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

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Release No. Date Respondents

Second Quarter

IA-4401 May 27, 2016 Federated Global Investment Management Corp.
See also: Administrative Summary
IA-4399 May 27, 2016 Biscayne Capital International, LLC, et al.
Other Release No.: IC-32130
See also: Administrative Summary
34-77940 May 27, 2016 Elsinore Capital II, Ltd., EPS Solutions Corp., and Free DA Connection Systems, Inc. (a/k/a Free DA Connection Services, Inc., a/k/a Earthshine International Ltd.)
34-77939 May 27, 2016 Disaster Preparedness Systems, Inc., Electric Moto Corp. and EMO Corp.
33-10083 May 26, 2016 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4395, IC-32128
IA-4394 May 26, 2016 Jacqueline J. Stanfill
34-77924 May 26, 2016 Bankrate, Inc.
33-10082 May 25, 2016 American Registrar & Transfer Company and Christopher Day
Other Release Nos.: 34-77922, IC-32126
34-77900 May 25, 2016 DE Acquisition 5, Inc., DE Acquisition 11, Inc., and GimmeaBid.Com, Inc.(a/k/a Gimmeabid Com Inc.)
34-77894 May 24, 2016 Greenpower International Group Ltd. and Hauge Technology, Inc.
34-77893 May 24, 2016 China Unistone Acquisition Corp. and Ideal Restaurant Group, Inc.
33-10081 May 24, 2016 Swisher Hygiene Inc.
Other Release Nos.: 34-77887, AAER-3775
34-77882 May 20, 2016 John J. Aesoph, CPA and Darren M. Bennett, CPA
Other Release No.: AAER-3774
34-77868 May 20, 2016 Dragon Bright Mintai Botanical Technology Cayman Ltd., JinZangHuang Tibet Pharmaceuticals, Inc. and Macau Resources Group Ltd.
34-77866 May 20, 2016 Bodisen Biotech, Inc., et al.
34-77865 May 20, 2016 China Rongxin Chemical Holding Group, Inc., and Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.)
34-77864 May 20, 2016 Chardan China Acquisition Corp. and Garden Bay International, Ltd.
IA-4391 May 19, 2016 Brian J. Ourand
Other Release No.: IC-32119
33-10080 May 19, 2016 James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC
Other Release Nos.: 34-77862, IA-4389, IC-32118
See also: Administrative Summary
34-77852 May 18, 2016 Salvatore Renaldi
34-77851 May 18, 2016 Mark A. Lopez
See also: Administrative Summary
34-77842 May 16, 2016 Eric David Wanger
34-77834 May 16, 2016 Digiblue Media, Inc., et al.
34-77832 May 13, 2016 Stephan Von Hase
Other Release No.: IA-4387
34-77828 May 13, 2016 Shearson Financial Network, Inc., et al.
34-77827 May 13, 2016 Easylink Information Technology Co., Ltd.
34-77826 May 12, 2016 John Steven Blount
Other Release No.: IA-4386
34-77816 May 12, 2016 American Express Financial Corporation (now known as Ameriprise Financial, Inc.)
34-77806 May 11, 2016 GroveWare Technologies Ltd., Luve Sports, Inc. and Northcore Technologies, Inc.
34-77805 May 11, 2016 Li-ion Motors Corp. (a/k/a Terra Inventions Corp.), PetroHunter Energy Corp. and Shrink Nanotechnologies, Inc.
34-77802 May 10, 2016 Greg Ruehle
34-77788 May 10, 2016 Texstar Oil Corporation and Bonamour, Inc.
IA-4384 May 9, 2016 David Brochu
34-77768 May 5, 2016 Stalin Antonio Asenjo
34-77767 May 5, 2016 Wentworth IV, Inc., et al.
34-77764 May 4, 2016 CelLynx Group, Inc., Dot VN, Inc. and Global Health Voyager, Inc.
34-77763 May 4, 2016 RSL Communications Ltd., et al.
34-77762 May 4, 2016 Giant Resources, Inc. and Rush Exploration, Inc.
34-77760 May 4, 2016 EQCO2, Inc., Hondo Minerals Corp. and Liberty Gold Corp.
34-77755 May 2, 2016 MaloneBailey, LLP and Jay Phillip Norris, CPA
Other Release No.: AAER-3773
See also: Administrative Summary
34-77753 May 2, 2016 Janice D. Rey
34-77747 Apr. 29, 2016 Stanley D. Parrish
34-77745 Apr. 29, 2016 Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA
Other Release Nos.: IA-4380, AAER-3772
34-77741 Apr. 29, 2016 Coyote Resources, Inc., et al.
34-77739 Apr. 29, 2016 Pioneer Exploration, Inc., Premier Brands, Inc. and Private Media Group, Inc.
IA-4379 Apr. 27, 2016 Roger S. Bliss
IA-4378 Apr. 27, 2016 Professional Investment Management, Inc. (Corrected)
34-77730 Apr. 27, 2016 Ernesto Lujan
34-77729 Apr. 27, 2016 Jose Alejandro Hurtado
34-77728 Apr. 27, 2016 Joseph Flores Demeneses, Jr.
34-77727 Apr. 27, 2016 Tomas Alberto Clarke Bethancourt
34-77725 Apr. 27, 2016 Benito Chinea
34-77718 Apr. 26, 2016 David S. Hall, P.C. d/b/a the Hall Group CPAs, et al.
Other Release No.: AAER-3771
34-77717 Apr. 26, 2016 Cabela's Incorporated and Ralph W. Castner, CPA
Other Release No.: AAER-3770
See also: Administrative Summary
34-77713 Apr. 26, 2016 Burrill Capital Management, et al.
34-77712 Apr. 26, 2016 North East Capital, LLC and Anthony T. Vicidomine
See also: Proposed Amended Plan of Distribution
34-77702 Apr. 25, 2016 Malcolm Segal
Other Release No.: IA-4377
34-77700 Apr. 25, 2016 CBC Acquisition Corp. 1, China Renewable Construction Materials, Inc. and Whoopass Poker Corp.
34-77696 Apr. 22, 2016 Levi D. Lindemann
34-77689 Apr. 22, 2016 Caleb J. White
34-77686 Apr. 22, 2016 Bailey Frances Corp., Kingly Chateau Corp. and Lucy's Water World, Inc.
34-77685 Apr. 22, 2016 DCI Telecommunications, Inc., et al.
34-77684 Apr. 22, 2016 99 Cent Stuff, Inc., et al.
34-77672 Apr. 21, 2016 Gold Hills Mining, Ltd., et al.
34-77670 Apr. 21, 2016 CelLynx Group, Inc., Dot VN, Inc. and Global Health Voyager, Inc.
34-77668 Apr. 21, 2016 China Ticket Center, Inc., et al.
34-77667 Apr. 21, 2016 Oldwebsites.com, Inc., et al.
34-77666 Apr. 21, 2016 Eight-Eight Acquisition Corp. I, Eight-Eight Acquisition Corp. II and Eight-Eight Acquisition Corp. III
34-77665 Apr. 20, 2016 Gerry G. Zobrist, Esq.
IA-4374 Apr. 20, 2016 Daniel N. Ginsparg
Other Release No.: IC-32089
34-77663 Apr. 20, 2016 Joann Jackson
Other Release No.: IA-4373
34-77657 Apr. 20, 2016 Laura P. Messenbaugh, CPA
Other Release No.: AAER-3768
34-77656 Apr. 20, 2016 Diversified Health & Fitness, Inc., et al.
34-77653 Apr. 19, 2016 Daniel Christian Stanley Powell
34-77649 Apr. 19, 2016 TPG Advisors LLC d/b/a The Phillips Group Advisors and Larry M. Phillips
Other Release Nos.: IA-4372, IC-32076
See also: Administrative Summary
34-77648 Apr. 19, 2016 Bruce A. Hartshorn
Other Release Nos.: IA-4371, IC-32075
See also: Administrative Summary
34-77646 Apr. 19, 2016 Robert D. Hesselgesser, CPA
Other Release No.: AAER-3767
34-77644 Apr. 19, 2016 Logitech International, et al.
Other Release No.: AAER-3765
33-10068 Apr. 19, 2016 Ener1, Inc., et al.
Other Release Nos.: 34-77645, AAER-3766
IA-4370 Apr. 15, 2016 Hudson Capital Partners Corporation
34-77630 Apr. 15, 2016 Paul Leon White, II
Other Release No.: IA-4369
34-77627 Apr. 15, 2016 Daytona Systems, Inc. and Equitel, Inc.
34-77626 Apr. 14, 2016 Devon C. McLean
34-77625 Apr. 14, 2016 Reid S. Johnson
Other Release Nos.: IA-4368, IC-32073
See also: Administrative Summary
34-77624 Apr. 14, 2016 Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
34-77622 Apr. 14, 2016 Mondeo Investments, Inc., MPEG Super Site, Inc. and Myriad International, Inc.
34-77618 Apr. 14, 2016 Arthur F. Jacob, CPA and Innovative Business Solutions, LLC
Other Release Nos.: IA-4367, IC-32072
34-77616 Apr. 14, 2016 DC Brands International, Inc.
34-77615 Apr. 14, 2016 China Holdings Group, Inc., et al.
34-77598 Apr. 13, 2016 Gregory L. Merrick
Other Release No.: IA-4366
34-77597 Apr. 13, 2016 Map IV Acquisition, Inc., Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc.
34-77596 Apr. 12, 2016 INTL FCStone Inc.
Other Release No.: AAER-3764
34-77595 Apr. 12, 2016 Craig Scott Capital, LLC, Craig S. Taddonio and Brent M. Porges
See also: Administrative Summary
34-77566 Apr. 8, 2016 Jabari W. Ragas
Other Release No.: IA-4364
34-77563 Apr. 8, 2016 Go Green Smokeless Oil International, Inc., et al.
34-77562 Apr. 8, 2016 USA Graphite, Inc.
34-77560 Apr. 8, 2016 Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.), et al.
34-77559 Apr. 7, 2016 Morgan Stanley & Co. Incorporated
34-77555 Apr. 7, 2016 Las Vegas Sands Corp.
34-77546 Apr. 6, 2016 Thomas E. Skypeck
34-77544 Apr. 6, 2016 Expleo Solutions, Inc. and Numida, Inc.
34-77542 Apr. 6, 2016 Thakkar CPA, PLLC, et al.
Other Release No.: AAER-3763
34-77541 Apr. 6, 2016 Levi D. Lindemann
34-77534 Apr. 6, 2016 Downer's Gap, Inc. (a/k/a Downers Gap, Inc.), and DST Media, Inc.
34-77533 Apr. 6, 2016 Yayi International, Inc.
IA-4363 Apr. 5, 2016 Daniel Rivera
See also: Administrative Summary
34-77532 Apr. 5, 2016 James A. White
Other Release No.: AAER-3762
34-77531 Apr. 5, 2016 William H. Caughran, Esq.
34-77528 Apr. 5, 2016 Alexander R. Bastron
Other Release No.: IA-4362
See also: Administrative Summary
IA-4361 Apr. 5, 2016 Cambridge Investment Research Advisors, Inc.
See also: Administrative Summary
34-77525 Apr. 5, 2016 Steve Pappas
34-77519 Apr. 5, 2016 Raymon G. Chadwick, Jr.
34-77517 Apr. 5, 2016 Terry W. Johnson
34-77515 Apr. 5, 2016 Bioject Medical Technologies, Inc., et al.
34-77514 Apr. 5, 2016 Bravo Resource Partners, Ltd., et al.
34-77513 Apr. 4, 2016 The Application of Kenny Akindemowo for Review of Disciplinary Action Taken by FINRA
34-77498 Apr. 1, 2016 American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.)
34-77497 Apr. 1, 2016 American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.)
See Also:  Proposed Plan of Distribution

First Quarter

34-77496 Mar. 31, 2016 Clubhouse Videos, Inc., et al.
33-10061 Mar. 31, 2016 Navistar International Corporation
Other Release No.: 34-77490
See Also: Litigation Release
34-77486 Mar. 31, 2016 James E. Neilsen
34-77485 Mar. 31, 2016 Kevin I. Zinn
34-77482 Mar. 31, 2016 Lenco Mobile, Inc.
34-77473 Mar. 30, 2016 Burrill Capital Management, et al.
Other Release Nos.: AAER-3761, IA-4360, IC-32060
34-77472 Mar. 30, 2016 Sino Oil & Gas Pipe Holdings Ltd.
34-77471 Mar. 30, 2016 Buncombe, Inc., Cotton Bay Holdings, Inc. and Middlesex, Inc.
34-77467 Mar. 29, 2016 Rings to Dine For, Inc.
34-77466 Mar. 29, 2016 Christopher M. Gibson
Other Release Nos.: IA-4359, IC-32059
34-77462 Mar. 28, 2016 William Maxwell, Esq.
34-77459 Mar. 28, 2016 Linda Yoo
34-77453 Mar. 25, 2016 Yue Han
34-77447 Mar. 25, 2016 Elliot R. Berman, et al.
Other Release No.: AAER-3760
See Also: Administrative Summary
34-77439 Mar. 24, 2016 Philip Akel
33-10059 Mar. 24, 2016 Canaccord Genuity Inc.
Other Release No.: 34-77436
See Also: Administrative Summary
34-77431 Mar. 23, 2016 Novartis AG
Other Release No.: AAER-3759
See also: Administrative Summary
IA-4357 Mar. 23, 2016 Moazzam "Mark" Malik
34-77423 Mar. 23, 2016 Fox Energy Corp.
34-77422 Mar. 23, 2016 Zhong Wen International Holding Co., Ltd.
34-77421 Mar. 23, 2016 USChina Venture I, Inc. and USChina Venture II, Inc.
34-77397 Mar. 17, 2016 Concertsbyu.Com, Inc., Freedom Bancshares, Inc. and Metamorphix Inc.
34-77393 Mar. 17, 2016 Kevin L. Dowd
Other Release No.: IA-4353
34-77383 Mar. 16, 2016 Eric J. Wolff
34-77377 Mar. 16, 2016 RKO Resources, Inc. (a/k/a Shamika 2 Gold, Inc.)
34-77376 Mar. 16, 2016 Cadan Resources Corp. Consolidated Global Minerals Ltd., Doreal Energy Corp. and Geocan Energy Inc. (a/k/a Arsenal Energy Inc.)
34-77373 Mar. 15, 2016 Barry B. Clare
Other Release No.: IC-32028
See also: Administrative Summary
33-10055 Mar. 15, 2016 ModusLink Global Solutions, et al.
Other Release Nos.: 34-77372, AAER-3758
See also: Administrative Summary
34-77369 Mar. 15, 2016 Central States Capital Markets, LLC; Mark R. Detter; David K. Malone; and John D. Stepp
Other Release Nos.: IA-4352, IC-32027
34-77362 Mar. 14, 2016 Royal Alliance Associates, Inc., Sagepoint Financial, Inc. and Fsc Securities Corporation
Other Release No.: IA-4351
34-77346 Mar. 10, 2016 Ronald D. Ormand
Other Release Nos.: AAER-3757
34-77345 Mar. 10, 2016 Magnum Hunter Resources Corporation
Other Release No.: AAER-3756
34-77344 Mar. 10, 2016 David S. Krueger, CPA
Other Release No.: AAER-3755
34-77343 Mar. 10, 2016 Wayne Gray, CPA
Other Release No.: AAER-3754
34-77342 Mar. 10, 2016 Joseph R. Allred, CPA
Other Release No.: AAER-3753
33-10053 Mar. 9, 2016 Westlands Water District, Thomas W. Birmingham and Louie David Ciapponi
Other Release No.: AAER-3752
34-77327 Mar. 9, 2016 Banc de Binary Ltd, et al.
34-77326 Mar. 8, 2016 Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.)
See also: Chinese version
34-77325 Mar. 8, 2016 Steven H. Davis, Esq.
33-10051 Mar. 8, 2016 Steven Zoernack and Equitystar Capital Management, LLC
Other Release Nos.: 34-77318, IA-4349, IC-32024
34-77317 Mar. 8, 2016 Frederick J. Birks
34-77315 Mar. 8, 2016 Dome Holding Corp., et al.
34-77314 Mar. 8, 2016 Dewpoint Environmental, Inc., et al.
34-77313 Mar. 8, 2016 eCareer Holdings, Inc.
33-10050 Mar. 7, 2016 Francis Parisi
Other Release No.: 34-77312
34-77300 Mar. 7, 2016 First Southwest Company, LLC
34-77290 Mar. 3, 2016 Nordion (Canada) Inc.
See also: Administrative Summary
34-77288 Mar. 3, 2016 Mikhail Gourevitch
See also: Administrative Summary
34-77278 Mar. 3, 2016 Joseph Denard Reid (a/k/a Reid Joseph Denard), et al.
IA-4348 Mar. 2, 2016 Marco Investment Management, LLC and Steven S. Marco
34-77273 Mar. 2, 2016 Elsinore Capital II, Ltd., et al.
34-77272 Mar. 2, 2016 Natural Resources Corporation
34-77271 Mar. 1, 2016 Devon C. Mclean
34-77270 Mar. 1, 2016 Janice D. Rey
33-10049 Mar. 1, 2016 J.S. Oliver Capital Management, L.P., and Mausner, Ian O.
Other Release Nos.: 34-77263, IA-4347, IC-32016
34-77262 Mar. 1, 2016 Peter Kuperman and QED Benchmark Management, L.L.C.
34-77261 Mar. 1, 2016 Qualcomm Incorporated
Other Release No.: AAER-3751
34-77260 Mar. 1, 2016 Map IV Acquisition, Inc., Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc.
34-77259 Mar. 1, 2016 Craig N. Salamone
See also: Administrative Summary
34-77258 Mar. 1, 2016 Lawrence M. Gincel
See also: Administrative Summary
34-77257 Mar. 1, 2016 Patricia Zajick Metzler, Daniel P. Metzler and Donald C. Zajick
See also: Administrative Summary
34-77255 Mar. 1, 2016 Downer's Gap, Inc. (a/k/a Downers Gap, Inc.), et al.
34-77254 Feb. 29, 2016 Keybanc Capital Markets Inc.
Other Release No.: AAER-3750
34-77253 Feb. 29, 2016 Maximillian Santos
Other Release Nos.: IA-4346, IC-32012
34-77250 Feb. 29, 2016 Ben Franklin Financial, Inc. (a/k/a Franklin Ben Financial, Inc.), et al.
34-77244 Feb. 26, 2016 Joseph A. Giordano
34-77238 Feb. 25, 2016 Chardan China Acquisition Corp. and Garden Bay International, Ltd.
34-77237 Feb. 25, 2016 De Acquisition 5, Inc., et al.
34-77231 Feb. 25, 2016 Timothy Quintanilla, CPA
Other Release No.: AAER-3748
34-77228 Feb. 24, 2016 Texstar Oil Corporation and Bonamour, Inc.
34-77227 Feb. 24, 2016 Infrastructure International, Inc.
34-77225 Feb. 24, 2016 Mark A. Lopez
34-77224 Feb. 24, 2016 David S. Lee, Esq., CPA
Other Release Nos.: IA-4344, AAER-3747
IA-4343 Feb. 24, 2016 Emanuel L. Sarris, Sr.
34-77223 Feb. 24, 2016 Computer Sciences Corporation, et al.
34-77220 Feb. 24, 2016 CBC Acquisition Corp. 1, et al.
34-77219 Feb. 24, 2016 Equity Ventures Group, Inc., Games On Demand International, Inc. (a/k/a Firmware Technologies Inc.)
34-77207 Feb. 23, 2016 Jason Maiher
Other Release No.: AAER-3746
IA-4338 Feb. 23, 2016 Cantella & Co.
See also: Administrative Summary
34-77208 Feb. 23, 2016 Sandra Dyche
34-77206 Feb. 23, 2016 UBS Financial Services Incorporated of Puerto Rico
33-10042 Feb. 19, 2016 IBC Funds, LLC
Other Release No.: 34-77195
34-77185 Feb. 19, 2016 Nicholas A. Prezioso
34-77176 Feb. 18, 2016 Crucible Capital Group, Inc. and Charles Moore
Other Release No.: IC-31998
34-77167 Feb. 17, 2016 Ceyoniq AG (n/k/a CEYONIQ, Inc.), et al.
See Also:  German Version
34-77166 Feb. 17, 2016 Digiblue Media, Inc., et al.
34-77162 Feb. 17, 2016 Julieta Favela Barcenas
Other Release No.: AAER-3745
34-77161 Feb. 17, 2016 Donald J. Glidewell, CPA
Other Release No.: AAER-3744
34-77151 Feb. 17, 2016 Inelco Corp. and Teliphone Corp.
34-77150 Feb. 17, 2016 Charles P. Grom
Other Release Nos.: IA-4335, IC-31997
34-77145 Feb. 16, 2016 PTC Inc.
Other Release No.: AAER-3743
See Also:  Deferred Prosecution Agreement for Yu Kai Yuan
34-77139 Feb. 16, 2016 Riverdale Mining Inc. and Tresoro Mining Corp.
34-77138 Feb. 16, 2016 African Copper Corp. and Genmed Holding Corp.
34-77136 Feb. 12, 2016 Gregory L. Merrick
Other Release No.: IA-4334
34-77135 Feb. 12, 2016 China Rongxin Chemical Holding Group, Inc. and Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.)
34-77134 Feb. 12, 2016 Louis V. Schooler
34-77133 Feb. 12, 2016 Shearson Financial Network, Inc., et al.
34-77132 Feb. 12, 2016 Wentworth IV, Inc., et al.
34-77131 Feb. 12, 2016 Sandra Dyche
34-77130 Feb. 12, 2016 UBS Financial Services Incorporated of Puerto Rico
34-77115 Feb. 11, 2016 Aegis Capital, LLC, et al.
Other Release Nos.: IA-4333, IC-31994
33-10039 Feb. 11, 2016 Frazer Frost, et al.
Other Release Nos.: 34-77114, AAER-3742
See Also:  Administrative Summary
34-77109 Feb. 10, 2016 Abdallah Fadel
34-77108 Feb. 10, 2016 Spring Hill Capital Markets, LLC, et al.
34-77102 Feb. 10, 2016 Disaster Preparedness Systems, Inc., Electric Moto Corp. and EMO Corp.
34-77101 Feb. 10, 2016 DE Acquisition 7, Inc., et al.
34-77100 Feb. 10, 2016 Echelon Acquisition Corp. and FirstChina Capital, Inc.
34-77099 Feb. 9, 2016 Phillip Cory Roberts and Bay Peak, LLC
Other Release No.: IC-31991
IA-4332A Feb. 9, 2016 Nicholas Rowe (Corrected)
See Also:  Administrative Summary
34-77094 Feb. 9, 2016 Jarrod L. Spector
33-10037 Feb. 9, 2016 Monsanto Company, et al.
Other Release Nos.: 34-77087, AAER-3741
34-77083 Feb. 8, 2016 Tyson D. Williams
IA-4331 Feb. 5, 2016 Edgar R. Page and Pageone Financial, Inc.
Other Release No.: IC-31987
34-77075 Feb. 5, 2016 Joseph Stilwell and Stilwell Value LLC
33-10036 Feb. 5, 2016 Bioelectronics Corp., et al.
Other Release Nos.: 34-77073, AAER-3740
34-77063 Feb. 4, 2016 Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
34-77061 Feb. 4, 2016 CBC Acquisition Corp. 1, et al.
34-77060 Feb. 4, 2016 Bailey Frances Corp., Kingly Chateau Corp. and Lucy's Water World, Inc.
34-77059 Feb. 4, 2016 Mohammed Riad and Kevin Timothy Swanson
Other Release Nos.: IA-4328, IC-31984
34-77058 Feb. 4, 2016 SciClone Pharmaceuticals, Inc.
Other Release No.: AAER-3739
See Also:  Administrative Summary
34-77057 Feb. 4, 2016 Ignacio Cueto Plaza
Other Release No.: AAER-3738
See Also:  Administrative Summary
34-77056 Feb. 4, 2016 E.S. Financial Services, Inc. n/k/a Brickell Global Markets, Inc.
34-77052 Feb. 4, 2016 Michael Donnelly
Other Release No.: IA-4327
34-77048 Feb. 3, 2016 Sarkauskas, Associates, Inc. and James M. Sarkauskas
Other Release Nos.: IA-4326, IC-31983
See Also:  Plan of Distribution
34-77046 Feb. 3, 2016 Credit Suisse Alternative Capital, et al.
33-10033 Feb. 3, 2016 George N. Krinos, Krisnos Holdings, Inc. and Fordgate Acquisition Corp.
Other Release Nos.: 34-77040, IA-4325, IC-31979
34-77017 Feb. 2, 2016 Jason Bo-Alan Beckman
Other Release No.: IA-4324
34-77016 Feb. 2, 2016 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
33-10029 Feb. 2, 2016 United Bankers' Bank
Other Release No.: 34-77031
See Also: Waiver Release No.: 33-10030
33-10028 Feb. 2, 2016 Wells Fargo Bank and N.A. Municipal Products Group
Other Release No.: 34-77030
See Also: Waiver Release No.: 33-10030
33-10027 Feb. 2, 2016 Roosevelt & Cross, Incorporated
Other Release No.: 34-77029
See Also: Waiver Release No.: 33-10030
33-10026 Feb. 2, 2016 Mitsubishi UFJ Securities (USA), Inc.
Other Release No.: 34-77028
See Also: Waiver Release No.: 33-10030
33-10025 Feb. 2, 2016 Municipal Capital Markets Group, Inc.
Other Release Nos.: 34-77026, 34-77027
See Also: Waiver Release No.: 33-10030
33-10024 Feb. 2, 2016 TD Securities (USA) LLC
Other Release No.: 34-77026
See Also: Waiver Release No.: 33-10030
33-10023 Feb. 2, 2016 Hilltop Securities Inc.
Other Release No.: 34-77025
See Also: Waiver Release No.: 33-10030
33-10022 Feb. 2, 2016 Janney Montgomery Scott LLC
Other Release No.: 34-77024
See Also: Waiver Release No.: 33-10030
33-10021 Feb. 2, 2016 Keybanc Capital Markets Inc.
Other Release No.: 34-77023
See Also: Waiver Release No.: 33-10030
33-10020 Feb. 2, 2016 Jefferies LLC
Other Release No.: 34-77022
See Also: Waiver Release No.: 33-10030
33-10019 Feb. 2, 2016 D.A. Davidson & Co.
Other Release No.: 34-77021
See Also: Waiver Release No.: 33-10030
33-10018 Feb. 2, 2016 Boenning & Scattergood, Inc.
Other Release No.: 34-77020
See Also: Waiver Release No.: 33-10030
33-10017 Feb. 2, 2016 First Midstate Incorporated
Other Release No.: 34-77019
See Also: Waiver Release No.: 33-10030
33-10016 Feb. 2, 2016 Barclays Capital Inc.
Other Release No.: 34-77018
See Also: Waiver Release No.: 33-10030
34-77013 Feb. 2, 2016 American Power Corp. and Locan, Inc.
34-77012 Feb. 2, 2016 CodeSmart Holdings, Inc.
34-77011 Feb. 1, 2016 DCI Telecommunications, Inc., et al.
34-77010 Feb. 1, 2016 RSL Communications Ltd., et al.
34-77005 Feb. 1, 2016 SAP SE
Other Release No.: AAER-3736
34-77004 Feb. 1, 2016 Bravo Resource Partners, Ltd., et al.
33-10014 Jan. 31, 2016 Credit Suisse Securities (USA) LLC
Other Release No.: 34-77003
33-10013 Jan. 31, 2016 Credit Suisse Securities (USA) LLC
Other Release No.: 34-77002
33-10010 Jan. 31, 2016 Barclays Capital Inc.
Other Release No.: 34-77001
See Also: Waiver Release Nos.: 33-10011 and 33-10012
33-10009 Jan. 28, 2016 Peter Kuperman and QED Benchmark Management, L.L.C.
Other Release Nos.: 34-76991, IA-4323, IC-31973
34-76988 Jan. 28, 2016 Eight-Eight Acquisition Corp. I, Eight-Eight Acquisition Corp. II and Eight-Eight Acquisition Corp. III
34-76987 Jan. 28, 2016 Diversified Health & Fitness, Inc., et al.
34-76986 Jan. 28, 2016 Kevin A. Boyles (corrected)
34-76985 Jan. 28, 2016 Philip A. Dressner (corrected)
34-76980 Jan. 27, 2016 Diane D. Dalmy, Esq.
34-76979 Jan. 27, 2016 3C Advisors & Associates, Inc., Stephen Jones and David Prolman
IA-4321 Jan. 27, 2016 Moazzam "Mark" Malik
33-10008 Jan. 27, 2016 J.S. Oliver Capital Management, L.P. and Mausner, Ian O.
Other Release Nos.: 34-76976, IA-4322, IC-31972
34-76978 Jan. 27, 2016 Justin Moongyu Lee, Esq., CPA
Other Release No.: AAER-3735
34-76977 Jan. 27, 2016 Salvatore Renaldi
34-76964 Jan. 22, 2016 Oldwebsites.Com, Inc., et al.
34-76962 Jan. 22, 2016 99 Cent Stuff, Inc., et al.
34-76951 Jan. 21, 2016 Daytona Systems, Inc. and Equitel, Inc.
33-10007 Jan. 21, 2016 Edward H. Spiegel and ARRG Corp.
Other Release No.: 34-76949
33-10006 Jan. 21, 2016 Bernerd E. Young
Other Release Nos.: 34-76948, IA-4320, IC-31971
34-76943 Jan. 21, 2016 Modern City Entertainment, Inc.
34-76942 Jan. 21, 2016 Orgral Technologies Corp., Professional Services Network, Inc. and UBX Technologies, Inc.
34-76941 Jan. 21, 2016 Oriental Nonferrous Metals Technology Co., Ltd., et al.
34-76940 Jan. 21, 2016 China Ticket Center, Inc., et al.
34-76938 Jan. 20, 2016 Ocwen Financial Corp.
Other Release No.: AAER-3733
34-76932 Jan. 19, 2016 Michael T. Snedeker
Other Release No.: IA-4317
34-76930 Jan. 19, 2016 Success Trade Securities, Inc. and Fuad Ahmed
33-10004 Jan. 19, 2016 Equinox Fund Management, LLC
Other Release Nos.: 34-76927, IA-4315
34-76926 Jan. 19, 2016 Pan Asia Mining Corp., Petro Horizon Energy Corp. and Powerhouse Energy Corp.
34-76925 Jan. 19, 2016 Friendly Energy Exploration, Public Media Works, Inc. and Zoro Mining Corp.
34-76924 Jan. 19, 2016 China Printing & Packaging, Inc. and Silvan Industries, Inc.
34-76919 Jan. 15, 2016 Accentia Biopharmaceuticals, Inc. and Biostem U.S. Corp.
34-76918 Jan. 15, 2016 New Leaf Brands, Inc.
34-76917 Jan. 15, 2016 Arrin Corporation, et al.
34-76916 Jan. 14, 2016 Invent Ventures, Inc. and Bryce M. Knight
Other Release No.: IC-31957
34-76905 Jan. 14, 2016 State Street Bank and Trust Company
See also: Litigation Release
34-76904 Jan. 14, 2016 Vincent J. Debaggis
See also: Litigation Release
34-76899 Jan. 14, 2016 Goldman and Sachs & Co.
34-76898 Jan. 14, 2016 Andain, Inc.
34-76897 Jan. 14, 2016 Everhart Financial Group, Inc., Richard Scott Everhart and Matthew James Romeo
Other Release No.: IA-4314
34-76896 Jan. 13, 2016 Jonathan Warren Brooks
Other Release No.: IA-4313
IA-4312 Jan. 13, 2016 Hudson Capital Partners Corporation
34-76885 Jan. 13, 2016 Rahfco Management Group, LLC
Other Release No.: IA-4311
34-76882 Jan. 13, 2016 Champion Enterprises, Inc. (a/k/a CEI Liquidation Estate)
34-76879 Jan. 12, 2016 Reid A. Hackney, CPA
Other Release No.: AAER-3732
34-76878 Jan. 12, 2016 Richard M. Higgins
Other Release No.: IA-4310
34-76877 Jan. 12, 2016 VCAP Securities, LLC and Brett Thomas Graham
See also: Plan of Distribution
33-10002 Jan. 12, 2016 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-76876, AAER-3731
IA-4309 Jan. 11, 2016 Aubrey Lee Price
34-76873 Jan. 11, 2016 NHS Financial, Inc.
34-76872 Jan. 11, 2016 Go Green Smokeless Oil International, Inc., et al.
34-76866 Jan. 11, 2016 Paul D. Crawford
34-76861 Jan. 11, 2016 DC Brands International Inc.
34-76859 Jan. 8, 2016 John Olivia (corrected)
IA-4307 Jan. 8, 2016 Steven A. Cohen
34-76847 Jan. 7, 2016 Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.), et al.
34-76846 Jan. 7, 2016 China Holdings Group, Inc., et al.
34-76843 Jan. 6, 2016 Wayne L. Palmer
33-10001 Jan. 6, 2016 J.P. Morgan Securities LLC
Other Release Nos.: 34-76839, IA-4306
34-76838 Jan. 5, 2016 Shreyans Desai
Other Release No.: IA-4305
34-76837 Jan. 5, 2016 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
Comments due: 30 days from publication of this Notice
See also: Proposed Amended Plan of Distribution
34-76827 Jan. 5, 2016 Jeffrey A. King
34-76818 Jan. 4, 2016 Vivian S. Shields