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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

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No. Date Respondents
Fourth Quarter
34-73896 Dec. 19, 2014 American Skandia Investment Services, Inc.
IA-3985 Dec. 19, 2014 John Thomas Pappas
34-73887 Dec. 19, 2014 Armand R. Franquelin
34-73886 Dec. 19, 2014 Kenneth C. Tebbs
34-73890 Dec. 19, 2014 Credit Suisse Securities (USA) LLC; et al.
34-73885 Dec. 19, 2014 Hennessee Group LLC and Charles J. Gradante
34-73873 Dec. 18, 2014 Kangye International Holdings, Inc., et al.
34-73872 Dec. 18, 2014 Asia Cork, Inc., et al.
34-73871 Dec. 18, 2014 Asian Dragon Group, Inc., et al.
34-73870 Dec. 18, 2014 AGR Tools, Inc., et al.
34-73869 Dec. 18, 2014 WebXU, Inc.
34-73865 Dec. 17, 2014 G-Trade Services LLC, et al.
IA-3983 Dec. 17, 2014 George Q. Stevens
34-73862 Dec. 17, 2014 Baker Tilly Hong Kong Limited, et al.
Other Release No.: AAER-3615
IA-3982 Dec. 16, 2014 Alexander Swanson
33-9691 Dec. 16, 2014 Angel E. Lana, CPA
Other Release Nos.: 34-73852, AAER-3614
33-9690 Dec. 16, 2014 Michael W. Crow, et al.
Other Release Nos.: 34-73851, IC-31378
34-73844 Dec. 16, 2014 Paul J. Pollack and Montgomery Street Research, LLC
Other Release No.: IC-31375
34-73839 Dec. 15, 2014 Canadian Solar, Inc. and Yan Zhuang
Other Release No.: AAER-3613
34-73838 Dec. 15, 2014 BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming and LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited
Other Release No.: AAER-3612
34-73835 Dec. 15, 2014 Bruker Corporation
Other Release No.: AAER-3611
34-73828 Dec. 12, 2014 China Clean Energy Acquisition Corp., et al.
34-73827 Dec. 12, 2014 Black Hawk Exploration, et al.
34-73826 Dec. 12, 2014 BTHC XV, Inc.
34-73824 Dec. 11, 2014 JPMorgan Chase & Co.
Note: See also Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
34-73806 Dec. 10, 2014 The Billiard Channel, Inc., et al.
33-9687 Dec. 10, 2014 Scott M. Stephan
Other Release Nos.: 34-73803, IA-3977, IC-31368
33-9686 Dec. 10, 2014 Reliance Financial Advisors, LLC, et al.
Other Release Nos.: 34-73801, IA-3976, IC-31367
34-73801 Dec. 10, 2014 Morgan Stanley & Co. LLC
34-73800 Dec. 10, 2014 AJ Acquisition Corp. I, Inc., et al.
34-73798 Dec. 9, 2014 Robert A. Walker
IA-3975 Dec. 9, 2014 Paul A. Ligor, Jr.
34-73795 Dec. 9, 2014 G-Trade Services LLC, ConvergEx Global Markets Limited and ConvergEx Execution Solutions LLC
34-73792 Dec. 9, 2014 Comprehensive Capital Management, Inc.
33-9685 Dec. 8, 2014 BTC Trading, Corp. and Ethan Burnside
Other Release Nos.: 34-73783, IC-31366
34-73775 Dec. 8, 2014 Lerner & Sipkin CPAs LLP
Other Release No.: AAER-3610
34-73774 Dec. 8, 2014 OUM & Co. LLP
Other Release No.: AAER-3609
34-73773 Dec. 8, 2014 Boros & Farrington Accountancy Corporation
Other Release No.: AAER-3608
34-73772 Dec. 8, 2014 Brace & Associates, PLLC
Other Release No.: AAER-3607
34-73771 Dec. 8, 2014 Lally & Co., LLC
Other Release No.: AAER-3606
34-73770 Dec. 8, 2014 Joseph Yafeh CPA, Inc.
Other Release No.: AAER-3605
34-73769 Dec. 8, 2014 Robert Cooper, Company and CPA PC
Other Release No.: AAER-3604
34-73768 Dec. 8, 2014 BKD, LLP
Other Release No.: AAER-3603
34-73767 Dec. 8, 2014 Gold Horse International, Inc.
34-73766 Dec. 8, 2014 China Wood, Inc.
34-73765 Dec. 5, 2014 Robert A. Hemm
34-73754 Dec. 5, 2014 David Mura
34-73751 Dec. 5, 2014 Neal A. Petrovich, CPA
Other Release No.: AAER-3601
34-73750 Dec. 5, 2014 Hampton Roads Bankshares, Inc.
Other Release No.: AAER-3600
34-73734 Dec. 4, 2014 ATP Oil & Gas Corp.
34-73733 Dec. 3, 2014 Alamosa (Delaware), Inc., et al.
34-73724 Dec. 3, 2014 Phillip Dennis Murphy
Other Release No.: IA-3974
34-73722 Dec. 3, 2014 Laurie Bebo and John Buono, CPA
34-73696 Nov. 26, 2014 Bingo.Com, Inc., et al.
34-73695 Nov. 26, 2014 Liberty Realty Trust
34-73694 Nov. 26, 2014 Nickolas C. Skaltsis
34-73693 Nov. 26, 2014 Regeneca, Inc., et al.
34-73692 Nov. 26, 2014 Nexaira Wireless Inc.
34-73691 Nov. 26, 2014 Bow Valley Ventures, Inc., et al.
34-73681 Nov. 25, 2014 HSBC Private Bank (Suisse) and SA
Other Release No.: IA-3973
34-73680 Nov. 25, 2014 Joseph Meuse
34-73679 Nov. 25, 2014 JP Turner & Company, LLC and William L. Mello
Note: See also Final Plan of Distribution
34-73678 Nov. 24, 2014 Alan Gavornik, Nicholas Mariniello and Lee Argush
Other Release Nos.: IA-3972, IC-31357
34-73675 Nov. 24, 2014 Clavis Technologies International Co., Ltd.
34-73674 Nov. 24, 2014 Xinde Technology Company
34-73673 Nov. 24, 2014 Bay Acquisition Corp. (a/k/a SecureLogic Corp.) (n/k/a Goozex Holdings, et al.
34-73663 Nov. 20, 2014 Blue Moon Investments, et al.
34-73656 Nov. 20, 2014 Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; and James X. McCarty
34-73655 Nov. 20, 2014 Sarkauskas, Associates, Inc. and James M. Sarkauskas
34-73654 Nov. 20, 2014 Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart
34-73653 Nov. 20, 2014 Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart
34-73652 Nov. 20, 2014 Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart
Other Release No.: IA-3971
34-73651 Nov. 20, 2014 Linkbrokers Derivatives LLC
34-73638 Nov. 19, 2014 Forum National Investments, Ltd.
34-73636 Nov. 19, 2014 AsherXino Corp., et al.
34-73635 Nov. 19, 2014 AGR Tools, Inc., et al.
34-73618 Nov. 18, 2014 All-American Care Centers, Inc., et al.
34-73617 Nov. 18, 2014 IPKV Holdings, Inc., et al.
34-73616 Nov. 17, 2014 Stephen Timms and Yasser Ramahi
34-73612 Nov. 17, 2014 YesDTC Holdings, Inc.
34-73610 Nov. 14, 2014 Mark Smith, CPA
Other Release No.: AAER-3599
34-73609 Nov. 14, 2014 Charles Elliot Smith, CPA
Other Release No.: AAER-3598
34-73606 Nov. 14, 2014 Blake Richards
Other Release No.: IA-3968
34-73605 Nov. 14, 2014 Douglas L. Swenson, CPA
34-73604 Nov. 14, 2014 Mark A. Ellison, Esq.
34-73603 Nov. 14, 2014 Linden Boyne
Other Release No.: AAER-3597
IA-3967 Nov. 13, 2014 Gregory Viola
34-73591 Nov. 13, 2014 Bluesky Filing Corp., et al.
IA-3966 Nov. 12, 2014 Aaron E. Olson
34-73583 Nov. 12, 2014 Pennington Capital Management LLC and Robert J. Evans
34-73582 Nov. 12, 2014 Dr. L.S. Smith
Other Release No.: AAER-3596
34-73578 Nov. 12, 2014 Robert C. Weaver, Jr., Esq.
33-9680 Nov. 12, 2014 Michael S. Geist and Brent E. Taylor
Other Release No.: 34-73581
33-9679 Nov. 12, 2014 Pankaj Kumar Srivastava and Nataraj Kavuri
34-73573 Nov. 10, 2014 AARX, Inc., et al.
33-9678 Nov. 10, 2014 Eureeca Capital SPC
Other Release No.: 34-73569
34-73568 Nov. 10, 2014 Balaton Power, Inc.
34-73567 Nov. 10, 2014 Amico Games Corp. et al.
34-73566 Nov. 10, 2014 Bering Growth Corp., et al.
34-73560 Nov. 7, 2014 Joshua Wayne Lankford
34-73552 Nov. 6, 2014 Bitech Pharma, Inc., et al.
34-73551 Nov. 6, 2014 Brandeis Holdings, Inc., et al.
33-9677 Nov. 6, 2014 City of Allen Park, Michigan
Other Release No.: 34-73539
34-73538 Nov. 6, 2014 Datascension, Inc., Here Enterprises, Inc. and Statmon Technologies Corp.
34-73537 Nov. 6, 2014 GeNOsys, Inc.
34-73536 Nov. 6, 2014 mBeach Software, Inc
34-73533 Nov. 5, 2014 Bernice G. Njoroge
Other Release Nos.: IA-3965, IC-31330
34-73532 Nov. 5, 2014 David Blain, CPA
Other Release Nos.: AAER-3595
34-73526 Nov. 5, 2014 Worthington Energy, Inc.
34-73525 Nov. 5, 2014 MineralRite Corporation
34-73524 Nov. 5, 2014 ERF Wireless, Inc.
34-73523 Nov. 5, 2014 CoroWare, Inc.
34-73522 Nov. 5, 2014 APT Motovox Group, Inc.
34-73521 Nov. 5, 2014 Green Automotive Company
34-73520 Nov. 5, 2014 Seaniemac International, Ltd.
34-73519 Nov. 5, 2014 Monster Arts, Inc.
34-73518 Nov. 5, 2014 Red Giant Entertainment, Inc.
34-73517 Nov. 5, 2014 Mondial Ventures, Inc.
34-73514 Nov. 4, 2014 VHGI Holdings, Inc.
33-9676 Nov. 4, 2014 Steven Durrelle Williams
Other Release No.: 34-73513
IA-3964 Nov. 3, 2014 Rajarengan (a/k/a Rengan) Rajaratnam
34-73510 Nov. 3, 2014 Riedl First Securities Co. of Kansas
34-73509 Nov. 3, 2014 Oppenheimer & Co., Inc.
34-73508 Nov. 3, 2014 National Securities Corp.
34-73507 Nov. 3, 2014 Lebenthal & Co., LLC
34-73506 Nov. 3, 2014 Wedbush Securities Inc.
34-73505 Nov. 3, 2014 UBS Financial Services Inc.
34-73504 Nov. 3, 2014 TD Ameritrade, Inc.
34-73503 Nov. 3, 2014 Stifel Nicolaus & Co., Inc.
34-73502 Nov. 3, 2014 J.P. Morgan Securities LLC
34-73501 Nov. 3, 2014 Investment Professionals Inc.
34-73500 Nov. 3, 2014 Interactive Brokers LLC
34-73499 Nov. 3, 2014 Hapoalim Securities USA, Inc.
34-73498 Nov. 3, 2014 Charles Schwab & Co., Inc.
34-73496 Nov. 3, 2014 Bio-Rad Laboratories, Inc.
Other Release No.: AAER-3594
34-73494 Nov. 3, 2014 New Dragon Asia Corp.
34-73493 Nov. 3, 2014 China Everhealth Corp.
33-9675 Oct. 31, 2014 Registrar and Transfer Company and Thomas L. Montrone
Other Release No.: 34-73491
33-9674 Oct. 31, 2014 Gregory Osborn
Other Release Nos.: 34-73486, IC-31325
33-9673 Oct. 31, 2014 Navagate, Inc. and Gregory Rorke
Other Release No.: 34-73485
33-9672 Oct. 31, 2014 Middlebury Securities, LLC
Other Release Nos.: 34-73484, IC-31324
34-73478 Oct. 30, 2014 Yale I. Asbell
34-73475 Oct. 30, 2014 Anthony Coronati and Bidtoask LLC,
IA-3962 Oct. 30, 2014 Marlon Quan and Stewardship Investment Advisors, LLC
34-73466 Oct. 29, 2014 Ehpren W. Taylor II
34-73467 Oct. 29, 2014 Wendy J. Connor
IA-3960 Oct. 29, 2014 Sands Brothers Asset Management, LLC, et al.
34-73456 Oct. 28, 2014 8 by 8, Inc., et al.
34-73455 Oct. 28, 2014 4301, Inc., et al.
34-73454 Oct. 28, 2014 Kenneth G. Eade, Esq.
33-9671 Oct. 28, 2014 Eli D. Okman
Other Release Nos.: 34-73447, IA-3959, IC-31320
34-73442 Oct. 27, 2014 Thrasos Tommy Petrou,
Other Release No.: IA-3958
34-73437 Oct. 27, 2014 Layne Christensen Company
34-73434 Oct. 27, 2014 Great Lakes Dredge & Dock Corporation
Other Release No.: AAER-3593
34-73432 Oct. 27, 2014 AISystems, et al.
34-73431 Oct. 27, 2014 Duoyuan Printing, Inc.
34-73430 Oct. 27, 2014 AGR Tools, Inc., et al.
33-9670 Oct. 24, 2014 James J. Dalton, Jr.
Other Release No.: 34-73429
33-9669 Oct. 24, 2014 David G. Derrick, Sr.
Other Release No.: 34-73428
34-73427 Oct. 24, 2014 Berman & Company, P.A., and Elliot Berman CPA
Other Release No.: AAER-3592
34-73423 Oct. 24, 2014 GLG Partners, Inc. and GLG Partners, L.P.
Note: See also Plan of Distribution
34-73421 Oct. 23, 2014 Eugene F. Hovanec, CPA
Other Release No.: AAER-3591
34-73408 Oct. 22, 2014 BDO China Dahua CPA Co., Ltd., et al.
Other Release No.: AAER-3590
34-73406 Oct. 22, 2014 21st Century Telesis II, Inc., et al.
34-73404 Oct. 22, 2014 ORB Automotive Corp.
34-73403 Oct. 22, 2014 Entech Solar, Inc.
34-73402 Oct. 22, 2014 Asura Development Group, Inc. (f/k/a IA Global, Inc.)
34-73401 Oct. 21, 2014 Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation
34-73400 Oct. 21, 2014 Keith MacDonald Summers
33-9667 Oct. 17, 2014 Clean Energy Capital, LLC and Scott A. Brittenham
Other Release Nos.: 34-73386, IA-3955
33-9666 Oct. 17, 2014 Anthony Coronati and Bidtoask LLC
Other Release Nos.: 34-73381, IA-3954, IC-31293
33-9665 Oct. 16, 2014 George N. Krinos, Krinos Holdings, Inc. and Fordgate Acquisition Corp.
Other Release Nos.: 34-73379, IA-3953, IC-31292
34-73378 Oct. 16, 2014 John W. Kosolcharoen
34-73377 Oct. 16, 2014 Dennis F. Wright
Other Release No.: IA-3952
34-73369 Oct. 16, 2014 Athena Capital Research, LLC
Other Release No.: IA-3950
IA-3949 Oct. 15, 2014 Gaeton S. Della Penna
34-73361 Oct. 15, 2014 Edward L. Maggiacomo, Jr.
Other Release Nos.: IA-3948, IC-31288
34-73360 Oct. 15, 2014 Edward J. Hanrahan
Other Release No.: IC-31287
34-73350 Oct. 15, 2014 Judy K. Wolf
Other Release No.: IA-3947
IA-3946 Oct. 14, 2014 Paul Marshall
34-73345 Oct. 14, 2014 WebXU, Inc.
34-73337 Oct. 10, 2014 Genova Biotherapeutics, Inc., et al.
34-73336 Oct. 10, 2014 Cepheus Acquisition Corp., et al.
34-73335 Oct. 10, 2014 ErgoBilt, Inc., et al.
34-73334 Oct. 10, 2014 ATP Oil & Gas Corp., et al.
33-9662 Oct. 9, 2014 E*Trade Securities, LLC, and G1 Execution Services, LLC
Other Release No.: 34-73324
34-73323 Oct. 8, 2014 Sarkauskas and Associates, Inc. and James M. Sarkauskas,
34-73322 Oct. 8, 2014 JP Turner & Company, LLC, and William L. Mello
Note: See also Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
IA-3944 Oct. 8, 2014 Michael Robert Balboa
34-73310 Oct. 7, 2014 Chaolei Marketing and Finance Company, et al.
34-73309 Oct. 7, 2014 Catalyst Group Holdings Corp., et al.
34-73307 Oct. 6, 2014 M. "Shi" Shailendra
34-73297 Oct. 3, 2014 Paul T. Mannion, Jr. and Andrew S. Reckles
Other Release Nos.: IA-3943, IC-31275
34-73294 Oct. 3, 2014 Peter A. Jenson, Chartered Accountant
Other Release No.: AAER-3589
34-73293 Oct. 3, 2014 Fox Petroleum, Inc., et al.
34-73273 Oct. 1, 2014 Brooklin Systems, Inc., et al.
34-73272 Oct. 1, 2014 Applied NeuroSolutions, Inc.
34-73271 Oct. 1, 2014 Bethesda C0801, Inc., et al.
Third Quarter
34-73270 Sep. 30, 2014 Gloria Solomon
34-73263 Sep. 30, 2014 Jordan Peixoto
34-73262 Sep. 30, 2014 Filip Szymik
33-9660 Sep. 30, 2014 Paul Edward "Ed" Lloyd, Jr., CPA
Other Release Nos.: 34-73260, IA-3940, IC-31272
34-73254 Sep. 30, 2014 Cowlitz Bancorporation, First Place Financial Corp., and Kedem Pharmaceuticals, Inc.
34-73253 Sep. 30, 2014 Alaska Gold Corp., et al.
34-73252 Sep. 30, 2014 Linda Illumination, Inc.
34-73251 Sep. 30, 2014 AJ Acquisition Corp. I, Inc., et al.
34-73250 Sep. 29, 2014 Duncan J. MacDonald, III
34-73248 Sep. 29, 2014 Rothman Securities, Inc. and Theodore Rothman
34-73247 Sep. 29, 2014 Todd A. Duckson, Esq., CPA
33-9659 Sep. 29, 2014 Gregory T. Bolan, Jr. and Joseph C. Ruggieri
Other Release No.: 34-73244
34-73243 Sep. 29, 2014 Bank of America Corporation
Other Release No.: AAER-3588
34-73242 Sep. 29, 2014 China Valves Technology, Inc.,
34-73227 Sep. 26, 2014 Asia Cork, Inc., et al.
34-73226 Sep. 25, 2014 Kenneth C. Meissner, et al.
Other Release No.: IC-31266
34-73225 Sep. 25, 2014 David C. Sorrells
Other Release No.: IC-31265
IA-3939 Sep. 25, 2014 Highland Capital Management, L.P.
34-73224 Sep. 25, 2014 Mayer Hoffman McCann, P.C.
Other Release No.: AAER-3587
34-73223 Sep. 25, 2014 Eric Aronson
34-73222 Sep. 25, 2014 Tradebot Systems, Inc.
Other Release No.: AAER-3586
34-73219 Sep. 25, 2014 Colorado Financial Service Corporation
Other Release No.: IA-3938
34-73216 Sep. 25, 2014 Randal Kent Hansen
Other Release No.: IA-3937
33-9656 Sep. 25, 2014 Esir1, Inc.
33-9655 Sep. 25, 2014 Richard O'Leary
Other Release Nos.: 34-73213, IA-3936, IC-31263
IA-3935 Sep. 25, 2014 David Scott Cacchione
34-73209 Sep. 25, 2014 JDA Software Group, Inc.
Other Release No.: AAER-3585
34-73207 Sep. 25, 2014 Imaging Diagnostic Systems, Inc.
34-73206 Sep. 24, 2014 Yale I. Asbell
Other Release Nos.: IA-3933, IC-31260
34-73205 Sep. 24, 2014 William L. Walters
Other Release No.: IA-3932
34-73202 Sep. 24, 2014 Saba Software, Inc.
34-73201 Sep. 24, 2014 Babak ("Bobby") Yazdani
Other Release No.: AAER-3584
33-9654 Sep. 24, 2014 Saba Software, Inc., Patrick Farrell, et al.
Other Release Nos.: 34-73200, AAER-3583
34-73197 Sep. 23, 2014 David A. Roskein
IA-3930 Sep. 23, 2014 Nicholas Rowe
34-73186 Sep. 23, 2014 Blake Richards
Other Release No.: IA-3931
33-9653 Sep. 23, 2014 Registrar and Transfer Company and Thomas L. Montrone
Other Release No.: 34-73189
34-73183 Sep. 23, 2014 Barclays Capital Inc.
Other Release No.: IA-3929
34-73179 Sep. 23, 2014 ATP Oil & Gas Corp., et al.
34-73175 Sep. 22, 2014 Wells Fargo Advisors, LLC
Other Release No.: IA-3928
34-73172 Sep. 22, 2014 Albert Reda
34-73171 Sep. 22, 2014 Stephen Stuart
34-73170 Sep. 22, 2014 Richard Kranitz, Esq.
34-73169 Sep. 22, 2014 Richard Kranitz
34-73168 Sep. 22, 2014 Donald Gilbreath
34-73167 Sep. 22, 2014 Steven Berman
34-73166 Sep. 22, 2014 Steven Berman, Esq.
34-73165 Sep. 22, 2014 Karen Person
34-73164 Sep. 22, 2014 Muhammad ("M.J.") Shaheed
34-73163 Sep. 22, 2014 Kelly Black-White
34-73162 Sep. 22, 2014 John Jordan
34-73161 Sep. 22, 2014 Seijin Ki
34-73160 Sep. 22, 2014 James Prange
33-9648 Sep. 22, 2014 Daniel J. Gallagher
Other Release No.: 34-73173
IA-3927 Sep. 22, 2014 Lincolnshire Management, Inc.
34-73158 Sep. 22, 2014 Asia Cork, Inc., et al.
34-73157 Sep. 22, 2014 The Bank Holdings, et al.
34-73155 Sep. 19, 2014 GLG Partners, Inc.and GLG Partners, L.P.
Note: See also Proposed Plan of Distribution
34-73139 Sep. 18, 2014 China Bus Group Co. (f/k/a Alpine Alpha 3, Ltd.), et al.
Note: See also Chinese version of this Order
34-73138 Sep. 18, 2014 Corridor Ventures II Acquisition Corp., et al.
Note: See also Chinese version of this Order
IA-3924 Sep. 18, 2014 Strategic Capital Group, LLC and N. Gary Price
34-73135 Sep. 18, 2014 AGR Tools, Inc., et al.
34-73133 Sep. 18, 2014 ErgoBilt, Inc., et al.
IA-3923 Sep. 17, 2014 John Allan Russell
34-73130 Sep. 17, 2014 Anthony Leon Semadeni
Other Release No.: IA-3922
34-73129 Sep. 17, 2014 Jeremy Michael Hart
Other Release No.: IA-3921
IA-3920 Sep. 17, 2014 Sean C. Cooper
Other Release No.: IC-31252
IA-3919 Sep. 17, 2014 Westend Capital Management, LLC
34-73127 Sep. 17, 2014 Comprehensive Capital Management, Inc.
34-73125 Sep. 17, 2014 Latour Trading LLC and Nicolas Niquet
34-73123 Sep. 16, 2014 James C. Parsons
34-73122 Sep. 16, 2014 Ironman Capital Management, LLC
34-73121 Sep. 16, 2014 Indaba Capital Management, L.P.
34-73120 Sep. 16, 2014 Great Point Partners, LLC
34-73119 Sep. 16, 2014 Formula Growth, Ltd.
34-73118 Sep. 16, 2014 Explorador Capital Management, LLC
34-73117 Sep. 16, 2014 East Side Holdings II, Inc.
34-73116 Sep. 16, 2014 Blackrock Institutional Trust Company, N.A.
34-73115 Sep. 16, 2014 Antipodean Advisors LLC
34-73114 Sep. 16, 2014 Advent Capital Management, LLC
34-73113 Sep. 16, 2014 Whitebox Advisors LLC
34-73112 Sep. 16, 2014 Vinci Partners Investimentos Ltda.
34-73111 Sep. 16, 2014 Troubh Partners LP
34-73110 Sep. 16, 2014 Suttonbrook Capital Management LP
34-73109 Sep. 16, 2014 Solus Alternative Asset Management LP
34-73108 Sep. 16, 2014 Nob Hill Capital Management, Inc.
34-73107 Sep. 16, 2014 Seawolf Capital, LLC
34-73106 Sep. 16, 2014 Rockwood Investment Management, Inc.
34-73105 Sep. 16, 2014 RA Capital Management, LLC
34-73104 Sep. 16, 2014 Midwood Capital Management LLC
34-73103 Sep. 16, 2014 ErgoBilt, Inc., et al.
34-73097 Sep. 15, 2014 Kevin P. O'Brien
34-73092 Sep. 15, 2014 Conquest Petroleum Inc. and Nexaira Wireless Inc.
34-73091 Sep. 15, 2014 Asian Dragon Group, Inc., et al.
34-73089 Sep. 15, 2014 Adarna Energy Corporation, et al.
34-73087 Sep. 12, 2014 Michael Lee Mendenhall
IA-3918 Sep. 12, 2014 Sean Michael Mueller
34-73086 Sep. 12, 2014 Michael J. Scaglione
34-73085 Sep. 12, 2014 ATP Oil & Gas Corp., et al.
34-73084 Sep. 12, 2014 International Building Technologies Group, Inc., et al.
34-73077 Sep. 11, 2014 Gary Harrison Lane
Other Release No.: IA-3915
34-73074 Sep. 11, 2014 Alexander W. Wright
Other Release No.: IA-3914
33-9646 Sep. 11, 2014 Wilmington Trust Corporation
Other Release Nos.: 34-73076, AAER-3582
34-73073 Sep. 11, 2014 Keith MacDonald Summers
34-73072 Sep. 11, 2014 ATP Oil & Gas Corp., et al.
34-73070 Sep. 10, 2014 Salim Ghauri
33-9645 Sep. 10, 2014 Gary H. Rabin
Other Release No.: 34-73067
33-9644 Sep. 10, 2014 Advanced Cell Technology, Inc.
Other Release No.: 34-73066
34-73065 Sep. 10, 2014 Ligang Wang
34-73064 Sep. 10, 2014 Raul S. McQuivey
34-73063 Sep. 10, 2014 Security Capital Research & Management Incorporated
34-73062 Sep. 10, 2014 Justin Tang
34-73061 Sep. 10, 2014 Thomas C. Nord
34-73060 Sep. 10, 2014 Sidney C. Hooper
34-73059 Sep. 10, 2014 Bradley S. Forsyth
34-73058 Sep. 10, 2014 Paul D. Arling
34-73057 Sep. 10, 2014 Charles F. Willis IV
34-73056 Sep. 10, 2014 Stephen Gans
34-73055 Sep. 10, 2014 Thomas J. Edelman
34-73054 Sep. 10, 2014 Stephen Adams
34-73053 Sep. 10, 2014 Willis Lease Finance Corporation
34-73052 Sep. 10, 2014 Tel-Instrument Electronics Corp.
34-73051 Sep. 10, 2014 KMG Chemicals, Inc.
34-73050 Sep. 10, 2014 Jones Lang LaSalle Incorporated
34-73049 Sep. 10, 2014 Paul C. Cronson
34-73048 Sep. 10, 2014 Del Mar Asset Management, LP
34-73047 Sep. 10, 2014 Brown Brothers Harriman & Co.
34-73046 Sep. 10, 2014 Neil Gagnon
34-73045 Sep. 10, 2014 The Royal Bank of Scotland Group plc
34-73044 Sep. 10, 2014 Peter R. Kellogg
34-73043 Sep. 10, 2014 Donald A. Nunemaker
34-73042 Sep. 10, 2014 Alan M. Schnaid
34-73041 Sep. 10, 2014 Starwood Hotel & Resorts Worldwide, Inc.
34-73040 Sep. 10, 2014 Edgar W. Levin
34-73039 Sep. 10, 2014 Lazarus Management Company LLC
34-73038 Sep. 10, 2014 P.A.W. Capital Partners, L.P.
34-73037 Sep. 10, 2014 RIMA Senvest Management, LLC
34-73036 Sep. 10, 2014 Sankaty Advisors, LLC
34-73035 Sep. 10, 2014 Gregory M. Shepard
34-73034 Sep. 10, 2014 Trinad Management, LLC
34-73033 Sep. 10, 2014 Universal Electronics Inc.
34-73032 Sep. 10, 2014 Ridgeback Capital Management LP
34-73031 Sep. 9, 2014 Fox Petroleum, Inc., et al.
34-73030 Sep. 9, 2014 Bio Oil National Corp., et al.
Note: See also Slovak version of this Order
34-73018 Sep. 9, 2014 Black Hawk Exploration, et al.
IA-3913 Sep. 8, 2014 Douglas E. Cowgill
IA-3912 Sep. 5, 2014 John Thomas Pappas
33-9642 Sep. 5, 2014 Mark Crosby Nevdahl
Other Release Nos.: 34-73016, IC-31243
34-73012 Sep. 5, 2014 Linkbrokers Derivatives LLC
34-73002 Sep. 5, 2014 Bethesda C0801, Inc., et al.
Note: See also Chinese version of this Order
34-73001 Sep. 5, 2014 AJ Acquisition Corp. I, Inc., et al.
34-73000 Sep. 5, 2014 Bellavista Capital, Inc., et al.
34-72999 Sep. 4, 2014 CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
34-72981 Sep. 4, 2014 Bay Acquisition Corp.(a/k/a Securelogic Corp.)(n/k/a Goozex Holdings, Inc.), et al.
34-72979 Sep. 4, 2014 Asia Cork, Inc., et al.
34-72977 Sep. 4, 2014 AISystems, Inc. (a/k/a Airline Intelligence Systems, Inc.), et al.
33-9637 Sep. 4, 2014 Eugene M. Egeberg III, CPA
Other Release Nos.: 34-72976, AAER-3580
34-72962 Sep. 3, 2014 BNY Mellon Securities, LCC and Mark Shaw
IA-3909 Sep. 2, 2014 Brian K. Velten
34-72958 Sep. 2, 2014 Jesse C. Litvak
34-72952 Sep. 2, 2014 Christina M. Kitterman
34-72951 Sep. 2, 2014 Douglas L. Bates
34-72950 Sep. 2, 2014 The Robare Group, Ltd., Mark L. Robare, and Jack L. Jones Jr.
Other Release Nos.: IA-3907, IC-31237
IA-3906 Aug. 28, 2014 Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C.
34-72938A Aug. 28, 2014 Lynn R. Blodgett and Kevin R. Kyser, CPA (Corrected)
Other Release No.: AAER-3578A
34-72940 Aug. 28, 2014 QSGI Inc.
34-72935 Aug. 27, 2014 Alto Group Holdings, Inc., et al.
34-72934 Aug. 27, 2014 Michael Pino
34-72931 Aug. 27, 2014 Clavis Technologies International Co., Ltd.
34-72929 Aug. 27, 2014 Gold Horse International, Inc.
34-72927 Aug. 27, 2014 Xinde Technology Company
34-72925 Aug. 27, 2014 China Wood, Inc.
34-72922 Aug. 26, 2014 Brian Scott Zwerner
Other Release No.: IA-3905
IA-3904 Aug. 26, 2014 Edgar R. Page and Pageone Financial Inc.
Other Release No.: IC-31223
34-72913 Aug. 26, 2014 Symbollon Pharmaceuticals, Inc.
34-72912 Aug. 26, 2014 Advanced Water Technology Holdings, Inc., et al.
34-72910 Aug. 25, 2014 China Clean Energy Acquisition Corp., et al.
34-72907 Aug. 25, 2014 Datascension, Inc., et al.
34-72906 Aug. 22, 2014 Donna Jessee Tucker
34-72905 Aug. 22, 2014 Stephen Walsh
Other Release No.: IA-3903
33-9634 Aug. 22, 2014 AirTouch Communications, Inc., Hideyuki Kanakubo, and Jerome Kaiser, CPA
Other Release Nos.: 34-72904, AAER-3576
34-72900 Aug. 22, 2014 Demosthenes Dritsas
34-72898 Aug. 22, 2014 Dean R. Baker
34-72897 Aug. 22, 2014 Daniel R. Baker
IA-3900 Aug. 21, 2014 Founding Partners Capital Management Company
34-72888 Aug. 21, 2014 Bank of America Corporation
34-72887 Aug. 20, 2014 Randi A. Bochinski
IA-3899 Aug. 20, 2014 Walter Ng
IA-3898 Aug. 20, 2014 Kelly Ng
34-72886 Aug. 20, 2014 Monness, Crespi, Hardt & Co., Inc.
34-72877 Aug. 20, 2014 Zhidali Radio and Television Network, Inc.
34-72876 Aug. 20, 2014 Crescent Banking Co., et al.
34-72875 Aug. 20, 2014 Angel Acquisition Corp. n/k/a Biogeron, Inc.
34-72874 Aug. 20, 2014 China Power Technology, Inc.
34-72873 Aug. 20, 2014 LifeHealthCare, Inc., Smartlinx, Inc., and Total Apparel Group, Inc.
34-72872 Aug. 20, 2014 ATP Oil & Gas Corp., et al.
34-72870 Aug. 20, 2014 International Building Technologies Group, Inc., et al.
34-72868 Aug. 19, 2014 Donald R. French, Jr.
34-72863 Aug. 19, 2014 Balaton Power, Inc. and Flying Eagle PU Technical Corp. (f/k/a Sooner Holdings, Inc.)
Note: See also Chinese version of this Order
34-72861 Aug. 18, 2014 Scott Ashton Riggs
34-72859 Aug. 18, 2014 Matthew P. Ionno
34-72858 Aug. 18, 2014 Bellavista Capital, Inc., et al.
34-72856 Aug. 15, 2014 Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC
34-72852 Aug. 15, 2014 China Sky One Medical, Inc.
34-72851 Aug. 14, 2014 Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation
Note: See also Proposed Plan of Distribution First Payment Default Practice; Exhibit A; Exhibit B
Comments due: (30) days from the date of this Notice
Comments received are available for this proposed plan.
34-72850 Aug. 14, 2014 Credit Suisse Securities (USA) LLC, DLJ Mortgage Capital, Inc., Credit Suisse First Boston Mortgage Acceptance Corp., Credit Suisse First Boston Mortgage Securities Corp., and Asset Backed Securities Corporation
Note: See also Proposed Plan of Distribution Bulk Settlement Practice; Exhibit A; Exhibit B
Comments due: (30) days from the date of this Notice
Comments received are available for this proposed plan.
34-72846 Aug. 14, 2014 Linkbrokers Derivatives LLC
34-72845 Aug. 14, 2014 BDO China Dahua CPA Co. Ltd., et al.
Other Release No.: AAER-3575
34-72843 Aug. 14, 2014 Black Hawk Exploration, et al.
34-72840 Aug. 13, 2014 Walter L. Ross
34-72838 Aug. 13, 2014 Richard J. Buswell
Other Release No.: IA-3896
33-9630 Aug. 13, 2014 Keith MacDonald Summers
Other Release Nos.: 34-72836, IA-3895, IC-31210
34-72832 Aug. 13, 2014 Nicholas D. Skaltsounis
Other Release No.: IA-3894
34-72829 Aug. 13, 2014 Asia Global Holdings Corp., et al.
34-72827 Aug. 12, 2014 Fred Golt
Other Release No.: IC-31208
34-72819 Aug. 12, 2014 IPKV Holdings, Inc., et al.
34-72818 Aug. 12, 2014 Bering Growth Corp., et al.
33-9629 Aug. 11, 2014 The State of Kansas
34-72800 Aug. 8, 2014 G-Trade Services LLC, Convergex Global Markets Limited, and Convergex Execution Solutions LLC
34-72797 Aug. 8, 2014 Crucible Capital Group, Inc. and Charles Moore
Other Release No.: IC-31201
34-72795 Aug. 8, 2014 Bret A. Grove
34-72794 Aug. 8, 2014 BioMedical Technology Solutions Holdings, Inc., et al.
34-72793 Aug. 8, 2014 ErgoBilt, Inc., et al.
34-72792 Aug. 8, 2014 China Everhealth Corp., et al.
34-72783 Aug. 7, 2014 OCTuS, Inc., et al.
34-72782 Aug. 7, 2014 Crescent Banking Co., et al.
34-72781 Aug. 7, 2014 BioMedical Technology Solutions Holdings, Inc., et al.
34-72776 Aug. 6, 2014 Global Stevia Corp.
34-72775 Aug. 6, 2014 Carbon 612 Corporation, et al.
34-72774 Aug. 6, 2014 Datascension, Inc., et al.
34-72772 Aug. 6, 2014 Conquest Petroleum Inc. and Nexaira Wireless Inc.
34-72770 Aug. 6, 2014 Amico Games Corp., et al.
34-72767 Aug. 5, 2014 Robert B. Cook, Esq.
33-9622 Aug. 5, 2014 Keiko Kawamura
Other Release Nos.: 34-72764, IA-3888, IC-31198
34-72757 Aug. 5, 2014 FLM Minerals, Inc.
33-9621 Aug. 4, 2014 Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. Mcknight
Other Release No.: 34-72749
34-72746 Aug. 4, 2014 Alaska Gold Corp., et al.
34-72745 Aug. 4, 2014 China Digital Animation Development, Inc.
34-72744 Aug. 1, 2014 Knight Securities L.P.
IA-3887 Aug. 1, 2014 Keith Wellner
34-72738 Aug. 1, 2014 The Phoenix Companies, Inc. and PHL Variable Insurance Company
34-72737 Aug. 1, 2014 Derl H. Knarr
34-72735 Aug. 1, 2014 Keith Wellner, Esq.
34-72734 Aug. 1, 2014 China Green Lighting Limited, et al.
34-72731 Jul. 31, 2014 David H. Stern
IA-3886 Jul. 31, 2014 Neal V. Goyal
IA-3885 Jul. 31, 2014 Jason D. Huntley
Other Release No.: IC-31196
33-9620 Jul. 31, 2014 Michael A. Horowitz and Moshe Marc Cohen
Other Release Nos.: 34-72729, IA-3884, IC-31195
34-72726 Jul. 31, 2014 Accredited Business Consolidators Corp., et al.
34-72724 Jul. 30, 2014 Mark Feathers
34-72723 Jul. 30, 2014 Marc Sherman
Other Release No.: AAER-3573
34-72722 Jul. 30, 2014 Edward L. Cummings, CPA
Other Release No.: AAER-3572
34-72707 Jul. 29, 2014 Select Fidelity Transfer Services, Ltd.
34-72702 Jul. 29, 2014 Robert G. Pearson
34-72698 Jul. 29, 2014 Pro-Tech Industries, Inc., Vida Life International Ltd., Vitavea, Inc., Western Power & Equipment Corp., and Westmont Resources, Inc.
34-72694 Jul. 28, 2014 Dominick & Dominick LLC and Robert X. Reilly
Other Release No.: IA-3881
See also: Waiver, Release No. 33-9619
34-72678 Jul. 28, 2014 Smith & Wesson Holding Corporation
Other Release No.: AAER-3571
34-72673 Jul. 25, 2014 LavaFlow, Inc.
34-72672 Jul. 24, 2014 Debra L. Hobbs, CPA
Other Release No.: AAER-3570
34-72671 Jul. 24, 2014 John ("Jack") J. Egan, Jr., CPA
Other Release No.: AAER-3569
34-72667 Jul. 24, 2014 Charles L. Rizzo and Gina M. Hornbogen
See also: Amended Plan of Distribution (Jul. 24, 2014)
33-9617 Jul. 24, 2014 Morgan Stanley and Co. LLC, et al.
See also: Waiver, Release No. 33-9618
34-72663 Jul. 24, 2014 BioMedical Technology Solutions Holdings, Inc., et al.
34-72662 Jul. 24, 2014 Premier Beverage Group Corp.
IA-3880 Jul. 23, 2014 John Vincent Greco
34-72656 Jul. 23, 2014 International Development and Environmental Holdings
34-72653 Jul. 22, 2014 Bernard H. Butts, Jr., Esq.
34-72648 Jul. 21, 2014 mBeach Software, Inc.
34-72637 Jul. 17, 2014 Robert C. Trosten, CPA
Other Release No.: AAER-3567
34-72635 Jul. 17, 2014 Lakeside Capital Management, LLC and Dennis H. Daugs, Jr.
Other Release Nos.: IA-3877, IC-31159
34-72612 Jul. 16, 2014 Alaska Gold Corp., Blaze Energy Corp., Call Now, Inc., Hunt Global Resources, Inc., Imperial Petroleum Recovery Corporation, Metropolitan Mines Corporation, Limited, and Sulphco, Inc.
33-9615 Jul. 16, 2014 Erik H. Perry
Other Release No.: 34-72618
33-9614 Jul. 16, 2014 Natural Blue Resources, Inc., James E. Cohen, and Joseph A. Corazzi
Other Release No.: 34-72617
33-9613 Jul. 16, 2014 Toney Anaya
Other Release No.: 34-72616
34-72614 Jul. 16, 2014 Cloudeeva, Inc.
34-72613 Jul. 16, 2014 Cybermesh International Corp., et al.
34-72610 Jul. 15, 2014 Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company
34-72609 Jul. 15, 2014 Albert Hallac
Other Release No.: IA-3876
34-72602 Jul. 14, 2014 Ernst & Young LLP
Other Release No.: AAER-3566
34-72599 Jul. 11, 2014 Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA
See also: Modified Plan of Distribution (Aug. 16, 2013)
34-72598 Jul. 11, 2014 Packetport.Com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog
See also: Final Plan of Distribution (Dec. 12, 2011)
34-72593 Jul. 11, 2014 AISystems, Inc. (a/k/a Airline Intelligence Systems, Inc.), et al.
34-72581 Jul. 10, 2014 ErgoBilt, Inc., et al.
34-72579 Jul. 10, 2014 Crescent Banking Co., et al.
34-72578 Jul. 10, 2014 Assured Equities IV Corp., et al.
34-72577 Jul. 9, 2014 Cheryl L. Robinson
34-72568 Jul. 9, 2014 Amcore Financial, Inc., et al.
33-9611 Jul. 8, 2014 Lawrence M. Labine
Other Release Nos.: 34-72562, IA-3873, IC-31151
33-9610 Jul. 8, 2014 Kings Canyon Joint Unified School District
34-72557 Jul. 8, 2014 Child, Van Wagoner & Bradshaw, PLLC, Russell E. Anderson, CPA, and Marty Van Wagoner, CPA
Other Release No.: AAER-3565
34-72552 Jul. 8, 2014 ATS Corporation, et al.
34-72541 Jul. 3, 2014 Chariot Advisors, LLC and Elliott L. Shifman
Other Release Nos.: IA-3872, IC-31149
IA-3871 Jul. 3, 2014 Thomas D. Renison
34-72529 Jul. 3, 2014 Radient Pharmaceuticals Corporation
34-72521 Jul. 2, 2014 William W. Vowell
34-72520 Jul. 2, 2014 Steven J. Niemis
34-72519 Jul. 2, 2014 Tina M. Lizzio
34-72518 Jul. 2, 2014 Carmela Brocco
34-72517 Jul. 2, 2014 Derek W. Bakarich
IA-3869 Jul. 2, 2014 Anthony J. Davian
34-72516 Jul. 2, 2014 W. Mark Miller, CPA
Other Release No.: AAER-3563
34-72515 Jul. 2, 2014 Signalpoint Asset Management, LLC, et al.
Other Release No.: IA-3868
34-72508 Jul. 1, 2014 China Everhealth Corp., et al.
Note: See also Chinese version of this Order
34-72507 Jul. 1, 2014 Catalyst Group Holdings Corp., et al.
34-72505 Jul. 1, 2014 Ronald E. Huxtable II
33-9608 Jul. 1, 2014 EFP Rotenberg, LLP and Nicholas R. Bottini, CPA
Other Release Nos.: 34-72503, AAER-3562
Second Quarter
34-72496 Jun. 30, 2014 The Bank Holdings, et al.
34-72494 Jun. 27, 2014 Chris Choi, CPA
Other Release No.: AAER-3561
IA-3864 Jun. 27, 2014 S.A.C. Capital Advisors, L.P., et al.
34-72487 Jun. 27, 2014 G-Trade Services LLC, et al.
34-72486 Jun. 26, 2014 JP Turner & Company, LLC, and William L. Mello
34-72481 Jun. 26, 2014 Anthony M. Livoti, Jr.
34-72476 Jun. 25, 2014 Theodore R. Maloney, Esq.
34-72475 Jun. 25, 2014 Brooklin Systems, Inc., Hartman & Associates, Inc., Kona Coast Systems, Inc., Middlebrook Pharmaceuticals, Inc., and Southfield Energy Corp.,
33-9606 Jun. 25, 2014 Jeffrey C. Kuehr and Michael J. Willoughby
Other Release Nos.: 34-72471, AAER-3560
33-9605 Jun. 25, 2014 Thomas A. Neely, Jr.,
Other Release Nos.: 34-72470, AAER-3559
34-72463 Jun. 25, 2014 Thomas H. Redmond, Jr.
Other Release No.: IA-3863
33-9604 Jun. 24, 2014 David J. Montanino
Other Release Nos.: 34-72461, IA-3862, IC-31096
34-72456 Jun. 24, 2014 Cepheus Acquisition Corp., et al.
Note: See also Chinese version of this Order
34-72451 Jun. 24, 2014 Biomedical Technology Solutions Holdings, Inc., et al.
34-72446 Jun. 23, 2014 Castle Arch Real Estate Investment Co., LLC, et al.
IA-3859 Jun. 20, 2014 TL Ventures Inc.
IA-3858 Jun. 20, 2014 Penn Mezzanine Partners Management, L.P.
34-72438 Jun. 20, 2014 Valley Forge Composite Technologies, Inc.
34-72431 Jun. 19, 2014 Douglas Costabile
34-72430 Jun. 19, 2014 GLG Partners, Inc. and GLG Partners, L.P.
34-72429 Jun. 18, 2014 Charles L. Rizzo and Gina M. Hornbogen Note: See also Amended Proposed Plan of Distribution
34-72427 Jun. 18, 2014 I. John Benson, CPA,
Other Release No.: AAER-3558
34-72424 Jun. 18, 2014 Alicia Bryan
34-72423 Jun. 18, 2014 Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras)
34-72419 Jun. 18, 2014 North East Capital, LLC. and Anthony T. Vicidomine
34-72417 Jun. 18, 2014 AISystems, Inc. (a/k/a Airline Intelligence Systems, Inc.), et al.
34-72415 Jun. 18, 2014 Advanced Water Technology Holdings, Inc., et al.
33-9601 Jun. 17, 2014 Michael C. French, Esq.
Other Release No.: 34-72414
34-72409 Jun. 17, 2014 Robert D. Graham, Esq.
34-72404 Jun. 17, 2014 Asia Global Holdings Corp., et al.
34-72403 Jun. 17, 2014 Applied NeuroSolutions, Inc., et al.
34-72401 Jun. 17, 2014 Crescent Banking Co., et al.
34-72393 Jun. 16, 2014 Paradigm Capital Management, Inc.
Other Release No.: IA-3857
34-72380 Jun. 12, 2014 Larry R. Polhill
IA-3856 Jun. 12, 2014 Siming Yang
34-72372 Jun. 12, 2014 Carbon 612 Corporation, et al.
IA-3855 Jun. 11, 2014 Thomas E. Meade
Other Release No.: IC-31078
34-72363 Jun. 11, 2014 Richard R. Hylland, CPA
Other Release No.: AAER-3557
33-9599 Jun. 11, 2014 Robert C. Acri
Other Release Nos.: 34-72370, IA-3854, IC-31077
IA-3853 Jun. 11, 2014 Michael S. Steinberg
34-72369 Jun. 11, 2014 Hendrx Corp., et al.
34-72368 Jun. 11, 2014 Aclor International, Inc., et al.
34-72367 Jun. 11, 2014 LifeHealthCare, Inc., et al.
34-72365 Jun. 11, 2014 The Bank Holdings, et al.
IA-3851 Jun. 10, 2014 Saul Meyer
IA-3850 Jun. 10, 2014 Robert G. Bard
IA-3849 Jun. 10, 2014 Vision Specialist Group, LLC
34-72353 Jun. 9, 2014 Christopher B. Mintz
Other Release Nos.: IA-3848
33-9597 Jun. 9, 2014 Dennis J. Malouf
Other Release Nos.: 34-72352, IA-3847, IC-31073
IA-3846 Jun. 9, 2014 UASNM, Inc.
34-72345 Jun. 6, 2014 Kenneth Gross
34-72341 Jun. 6, 2014 Symbollon Pharmaceuticals, Inc.
34-72340 Jun. 6, 2014 Wedbush Securities Inc., Jeffrey Bell, and Christina Fillhart
Other Release No.: IA-3845
33-9596 Jun. 6, 2014 Liquidnet, Inc.
Other Release No.: 34-72339
34-72335 Jun. 5, 2014 Brian R. Reiss, Esq.
34-72334 Jun. 5, 2014 George B. Franz III and Ruby Corporation
34-72322 Jun. 5, 2014 China Power Technology, Inc.
34-72320 Jun. 5, 2014 Zhidali Radio and Television Network, Inc.
34-72318 Jun. 5, 2014 China Digital Animation Development, Inc.
34-72316 Jun. 5, 2014 FLM Minerals, Inc.
34-72310 Jun. 4, 2014 Philip T. Powers
34-72304 Jun. 4, 2014 China Shen Zhou Mining & Resources, Inc., et al.
34-72303 Jun. 3, 2014 J.P. Morgan Securities Inc.
33-9595 Jun. 3, 2014 Diamond Lane, Inc.
33-9594 Jun. 3, 2014 Shopeye, Inc.
33-9593 Jun. 3, 2014 Sunchip Technology, Inc.
33-9592 Jun. 3, 2014 Erik T. Voorhees
34-72296 Jun. 2, 2014 BDO China Dahua CPA Co., Ltd, et al.
Other Release No.: AAER-3556
34-72295 Jun. 2, 2014 Advanced Water Technology Holdings, Inc., et al.
IC-31066 Jun. 2, 2014 Christopher B. Ruffle
34-72290 Jun. 2, 2014 John J. Bravata, Richard J. Trabulsy, and Antonio M. Bravata
Other Release No.: IA-3842
34-72289 Jun. 2, 2014 S. Paul Kelley
34-72287 Jun. 2, 2014 Cloudeeva, Inc.
IA-3840 May 30, 2014 Everett C. Miller
34-72285 May 30, 2014 Shawn C. Hegedus
34-72282 May 30, 2014 Behrooz Sarafraz
34-72275 May 29, 2014 Richard Olive
34-72274 May 29, 2014 Susan Olive
34-72270 May 29, 2014 Carbon 612 Corporation, et al.
34-72264 May 28, 2014 Asia Global Holdings Corp., et al.
34-72262 May 28, 2014 NextFit, Inc., et al.
34-72261 May 28, 2014 George Foreman Enterprises, Inc., et al.
34-72259 May 27, 2014 Randi A. Bochinski
34-72258 May 27, 2014 Albert E. Gilner
34-72257 May 27, 2014 Donald R. French, Jr.
34-72256 May 27, 2014 Blayne S. Davis
34-72249 May 23, 2014 Marcus A. Luna, Esq.
34-72247 May 23, 2014 GLG Partners, Inc. and GLG Partners, L.P.
34-72237 May 23, 2014 Pro-Tech Industries, Inc., et al.
34-72235 May 23, 2014 Ideal Financial Solutions, Inc., and 1st Pacific Bancorp
34-72233 May 23, 2014 OCTuS, Inc., et al.
34-72231 May 22, 2014 G-2 Trading LLC
34-72222 May 22, 2014 International Development and Environmental Holdings
34-72219 May 22, 2014 Angel Acquisition Corp. n/k/a BioGeron, Inc.
34-72217 May 22, 2014 IVI Communications, Inc., et al.
34-72212 May 21, 2014 Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle
Other Release No.: IA-3839
34-72211 May 21, 2014 Ironbird Capital LLC
34-72209 May 21, 2014 Steven B. Heinz
Other Release No.: IA-3837
34-72201 May 21, 2014 China Green Lighting Limited, et al.
Note: See also Chinese version of this Order
34-72199 May 20, 2014 Bryce Walker, CA and Spence Walker, CA, CPA
Other Release No.: AAER-3555
34-72198 May 20, 2014 James T. Adams, CPA
Other Release No.: AAER-3554
34-72189 May 20, 2014 Amcore Financial, Inc., et al.
34-72188 May 19, 2014 Matthew Scott Menies
34-72187 May 19, 2014 Lindsey Alan Wetzig
34-72186 May 19, 2014 Michael H. Johnson
Other Release No.: IC-31049
34-72185 May 19, 2014 Thomas R. Delaney II and Charles W. Yancey
Other Release No.: IC-31048
34-72181 May 16, 2014 JPMorgan Chase & Co.
34-72175 May 16, 2014 Tennessee Commerce Bancorp, Inc.
34-72171 May 15, 2014 Rafferty Capital Markets, LLC
34-72168 May 15, 2014 Assured Equities IV Corp., et al.
34-72167 May 15, 2014 Newnan Coweta Bancshares, Inc., et al.
34-72166 May 15, 2014 Cybermesh International Corp., et al.
34-72155 May 13, 2014 Christopher D. Wiest
34-72146 May 9, 2014 G-Trade Services LLC, et al.
Note: See also Proposed Distribution Plan
Comments received are available for this proposal.
IA-3834 May 9, 2014 Mark F. Spangler
34-72145 May 9, 2014 Gurudeo Persaud
Other Release No.: IA-3833
34-72144 May 9, 2014 Shawn H. Moore (Corrected)
IA-3831 May 8, 2014 Ronald N. Dennis
34-72121 May 8, 2014 Imaging Diagnostic Systems, Inc.
34-72112 May 7, 2014 Amcore Financial, Inc., et al.
34-72111 May 7, 2014 Environmental Energy Services, Inc., et al.
34-72110 May 7, 2014 ATS Corporation, et al.
34-72091 May 5, 2014 Ads In Motion, Inc., Pulmo Biotech, Inc., and Trimedia Entertainment Group, Inc.
34-72093 May 5, 2014 GeNOsys, Inc.
33-9581 May 1, 2014 Diego F. Hernandez, the Wealth Management Partners, LLC, Wealth Financial, Limited Liability Company, DFHR Investments, Inc., and HD Mile High Marketing, Inc.
Other Release Nos.: 34-72073, IA-3828, IC-31037
34-72072 May 1, 2014 Jauyo ("Jason") Lee
34-72065 May 1, 2014 New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C.
34-72063 May 1, 2014 Advanced Pipe Fitting Technologies, Inc.
34-72062 May 1, 2014 The Enlightened Gourmet, Inc., et al.
34-72061 May 1, 2014 Power Air Corporation, et al.
34-72058 Apr. 30, 2014 George B. Franz III and Ruby Corporation
Other Release Nos.: IA-3826, IC-31035
Additional Materials:  Exhibit 1
34-72043 Apr. 29, 2014 Assured Equities IV Corp., et al.
33-9579 Apr. 28, 2014 Stanley Jonathan Fortenberry (a/k/a S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry)
Other Release Nos.: 34-72034, IA-3825, IC-31031
34-72024 Apr. 25, 2014 Shimul A. Shah
34-72023 Apr. 25, 2014 Suken A. Shah
34-72022 Apr. 25, 2014 Aharon R. Yehuda
34-72021 Apr. 25, 2014 Oded Gabay
34-72011 Apr. 23, 2014 Blair Alexander West
34-72010 Apr. 23, 2014 Jane E. O'brien
Other Release No.: IA-3823
34-72004 Apr. 23, 2014 Timothy M. McGinn and, David L. Smith
Other Release No.: IA-3821
34-72005 Apr. 23, 2014 Anthony J. Price, CPA
Other Release No.: AAER-3551
34-71997 Apr. 23, 2014 Aclor International, Inc., et al.
34-71996 Apr. 23, 2014 Tweeter Home Entertainment Group, Inc. (a/k/a Twtr, Inc), et al.
34-71995 Apr. 23, 2014 North China Horticulture, Inc.
34-71994 Apr. 22, 2014 Brian Williamson, Esq.
34-71993 Apr. 22, 2014 Matthew D. Sample
Other Release No.: IA-3820
34-71992 Apr. 22, 2014 Castle Arch Real Estate Investment Co., et al.
34-71991 Apr. 22, 2014 Armand R. Franquelin
34-71984 Apr. 22, 2014 Kevin Patrick Brody
34-71975 Apr. 21, 2014 Michael Gordon
34-71974 Apr. 21, 2014 Valley Forge Composite Technologies, Inc.
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
34-71772 Mar. 24, 2014 Matech Corp., et al.
34-71770 Mar. 21, 2014 Brendon P. Mcdonald, CPA
Other Release No.: AAER-3544
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
34-71678A Mar. 10, 2014 Julio Ramirez, Jr.
34-71677 Mar. 10, 2014 David Loglisci
34-71676A 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: 12/19/2014