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: May 22, 2009	Respondents: Act Manufacturing, Inc., Aerovox, Inc. (n/k/a New Bedford Capacitor, Inc.),Agility Capital, Inc., Air Water International Corp. (f/k/a Universal Communication Systems, Inc.), Allegiant Physician Services, Inc., And Alpha Microsystems (n/k/a NQL Inc.) Release No. 34-59969
Date: May 22, 2009	Respondents: Phillip J. Milligan Release No. 34-59970 See Also: the Order in this matter
Date: May 22, 2009	Respondents: Barrett N. Wissman Release No. 34-59971, IA-2879
Date: May 21, 2009	Respondents: Nanosignal Corp., Inc. (n/k/a Nano Global, Inc.), NetVoice Technologies Corp., The New Anaconda Co., NewCom International, Inc. (n/k/a Sino Express Travel Ltd.), and NewKidCo International, Inc.; National Micronetics, Inc., Network Access Solutions Corp., Network Plus Corp., New York Regional Rail Corp., NexGen Vision, Inc., and Noel Group, Inc. Release No. 34-59953 See Also: et al. , et al.
Date: May 21, 2009	Respondents: Act Manufacturing, Inc., Aerovox, Inc. (n/k/a New Bedford Capacitor, Inc.), Agility Capital, Inc., Air Water International Corp.,(f/k/a Universal Communications, Systems, Inc.), Allegiant Physician Services, Inc., and Alpha Microsystems, Inc. (n/k/a NQL, Inc.) Release No. 34-59954
Date: May 21, 2009	Respondents: David G. Ghysels, Kenneth E. Mahaffy, Jr., and Linus N. Nwaigwe (Corrected) Release No. 34-59957, IA-2877 See Also: the Order in this matter
Date: May 21, 2009	Respondents: Daryl L. Batts Release No. 34-59958, IA-2878
Date: May 21, 2009	Respondents: TMT Capital Corporation Release No. 34-59959, AAER-2973
Date: May 21, 2009	Respondents: Matthew J. Browne Release No. 34-59960
Date: May 20, 2009	Respondents: Today's Man, Inc., Tokheim Corp., The Topaz Group, Inc., Toth Aluminum Corp., Tower Air, Inc., TPC Liquidation, Inc., The Translation Group, Ltd., Trend-Lines, Inc., and Tri Lite, Inc.; Total Film Group, Inc., Track 'n Trail, Inc., Trade Wind Communications, Ltd., TransAxis, Inc., Transmedia Europe, Inc., Treasury International, Inc., and Tri National Development Corp. Release No. 34-59942 See Also: et al. , Inc. et al.
Date: May 20, 2009	Respondents: Advanced Monitoring Systems, Inc., AFC Low Income Housing Credit Partners-I, Air L.A., Inc. (n/k/a Clean Energy, Inc.), Alexander International, Ltd., All the Way, Inc., Alliance Northwest Industries, Inc., and Alpha Centari, Inc. Release No. 34-59950 See Also: the Order in this matter
Date: May 20, 2009	Respondents: Cornerstone Capital Management, Inc., and Laura Jean Kent Release No. 34-59951
Date: May 19, 2009	Respondents: F&C International, Inc., The Fapa Insurance Co., Farm Fish, Inc., FCS Laboratories, Inc., Federal Resources Corp., Filene's Basement Corp. (n/k/a FBC Distribution Corp.), and Film & Music Entertainment, Inc. Release No. 34-59938
Date: May 19, 2009	Respondents: Michael P. Owens Release No. 34-59940
Date: May 18, 2009	Respondents: X-Ramp.Com, Inc., Xraymedia, Inc. (F/K/A Xraymedia.Com, Inc.), Zenith Holding Corp., and Zydant Corp. Release No. 34-59936
Date: May 15, 2009	Respondents: J. Michael Scarborough and Royal Alliance Associates, Inc Release No. 34-59930 File Number: 3-11538
Date: May 15, 2009	Respondents: Wealthwise, LLC, and Jeffrey A. Forrest Release No. 34-59931, IA-2874 File Number: 3-13381
Date: May 14, 2009	Respondents: FCF, Inc., FI Liquidating Co., Inc, Fields Aircraft Spares, Inc., and First Dynasty Mines, Ltd. (n/k/a Sterlite Gold Ltd.) Release No. 34-59922 See Also: the Order in this matter File Number: 3-13471
Date: May 14, 2009	Respondents: Alliance Capital Management, L.P. Release No. 34-59926 File Number: 3-11359
Date: May 14, 2009	Respondents: Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. Release No. 34-59929 File Number: 3-11701
Date: May 13, 2009	Respondents: Large Scale Biology Corporation Release No. 34-59909
Date: May 13, 2009	Respondents: Core Technologies Pennsylvania, Inc., First Central Financial Corp., Imark Technologies, Inc.,Molten Metal Technology, Inc., and MRS Technology, Inc. Release No. 34-59910
Date: May 13, 2009	Respondents: FrontLine Capital Group Release No. 34-59911
Date: May 13, 2009	Respondents: Wolfe & Hurst Bond Brokers, Inc. and Peter J. Debany Release No. 34-59913 File Number: 3-13469
Date: May 13, 2009	Respondents: Chandrashekhar Gopinathan Release No. 33-9031, 34-59914 See Also: the Order in this matter File Number: 3-13470
Date: May 12, 2009	Respondents: Core Technologies Pennsylvania, Inc., First Central Financial Corp., Imark Technologies, Inc., Molten Metal Technology, Inc., and MRS Technology, Inc. Release No. 34-59899
Date: May 12, 2009	Respondents: Fortel, Inc., now known as Envit Capital Group, Inc. Release No. 34-59901 See Also: the Order in this matter
Date: May 12, 2009	Respondents: Ingram Micro Inc. Release No. 34-59903, AAER-2968
Date: May 11, 2009	Respondents: Poseidis, Inc. Release No. 34-59897
Date: May 7, 2009	Respondents: INTECH Investment Management LLC and David E. Hurley Release No. IA-2872 File Number: 3-13463
Date: May 7, 2009	Respondents: John H. Lohmeier Release No. IA-2873 File Number: 3-13464
Date: May 6, 2009	Respondents: Wade Cook Financial Corp., Warning Management Services, Inc.,Weldotron Corp., Western Microwave, Inc., Wickes, Inc., Worldwide Technologies, Inc., and Worldwide Xceed Group, Inc. (n/k/a Liquidating WXG, Inc.) Release No. 34-59868 See Also: the Order in this matter
Date: May 6, 2009	Respondents: John W. Adams and AIP, LLC Release No. 34-59870 File Number: 3-11676
Date: May 6, 2009	Respondents: Royal Spring Water, Inc. Release No. 34-59878 See Also: the Order in this matter File Number: 3-13462
Date: May 5, 2009	Respondents: Xino Corp. (n/k/a Asher Xino Corp.), Xstream Mobile Solutions Corp., Yellowbubble.com, Inc., Yes! Entertainment Corp., and Yifan Communications, Inc. Release No. 34-59862
Date: May 4, 2009	Respondents: X-Ramp.com, Inc., Xraymedia, Inc.(f/k/a Xraymedia.com, Inc.), Zenith Holding Corp., and Zydant Corp. Release No. 34-59856
Date: May 4, 2009	Respondents: Hamilton Digital Controls, Inc., Hamilton-McGregor International, Inc., Happiness Express, Inc., Harvard Industries, Inc., Haven Holding, Inc. (n/k/a Haven Holdings I, Inc.), HealthCor Holdings, Inc., and Helm Capital Group, Inc. Release No. 34-59860 See Also: the Order in this matter
Date: May 1, 2009	Respondents: F&C International, Inc., The FAPA Insurance Co., Farm Fish, Inc., FCS Laboratories, Inc., Federal Resources Corp., Filene's Basement Corp. (n/k/a FBC Distribution Corp.), andFilm & Music Entertainment, Inc. Release No. 34-59853
Date: April 30, 2009	Respondents: Childrobics, Inc., Churchill Technology, Inc., Complete Management, Inc., Global Intellicom, Inc., Tenney Engineering, Inc., and The Score Board, Inc. Release No. 34-59847
Date: April 30, 2009	Respondents: Xino Corp. (n/k/a Asher Xino Corp.), Xstream Mobile Solutions Corp., Yellowbubble.com, Inc., Yes! Entertainment Corp., and Yifan Communications, Inc. Release No. 34-59848
Date: April 30, 2009	Respondents: Paul M. Gozzo Release No. 34-59849
Date: April 30, 2009	Respondents: Childrobics, Inc., Churchill Technology, Inc., Complete Management, Inc., Global Intellicom, Inc., Tenney Engineering, Inc., and The Score Board, Inc. Release No. 34-59851 File Number: 3-13426
Date: April 29, 2009	Respondents: Michael D. Smith Release No. 34-59840 File Number: 3-13458
Date: April 28, 2009	Respondents: Bear, Stearns & Co., Inc., and Bear, Stearns Securities Corp. Release No. 34-59828 See Also: Modified Distribution Plan File Number: 3-12238
Date: April 28, 2009	Respondents: Royal Alliance Associates, Inc. Release No. 34-59830 File Number: 3-13456
Date: April 28, 2009	Respondents: Brad E. Parish Release No. 34-59831 File Number: 3-13457
Date: April 28, 2009	Respondents: Alliance Capital Management, L.P. Release No. 34-59832 File Number: 3-11359
Date: April 28, 2009	Respondents: IAC Holdings, Inc. Release No. 34-59833 File Number: 3-13431
Date: April 24, 2009	Respondents: Xino Corp. (n/k/a Asher Xino Corp.), Xstream Mobile Solutions Corp., Yellowbubble.com, Inc., Yes! Entertainment Corp., and Yifan Communications, Inc. Release No. 34-59820 File Number: 3-13428
Date: April 23, 2009	Respondents: KPMG LLP, Bryan E. Palbaum, CPA, John M. Wong, CPA, Kenneth B. Janeski, CPA, David A. Hori, CPA Release No. 34-59817, AAER-2966 File Number: 3-11714
Date: April 22, 2009	Respondents: Hennessee Group LLC and Charles J. Gradante Release No. IA-2871
Date: April 22, 2009	Respondents: IDM Participating Income Co., IDM Participating Income Co. II, IDM Participating Income Co. III, IDM Participating Income Co. IV, IDM Participating Income Co. V, IDM Participating Income Co. VII, IDM Participating Income Co. 90 Release No. 34-59809 File Number: 3-13429
Date: April 22, 2009	Respondents: Aegis Consumer Funding Group, Inc., APS Holding Corp., Dakota Mining Corp., Digital Communications Technology Corp., Horn Silver Mines, Inc., and TCC Industries, Inc. Release No. 34-59810 File Number: 3-13425
Date: April 22, 2009	Respondents: David Scott Cacchione Release No. 34-59812 File Number: 3-13455
Date: April 22, 2009	Respondents: Weiss Research, Inc., Martin Weiss, and Lawrence Edelson Release No. 34-59813 File Number: 3-12341
Date: April 21, 2009	Respondents: Act Manufacturing, Inc., Aerovox, Inc. (n/k/a New Bedford Capacitor, Inc.), Agility Capital, Inc., Air Water International Corp. (f/k/a Universal Communications Systems, Inc.), Allegiant Physician Services, Inc., and Alpha Microsystems, Inc. (n/k/a NQL, Inc.) Release No. 34-59801 See Also: the Order in this matter
Date: April 21, 2009	Respondents: Randy S. Casstevens (CPA) Release No. 34-59803, AAER-2965 File Number: 3-13453
Date: April 20, 2009	Respondents: I Incubator.com, Inc., I Storm, Inc., iBeam Broadcasting Corp., I.C.H. Corp., Idream.ws, Inc., and Images of Life, Inc. Release No. 34-59796 See Also: the Order in this matter File Number: 3-13448
Date: April 20, 2009	Respondents: I.A. Europe Group, Inc. (n/k/a Ghost Technology, Inc.), I-Carauction.com, Inc., ICIS Management Group, Inc., iCommerce Group, Inc., IDM Environmental Corp., and Illinois Creek Corp. Release No. 34-59797 See Also: the Order in this matter File Number: 3-13449
Date: April 20, 2009	Respondents: X-Ramp.com, Inc., Xraymedia, Inc. (f/k/a Xraymedia.com, Inc.) Zenith Holding Corp., and Zydant Corp. Release No. 34-59798A See Also: the Order in this matter File Number: 3-13450
Date: April 20, 2009	Respondents: Gordon B. Grigg Release No. IA-2869 File Number: 3-13451
Date: April 17, 2009	Respondents: American Skandia Investment Services, Inc. Release No. IA-2867 See Also: 33-9028 , 33-9028
Date: April 17, 2009	Respondents: Laurence G. Young Release No. 34-59783
Date: April 17, 2009	Respondents: Kevin E. Brooks, CPA Release No. 34-59785, AAER-2964
Date: April 14, 2009	Respondents: Poseidis, Inc. Release No. 34-59761 See Also: the Order in this matter
Date: April 14, 2009	Respondents: GLB Trading, Inc. and Robert A. Lechman Release No. 34-59765 See Also: the Order in this matter
Date: April 14, 2009	Respondents: Stephen P. Corso, Jr., CPA Release No. 34-59766, AAER-2962
Date: April 14, 2009	Respondents: Stratum Holdings, Inc. Release No. 34-59767, AAER-2963
Date: April 13, 2009	Respondents: Jesus A. Lago, CPA Release No. 34-59751, AAER-2960
Date: April 13, 2009	Respondents: VoIP, Inc. Release No. 34-59752 See Also: the Order in this matter
Date: April 13, 2009	Respondents: Antonio Canova (CPA) Release No. 34-59758, AAER-2961
Date: April 10, 2009	Respondents: Newbridge Securities Corp., Guy S. Amico, Scott H. Goldstein, Eric M. Vallejo, and Daniel M. Kantrowitz Release No. 33-9024, 34-59749
Date: April 10, 2009	Respondents: Glenn Manterfield Release No. IA-2865 See Also: the Order in this matter
Date: April 9, 2009	Respondents: Mark Tuminello Release No. 33-9023, 34-59739
Date: April 9, 2009	Respondents: Charles F. Lewis Release No. 34-59738 See Also: the Order in this matter
Date: April 9, 2009	Respondents: Woodbury Financial Services, Inc. Release No. 34-59740
Date: April 9, 2009	Respondents: Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke Release No. 34-59741
Date: April 8, 2009	Respondents: Core Technologies Pennsylvania, Inc., First Central Financial Corp., Imark Technologies, Inc., Molten Metal Technology, Inc., and MRS Technology, Inc. Release No. 34-59727
Date: April 8, 2009	Respondents: Global 1 Investment Holdings Corporation Release No. 34-59730
Date: April 8, 2009	Respondents: Carlyle Gaming & Entertainment Ltd., Daleigh Holdings Corp., Guy F. Atkinson Co. of California, Inc. (n/k/a ATKN Co. of California), Pegasus Gold, Inc. and Storm Technology, Inc. Release No. 34-59731
Date: April 8, 2009	Respondents: L Rex International, Inc., Lakshmi Enterprises, Inc., Lamaur Corp., Laminco Resources, Inc. (n/k/a Zaruma Resources, Inc.), Landis & Partners, Inc., Las Americas Broadband, Inc., and Laser Precision Corp. (n/k/a NetTest, Inc.) Release No. 34-59732
Date: April 8, 2009	Respondents: Douglas F. Samuels Release No. 34-59734 See Also: the Order in this matter
Date: April 8, 2009	Respondents: Ravi Yanamadula Release No. 34-59735 See Also: the Order in this matter
Date: April 7, 2009	Respondents: IAC Holdings, Inc. Release No. 34-59718 See Also: the Order in this matter
Date: April 7, 2009	Respondents: Lawrence D. Morris Release No. 34-59719 See Also: the Order in this matter
Date: April 6, 2009	Respondents: Cort L. Poyner Release No. 34-59707
Date: April 6, 2009	Respondents: Michael W. Crow and Robert David Fuchs Release No. 34-59711, IA-2863
Date: April 3, 2009	Respondents: Xino Corp. (n/k/a Asher Xino Corp.), Xstream Mobile Solutions Corp., Yellowbubble.com, Inc., Yes! Entertainment Corp., and Yifan Communications, Inc. Release No. 34-59699 See Also: the Order in this matter
Date: April 3, 2009	Respondents: IDM Participating Income Co., IDM Participating Income Co. II, IDM Participating Income Co. III, IDM Participating Income Co. IV, IDM Participating Income Co. V, IDM Participating Income Co. VII, and IDM Participating Income Co. 90 Release No. 34-59702 See Also: the Order in this matter
Date: April 3, 2009	Respondents: Dan Wise, CPA, a/k/a Danny Wise, CPA Release No. 34-59703, AAER-2959
Date: April 2, 2009	Respondents: Aegis Consumer Funding Group, Inc., APS Holding Corp., Dakota Mining Corp., Digital Communications Technology Corp., Horn Silver Mines, Inc., and TCC Industries, Inc.; Childrobics, Inc., Churchill Technology, Inc., Complete Management, Inc., Global Intellicom, Inc., Tenney Engineering, Inc., and The Score Board, Inc. Release No. 34-59687 See Also: et al. , et al.
Date: April 2, 2009	Respondents: F&C International, Inc., The FAPA Insurance Co., Farm Fish, Inc., FCS Laboratories, Inc., Federal Resources Corp., Filene's Basement Corp. (n/k/a FBC Distribution Corp.), and Film & Music Entertainment, Inc. Release No. 34-59689 See Also: the Order in this matter
Date: April 2, 2009	Respondents: Stephen R. Moynahan Release No. 34-59693
Date: April 1, 2009	Respondents: Deborah Galas Release No. 34-59670
Date: April 1, 2009	Respondents: Thomas Brick Release No. 34-59671
Date: April 1, 2009	Respondents: Inviva, Inc. and Jefferson National Life Insurance Company Release No. 33-9021, 34-59674, IC-28684
Date: March 31, 2009	Respondents: Alliance Capital Management, LP Release No. 34-59657
Date: March 30, 2009	Respondents: Global Matrechs, Inc. Release No. 34-59646 See Also: the Order in this matter
Date: March 30, 2009	Respondents: Dennis Kavelman, C.A. and Arcangelo Loberto, C.A. Release No. 34-59648, AAER-2958
Date: March 30, 2009	Respondents: Arthur S. Redler Release No. 34-59649