Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.  SEC Administrative Proceedings RSS Feed
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First Quarter
| Release No. |
Date |
Respondents |
|
First Quarter
|
|
IA-3005
|
Mar. 17, 2010 |
Paul H. Heckler and Yosemite Capital Management, LLC |
|
IA-3004
|
Mar. 17, 2010 |
William L. Gunlicks |
|
34-61723
|
Mar. 17, 2010 |
Charles J. Marquardt
Other Release Number(s): IA-3003 |
|
34-61718
|
Mar. 16, 2010 |
GPS Partners, LLC and Brett S. Messing
Other Release Number(s): IA-3002 |
|
33-9113
|
Mar. 16, 2010 |
Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, Mark W. Wells
Other Release Number(s): 34-61719 |
|
34-61712
|
Mar. 15, 2010 |
Lasersight, Inc., LifeCo Investment Group, Inc., LifeOne, Inc., LifeF/X, Inc., Lincorp Holdings, Inc., Lionshare Group, Inc., Lite King Corp., Livent, Inc., Loehmann’s, Inc., The Loewen Group, Inc., and Lorelei Corp. |
|
34-61709
|
Mar. 15, 2010 |
Don C. Weir
Other Release Number(s): IA-3000 |
|
34-61708
|
Mar. 15, 2010 |
infoUSA Inc., k/n/a infoGROUP Inc. |
|
34-61707
|
Mar. 15, 2010 |
Martech USA, Inc., and Mexican Patio Cafes, Inc. |
|
IA-2999
|
Mar. 12, 2010 |
Simone O. Fevola |
|
IA-2998
|
Mar. 11, 2010 |
Barron A. Mathis |
|
IA-2997
|
Mar. 11, 2010 |
Steven E. Nothern |
|
IA-2996
|
Mar. 11, 2010 |
Dan Wise, aka Danny Wise |
|
34-61691
|
Mar. 11, 2010 |
Prudential Equity Group, LLC, Formerly Known as Prudential Securities, Inc. |
|
34-61688
|
Mar. 11, 2010 |
Robert John Hipple
Other Release Number(s): IC-29173, AAER-3120 |
|
34-61687
|
Mar. 11, 2010 |
Management Graphics, Inc., Marine Shuttle Operations, Inc., Marketing Specialists Corp., Mas Acquisition XII Corp., MDCM Holdings, Inc. (f/k/a Mortgage.com, Inc.), MerchantOnline.com, Inc., Met Capital Corp., and Micro-ASI, Inc. |
|
34-61679
|
Mar. 10, 2010 |
Big Sky Energy Corp., Biomedical Waste Systems, Inc., Biometrics Security Technology, Inc., Biosys, Inc., Bolder Technologies Corp., Boyds Wheels, Inc., Breakaway Solutions, Inc., and BRE-X Minerals, Ltd. |
|
34-61678
|
Mar. 10, 2010 |
Tostel Corp. |
|
34-61661
|
Mar. 5, 2010 |
Phillip D'Hedouville |
|
34-61655
|
Mar. 5, 2010 |
First Allied Securities, Inc.
Other Release Number(s): IA-2995 |
|
34-61654
|
Mar. 5, 2010 |
Donna M. McKelvy |
|
34-61653
|
Mar. 5, 2010 |
Cornerstone Capital Management, Inc., and Laura Jean Kent
See also: Distribution Plan |
|
34-61652
|
Mar. 5, 2010 |
North American Technologies Group, Inc. |
|
IA-2994
|
Mar. 4, 2010 |
Ronnie Eugene Bass, Jr. |
|
IA-2993
|
Mar. 3, 2010 |
Reza Saleh |
|
34-61638
|
Mar. 3, 2010 |
Corridor Communications Corp., International Cosmetics Marketing Co., PNV, Inc., Pre-Cell Solutions, Inc., Questron Technology, Inc. (n/k/a Quti Corp.), Tapistron International, Inc., Telscape International, Inc., (n/k/a Scapetel Debtor, Inc.), and Universal Beverages Holdings Corp. |
|
34-61637
|
Mar. 3, 2010 |
Amalgamated Explorations, Inc., Areawide Cellular, Inc., Genomed, Inc., Global Maintech Corp., Military Resale Group, Inc., Verado Holdings, Inc., and World Transport Authority, Inc. |
|
34-61636
|
Mar. 3, 2010 |
Planet Earth Recycling, Inc., Potomac Energy Corp., Power Plus Corp. (n/k/a PPC Capital Corp.), Precision Plastics Molding, Inc., Presidio Oil Co. (n/k/a Encana Oil & Gas (USA), Inc.), Press Realty Advisors Corp., Prism Group, Inc., Promotional Concepts, Inc. (a/k/a Tartam, Inc.), Purcell Energy Ltd. (n/k/a Point North Energy Ltd. and f/k/a Belair Energy Corp.) |
|
34-61635
|
Mar. 3, 2010 |
Verint Systems Inc. |
|
IA-2990
|
Mar. 2, 2010 |
Grant Ivan Grieve a/k/a Gad Grieve |
|
34-61631
|
Mar. 2, 2010 |
Francesco Rusciano |
|
34-61625
|
Mar. 2, 2010 |
Warrior Fund LLC |
|
34-61622
|
Mar. 2, 2010 |
Biokey ID, Inc., Bionet Technologies, Inc., Biscayne Apparel, Inc., Bizcom U.S.A., Inc., Blackstocks Development Corp. (n/k/a Sunburst Holding Corp.), Bluestone Holding Corp., Brandt Technologies, Inc., Brendle's, Inc., BTR Realty, Inc., and Buckeye Communications, Inc. |
|
34-61621
|
Mar. 2, 2010 |
Damir Lukovic |
|
33-9111
|
Mar. 2, 2010 |
S4 Capital, LLC and Sharath Sury
Other Release Number(s): 34-61624, IA-2992, IC-29166 |
|
33-9110
|
Mar. 2, 2010 |
S4 Capital, LLC and Sharath Sury
Other Release Number(s): 34-61623, IA-2991, IC-29165 |
|
34-61608
|
Mar. 1, 2010 |
L. Luria & Son, Inc., Lew Corp. (n/k/a Questus Global Limited), Library Bureau, Inc., Life Sciences, Inc., Lifesmart Nutrition Technologies, Inc., Lightning Rod Software, Inc., Lindatech, Inc., Littlefield, Adams & Company, and Liuski International, Inc. |
|
34-61607A
|
Mar. 1, 2010 |
Gerard A. M. Oprins, CPA and Wendy McNeeley, CPA
Other Release Number(s): AAER-3116A |
|
34-61604
|
Mar. 1, 2010 |
Sharanjit K. Khanna aka Sharanjit K. Grewal
Other Release Number(s): IA-2987 |
|
34-61602
|
Feb. 26, 2010 |
Christine M. Zamorsky (aka Christine M. Thompson), Jeffrey M. Zamorsky and Jesse Anthony "Tony" Aguilar |
|
34-61601
|
Feb. 26, 2010 |
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. |
|
34-61600
|
Feb. 26, 2010 |
Inviva, Inc. and Jefferson National Life Insurance Company |
|
34-61599
|
Feb. 26, 2010 |
Bernard Daniel Braver |
|
34-61598
|
Feb. 26, 2010 |
Morgan Stanley & Co. Incorporated
See also: Proposed Distribution Plan
Comments: Submit comments on Proposed Distribution Plan |
|
34-61597
|
Feb. 26, 2010 |
U.S. Biomedical Corp., (f/k/a United Textiles & Toys, Inc.), U.S. Environmental Solutions, Inc. (n/k/a EnviroResolutions, Inc.), USA Bridge Construction of N.Y., Inc., USA Broadband, Inc., USA Uranium Corp., and Utopia Marketing, Inc. (n/k/a Daytonabrands, Inc.) |
|
34-61587
|
Feb. 25, 2010 |
Smith Barney Fund Management LLC and Citigroup Global Markets Inc.
See also: Proposed Distribution Plan
Comments: Submit comments on Proposed Distribution Plan |
|
34-61586
|
Feb. 25, 2010 |
Tara R. Eisler |
|
34-61585
|
Feb. 25, 2010 |
Anthony Santos |
|
34-61584
|
Feb. 25, 2010 |
Robert P. Copeland, Esq. |
|
34-61576
|
Feb. 24, 2010 |
Macheezmo Mouse Restaurants, Inc., Mannix Resources, Inc. (f/k/a Ridel Resources, Ltd.), Mast/Keystone, Inc., Mego Financial Corp., Melloncamp, Inc., Metal Mines, Inc., and Metawave Communications Corp. |
|
34-61569
|
Feb. 23, 2010 |
PCC Group, Inc., Play Co. Toys & Entertainment Corp., Point West Capital Corp., Power Spectra, Inc., Preference Technologies, Inc., Preferred Financial Resources, Inc. (n/k/a Copper Financial Resources, Inc.), Pro-Market Global plc, Progenitor, Inc., PSA, Inc. (n/k/a Shearson American REIT, Inc.) and Purchasesoft, Inc. |
|
34-61568
|
Feb. 23, 2010 |
Canadian Imperial Holdings, Inc. and CIBC World Markets Corp. |
|
34-61567
|
Feb. 23, 2010 |
Consumers Financial Corporation |
|
IA-2986
|
Feb. 22, 2010 |
Mark J. Harrington |
|
34-61564
|
Feb. 22, 2010 |
David V. Siegel
Other Release Number(s): IA-2985 |
|
34-61563
|
Feb. 22, 2010 |
Axiom Capital Management, Inc. |
|
34-61562
|
Feb. 22, 2010 |
Salvatore F. Sodano |
|
34-61555
|
Feb. 22, 2010 |
Aura Financial Services, Inc. |
|
34-61554
|
Feb. 22, 2010 |
Management Graphics, Inc., Marine Shuttle Operations, Inc., Marketing Specialists Corp., Mas Acquisition XII Corp. (n/k/a Netserv Communications, Inc.), MDCM Holdings, Inc. (f/k/a Mortgage.com, Inc.), MerchantOnline.com, Inc., Met Capital Corp., and Micro-Asi, Inc. |
|
34-61553
|
Feb. 22, 2010 |
L. Luria & Son, Inc., Lew Corp. (n/k/a Questus Global Limited), Library Bureau, Inc., Life Sciences, Inc., Lifesmart Nutrition Technologies, Inc., Lightning Rod Software, Inc., Lindatech, Inc., Littlefield, Adams & Company, and Liuski International, Inc. |
|
34-61552
|
Feb. 22, 2010 |
L. Luria & Son, Inc., Lew Corp. (n/k/a Questus Global Limited), Library Bureau, Inc., Life Sciences, Inc., Lifesmart Nutrition Technologies, Inc., Lightning Rod Software, Inc., Lindatech, Inc., Littlefield, Adams & Company, and Liuski International, Inc. |
|
34-61551
|
Feb. 19, 2010 |
Donald Cunningham |
|
34-61548
|
Feb. 19, 2010 |
Ariel Corp., Classica Group, Inc., Commodore Environmental Services, Inc., Dupont Direct Financial Holdings, Inc., Engage, Inc., New Paradigm Software Corp. (n/k/a Brunton Vineyards Holdings, Inc.), Polymer Research Corp. of America, and ShopNet.com, Inc. |
|
34-61538
|
Feb. 18, 2010 |
Macheezmo Mouse Restaurants, Inc., Mannix Resources, Inc. (f/ka/a Ridel Resources, Ltd.), Mast/Keystone, Inc., Mego Financial Corp., Melloncamp, Inc., Metal Mines, Inc., and Metawave Communications, Corp. |
|
34-61532
|
Feb. 18, 2010 |
Platinum & Gold, Inc., PNI Technologies, Inc., Pride Business Development Holdings, Inc., Probex Corp., Property Capital Trust, Inc. Protech, Inc., Provell, Inc., PSINet, Inc., PT. Inti Indorayon Utama (n/k/a P.T. Toba Pulp Lestari Tbk), and PT. Riau Andalan Pulp & Paper |
|
34-61527
|
Feb. 17, 2010 |
Thomas T. Emerton, III |
|
34-61526
|
Feb. 17, 2010 |
East Delta Resources Corp. |
|
34-61525
|
Feb. 17, 2010 |
PCC Group, Inc., Play Co. Toys & Entertainment Corp., Point West Capital Corp., Power Spectra, Inc., Preference Technologies, Inc., Preferred Financial Resources, Inc. (n/k/a Copper Financial Resources, Inc.), Pro-Market Global plc, Progenitor, Inc., PSA, Inc. (n/k/a Shearson American REIT, Inc.), and Purchasesoft, Inc. |
|
34-61518
|
Feb. 16, 2010 |
Nevanna Sacks, CPA
Other Release Number(s): AAER-3114 |
|
34-61516
|
Feb. 12, 2010 |
Michael J. Byrd, CPA
Other Release Number(s): AAER-3113 |
|
34-61511
|
Feb. 8, 2010 |
J. Bennett Grocock |
|
34-61504
|
Feb. 4, 2010 |
Daniel Schreiber |
|
34-61503
|
Feb. 4, 2010 |
David Harrison Baker |
|
34-61502
|
Feb. 4, 2010 |
Granite Financial Group, LLC |
|
34-61501
|
Feb. 4, 2010 |
Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc. |
|
33-9107
|
Feb. 4, 2010 |
State Street Bank and Trust Company |
|
34-61484
|
Feb. 3, 2010 |
Tostel Corp. |
|
34-61481
|
Feb. 3, 2010 |
Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison
See also: Proposed Distribution Plan |
|
34-61475
|
Feb. 3, 2010 |
American Sports Development Group, Inc., Antex Biologics, Inc. (n/k/a ABI Liquidating Corp.), Cybernet Internet Services International, Inc., Cyper Media, Inc., Frisby Technologies, Inc., Graphco Holdings Corp., Investors Insurance Group, Inc., ITC Learning Corp., and Speizman Industries, Inc. |
|
IA-2983
|
Feb. 2, 2010 |
Albert Fase Kaleta |
|
34-61472
|
Feb. 2, 2010 |
Donald L. Marr |
|
34-61464
|
Feb. 2, 2010 |
Paul W. Oliver, Jr. |
|
34-61463
|
Feb. 2, 2010 |
Putnam Investment Management, LLC |
|
IA-2982
|
Feb. 1, 2010 |
Ronnie Eugene Bass Jr. |
|
34-61453
|
Feb. 1, 2010 |
Management Graphics, Inc., Marine Shuttle Operations, Inc., Marketing Specialists Corp., Mas Acquisition XII Corp., MDCM Holdings, Inc. (f/k/a Mortgage.com, Inc.), MerchantOnline.com, Inc., Met Capital Corp., and Micro-Asi, Inc. |
|
34-61450
|
Feb. 1, 2010 |
Pacific Acquisition Corp. (a/k/a Pacific Aquisition Corp.), Pan Smak Pizza, Inc., Parkcrest Explorations, Ltd. (n/k/a Fossil Bay Resources, Ltd.), Payline Systems, Inc., Pentastar Communications, Inc., Peruvian Gold, Ltd., Petromin Resources, Ltd., and Pinnacle Property Group, Inc. (n/k/a Ontus Corporation) |
|
IA-2981
|
Jan. 29, 2010 |
Timothy J. Miller |
|
34-61447
|
Jan. 29, 2010 |
Hennessee Group LLC and Charles J. Gradante |
|
34-61445
|
Jan. 29, 2010 |
Mark Evan Bloom (CPA)
Other Release Number(s): IA-2980, AAER-3112 |
|
34-61444
|
Jan. 29, 2010 |
Ethan Kass
Other Release Number(s): IA-2979 |
|
34-61442
|
Jan. 29, 2010 |
L. Luria & Son, Inc., Lew Corp. (n/k/a Questus Global Limited), Library Bureau, Inc., Life Sciences, Inc., Lifesmart Nutrition Technologies, Inc., Lightning Rod Software, Inc., Lindatech, Inc., Littlefield, Adams & Company, and Liuski International, Inc. |
|
34-61440
|
Jan. 29, 2010 |
Pacific Acquisition Corp. (a/k/a Pacific Aquisition Corp.), Pan Smak Pizza, Inc., Parkcrest Explorations, Ltd. (n/k/a Fossil Bay Resources, Ltd.), Payline Systems, Inc., PentaStar Communications, Inc., Peruvian Gold, Ltd., Petromin Resources, Ltd., and Pinnacle Property Group, Inc. (n/k/a Ontus Corporation) |
|
34-61437
|
Jan. 28, 2010 |
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
See also: Distribution Plan |
|
34-61436
|
Jan. 28, 2010 |
Ariel Corp., Classica Group, Inc., Commodore Environmental Services, Inc., Dupont Direct Financial Holdings, Inc., Engage, Inc., New Paradigm Software Corp. (n/k/a Brunton Vineyards Holdings, Inc.), Polymer Research Corp. of America, and Shopnet.Com, Inc. |
|
IA-2978
|
Jan. 27, 2010 |
Dan Wise, aka Danny Wise |
|
34-61432
|
Jan. 27, 2010 |
Karen T. Baker, CPA
Other Release Number(s): AAER-3110 |
|
34-61423
|
Jan. 26, 2010 |
East Delta Resources Corp. |
|
34-61422
|
Jan. 26, 2010 |
AGB Partners LLC, Gregory A. Bied, and Andrew J. Goldberger
Other Release Number(s): IA-2977 |
|
34-61421
|
Jan. 26, 2010 |
Palmyra Capital Advisors LLC
Other Release Number(s): IA-2976 |
|
34-61420
|
Jan. 26, 2010 |
PCC Group, Inc. et al. |
|
34-61418
|
Jan. 26, 2010 |
Customer Sports, Inc., General Magic, Inc.,Leonidas Films, Inc. (n/k/a Consolidated Pictures Group, Inc.),Sportsprize Entertainment, Inc., U.S. Interactive, Inc., and USA Biomass Corp. |
|
33-9102
|
Jan. 26, 2010 |
Tsukuda-America Inc.
See also: Division of Enforcement Statement |
|
34-61412
|
Jan. 25, 2010 |
Minecore International, Inc. |
|
34-61410
|
Jan. 22, 2010 |
Donna M. McKelvy |
|
34-61396
|
Jan. 21, 2010 |
Macheezmo Mouse Restaurants, Inc., Mannix Resources, Inc. (f/k/a Ridel Resources, Ltd.), Mast/Keystone, Inc., Mego Financial Corp., Melloncamp, Inc., Metal Mines, Inc., and Metawave Communications Corp. |
|
34-61391
|
Jan. 21, 2010 |
Big Sky Energy Corp., Biomedical Waste Systems, Inc., Biometrics Security Technology, Inc., Biosys, Inc., Bolder Technologies Corp., Boyds Wheels, Inc., Breakaway Solutions, Inc., and BRE-X Minerals, Ltd. |
|
34-61386
|
Jan. 20, 2010 |
Joseph I. Emas |
|
34-61385
|
Jan. 20, 2010 |
Deanna J. Seruga, CPA
Other Release Number(s): AAER-3107 |
|
34-61384
|
Jan. 20, 2010 |
John W. Dwyer, CPA
Other Release Number(s): AAER-3106 |
|
34-61383
|
Jan. 20, 2010 |
Theodore P. Noncek, CPA
Other Release Number(s): AAER-3105 |
|
34-61382
|
Jan. 20, 2010 |
Gerald P. Alexander |
|
34-61380
|
Jan. 20, 2010 |
Planet Entertainment Corp., Polifly Financial Corp., Pope Evans & Robbins, Inc., Power Designs, Inc., Prime Motor Inns LP, Pro Net Link Corp., Prospect Group, Inc., Prospect Park Financial Corp., Providence Capital Ii, Inc. (n/k/a Lifelong.Com, Inc.), Pudgie’s Chicken, Inc., and Pvaxx Corp. |
|
34-61377
|
Jan. 19, 2010 |
Mortgages Ltd. Securities, LLC |
|
34-61376
|
Jan. 19, 2010 |
J.P. Morgan Securities Inc. |
|
34-61375
|
Jan. 19, 2010 |
Diane Bjorkstrom (CPA)
Other Release Number(s): AAER-3104 |
|
34-61209A
|
Jan. 19, 2010 |
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
See also: Proposed Distribution Plan
Comments: Submit comments on Proposed Distribution Plan |
|
34-61364
|
Jan. 15, 2010 |
New York Broker Deutschland AG |
|
34-61362
|
Jan. 14, 2010 |
Adnan S. Zaman |
|
34-61356
|
Jan. 14, 2010 |
Thomas T. Emerton, III |
|
34-61355
|
Jan. 14, 2010 |
Leo R. Driving Hawk, Sr. |
|
34-61354
|
Jan. 14, 2010 |
Edmund J. Smedley |
|
34-61353
|
Jan. 14, 2010 |
Edward J. Driving Hawk, Sr. |
|
34-61352
|
Jan. 14, 2010 |
John M. Adams |
|
34-61351
|
Jan. 14, 2010 |
William J. Herisko |
|
34-61344A
|
Jan. 13, 2010 |
Applied Wellness Corporation
Other Release Number(s): AAER-3103A |
|
IA-2975
|
Jan. 11, 2010 |
Julie M. Jarvis and Crossroads Financial Planning, Inc. |
|
34-61325
|
Jan. 11, 2010 |
NATCO Group Inc.
Other Release Number(s): AAER-3101 |
|
34-61316
|
Jan. 8, 2010 |
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson |
|
34-61315
|
Jan. 7, 2010 |
Pollard Kelley Auditing Services, Inc. and Terance Kelley, CPA
Other Release Number(s): AAER-3100 |
|
34-61312
|
Jan. 7, 2010 |
Smith Barney Fund Management LLC and Citigroup Global Markets Inc.
See also: Proposed Plan of Distribution
Comments: Submit comments on Proposed Plan of Distribution |
|
34-61307
|
Jan. 7, 2010 |
David C. Mayfield, CPA
Other Release Number(s): AAER-3099 |
|
34-61306
|
Jan. 7, 2010 |
John W. Jacobsen, CPA
Other Release Number(s): AAER-3098 |
|
34-61305
|
Jan. 7, 2010 |
Charles A. Gray, CPA
Other Release Number(s): AAER-3097 |
|
34-61301
|
Jan. 6, 2010 |
Scott T. Veech, CPA
Other Release Number(s): AAER-3096 |
|
34-61300
|
Jan. 6, 2010 |
Osvaldo Pitters
Other Release Number(s): AAER-3095 |
|
34-61299
|
Jan. 6, 2010 |
Christian Kuretski
Other Release Number(s): IA-2974 |
|
IA-2973
|
Jan. 5, 2010 |
Mary Beth Stevens |
|
34-61288
|
Jan. 5, 2010 |
Ken Okada
Other Release Number(s): IA-2972 |
|
34-61285
|
Jan. 5, 2010 |
Home Solutions of America, Inc. |
|
34-61278
|
Jan. 4, 2010 |
William Keith Phillips
Other Release Number(s): IA-2970 |
|
