Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Date	Respondents
Date: Nov. 4, 2009	Respondents: Rhino Trading, LLC, Fat Squirrel Trading Group, LLC, Damon Rein, and Steven Peter Release No. 34-60941 File Number: 3-13677
Date: Nov. 3, 2009	Respondents: RDM Sports Group, Inc., Real Del Monte Mining Corp., Recoton Corp., Red Hot Concepts, Inc., Red Hand International, Inc. (n/k/a African Diamond Co., Inc. or Coal Corp.), Redlaw Industries, Inc., Republic Resources, Inc., Reward Enterprises, Inc., Rhino Enterprises Group, Inc. (n/k/a Physicians Adult Daycare, Inc.), Ridgeview, Inc., Riverside Group, Inc., and Rocky Mount Undergarment Co., Inc. James T. Kelly, Administrative Law Judge Release No. 34-60917 File Number: 3-13556
Date: Nov. 3, 2009	Respondents: Energy Source, Inc. Release No. 34-60920 File Number: 3-13638
Date: Nov. 3, 2009	Respondents: Eric T. Seiden Release No. 34-60924 File Number: 3-13671
Date: Oct. 29, 2009	Respondents: Regeena Resources, Inc. (n/k/a Ameridian Ventures, Inc.), Regency Capital West, Inc., Repeater Technologies, Inc., Reserve Exploration Co., The Resort at Summerlin, LP, RimPac Resources Ltd., Rio Ventures, Inc., and Roast "N" Roll Restaurants of the Past, Inc. Release No. 34-60900 File Number: 3-13634
Date: Oct. 29, 2009	Respondents: Weiss Research, Inc., Martin Weiss, and Lawrence Edelson Release No. 34-60901 File Number: 3-12341
Date: Oct. 29, 2009	Respondents: Jonathan W. Mikula Release No. 34-60904 File Number: 3-13670
Date: Oct. 28, 2009	Respondents: Anthony Perez Release No. 34-60892 File Number: 3-13668
Date: Oct. 28, 2009	Respondents: Redheads, Inc., Regal Communications Corp., Repligen Clinical Partners, LP, Retail Entertainment Group, Inc., R.F. Management Corp., Road Apples, Inc. (n/k/a Teledynamics, Inc.), Robec, Inc., and Rompus Interactive Corp. Release No. 34-60895 File Number: 3-13635
Date: Oct. 28, 2009	Respondents: Tab Keplinger, CPA Release No. 34-60898, IA-2942, AAER-3061 File Number: 3-13669
Date: Oct. 27, 2009	Respondents: PKI Solutions, Inc., Planetgood Technologies, Inc. (n/k/a All American Coffee & Beverage, Inc.), Platronics, Inc., Plus Solutions, Inc., Portacom Wireless, Inc., Portal Net, Ltd., Prime Holdings & Investments, Inc., Pro-After, Inc. (f/k/a PurchasePro.com, Inc.), Project Group, Inc., ProLong International Corp., PSS, Inc., and Purus, Inc. Release No. 34-60883 File Number: 3-13665
Date: Oct. 27, 2009	Respondents: William J. Reilly, Esq. Release No. 34-60890 File Number: 3-13666
Date: Oct. 27, 2009	Respondents: Mohit A. Khanna Release No. 34-60891 File Number: 3-13667
Date: Oct. 23, 2009	Respondents: Value America, Inc., VDS Enterprises, Inc., Versent Corp., Viasource Communications, Inc., Viatech Communications Group, Inc., and VideoFlicks.com, Inc. Release No. 34-60871 File Number: 3-13649
Date: Oct. 22, 2009	Respondents: Redtop Mountain Corp. (n/k/a Weblogix, Inc.), Reliable Power Systems, Inc., Renaissance Acceptance Group, Inc., Republic Goldfields, Inc., Rexon, Inc. (n/k/a Tecmar Technologies, Inc.), River Oaks Furniture, Inc., Roberds, Inc., and Rochem Environmental, Inc. Release No. 34-60867
Date: Oct. 22, 2009	Respondents: Park Meditech, Inc., Peerless Industrial Group, Inc., Peerless Tube Co., PH Group, Inc., and PHC, Inc. Release No. 34-60869
Date: Oct. 22, 2009	Respondents: Banc of America Investment Services, Inc. and Virginia Holliday Release No. 34-60870 See Also: Waiver File Number: 3-13664
Date: Oct. 21, 2009	Respondents: Packetport.com, Inc. et al Release No. 34-60852 File Number: 3-12868
Date: Oct. 20, 2009	Respondents: Regeena Resources, Inc. (n/k/a Ameridian Ventures, Inc.), Regency Capital West, Inc., Repeater Technologies, Inc., Reserve Exploration Co., The Resort at Summerlin, LP, RimPac Resources Ltd., Rio Ventures, Inc., and Roast "N" Roll Restaurants of the Past, Inc. Release No. 34-60839 File Number: 3-13634
Date: Oct. 20, 2009	Respondents: First New York Securities L.L.C. Release No. 34-60842 File Number: 3-13656
Date: Oct. 20, 2009	Respondents: Perceptive Advisors LLC Release No. 34-60843, IA-2939 File Number: 3-13657
Date: Oct. 20, 2009	Respondents: Peter Moulinos, Esq. Release No. 34-60844 File Number: 3-13658
Date: Oct. 20, 2009	Respondents: ECO 2 Plastics, Inc. Release No. 34-60846, AAER-3059
Date: Oct. 20, 2009	Respondents: William A. Huber Release No. IA-2940 File Number: 3-13661
Date: Oct. 20, 2009	Respondents: M.G. Products, Inc. et al. Release No. 34-60847 File Number: 3-13660
Date: Oct. 20, 2009	Respondents: Cornerstone Capital Management, Inc., and Laura Jean Kent Release No. 34-60848 File Number: 3-13199
Date: Oct. 19, 2009	Respondents: Theodore W. Urban Brenda P. Murray, Chief Administrative Law Judge Release No. 34-60837, IA-2938 File Number: 3-13655
Date: Oct. 19, 2009	Respondents: National Venture Capital Fund, Inc., Nationsmart Corp., Nationwide Capital Corp., NeoStar Retail Group, Inc., Nesco, Inc., Netship Fulfillment, Inc., New Zealand Petroleum Co., Ltd. (n/k/a Abano Healthcare Group, Ltd.), and Nexiq Technologies, Inc. (f/k/a WPI Termiflex, Inc.) Release No. 34-60838 File Number: 3-13632
Date: Oct. 16, 2009	Respondents: Michael C. Regan Release No. IA-2935 File Number: 3-13652
Date: Oct. 16, 2009	Respondents: Tobias Bros. Inc. Release No. IA-2936 File Number: 3-13653
Date: Oct. 16, 2009	Respondents: Philip G. Barry Release No. IA-2937 File Number: 3-13654
Date: Oct. 15, 2009	Respondents: Warwick Insurance Managers, Inc., Watermarc Food Management Co., Welcome Home, Inc., Whitehall Limited, Inc., Word-Tronics Corp., Worksafe Industries, Inc., World Commerce Online, Inc., Worldwide Film Funding, Inc., Worldwide Web Networx Corp., and Wulf International, Ltd. Release No. 34-60827 File Number: 3-13626
Date: Oct. 15, 2009	Respondents: Value Merchants, Inc., Varner Technologies, Inc. (f/k/a Peppermill Capital Corp.), Veronex Technologies, Inc., ViaGrafix Corp., Viapay Limited (f/k/a Interface e.com, Inc.) Release No. 34-60828 File Number: 3-13605
Date: Oct. 15, 2009	Respondents: Western Fidelity Funding, Inc., Western Real Estate Fund, Inc., Willamette Valley, Inc. Microbreweries Across America, Windsor Energy Corp., Wireless Billboards Technologies Corp., and WPB Financiers Ltd. Release No. 34-60829 File Number: 3-13650
Date: Oct. 15, 2009	Respondents: Altiva Financial Corp. et al. Release No. 34-60830 File Number: 3-13651
Date: Oct. 14, 2009	Respondents: DTVN Holdings, Inc. et al. Release No. 34-60820 File Number: 3-13624
Date: Oct. 14, 2009	Respondents: Value America, Inc., VDS Enterprises, Inc., Versent Corp., Viasource Communications, Inc., Viatech Communications Group, Inc., and VideoFlicks.com, Inc. Release No. 34-60821 File Number: 3-13649
Date: Oct. 13, 2009	Respondents: Peter C. Dunne Release No. 34-60815 File Number: 3-13646
Date: Oct. 13, 2009	Respondents: Raymond Rapaglia Release No. 34-60816 File Number: 3-13647
Date: Oct. 9, 2009	Respondents: Peter Y. Atkinson, Esq. Release No. 34-60806, AAER-3057 File Number: 3-13645
Date: Oct. 8, 2009	Respondents: Samuel W. Childs, Jr. Release No. 34-60802 File Number: 3-13641
Date: Oct. 8, 2009	Respondents: Erik R. Franklin Release No. 34-60803, IA-2934 File Number: 3-13642
Date: Oct. 8, 2009	Respondents: David M. Tavdy Release No. 34-60804 File Number: 3-13643
Date: Oct. 8, 2009	Respondents: Tony E. Morrison Release No. 34-60805 File Number: 3-13644
Date: Oct. 7, 2009	Respondents: Keevin H. Leonard and Robert F. Malin Release No. 34-60795 File Number: 3-13512
Date: Oct. 6, 2009	Respondents: Michael J. Moore, CPA and Moore & Associates Chartered Release No. 34-60792, AAER-3056 File Number: 3-13640
Date: Oct. 5, 2009	Respondents: Energy Source, Inc. Release No. 34-60786 File Number: 3-13638
Date: Oct. 5, 2009	Respondents: Frank Dipascali, Jr. Release No. 34-60787, IA-2931 File Number: 3-13639
Date: Oct. 1, 2009	Respondents: George Tamura Release No. 34-60757 File Number: 3-13637
Date: Oct. 1, 2009	Respondents: GLB Trading, Inc. and Robert A. Lechman Release No. 34-60764 File Number: 3-13443
Date: Sept. 30, 2009	Respondents: Redheads, Inc., Regal Communications Corp., Repligen Clinical Partners, LP, Retail Entertainment Group, Inc., R.F. Management Corp., Road Apples, Inc. (n/k/a Teledynamics, Inc.), Robec, Inc., and Rompus Interactive Corp. Release No. 34-60747 File Number: 3-13635
Date: Sept. 30, 2009	Respondents: Pathnet Telecommunications, Inc., Peaches Entertainment Corp., Pet Quarters, Inc., Piccadilly Cafeterias, Inc. (n/k/a Capital City Cornichon Corp.), Pick Communications Corp., and Pipeline Technologies, Inc. Release No. 34-60748 File Number: 3-13636
Date: Sept. 29, 2009	Respondents: Consumers Financial Corporation Release No. 34-60729 File Number: 3-13628
Date: Sept. 29, 2009	Respondents: Universal Food & Beverage Co. Release No. 34-60731 File Number: 3-13629
Date: Sept. 29, 2009	Respondents: United Global Securities, Inc. and Richard D. Blair Release No. 33-9066, 34-60732, IA-2928 File Number: 3-13630
Date: Sept. 29, 2009	Respondents: Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network Release No. 34-60733, IA-2929 File Number: 3-13631
Date: Sept. 29, 2009	Respondents: National Venture Capital Fund, Inc., Nationsmart Corp., Nationwide Capital Corp., NeoStar Retail Group, Inc., Nesco, Inc., Netship Fulfillment, Inc., New Zealand Petroleum Co., Ltd. (n/k/a Abano Healthcare Group, Ltd.), and Nexiq Technologies, Inc. (f/k/a WPI Termiflex, Inc.) Release No. 34-60734 File Number: 3-13632
Date: Sept. 29, 2009	Respondents: Stratum Wealth Management, LLC and Charles B. Ganz Release No. 33-9067, 34-60735, IA-2930, IC-28934 File Number: 3-13633
Date: Sept. 29, 2009	Respondents: Torque Engineering Corp., Transcoastal Marine Services, Inc., Transfinancial Holdings, Inc., Transwest Energy, Inc., Trend Vision Technologies, Inc., and Tricord Systems, Inc. Release No. 34-60740 File Number: 3-13597
Date: Sept. 29, 2009	Respondents: Regeena Resources, Inc. (n/k/a Ameridian Ventures, Inc.), Regency Capital West, Inc., Repeater Technologies, Inc., Reserve Exploration Co., The Resort at Summerlin, LP, RimPac Resources Ltd., Rio Ventures, Inc., and Roast "N" Roll Restaurants of the Past, Inc. Release No. 34-60742 File Number: 3-13634
Date: Sept. 28, 2009	Respondents: TVI Corporation Release No. 34-60724 File Number: 3-13627
Date: Sept. 25, 2009	Respondents: BISYS Fund Services, Inc. Release No. 34-60719 File Number: 3-12432
Date: Sept. 25, 2009	Respondents: Warwick Insurance Managers, Inc., Watermarc Food Management Co., Welcome Home, Inc., Whitehall Limited, Inc., Word-Tronics Corp., Worksafe Industries, Inc., World Commerce Online, Inc., Worldwide Film Funding, Inc., Worldwide Web Networx Corp., and Wulf International, Ltd. Release No. 34-60723
Date: Sept. 24, 2009	Respondents: DTVN Holdings, Inc. et al. Release No. 34-60714 File Number: 3-13624
Date: Sept. 24, 2009	Respondents: Christopher A. Black Release No. 34-60715
Date: Sept. 23, 2009	Respondents: Pacific Lease Group, Inc. Release No. 34-60709 File Number: 3-13621
Date: Sept. 23, 2009	Respondents: Scott M. Ross Release No. IA-2927 File Number: 3-13622
Date: Sept. 22, 2009	Respondents: Magnum Resources, Inc., Manakoa Services Corp. (n/k/a Teslavision Corp.), Maxus Technology Corp., Med/Waste, Inc., Medsearch Technologies, Inc., and Meisenheimer Capital, Inc. Release No. 34-60703 File Number: 3-13582
Date: Sept. 22, 2009	Respondents: Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride Release No. 34-60705 File Number: 3-12133
Date: Sept. 21, 2009	Respondents: Regions Bank Release No. 33-9065, 34-60699 File Number: 3-13618
Date: Sept. 21, 2009	Respondents: Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom Brenda P. Murray, Chief Administrative Law Judge Release No. 34-60700 File Number: 3-11692
Date: Sept. 21, 2009	Respondents: Polar Molecular Holding Corporation Release No. 34-60702 File Number: 3-13620
Date: Sept. 18, 2009	Respondents: V-Twin Holdings, Inc. (n/k/a Tobacco One, Inc.), Valley Media, Inc., Venturequest Group, Inc. (n/k/a Dex-Ray Resources, Inc.), Verex Laboratories, Inc., Vibro-Tech Industries, Inc., Video City, Inc., and Vidikron Technologies Group, Inc. Release No. 34-60685 File Number: 3-13575
Date: Sept. 18, 2009	Respondents: William D. Shovers (CPA)(Corrected) Release No. 34-60689, AAER-3053
Date: Sept. 18, 2009	Respondents: Daniel F. Stulac, CPA Release No. 34-60693, AAER-3054 File Number: 3-13619
Date: Sept. 17, 2009	Respondents: Warehouse Club Inc. et al., Winthrop Resources Corp. Release No. 34-60681 File Number: 3-13519
Date: Sept. 17, 2009	Respondents: Tops Appliance City, Inc., Tower Global Ventures Corp. (n/k/a Coffeehouse.com, Inc.), Transact International, Inc., Transderm Laboratories Corp., Trizak Corp., and Tropic Air Cargo, Inc. Release No. 34-60682 File Number: 3-13573
Date: Sept. 16, 2009	Respondents: Consolidated Resources Group, Inc. Release No. 34-60677 File Number: 3-13534
Date: Sept. 15, 2009	Respondents: KHF Advisors, LLC Release No. IA-2924 File Number: 3-13615
Date: Sept. 15, 2009	Respondents: Appalachian Asset Management, Inc. Release No. IA-2925 File Number: 3-13616
Date: Sept. 15, 2009	Respondents: Cornerstone Capital Management, Inc., and Laura Jean Kent Release No. 34-60675 File Number: 3-13199
Date: Sept. 15, 2009	Respondents: Berdj J. Rassam, CPA Release No. 34-60676, AAER-3051 File Number: 3-13617
Date: Sept. 14, 2009	Respondents: Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato Release No. 34-60667 File Number: 3-11498
Date: Sept. 11, 2009	Respondents: Pacific International Enterprises, Inc., Paradise Holdings, Inc., PC-EPhone, Inc., Phoenix Laser Systems, Inc., Phoenix Resources Technologies, Inc., and Pilot Network Services, Inc. Release No. 34-60652 File Number: 3-13598
Date: Sept. 11, 2009	Respondents: Magnum Resources, Inc., Manakoa Services Corp. (n/k/a Teslavision Corp.), Maxus Technology Corp., Med/Waste, Inc., Medsearch Technologies, Inc., and Meisenheimer Capital, Inc. Release No. 34-60655 File Number: 3-13582
Date: Sept. 11, 2009	Respondents: Gabelli Funds LLC Release No. 34-60656 See Also: the Proposed Plan of Distribution File Number: 3-13019
Date: Sept. 11, 2009	Respondents: Dana Holding Corporation (as Successor Registrant to Dana Corporation) Release No. 34-60657, AAER-3048 File Number: 3-13614
Date: Sept. 9, 2009	Respondents: Tops Appliance City, Inc., Tower Global Ventures Corp. (n/k/a Coffeehouse.com, Inc.), Transact International, Inc., Transderm Laboratories Corp., Trizak Corp., and Tropic Air Cargo, Inc. Release No. 34-60636 File Number: 3-13573
Date: Sept. 9, 2009	Respondents: National Tire Services, Inc., TheNETdigest.com, Inc., New Media, Inc. (n/k/a New Media Group, Inc.), New Tel, Ltd., New York Film Works, Inc., and Newstar Resources, Inc. Release No. 34-60638 File Number: 3-13590
Date: Sept. 8, 2009	Respondents: Action Auto Rental, Inc., Addisson Industries, Inc., Advanced Promotion Technologies, Inc., Advantexcel Com Communications Corp., Aeire Corp., All American Food Group, Inc., and Allerion, Inc. Release No. 34-60631 File Number: 3-13580
Date: Sept. 8, 2009	Respondents: Jamie P. Lake Release No. 34-60632 File Number: 3-13613
Date: Sept. 4, 2009	Respondents: What's for Free Technologies, Inc. (n/k/a Krifter Holdings, Inc.), Wherehouse Entertainment, Inc., Windpower Partners 1983-1, Windpower Partners 1984, World Financial Systems Co. Ltd., Wrap-N-Roll Usa, Inc., and Wyrlis Corp. Release No. 34-60626 File Number: 3-13576
Date: Sept. 4, 2009	Respondents: Louis J. Akers Release No. 34-60628, IA-2923 File Number: 3-13612
Date: Sept. 3, 2009	Respondents: Universal Express, Inc. Release No. 34-60616 File Number: 3-13609
Date: Sept. 3, 2009	Respondents: New York Broker Deutschland AG Release No. 34-60623 See Also: the Order in this matter , the German Version of the Order in this matter File Number: 3-13611
Date: Sept. 2, 2009	Respondents: Ronald E. Hardy, Jr. Release No. 34-60615 File Number: 3-13608
Date: Sept. 1, 2009	Respondents: Jose Daniel Iriarte, Jr. Release No. 34-60599, IA-2922 File Number: 3-13484
Date: Sept. 1, 2009	Respondents: Kenneth Selterman, Esq. Release No. 34-60600, AAER-3042 File Number: 3-13606
Date: Sept. 1, 2009	Respondents: Patti Tay, CPA Release No. 34-60601, AAER-3043 File Number: 3-13607
Date: Aug. 31, 2009	Respondents: RDM Sports Group, Inc., Real Del Monte Mining Corp., Recoton Corp., Red Hot Concepts, Inc., Red Hand International, Inc. (n/k/a African Diamond Co., Inc. or Coal Corp.), Redlaw Industries, Inc., Republic Resources, Inc., Reward Enterprises, Inc., Rhino Enterprises Group, Inc. (n/k/a Physicians Adult Daycare, Inc.), Ridgeview, Inc., Riverside Group, Inc., and Rocky Mount Undergarment Co., Inc. James T. Kelly, Administrative Law Judge Release No. 34-60588 File Number: 3-13556