Administrative Proceedings | U.S. Securities and Exchange Commission

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: March 27, 2009	Respondents: Alberto W. Vilar and Gary Alan Tanaka Brenda P. Murray, Chief Administrative Law Judge Release No. IA-2859A File Number: 3-13345
Date: March 27, 2009	Respondents: Judith Kudla (CPA) Release No. 34-59637, AAER-2954
Date: March 27, 2009	Respondents: Michael L. Silver Release No. 34-59639, IA-2860
Date: March 27, 2009	Respondents: Brian P. Corbett Release No. 34-59640, IA-2861
Date: March 27, 2009	Respondents: Jason G. Burks Release No. 34-59644A, IA-2862A, IC-28681A File Number: 3-13419
Date: March 26, 2009	Respondents: Matthew La Madrid Robert G. Mahony, Administrative Law Judge Release No. IA-2857 See Also: the Order in this matter File Number: 3-13415
Date: March 25, 2009	Respondents: Lambert Communications, Inc., Laniprin Life Sciences, Inc., Last American Exit, Inc., Lawrence Insurance Group, Inc., Le Print Express International, Inc., Leak-X Environmental Corp., and Leisure Shoppers, Inc. Release No. 34-59623
Date: March 25, 2009	Respondents: Jansko, Inc., JG Industries, Inc., JMXI, Inc. (f/k/a Jupiter Communications, Inc.), The Jockey Club, Inc., Juina Mining Corp., Inc. (n/k/a AC Energy, Inc.), Jumbosports, Inc., Jumpin’ Jax Corp., Just Like Home, Inc., and Just Toys, Inc. Release No. 34-59624
Date: March 25, 2009	Respondents: Lambert Communications, Inc., Laniprin Life Sciences, Inc., Last American Exit, Inc., Lawrence Insurance Group, Inc., Le Print Express International, Inc., Leak-X Environmental Corp., and Leisure Shoppers, Inc. Release No. 34-59625
Date: March 23, 2009	Respondents: Janex International, Inc., Jet Energy Corp., JobSort, Inc., Jones Plumbing Systems, Inc., Jore Corp., and Journey's End Resorts, Inc. Release No. 34-59619
Date: March 20, 2009	Respondents: Cornerstone Capital Management, Inc. and Laura Jean Kent Release No. IA-2855
Date: March 19, 2009	Respondents: Jeanne M. Rowzee Release No. 34-59604, IA-2854
Date: March 18, 2009	Respondents: Allion Healthcare, Inc. and James G. Spencer Release No. 34-59594, AAER-2951
Date: March 18, 2009	Respondents: Banc of America Securities LLC Release No. 34-59595
Date: March 18, 2009	Respondents: William D. Shovers, CPA Release No. 34-59596, AAER-2952 See Also: William D. Shovers (Order Denying Motion to Lift Temporary Suspension and Directing Hearing)
Date: March 17, 2009	Respondents: Chemfix Technologies, Inc., Bagdad Chase, Inc., Cincinnati Microwave, Inc., Sun Television & Appliances, Inc., and Telegroup, Inc. Release No. 34-59583
Date: March 17, 2009	Respondents: Andrew Sims, CPA Release No. 34-59584, AAER-2950
Date: March 13, 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. 34-59572
Date: March 13, 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. 34-59573
Date: March 12, 2009	Respondents: Leading Edge Packaging, Inc., Leadingside, Inc., Lecstar Corp., and Legal Club of America, Inc. Release No. 34-59564
Date: March 12, 2009	Respondents: Raymond Thomas Release No. 34-59565 See Also: the Order in this matter
Date: March 12, 2009	Respondents: Matthew E. Kopsky Release No. 34-59568, IA-2852
Date: March 11, 2009	Respondents: Headliners Entertainment Group, Inc. Release No. 34-59554
Date: March 11, 2009	Respondents: Merrill Lynch, Pierce, Fenner, & Smith Incorporated Release No. 34-59555, IA-2851
Date: March 9, 2009	Respondents: BBJ Environmental Technologies, Inc. Release No. 34-59535
Date: March 9, 2009	Respondents: Lisa W. Zappala (CPA) Release No. 34-59541, AAER-2945
Date: March 9, 2009	Respondents: HS3 Technologies, Inc. Release No. 33-9014
Date: March 9, 2009	Respondents: Cancer Detection Corporation, formerly known as Xpention Genetics, Inc. Release No. 33-9015
Date: March 6, 2009	Respondents: Minex Resources, Inc., Powerhouse Resources, Inc., SA Telecommunications, Inc., Thorn Apple Valley, Inc.; and Universal Seismic Associates, Inc. (n/k/a Seismic Universal Associates, Inc.) Release No. 34-59526
Date: March 6, 2009	Respondents: Newbridge Securities Corp., Guy S. Amico, Scott H. Goldstein, Eric M. Vallejo, and Daniel M. Kantrowitz Release No. 33-9011A, 34-59528
Date: March 6, 2009	Respondents: Newbridge Securities Corp., Guy S. Amico, Scott H. Goldstein, Eric M. Vallejo, and Daniel M. Kantrowitz Release No. 34-59529A
Date: March 6, 2009	Respondents: Stephan Husi Release No. 34-59530, AAER-2944
Date: March 6, 2009	Respondents: Christopher J. Johndrow Release No. 33-9012, 34-59531
Date: March 6, 2009	Respondents: M. Grant Bettingen Release No. 34-59532
Date: March 6, 2009	Respondents: Grant Bettingen, Inc. Release No. 34-59533 File Number: 3-13403
Date: March 5, 2009	Respondents: Jansko, Inc., JG Industries, Inc., JMXI, Inc. (f/k/a Jupiter Communications, Inc.), The Jockey Club, Inc., Juina Mining Corp., Inc. (n/k/a AC Energy, Inc.), Jumbosports, Inc., Jumpin’ Jax Corp., Just Like Home, Inc., and Just Toys, Inc. Release No. 34-59511
Date: March 5, 2009	Respondents: Knight Securities L.P. Release No. 34-59512
Date: March 5, 2009	Respondents: Victor P. Machado Release No. 34-59513
Date: March 5, 2009	Respondents: Frank Lu Release No. 34-59514, IA-2850
Date: March 5, 2009	Respondents: Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC Release No. 34-59520
Date: March 4, 2009	Respondents: Krispy Kreme Doughnuts, Inc. Release No. 34-59499, AAER-2941
Date: March 4, 2009	Respondents: Sherry J. Polonsky Release No. 34-59500, AAER-2942
Date: March 4, 2009	Respondents: Botta Capital Management, L.L.C. Release No. 34-59501
Date: March 4, 2009	Respondents: Equitec Proprietary Markets, LLC Release No. 34-59502
Date: March 4, 2009	Respondents: Group One Trading, L.P. Release No. 34-59503
Date: March 4, 2009	Respondents: Knight Financial Products, LLC Release No. 34-59504
Date: March 4, 2009	Respondents: Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Release No. 34-59505
Date: March 4, 2009	Respondents: Susquehanna Investment Group Release No. 34-59506
Date: March 4, 2009	Respondents: TD Options LLC Release No. 34-59507
Date: March 4, 2009	Respondents: Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds Release No. 34-59508
Date: March 2, 2009	Respondents: M.A.G. Capital, LLC and David F. Firestone Release No. IA-2849
Date: Feb. 27, 2009	Respondents: Minex Resources, Inc., Powerhouse Resources, Inc., SA Telecommunications, Inc., Thorn Apple Valley, Inc., and Universal Seismic Associates, Inc. (n/k/a Seismic Universal Associates, Inc.) Release No. 34-59465
Date: Feb. 27, 2009	Respondents: Core Technologies Pennsylvania, Inc., First Central Financial Corp., Imark Technologies, Inc., Molten Metal Technology, Inc., and MRS Technology, Inc.; Chemfix Technologies, Inc., Bagdad Chase, Inc., Cincinnati Microwave, Inc., Sun Television & Appliances, Inc., and Telegroup, Inc. Release No. 34-59467 See Also: et al. , et al.
Date: Feb. 27, 2009	Respondents: Daniel Baldwin, Jr. Release No. 34-59470
Date: Feb. 26, 2009	Respondents: Ross Owen Haugen Release No. 34-59458, IA-2847
Date: Feb. 26, 2009	Respondents: James Michael Leonard, Esq. Release No. 34-59461
Date: Feb. 25, 2009	Respondents: Pacific Industrial Corp., Pacific Security Companies, Inc., and Pandora Industries, Inc. (n/k/a Creston Moly Corp.) Release No. 34-59444
Date: Feb. 25, 2009	Respondents: Pilgrim Baxter & Associates, Ltd. Release No. 34-59445
Date: Feb. 25, 2009	Respondents: Putnam Investment Management, LLC Release No. 34-59447
Date: Feb. 25, 2009	Respondents: Wealthwise, LLC, and Jeffrey A. Forrest Release No. 34-59456, IA-2846 See Also: the Order in this matter
Date: Feb. 24, 2009	Respondents: Joseph Lovaglio Release No. 34-59436, IA-2844 File Number: 3-13322
Date: Feb. 24, 2009	Respondents: Leumi Investment Services Inc. Release No. 34-59437
Date: Feb. 24, 2009	Respondents: Oppenheimer & Co. Inc. Release No. 34-59438
Date: Feb. 24, 2009	Respondents: RBC Capital Markets Corporation Release No. 34-59439
Date: Feb. 24, 2009	Respondents: Alan Brian Baiocchi Release No. 34-59443 See Also: the Order in this matter
Date: Feb. 23, 2009	Respondents: John W. Adams and AIP, LLC Release No. 34-59433 See Also: Distribution Plan File Number: 3-11676
Date: Feb. 20, 2009	Respondents: Janex International, Inc., Jet Energy Corp., JobSort, Inc., Jones Plumbing Systems, Inc., Jore Corp., and Journey's End Resorts, Inc. Release No. 34-59426 See Also: the Order in this matter
Date: Feb. 20, 2009	Respondents: Diamondback Capital Management, LLC Release No. 34-59428, IA-2843 File Number: 3-13376
Date: Feb. 20, 2009	Respondents: John W. Adams and AIP, LLC Release No. 34-59431
Date: Feb. 19, 2009	Respondents: Greg Steven Kaplan, CPA Release No. 34-59422, AAER-2938
Date: Feb. 19, 2009	Respondents: David J. Lubben Release No. 34-59423, AAER-2939
Date: Feb. 18, 2009	Respondents: Leading Edge Packaging, Inc., Leadingside, Inc., Lecstar Corp., and Legal Club of America, Inc. Release No. 34-59412
Date: Feb. 13, 2009	Respondents: SG Americas Securities, LLC and Francois O. Barthelemy Release No. 34-59401
Date: Feb. 13, 2009	Respondents: Randall W. Banks Release No. 34-59408, IA-2841
Date: Feb. 12, 2009	Respondents: Minex Resources, Inc., Powerhouse Resources, Inc., SA Telecommunications, Inc., Thorn Apple Valley, Inc., and Universal Seismic Associates, Inc. (n/k/a Seismic Universal Associates, Inc.); and 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. 34-59398 See Also: et al. , et al.
Date: Feb. 11, 2009	Respondents: Jansko, Inc., JG Industries, Inc., JMXI, Inc. (f/k/a Jupiter Communications, Inc.), The Jockey Club, Inc., Juina Mining Corp., Inc. (n/k/a AC Energy, Inc.), JumboSports, Inc., Jumpin' Jax Corp., Just Like Home, Inc., and Just Toys, Inc. Release No. 34-59381 See Also: the Order in this matter
Date: Feb. 11, 2009	Respondents: Alliance Capital Management, LP Release No. 34-59389
Date: Feb. 11, 2009	Respondents: Ronald M. Bandyk, CPA Release No. 34-59390, AAER-2933
Date: Feb. 10, 2009	Respondents: Ferris, Baker Watts, Inc. Release No. 34-59372, IA-2837
Date: Feb. 10, 2009	Respondents: Stephen J. Glantz Release No. 34-59373, IA-2838
Date: Feb. 10, 2009	Respondents: William H. Salem Release No. 34-59374, IA-2839
Date: Feb. 10, 2009	Respondents: Patrick J. Vaughan Release No. 34-59375A, IA-2842A
Date: Feb. 9, 2009	Respondents: Carlos Javier Spinelli-Noseda Release No. 34-59371
Date: Feb. 6, 2009	Respondents: Hafiz Naseem Release No. 34-59367, IA-2836 File Number: 3-13362
Date: Feb. 6, 2009	Respondents: J. Michael Scarborough and Royal Alliance Associates, Inc. Release No. 34-59368 See Also: Distribution Plan
Date: Feb. 5, 2009	Respondents: Jeffrey M. Yonkers, CPA Release No. 34-59363, AAER-2931
Date: Feb. 4, 2009	Respondents: Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp. Release No. 34-59356 See Also: Modified Distribution Plan , and Distribution Plan
Date: Feb. 3, 2009	Respondents: Lambert Communications, Inc., Laniprin Life Sciences, Inc., Last American Exit, Inc., Lawrence Insurance Group, Inc., Le Print Express International, Inc., Leak-X Environmental Corp., and Leisure Shoppers, Inc. Release No. 34-59351 See Also: the Order in this matter
Date: Feb. 3, 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. 34-59352 See Also: the Order in this matter
Date: Feb. 2, 2009	Respondents: Global 1 Investment Holdings Corporation Release No. 34-59334 See Also: the Order in this matter
Date: Feb. 2, 2009	Respondents: Stephen R. Moynahan Release No. 34-59339 See Also: Proposed Distribution Plan File Number: 3-13263
Date: Jan. 30, 2009	Respondents: Michael A. Callaway Release No. IA-2833, 34-59329 See Also: the Order in this matter File Number: 3-13356
Date: Jan. 30, 2009	Respondents: Merrill Lynch, Pierce, Fenner & Smith Inc. Release No. IA-2834 File Number: 3-13357
Date: Jan. 30, 2009	Respondents: Jeffrey Swanson Release No. IA-2835 File Number: 3-13358
Date: Jan. 29, 2009	Respondents: Leading Edge Packaging, Inc., Leadingside, Inc., Lecstar Corp., and Legal Club of America, Inc. Release No. 34-59315 See Also: the Order in this matter
Date: Jan. 29, 2009	Respondents: The JPM Company, Maxxis Group, Inc., Metrotrans Corp., and Tidalwave Holdings, Inc. Release No. 34-59316
Date: Jan. 29, 2009	Respondents: Michelle V. Nguyen (CPA) Release No. 34-59317, AAER-2928
Date: Jan. 27, 2009	Respondents: Robert Johnson Release No. 34-59301
Date: Jan. 27, 2009	Respondents: Arthur P. Hipwell Release No. 34-59303
Date: Jan. 26, 2009	Respondents: John V. Cracchiolo, CPA Release No. 34-59295, AAER-2924