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Administrative Proceedings

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.

The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions

First Quarter

Additional Archives

RSS Feed  SEC Administrative Proceedings RSS Feed

Release No. Date Respondents
First Quarter
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
34-76985 Jan. 28, 2016 Philip A. Dressner
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
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

 

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


Modified: 02/05/2016