et al.
34-71280 Jan. 10, 2014 The Enlightened Gourmet, Inc., et al.
34-71274 Jan. 9, 2014 Alliance Capital Management, LP
34-71270 Jan. 9, 2014 Marcus S. Spillson
33-9508 Jan. 9, 2014 Michael Mendes
Other Release Nos.: 34-71264, AAER-3526
34-71261 Jan. 9, 2014 Alcoa Inc.
Other Release No.: AAER-3525
IA-3751 Jan. 8, 2014 Patrick G. Rooney
34-71260 Jan. 8, 2014 Sandeep Aggarwal
Other Release No.: IA-3752
34-71243 Jan. 7, 2014 Matech Corp., et al.
34-71241 Jan. 7, 2014 Environmental Energy Services, Inc., et al.
34-71240 Jan. 6, 2014 Axius Holdings, LLC and Henry Robertelli
34-71239 Jan. 6, 2014 John Durrett
Other Release No.: IA-3750
34-71235 Jan. 6, 2014 Asia Health & Beauty Treasure, Inc., Asia Growth Private Equity 1, Ltd., Asia Growth Private Equity 2, Ltd., et al.
34-71234 Jan. 6, 2014 China Metallic Resources, Inc., China Timber Work Enterprises, Inc., Linda Illumination, Inc., and Premier International Hotel Group, Inc.

 

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


Modified: 04/17/2014