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Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.
Second Quarter | First Quarter
Additional Archives
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SEC Administrative Proceedings RSS Feed
| Release No. |
Date |
Respondents |
| Second Quarter |
| 34-67062 |
May 25, 2012 |
Adrenalina, Affinity Technology Group, Inc., Braintech, Inc., Builders Transport, Incorporated, And Catuity, Inc.
|
| 34-67061 |
May 25, 2012 |
Telos, Inc., et al.
|
| 34-67060 |
May 24, 2012 |
Spencer C. Barasch
|
| 34-67051 |
May 24, 2012 |
Quintek Technologies, Inc., The Saint James Co., Urigen Pharmaceuticals, Inc., Valor Energy Corp., Wherify Wireless, Inc., and WinWin Gaming, Inc.
|
| 34-67049 |
May 23, 2012 |
Frank D. Edwards, CA
Other Release No.: AAER-3387
|
| 34-67048 |
May 23, 2012 |
Charles P. Morrison, CPA
Other Release No.: AAER-3386
|
| IA-3407 |
May 23, 2012 |
James E. Putman
|
| 34-67043 |
May 23, 2012 |
Savoy Resources Corp., SNRG Corp., Standard Mobile, Inc., and VTEX Energy, Inc.
|
| 34-67042 |
May 22, 2012 |
UBS Financial Services Inc. of Puerto Rico
|
| 34-67041 |
May 22, 2012 |
Richard A. Finger, Jr.
|
| 34-67031 |
May 21, 2012 |
Jove Corp., Keiretsu, Inc., Luminart, Inc., Macten, Inc., and Netlake, Inc.
|
| 34-67030 |
May 21, 2012 |
AP Henderson Group, BPO Management Services, Inc., Capital Mineral Investors, Inc., CardioVascular BioTherapeutics, Inc., and 1st Centennial Bancorp
|
| 34-67029 |
May 18, 2012 |
Alchemy Ventures, Inc., KM Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. McDonald, and Douglas G. Frederick
|
| 34-67028 |
May 18, 2012 |
Alchemy Ventures, Inc., KM Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. McDonald, and Douglas G. Frederick
|
| 33-9324 |
May 18, 2012 |
Hunter Adams, Gregg Adams, Alan Berkun, Robert Lisnoff, James L. Bila, Leonard Bila, Christian Blake, Brian Carroll, Joseph Digirolamo, and Joseph Mannino
Other Release No.: 34-67019
|
| 34-67016 |
May 18, 2012 |
Alderox, Inc., Applied Solar, Inc., Artes Medical, Inc., AskMeNow, Inc., Blink Logic Inc., and Convergence Ethanol, Inc.
|
| IA-3406 |
May 17, 2012 |
Copeland Wealth Management
|
| IA-3405 |
May 17, 2012 |
Belal K. Faruki
|
| 34-67002 |
May 16, 2012 |
J. Michael Scarborough and Royal Alliance Associates, Inc.
|
| 34-66999 |
May 16, 2012 |
Worldwide Energy And Manufacturing USA, Inc.
|
| 34-66998 |
May 16, 2012 |
QPC Lasers, Inc., Sweet Success Enterprises, Inc., Trinsic, Inc., Veridicom International, Inc., Windswept Environmental Group, Inc., and Wyndstorm Corp.
|
| 34-66996 |
May 16, 2012 |
Orbit E-Commerce, Inc., Orion Ethanol, Inc., Pacificnet, Inc., PainCare Holdings, Inc., Pay88, Inc., Rahaxi, Inc., and Raven Biofuels International Corp.
Note: See also Chinese version of this Order
|
| 34-66991 |
May 15, 2012 |
John Jantzen
|
| 34-66990 |
May 15, 2012 |
Edward J. Marino
|
| 34-66988 |
May 15, 2012 |
Jetborne International, Inc., Jotan, Inc., Kamp-Rite Holdings, Inc., Key Command International Corp., Liege Holding, Inc., Lloyds Shopping Centers, Inc., Long Island Physician Holdings Corp., and Mikron Infrared, Inc.
|
| 34-66987 |
May 15, 2012 |
Vineyard National Bancorp
|
| 34-66978 |
May 14, 2012 |
Kenneth A. Wolkoff
|
| 34-66977 |
May 14, 2012 |
George Sobol
|
| 34-66960 |
May 10, 2012 |
Robert C. Pribilski
|
| 34-66955 |
May 10, 2012 |
Adrenalina, Affinity Technology Group, Inc., BrainTech, Inc., Builders Transport, Incorporated, and Catuity, Inc.
|
| IA-3404 |
May 10, 2012 |
Martin Currie Inc. and Martin Currie Investment Management Ltd.
Other Release No.: IC-30062
|
| 34-66948 |
May 9, 2012 |
Deloitte Touche Tohmatsu Certified Public Accountants Ltd.
|
| 34-66947 |
May 8, 2012 |
Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells
|
| 34-66942 |
May 8, 2012 |
Telos, Inc., MAS Acquisition XVII Corp., Tianrong Building Material Holdings, Ltd. (f/k/a MAS Acquisition XVIII Corp.), TSS Ltd., Tuff Coat Manufacturing, Inc. (f/k/a Osage Acquisition Corp.), Tultex Corp., TVA, Inc., Tyger Holding, Inc., and U.S. Energy Systems, Inc.
|
| 34-66938 |
May 8, 2012 |
One Voice Technologies, Inc., Orchestra Therapeutics, Inc., Path 1 Network Technologies, Inc., Pavilion Energy Resources, Inc. (f/k/a Global Business Services, Inc.), Pine Valley Mining Corp., Platina Energy Group, Inc., Pop N Go, Inc., and Powercold Corp.
|
| 34-66933 |
May 7, 2012 |
Telos, Inc., et al.; Tianrong Internet Products and Services, Inc.
|
| 34-66929 |
May 7, 2012 |
Jetborne International, Inc., Jotan, Inc., Kamp-Rite Holdings, Inc., Key Command International Corp., Liege Holding, Inc., Lloyds Shopping Centers, Inc., Long Island Physician Holdings Corp., Mikron Infrared, Inc.
|
| 34-66921 |
May 4, 2012 |
Anthracite Capital, Inc., Auto Data Network Inc., Avenue Group, Inc., Ckrush, Inc., Clickable Enterprises, Inc., and DCI USA, Inc.
|
| 34-66908 |
May 3, 2012 |
Airtrax, Inc., Amedia Networks, Inc., American Business Financial Services, Inc., Appalachian Bancshares, Inc., and Ariel Way, Inc.
|
| 34-66907 |
May 2, 2012 |
Matthew J. Gagnon
|
| 34-66906 |
May 2, 2012 |
SinoTech Energy Limited
|
| 34-66902 |
May 2, 2012 |
Recycle Tech, Inc.
|
| 34-66900 |
May 2, 2012 |
HydroGenetics, Inc.
|
| 34-66899 |
May 2, 2012 |
Toolex International N.V., Topjobs.Net PLC, Tribridge Enterprises Corp. (n/k/a Northern Lion Gold Corp.), Tropika International Ltd., Tsunami Media Corp., T.Z.F. International Investments, Inc., and Vantage Enterprises Corp. (n/k/a :African Gemstones Ltd.)
|
| 34-66897 |
May 2, 2012 |
AP Henderson Group, BPO Management Services, Inc., Capital Mineral Investors, Inc., CardioVascular BioTherapeutics, Inc., and 1st Centennial Bancorp
|
| 33-9321 |
May 2, 2012 |
Hydrogenetics, Inc.
|
| 33-9318 |
May 1, 2012 |
UBS Financial Services Inc. of Puerto Rico
Other Release No.: 34-66893
Note: See also the Orders Granting Waivers in this matter: 33-9319 and 33-9320 |
| 33-9317 |
May 1, 2012 |
Miguel A. Ferrer and Carlos J. Ortiz
Other Release Nos.: 34-66892, IA-30058
|
| 34-66886 |
May 1, 2012 |
TMST, Inc.
|
| 34-66882 |
Apr. 30, 2012 |
Michael J. McNerney
|
| 34-66879 |
Apr. 30, 2012 |
Edward D. Puttick, Sr.
|
| 34-66878 |
Apr. 30, 2012 |
Jetborne International, Inc., Jotan, Inc., Kamp-Rite Holdings, Inc., Key Command International Corp., Liege Holding, Inc., Lloyds Shopping Centers, Inc., Long Island Physician Holdings Corp., Mikron Infrared, Inc.
|
| 34-66876 |
Apr. 30, 2012 |
LocatePlus Holdings Corporation
|
| 34-66875 |
Apr. 30, 2012 |
New Century Resources Corp.
|
| 34-66870 |
Apr. 27, 2012 |
Berman Center, Inc., Cyberkinetics Neurotechnology Systems, Inc., and Java Detour, Inc.
|
| 34-66858 |
Apr. 25, 2012 |
Aaron M. Glasser
|
| 34-66855 |
Apr. 25, 2012 |
Jove Corp., Keiretsu, Inc., Luminart, Inc., Macten, Inc., and Netlake, Inc.
|
| 34-66854 |
Apr. 24, 2012 |
Egan-Jones Ratings Company and Sean Egan
|
| 34-66852 |
Apr. 24, 2012 |
Ryan Mark Reynolds
|
| 34-66851 |
Apr. 24, 2012 |
Eugene Science, Inc.
|
| 34-66850 |
Apr. 24, 2012 |
BIOTECH Holdings Ltd., California Oil & Gas Corp., Central Minera Corp., Chemokine Therapeutics Corp., and Global Precision Medical Inc.
|
| 34-66849 |
Apr. 24, 2012 |
Advanced BioPhotonics, Inc., Advanced Viral Research Corp., Brantley Capital Corp., Brilliant Technologies Corporation, 4C Controls, Inc., and 2-Track Global, Inc.
|
| 34-66843 |
Apr. 23, 2012 |
Asiamart, Inc.
|
| 33-9315 |
Apr. 20, 2012 |
GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran
Other Release Nos.: 34-66837, IA-3399, IC-30040
|
| 34-66836 |
Apr. 20, 2012 |
Jetborne International, Inc., Jotan, Inc., Kamp-Rite Holdings, Inc., Key Command International Corp., Liege Holding, Inc., Lloyds Shopping Centers, Inc., Long Island Physician Holdings Corp., and Mikron Infrared, Inc.
|
| 33-9314 |
Apr. 19, 2012 |
Johnny Clifton
Other Release No.: 34-66835
|
| 34-66832 |
Apr. 19, 2012 |
Proelite, Inc. and Universal Guardian Holdings, Inc.
|
| 34-66831 |
Apr. 19, 2012 |
OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern
|
| IA-3397 |
Apr. 18, 2012 |
Brian J. Smart
|
| 34-66828 |
Apr. 18, 2012 |
MidSouth Capital, Inc. and Mark D. Hill
Other Release No.: IA-3398, IC-30038
|
| 34-66826 |
Apr. 18, 2012 |
Brian S. Cherry
|
| 34-66824 |
Apr. 18, 2012 |
Angstrom Microsystems Corp., Bedminster National Corp., Brake Headquarters U.S.A., Inc., and Brandpartners Group, Inc.
|
| 34-66823 |
Apr. 18, 2012 |
JC Acquisition Corp., L.B. Nelson Corp., LakesideMortgage Fund LLC, and National Community Builders, Inc.
|
| 34-66822 |
Apr. 17, 2012 |
Timothy T. Page
|
| IA-3396 |
Apr. 17, 2012 |
David E. Howard II
|
| 33-9313 |
Apr. 16, 2012 |
optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman
Other Release No.: 34-66815, IC-30034
|
| 34-66814 |
Apr. 16, 2012 |
Peter J. Bottini, Phillip J. Hoeh, and Kevin E. Strine
|
| 34-66803 |
Apr. 13, 2012 |
Advanced Growing Systems, Inc., Advantage Capital Development Corp., Amazon Biotech, Inc., Andover Holdings, Inc. (n/k/a Andover Energy Holdings, Inc.), Bravo! Brands, Inc., and BSML, Inc.
|
| 34-66801 |
Apr. 12, 2012 |
Alchemy Ventures, Inc., KM Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. Mcdonald, and Douglas G. Frederick
|
| 34-66796 |
Apr. 12, 2012 |
Jorge L. Castillo, CPA
Other Release No.: AAER-3380
|
| 34-66791 |
Apr. 12, 2012 |
Goldman, Sachs & Co.
Note: See also the Order Granting a Waiver in this matter: 33-9312
|
| IA-3395 |
Apr. 12, 2012 |
Mark Yagalla
|
| 34-66787 |
Apr. 12, 2012 |
AP Henderson Group, BPO Management Services, Inc., Capital Mineral Investors, Inc., CardioVascular BioTherapeutics, Inc., and 1st Centennial Bancorp
|
| 34-66783 |
Apr. 11, 2012 |
New Century Resources Corp.
|
| 34-66782 |
Apr. 11, 2012 |
National Stock Transfer, Inc.
|
| 34-66779 |
Apr. 11, 2012 |
Bluepoint Linux Software Corp., China Bottles, Inc., China Hinon Biotech, Inc., China One Holding, Inc., China Private Equity Group, Corp., Chinese Manufacturers Online Corp., Long-E International, Inc., and Nano Superlattice Technology, Inc.
|
| 34-66778 |
Apr. 11, 2012 |
JMAR Technologies, Inc., Kolorfusion International, Inc., Legalopinion.com (n/k/a Drayton Richdale Corp.), Lifestream Technologies, Inc., Luna Technologies International, Inc., and Litewave Corp.
|
| 34-66775 |
Apr. 10, 2012 |
HQ Sustainable Maritime Industries, Inc.
|
| 34-66771 |
Apr. 9, 2012 |
hereUare, Inc.
|
| 34-66770 |
Apr. 9, 2012 |
China Agro-Technology Holdings LTD
|
| IA-3394 |
Apr. 6, 2012 |
John D. Friedrich
|
| 33-9311 |
Apr. 6, 2012 |
Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells
|
| 34-66750 |
Apr. 5, 2012 |
Peter Emrich, Alberto Ferreiras, James Frankfurth, Frank Rossi, and Dana Valensky
|
| 34-66749 |
Apr. 5, 2012 |
Peter Emrich, Alberto Ferreiras, James Frankfurth, Frank Rossi, and Dana Valensky
|
| 34-66748 |
Apr. 5, 2012 |
Peter Emrich, Alberto Ferreiras, James Frankfurth, Frank Rossi, and Dana Valensky
|
| 34-66745 |
Apr. 5, 2012 |
Scott A. Wolf
|
| 34-66744 |
Apr. 5, 2012 |
Alvin C. Ramsey
|
| IA-3391 |
Apr. 4, 2012 |
Kenneth E. Marsh, Baldwin Anderson, Robert Anthony Budion, Jeanne M. Lada, and James T. Levier
|
| 34-66739 |
Apr. 4, 2012 |
Grant M. Carroll
|
| 34-66738 |
Apr. 4, 2012 |
Daniel J. Burns
|
| 34-66737 |
Apr. 4, 2012 |
John M. Williams
Other Release No.: AAER-3377
|
| 34-66736 |
Apr. 4, 2012 |
Delilah A. Proctor
|
| 34-66735 |
Apr. 4, 2012 |
Bryan N. Polozola
|
| 34-66730 |
Apr. 4, 2012 |
BIOTECH Holdings Ltd., California Oil & Gas Corp., Central Minera Corp., Chemokine Therapeutics Corp., and Global Precision Medical Inc.
|
| IA-3389 |
Apr. 3, 2012 |
Locust Offshore Management, LLC
|
| 34-66726 |
Apr. 3, 2012 |
Jerry L. Aubrey
|
| IA-3388 |
Apr. 3, 2012 |
Andrey C. Hicks
|
| 34-66716 |
Apr. 3, 2012 |
ASP Ventures Corp.
|
| 34-66712 |
Apr. 2, 2012 |
Alex Martinez
Other Release No.: IA-3390
|
| 34-66707 |
Apr. 2, 2012 |
Aduddell Industries, Inc., Calypso Wireless, Inc., Capital Markets Technologies, Inc., Challenger Powerboats, Inc., and CLX Medical, Inc.
|
| First Quarter |
| 34-66700 |
Mar. 30, 2012 |
BNY Mellon Securities LLC and Mark Shaw
|
| 34-66694 |
Mar. 30, 2012 |
Toolex International N.V., Topjobs.Net PLC, Tribridge Enterprises Corp. (n/k/a
Northern Lion Gold Corp.), Tropika International Ltd., Tsunami Media Corp., T.Z.F. International Investments, Inc., and Vantage Enterprises Corp. (n/k/a
African Gemstones Ltd.)
|
| 34-66693 |
Mar. 30, 2012 |
Jetronic Industries, Inc. (n/k/a New Bastion Development, Inc.), Lions Petroleum, Inc. (n/k/a China Hongxing Agritech, Inc.), MDI, Inc., and Mobilepro Corp.
|
| 34-66692 |
Mar. 30, 2012 |
JC Acquisition Corp., L.B. Nelson Corp., Lakeside Mortgage Fund LLC and National Community Builders, Inc.
|
| 34-66691 |
Mar. 30, 2012 |
China Ventures Limited And Chinatek, Inc.
|
| 34-66690 |
Mar. 30, 2012 |
China Convergent Corp., LTD.
|
| 34-66689 |
Mar. 30, 2012 |
Thermo Tech Technologies Inc., T.V.G. Technologies Ltd., and Visual Frontier, Inc.
|
| IC-30022 |
Mar. 29, 2012 |
Principal Mortgage Fund, Inc.
|
| IC-30021 |
Mar. 29, 2012 |
Superior Community Capital Corporation
|
| IC-30018 |
Mar. 29, 2012 |
International Asset Group, Inc.
|
| IC-30015 |
Mar. 29, 2012 |
American Capital Partners Limited, Inc.
|
| 34-66687 |
Mar. 29, 2012 |
Interim Capital Corp.
Other Release No.: IC-30019
|
| 34-66685 |
Mar. 29, 2012 |
Central Capital Venture Corporation
Other Release No.: IC-30016
|
| 34-66684 |
Mar. 29, 2012 |
Andrea M. Ritchie
|
| 34-66683 |
Mar. 29, 2012 |
Joseph A. Padilla
|
| 34-66682 |
Mar. 29, 2012 |
Gary J. Yocom
|
| 34-66675 |
Mar. 29, 2012 |
Angstrom Microsystems Corp., Bedminster National Corp., Brake Headquarters U.S.A., Inc., and BrandPartners Group, Inc.
|
| 34-66673 |
Mar. 29, 2012 |
Satyam Computer Services Limited d/b/a Mahindra Satyam
|
| 34-66672 |
Mar. 29, 2012 |
Advanced BioPhotonics, Inc., Advanced Viral Research Corp., Brantley Capital Corp., Brilliant Technologies Corporation, 4C Controls, Inc., and 2-Track Global, Inc.
|
| 33-9306 |
Mar. 29, 2012 |
OLM Ventures, Inc.
Other Release Nos.: 34-66688, IC-30020
|
| 33-9305 |
Mar. 29, 2012 |
Entertainment Capital Corp.
Other Release Nos.: 34-66686; IC-30017
|
| 34-66666 |
Mar. 27, 2012 |
Rafael Sanchez
|
| 34-66655 |
Mar. 26, 2012 |
Jove Corp., Keiretsu, Inc., Luminart, Inc., Macten, Inc., and Netlake, Inc.,
|
| 34-66653 |
Mar. 26, 2012 |
Channell Commercial Corporation
|
| 34-66647 |
Mar. 22, 2012 |
Roger Greer
|
| 34-66640 |
Mar. 21, 2012 |
Jetborne International, Inc., Jotan, Inc., Kamp-Rite Holdings, Inc., Key Command International Corp., Liege Holding, Inc., Lloyds Shopping Centers, Inc., Long Island Physician Holdings Corp., and Mikron Infrared, Inc.
|
| 34-66638 |
Mar. 21, 2012 |
Derek Lopez
|
| 34-66634 |
Mar. 21, 2012 |
Brenda A. Eschbach
Other Release No.: IA-3384
|
| 34-66633 |
Mar. 21, 2012 |
American United Gold Corporation, AMS Homecare Inc., Aucxis Corp., and CYOP Systems International Inc.
|
| 34-66632 |
Mar. 21, 2012 |
American United Gold Corporation, AMS Homecare Inc., Aucxis Corp., and CYOP Systems International Inc.
|
| 34-66626 |
Mar. 20, 2012 |
Michael A. Kimelman
|
| 34-66621 |
Mar. 20, 2012 |
ProElite, Inc., and Universal Guardian Holdings, Inc.
|
| 34-66619 |
Mar. 20, 2012 |
Tempest Microsystems, Inc., Transform Logic Corp., Troy Acquisition Corp., The Troy Investment Fund, Two Way TV (US), Inc., University Real Estate Fund 12 Ltd., US Dry Cleaning Corp. (n/k/a US Dry Cleaning Services Corp.), UST Liquidating Corp., USTelematics, Inc., and Vendalux Corp.
|
| 34-66613 |
Mar. 16, 2012 |
American Unity Investments, Inc., China Display Technologies, Inc., China Wind Energy, Inc., Environment Ecology Holding Company of China, First Capital China Corporation, Fuda Faucet Works, Inc., Greater China Media & Entertainment Corp., Xechem International, Inc., and Yi Xin International Copper, Inc.
|
| 34-66612 |
Mar. 16, 2012 |
JMAR Technologies, Inc., Kolorfusion International, Inc., Legalopinion.com (n/k/a Drayton Richdale Corp.), Lifestream Technologies, Inc., Litewave Corp., and Luna Technologies International, Inc.
|
| 34-66608 |
Mar. 15, 2012 |
Eugene Science, Inc.
|
| 34-66606 |
Mar. 15, 2012 |
Asiamart, Inc.
|
| 34-66604 |
Mar. 15, 2012 |
ASP Ventures Corp.
|
| 34-66598 |
Mar. 14, 2012 |
John B. Frohling, Esq.
|
| 34-66594 |
Mar. 14, 2012 |
Sharespost, Inc. and Greg B. Brogger
|
| 33-9302 |
Mar. 14, 2012 |
Laurence Albukerk and EB Financial Group, LLC
|
| 34-66588 |
Mar. 14, 2012 |
Aduddell Industries, Inc., Calypso Wireless, Inc., Capital Markets Technologies, Inc., Challenger Powerboats, Inc., and CLX Medical, Inc.
|
| 34-66587 |
Mar. 14, 2012 |
JC Acquisition Corp., L.B. Nelson Corp., LakesideMortgage Fund LLC, and National Community Builders, Inc.
|
| 34-66586 |
Mar. 13, 2012 |
China MediaExpress Holdings, Inc.
|
| 34-66585 |
Mar. 13, 2012 |
Alissa Joelle Kueng
Other Release No.: IA-3382
|
| 34-66579 |
Mar. 13, 2012 |
Kings Road Entertainment, Inc.
|
| 34-66578 |
Mar. 13, 2012 |
Silvermex Resources Inc.
|
| 33-9301 |
Mar. 12, 2012 |
Armando Ruiz, and Maradon Holdings, LLC
Other Release No.: 34-66573, IC-29978
|
| 34-66570 |
Mar. 12, 2012 |
Tapslide, Inc., TTC Technology Corp. (f/k/a Smartire Systems Inc.), TWL Corp., TXP Corp., Valentec Systems, Inc. (f/k/a Acorn Holdings Corp.), Verdant Technology Corp., and
VPGI Corp. |
| 34-66547 |
Mar. 9, 2012 |
Richard Dalton |
| 34-66546 |
Mar. 9, 2012 |
Advanced Growing Systems, Inc., Advantage Capital Development Corp., Amazon Biotech, Inc., Andover Holdings, Inc. a/k/a Andover Energy Holdings, Inc., Bravo! Brands, Inc., and BSML, Inc. |
| 34-66536 |
Mar. 8, 2012 |
Airbee Wireless, Inc. (ABEW), Axial Vector Engine Corp. (n/k/a Avec Corporation) (AVEC), and Exploration Drilling International, Inc. (EXDL) |
| 34-66535 |
Mar. 7, 2012 |
Jason Zakocs |
| 34-66534 |
Mar. 7, 2012 |
RealFund Investment Trust |
| 34-66533 |
Mar. 7, 2012 |
Luis Garg |
| 34-66532 |
Mar. 7, 2012 |
Aaron M. Glasser |
| 34-66531 |
Mar. 7, 2012 |
Brian S. Cherry |
| IA-3380 |
Mar. 7, 2012 |
Jason Pflaum |
| 34-66524 |
Mar. 7, 2012 |
Prime Star Group, Inc. |
| 34-66523 |
Mar. 7, 2012 |
China Yingxia International, Inc. |
| 34-66519 |
Mar. 6, 2012 |
Toolex International N.V., topjobs.net PLC, Tribridge Enterprises Corp. (n/k/a Northern Lion Gold Corp.), Tropika International Ltd., Tsunami Media Corp., T.Z.F. International Investments, Inc., and Vantage Enterprises Corp. (n/k/a African Gemstones Ltd.) |
| 34-66516 |
Mar. 6, 2012 |
James Clements |
| 34-66510 |
Mar. 5, 2012 |
Joseph Valko |
| 34-66509 |
Mar. 5, 2012 |
Syntax-Brillian Corporation |
| 34-66505 |
Mar. 2, 2012 |
Heli Electronics Corp. |
| 34-66496 |
Mar. 1, 2012 |
Strong Capital Management, Inc. |
| 34-66492 |
Mar. 1, 2012 |
Aduddell Industries, Inc.,Calypso Wireless, Inc., Capital Markets Technologies, Inc., Challenger Powerboats, Inc., and CLX Medical, Inc. |
| 34-66491 |
Mar. 1, 2012 |
Tempest Microsystems, Inc., Transform Logic Corp., Troy Acquisition Corp., The Troy Investment Fund, Two Way TV (US), Inc., University Real Estate Fund 12 Ltd., US Dry Cleaning Corp. (n/k/a US Dry Cleaning Services Corp.), UST Liquidating Corp., USTelematics, Inc., and Vendalux Corp. |
| 34-66490 |
Feb. 29, 2012 |
Far Vista Interactive Corp., Herzog International Holdings, Inc., Tatonka Oil & Gas Company, Inc., Green Capital Group, Inc., Lone Star International Energy Inc., Wintech Digital System Technology Corp., House of Brussels Chocolates, Inc.
|
| IA-3379 |
Feb. 28, 2012 |
Donald Anthony Walker Young, a/k/a D.A. Walker Young and Acorn Capital Management, LLC
|
| 34-66480 |
Feb. 28, 2012 |
Telos, Inc., Tianrong Internet Products And Services, Inc. (f/k/a MAS Acquisition XVII Corp.), Tianrong Building Material Holdings, Ltd. (f/k/a MAS Acquisition XVIII Corp.), TSS Ltd., Tuff Coat Manufacturing, Inc. (f/k/a Osage Acquisition Corp.), Tultex Corp., TVA, Inc., Tyger Holding, Inc., and U.S. Energy Systems, Inc.
|
| 34-66479 |
Feb. 27, 2012 |
Robert Chiu, (A/K/A Chi Hung Chiu)
Other Release No.: AAER-3367
|
| 34-66478 |
Feb. 27, 2012 |
Thomas R. Fry
|
| 34-66477 |
Feb. 27, 2012 |
Bevan J. Wilde
|
| 34-66476 |
Feb. 27, 2012 |
Gary W. Hansen
|
| 34-66475 |
Feb. 27, 2012 |
Michael G. Butcher
|
| 34-66474 |
Feb. 27, 2012 |
James B. Mooring
|
| 34-66473 |
Feb. 27, 2012 |
Michael W. Averett
|
| IA-3378 |
Feb. 27, 2012 |
Damian Omar Valdez
|
| IA-3377 |
Feb. 27, 2012 |
Shawn R. Merriman
|
| 34-66470 |
Feb. 27, 2012 |
JC Acquisition Corp., L.B. Nelson Corp., Lakeside Mortgage Fund LLC, and National Community Builders, Inc.
|
| 34-66468 |
Feb. 24, 2012 |
Mary Beth Stevens; Paul W. Oliver, Jr.
Note: See also the Final Plan of Distribution
|
| 34-66457 |
Feb. 24, 2012 |
Tornado Gold International Corp., Twin Faces East Entertainment Corp., Universal Ice Blast, Inc., US Farms, Inc., US Microbics, Inc., and Visitel Network (a/k/a PRG Group, Inc.)
|
| 34-66456 |
Feb. 24, 2012 |
American United Gold Corporation, AMS Homecare Inc., Aucxis Corp., and CYOP Systems International Inc.
|
| IA-3375 |
Feb. 23, 2012 |
Jon Edward Hankins
|
| 34-66448 |
Feb. 23, 2012 |
Ramco Energy PLC (N/K/A Seaenergy PLC), Rti, Inc., Rtica Corp., Runcorp, Inc. (F/K/A Remote Utilities Network, Inc.), Source Scientific, Inc., Spectacular Attractions, Inc., Spectracom, Inc., Sportsco, Inc., and Stationmate, Inc. (N/K/A Oxysure, Inc.)
|
| 34-66447 |
Feb. 23, 2012 |
JMAR Technologies, Inc., Kolorfusion International, Inc., Legalopinion.com (n/k/a Drayton Richdale Corp.), Lifestream Technologies, Inc., Luna Technologies International, Inc., and Litewave Corp.
|
| 34-66446 |
Feb. 23, 2012 |
Jetronic Industries, Inc. (n/k/a New Bastion Development, Inc.), Lions Petroleum, Inc. (n/k/a China Hongxing Agritech, Inc.), MDI, Inc., and MobilePro Corp.
|
| 34-66443 |
Feb. 22, 2012 |
Robert S. Brown
|
| 34-66437 |
Feb. 22, 2012 |
Bio-Warm Corp. (n/k/a PHI Gold Corp.)
|
| 34-66436 |
Feb. 22, 2012 |
Amstem Corporation, Anesiva, Inc., Balsam Ventures, Inc., and Catcher Holdings, Inc.
|
| 34-66435 |
Feb. 21, 2012 |
Daniel J. Burns
|
| 34-66425 |
Feb. 17, 2012 |
American Skandia Investment Services, Inc.
|
| 34-66424 |
Feb. 17, 2012 |
Robert Rossi
|
| 34-66423 |
Feb. 17, 2012 |
Stephen E. Bowman
|
| 34-66419 |
Feb. 17, 2012 |
BIOTECH Holdings Ltd., California Oil & Gas Corp., Central Minera Corp., Chemokine Therapeutics Corp., and Global Precision Medical Inc.
|
| 34-66417 |
Feb. 17, 2012 |
Tornado Gold International Corp., Twin Faces East Entertainment Corp., Universal Ice Blast, Inc., US Farms, Inc., US Microbics, Inc., and Visitel Network (a/k/a PRG Group, Inc.)
|
| 34-66416 |
Feb. 16, 2012 |
George David Gordon
|
| 34-66415 |
Feb. 16, 2012 |
George David Gordon
|
| IA-3374 |
Feb. 16, 2012 |
Michelle W. Palm
|
| IA-3373 |
Feb. 15, 2012 |
James Davis Risher
|
| IA-3371 |
Feb. 15, 2012 |
Robert Pinkas
|
| 34-66396 |
Feb. 15, 2012 |
Tornado Gold International Corp., Twin Faces East Entertainment Corp., Universal Ice Blast, Inc., US Farms, Inc., US Microbics, Inc., and Visitel Network (a/k/a PRG Group, Inc.)
|
| 34-66395 |
Feb. 14, 2012 |
Dustin D. White
|
| 34-66388 |
Feb. 13, 2012 |
Tempest Microsystems, Inc., Transform Logic Corp., Troy Acquisition Corp., The Troy Investment Fund, Two Way TV (US), Inc., University Real Estate Fund 12 Ltd., US Dry Cleaning Corp. (n/k/a US Dry Cleaning Services Corp.), UST Liquidating Corp., USTelematics, Inc., and Vendalux Corp.
|
| 34-66374 |
Feb. 10, 2012 |
Marc J. Riviello
|
| 34-66368 |
Feb. 9, 2012 |
Robert C. Koeller
|
| 34-66365 |
Feb. 9, 2012 |
Gregg M.S. Berger
|
| 34-66353 |
Feb. 7, 2012 |
Shaun P. Whiteley
Other Release No.: AAER-3366
|
| 34-66352 |
Feb. 7, 2012 |
Lynne Norman
Other Release No.: AAER-3365
|
| 34-66351 |
Feb. 7, 2012 |
Matthew Bell, ACA
Other Release No.: AAER-3364
|
| 34-66339 |
Feb. 7, 2012 |
EvergreenBancorp, Inc.
|
| 34-66338 |
Feb. 7, 2012 |
Broadcaster, Inc.
|
| 34-66337 |
Feb. 7, 2012 |
Advanced Mineral Technologies, Inc.
|
| 34-66336 |
Feb. 7, 2012 |
Crown Northcorp, Inc.
|
| 34-66333 |
Feb. 6, 2012 |
Gerald E. Patera
|
| IA-3368 |
Feb. 6, 2012 |
Christopher T. Vulliez
|
| 34-66332 |
Feb. 6, 2012 |
Arthur Lin
Other Release No.: IA-3367
|
| 34-66331 |
Feb. 6, 2012 |
Telos, Inc., Tianrong Internet Products and Services, Inc. (f/k/a MAS Acquisition XVII Corp.), Tianrong Building Material Holdings, Ltd. (f/k/a MAS Acquisition XVIII Corp.), TSS Ltd., Tuff Coat Manufacturing, Inc. (f/k/a Osage Acquisition Corp.), Tultex Corp., TVA, Inc., Tyger Holding, Inc., and U.S. Energy Systems, Inc.
|
| 34-66330 |
Feb. 6, 2012 |
Steven R. Long
|
| 34-66329 |
Feb. 6, 2012 |
Stanley M. Paulic
|
| 34-66323 |
Feb. 6, 2012 |
PPOL, Inc.
|
| 34-66319 |
Feb. 3, 2012 |
Todd Leslie Treadway
|
| 34-66318 |
Feb. 3, 2012 |
Alan Labineri
|
| 34-66317 |
Feb. 3, 2012 |
Margaret Grey
|
| 34-66316 |
Feb. 3, 2012 |
Khurram Tanwir
|
| 34-66314 |
Feb. 2, 2012 |
Craig Drimal
|
| 34-66313 |
Feb. 2, 2012 |
David Plate
|
| 34-66312 |
Feb. 2, 2012 |
Dale Shafer, CPA
Other Release No.: AAER-3362
|
| 34-66304 |
Feb. 2, 2012 |
China Yingxia International, Inc.
|
| 34-66303 |
Feb. 2, 2012 |
Along Mobile Technologies, Inc.
|
| 34-66302 |
Feb. 2, 2012 |
China Convergent Corp., Ltd.
|
| 34-66300 |
Feb. 2, 2012 |
Beicang Iron & Steel, Inc.
|
| 34-66298 |
Feb. 2, 2012 |
BluePoint Linux Software Corp., China Bottles, Inc., China Hinon Biotech, Inc., China One Holding, Inc., China Private Equity Group, Corporation, Chinese Manufacturers Online Corp., Long-e International, Inc., and Nano Superlattice Technology, Inc.,
|
| 34-66296 |
Feb. 2, 2012 |
American Unity Investments, Inc., China Display Technologies, Inc., China Wind Energy, Inc., Environment Ecology Holding Company of China, First Capital China Corporation, Fuda Faucet Works, Inc., Greater China Media & Entertainment Corp., Xechem International, Inc., and Yi Xin International Copper, Inc.
|
| 34-66294 |
Feb. 2, 2012 |
Blue Earth Refineries, Inc.
|
| 34-66293 |
Feb. 2, 2012 |
China Agro-Technology Holdings Ltd.
|
| 34-66291 |
Feb. 2, 2012 |
China Ventures Limited and Chinatek, Inc.
|
| 34-66290 |
Feb. 2, 2012 |
Heli Electronics Corp.
|
| 33-9298 |
Feb. 1, 2012 |
GE Funding Capital Market Services, Inc.
|
| 33-9297 |
Feb. 1, 2012 |
GE Funding Capital Market Services, Inc.
Other Release No.: 34-66289
|
| 34-66283 |
Jan. 31, 2012 |
Jeffrey A. Wolfson, Robert A. Wolfson, and Golden Anchor Trading II, LLC (n/k/a Barabino Trading, LLC)
|
| 34-66281 |
Jan. 31, 2012 |
Thermo Tech Technologies Inc., T.V.G. Technologies Ltd., and Visual Frontier, Inc.
|
| 34-66269 |
Jan. 30, 2012 |
Christopher J. Kelly, ACA and Margaret Hebb, ACA
Other Release No.: AAER-3359
|
| 34-66268 |
Jan. 30, 2012 |
Symmetry Medical, Inc. and Fred L. Hite
Other Release No.: AAER-3358
|
| 34-66267 |
Jan. 30, 2012 |
RPM Advantage, Inc.
|
| 34-66264 |
Jan. 27, 2012 |
Airbee Wireless, Inc., Axial Vector Engine Corp. (n/k/a Avec Corporation), and Exploration Drilling International, Inc.
|
| 34-66259 |
Jan. 26, 2012 |
Theodore W. Urban
Other Release No.: IA-3366
|
| 34-66258 |
Jan. 26, 2012 |
Tamara M. Davis
|
| 34-66249 |
Jan. 26, 2012 |
Alchemy Ventures, Inc., KM Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. McDonald, and Douglas G. Frederick
|
| 34-66248 |
Jan. 26, 2012 |
Mercury Capital and Lisa R. Hyatt
|
| 34-66247 |
Jan. 26, 2012 |
Richard V. Rizzo
|
| 33-9296 |
Jan. 26, 2012 |
Spencer D. Mindlin, and Alfred C. Mindlin, CPA
Other Release No.: 34-66246, IA-3365, IC-29936
|
| 34-66240 |
Jan. 26, 2012 |
RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc.
|
| 34-66237 |
Jan. 25, 2012 |
Bob Nguyen
|
| IA-3364 |
Jan. 25, 2012 |
Samir Barai
|
| IA-3363 |
Jan. 25, 2012 |
John D. Friedrich
|
| IA-3362 |
Jan. 25, 2012 |
Alain A. Assemi
|
| IA-3361 |
Jan. 25, 2012 |
Timothy J. Clyman
|
| 34-66236 |
Jan. 25, 2012 |
Janus Capital Management LLC
|
| 34-66233 |
Jan. 25, 2012 |
Tornado Gold International Corp., Twin Faces East Entertainment Corp., Universal Ice Blast, Inc., US Farms, Inc., US Microbics, Inc., and Visitel Network (a/k/a PRG Group, Inc.)
|
| 34-66217 |
Jan. 24, 2012 |
Shengtai Power International, Inc. and Singer Co. N.V.
|
| 34-66212A |
Jan. 23, 2012 |
1st Discount Brokerage, Inc. and Michael R. Fisher
Other Release No.: IA-3360A
|
| 34-66211 |
Jan. 23, 2012 |
e-Smart Technologies, Inc., et al.
|
| IA-3359 |
Jan. 20, 2012 |
Noah Freeman
|
| 34-66206 |
Jan. 20, 2012 |
AXA Advisors, LLC
|
| 34-66205 |
Jan. 20, 2012 |
Leo T. Buggy
|
| 34-66198 |
Jan. 20, 2012 |
Amstem Corporation, Anesiva, Inc., Balsam Ventures, Inc., and Catcher Holdings, Inc.
|
| 34-66197 |
Jan. 20, 2012 |
Ramco Energy PLC (n/k/a SeaEnergy PLC), RTI, Inc., RTICA Corp., Runcorp, Inc. (f/k/a Remote Utilities Network, Inc.), Source Scientific, Inc., Spectacular Attractions, Inc., SpectraCom, Inc., Sportsco, Inc., and Stationmate, Inc. (n/k/a Oxysure, Inc.)
|
| 34-66196 |
Jan. 20, 2012 |
Regenesis Centers, Inc., Regenex, Inc., A.J. Ross Logistics, Inc., Southern Gourmet Products, Inc., Status Game Corp., and Suncast Network, Inc.
|
| 34-66195 |
Jan. 20, 2012 |
AEC, I, Inc., Aegir Ventures, Inc., American Toy Vending, Inc., Biometric Security Corp. (a/k/a Pender Financial Group Corp.), and Bridge-It Corp.
|
| 34-66194 |
Jan. 19, 2012 |
Derek Lopez
|
| IA-3358 |
Jan. 19, 2012 |
Charles P. Copeland
|
| 34-66191 |
Jan. 19, 2012 |
e-Smart Technologies, Inc.
|
| 34-66185 |
Jan. 19, 2012 |
Regenesis Centers, Inc., Regenex, Inc., A.J. Ross Logistics, Inc., Southern Gourmet Products, Inc., Status Game Corp., and Suncast Network, Inc.
|
| 34-66184 |
Jan. 19, 2012 |
TapSlide, Inc., TTC Technology Corp. (f/k/a SmarTire Systems Inc.), TWL Corp., TXP Corp., Valentec Systems, Inc. (f/k/a Acorn Holdings Corp.), Verdant Technology Corp., and VPGI Corp.
|
| 34-66182 |
Jan. 18, 2012 |
Gregory Bartko, Esq.
|
| 34-66181 |
Jan. 18, 2012 |
Gregory Bartko, Esq.
Other Release No.: IA-3357
|
| IA-3356 |
Jan. 17, 2012 |
UBS Global Asset Management (Americas) Inc.
Other Release No.: IC-29920
|
| IA-3355 |
Jan. 17, 2012 |
Lisa B. Premo
Other Release No.: IC-29919
|
| 34-66162 |
Jan. 17, 2012 |
Charles Mark Hall
|
| 34-66161 |
Jan. 17, 2012 |
Chalmer E. Detling, II, Esq.
|
| 34-66160 |
Jan. 17, 2012 |
BSK & Tech, Inc.
|
| 34-66157 |
Jan. 13, 2012 |
1st Global Stock Transfer LLC and Helen Bagley
|
| IA-3353 |
Jan. 13, 2012 |
RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen
Other Release No.: IC-29917
|
| 34-66154 |
Jan. 13, 2012 |
Sarang Ahuja
|
| 34-66152 |
Jan. 13, 2012 |
William R. Michael
Other Release No.: IA-3352
|
| 34-66151 |
Jan. 13, 2012 |
Don C. Winkler
|
| 34-66150 |
Jan. 13, 2012 |
Clifton K. Oram
|
| IA-3351 |
Jan. 13, 2012 |
Cory A. Martin
|
| 34-66147 |
Jan. 12, 2012 |
William C. Tak
Other Release No.: IA-3350
|
| 34-66146 |
Jan. 12, 2012 |
Ramco Energy PLC (n/k/a SeaEnergy PLC), RTI, Inc., RTICA Corp., Runcorp, Inc. (f/k/a Remote Utilities Network, Inc.), Source Scientific, Inc., Spectacular Attractions, Inc., SpectraCom, Inc., Sportsco, Inc., and Stationmate, Inc. (n/k/a Oxysure, Inc.)
|
| 34-66144 |
Jan. 11, 2012 |
Kay Berensen-Galster
|
| 34-66143 |
Jan. 11, 2012 |
Justin William Rifkin
|
| 34-66142 |
Jan. 11, 2012 |
Lloyd V. Barriger
Other Release No.: IA-3349
|
| 34-66127 |
Jan. 10, 2012 |
Stephen M. Folan
|
| 34-66117 |
Jan. 6, 2012 |
RPM Advantage, Inc.
|
| 34-66101 |
Jan. 4, 2012 |
James L. Haley
|
| 33-9291 |
Jan. 4, 2012 |
Anthony Fields, CPA D/B/A Anthony Fields & Associates and D/B/A Platinum Securities Brokers
|
| 34-66089 |
Jan. 3, 2012 |
Clyde R. Parks
|
| 34-66088 |
Jan. 3, 2012 |
William Echeverri
|
| 34-66076 |
Jan. 3, 2012 |
Shepaug Corp., Simone Group, Inc., Skynet Holdings, Inc., Skyview Development Corp., SMC Ventures, Inc. (f/k/a Gensci Regeneration Sciences, Inc.), Sonora Diamond Corp., and Sonus Communication Holdings, Inc.
|
http://www.sec.gov/litigation/admin.shtml
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