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. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

E-mail Updates

To sign up for updates, please enter your e-mail address below.

Administrative Proceedings RSS Feed


Date Sort ascending	Respondents
Dec. 30, 2011	Brendan Technologies, Inc., CenterStaging Corp., PGMI, Inc., Thermal Energy Storage, Inc., and Trinity3 Corporation Release No. 34-66073 File Number: 3-14656
Dec. 30, 2011	Brendan Technologies, Inc., CenterStaging Corp., PGMI, Inc., Thermal Energy Storage, Inc., and Trinity3 Corporation Release No. 34-66072 File Number: 3-14656
Dec. 29, 2011	Calhoun Asset Management, LLC and Ward, Krista Lynn, a/k/a Krista Lynn Karnezis Release No. 33-9290, 34-66066, IA-3345, IC-29895 File Number: 3-14680
Dec. 29, 2011	Daniel Joseph Sebastian Release No. IA-3346 File Number: 3-14681
Dec. 29, 2011	Vinayak S. Gowrish Release No. IA-3347 File Number: 3-14552
Dec. 28, 2011	Andrew Caccioppoli Release No. 34-66060 File Number: 3-14679
Dec. 23, 2011	Wanger, Eric David Wanger Investment Management, Inc. Release No. 33-9288, 34-66053, IA-3342, IC-29893 File Number: 3-14676
Dec. 23, 2011	Investment Placement Group and Adolfo Gonzalez-Rubio Release No. 34-66055, IA-3343 File Number: 3-14677
Dec. 23, 2011	Aurelio Rodriguez Release No. 33-9289, 34-66056 File Number: 3-14678
Dec. 23, 2011	Craig On, CPA Release No. 34-66051, AAER-3350 File Number: 3-14675
Dec. 22, 2011	RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Release No. 34-66027 File Number: 3-14616
Dec. 22, 2011	Shengtai Power International, Inc., and Singer Co. N.V. Release No. 34-66028 File Number: 3-14637
Dec. 22, 2011	Mary Beth Stevens and Paul W. Oliver, Jr. Release No. 34-66039 See Also: Proposed Plan of Distribution Submit Comments on: 3-11553 File Number: 3-11553
Dec. 22, 2011	Medarts Medical System, Inc., and New Fiber Cloth Technology, Inc. (f/k/a Park Hill Capital III) Release No. 34-66025 File Number: 3-14601
Dec. 22, 2011	Rovac Corp., RS Group of Companies, Inc., Rymer Foods, Inc., Stratus Services Group, Inc., Sun Cal Energy, Inc., Sun Motor International, Inc., Surebet Casinos, Inc., and Swiss Medica, Inc. Release No. 34-66026 File Number: 3-14617
Dec. 21, 2011	AEC, I, Inc., Aegir Ventures, Inc., American Toy Vending, Inc., Biometric Security Corp. (a/k/a Pender Financial Group Corp.), and Bridge-It Corp. Release No. 34-66017 File Number: 3-14646
Dec. 21, 2011	Eric Jon Strasser Release No. 34-66024, AAER-3349 File Number: 3-14674
Dec. 20, 2011	Peter J. Brooks Release No. 34-66009 File Number: 3-14673
Dec. 16, 2011	Stuart W. Fuhlendorf, Release No. 34-65996, AAER-3347 File Number: 3-14671
Dec. 16, 2011	Capital Financial Services, Inc. and Brian W. Boppre Release No. 34-65998, IC-29887
Dec. 16, 2011	Charles W. Crouse and Norman R. Hess Release No. 34-65999
Dec. 16, 2011	Capital Financial Services, Inc. and Brian W. Boppre Release No. 34-66000
Dec. 16, 2011	Richard Dalton Release No. 34-65997
Dec. 15, 2011	Ronald Garcia Release No. 34-65983 File Number: 3-14669
Dec. 15, 2011	Yakov Koppel Release No. 34-65962 File Number: 3-14665
Dec. 15, 2011	Juan Carlos Guillén Zerpa Release No. 34-65985, AAER-3345 File Number: 3-14670
Dec. 15, 2011	RetireHub, Inc. and Sunil K. Bhatia Release No. IA-3337 File Number: 3-14666
Dec. 15, 2011	Abviva, Inc., ACTIS Global Ventures, Inc., aeroTelesis, Inc., Amwest Insurance Group, Inc., and Auto Underwriters of America, Inc. Release No. 34-65956 File Number: 3-14634
Dec. 15, 2011	Kenneth Suarez Release No. 34-65981, IA-3338 File Number: 3-14667
Dec. 15, 2011	Christopher T. Paganes Release No. 34-65957, IA-3335 File Number: 3-14473
Dec. 15, 2011	Kevin King Release No. 34-65982, IA-3339 File Number: 3-14668
Dec. 15, 2011	Ahmed Awan Release No. 34-65961 File Number: 3-14664
Dec. 14, 2011	Steven R. Long Release No. 34-65952 File Number: 3-14663
Dec. 14, 2011	Longtop Financial Technologies Limited Release No. 34-65948 File Number: 3-14622
Dec. 14, 2011	Kempisty & Company, Certified Public Accountants, P.C., Philip C. Kempisty, CPA, and John Anthony Rubino, CPA Release No. 34-65950, AAER-3344 File Number: 3-14339
Dec. 14, 2011	Stanley M. Paulic Release No. 34-65951 File Number: 3-14662
Dec. 13, 2011	Ramco Energy PLC (n/k/a SeaEnergy PLC), RTI, Inc., RTICA Corp., Runcorp, Inc. (f/k/a Remote Utilities Network, Inc.), Source Scientific, Inc., Spectacular Attractions, Inc., SpectraCom, Inc., Sportsco, Inc., and Stationmate, Inc. (n/k/a Oxysure, Inc.) Release No. 34-65947 File Number: 3-14661
Dec. 13, 2011	Gary S. Bell Release No. 34-65941 File Number: 3-14660
Dec. 12, 2011	Packetport.com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog Release No. 34-65936 See Also: the Final Plan of Distribution File Number: 3-12868
Dec. 12, 2011	Stephen R. Moynahan Release No. 34-65937 File Number: 3-13263
Dec. 12, 2011	Putnam Investment Management, LLC Release No. 34-65243A File Number: 3-11317
Dec. 9, 2011	Kevin Kramer Release No. IA-3332 File Number: 3-14657
Dec. 9, 2011	Touradji Capital Management, L.P. Release No. 34-65923, IA-3333 File Number: 3-14658
Dec. 9, 2011	Zvi Goffer Release No. 34-65930 File Number: 3-14659
Dec. 9, 2011	PA Fund Management, LLC, PEA Capital LLC, and PA Distributors LLC Release No. 34-65935 File Number: 3-11645
Dec. 9, 2011	Brendan Technologies, Inc., CenterStaging Corp., PGMI, Inc., Thermal Energy Storage, Inc., and Trinity3 Corporation Release No. 34-65920 File Number: 3-14656
Dec. 8, 2011	Dean Zenon Pinard Release No. 34-65909, IA-3331 File Number: 3-14655
Dec. 8, 2011	Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.;James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Release No. 34-65919 File Number: 3-13847
Dec. 7, 2011	Donald Anthony Walker Young, a/k/a D.A. Walker Young and Acorn Capital Management, LLC Release No. IA-3330 File Number: 3-14654
Dec. 7, 2011	Accesspoint Corp., Aero Performance Products, Inc., Apex Resources Group, Inc., Aradyme Corp., Bancroft Uranium, Inc., Fightersoft Multimedia Corp., Fortress Financial Group, Inc., and Global Aircraft Solutions, Inc. Release No. 34-65905 File Number: 3-14604
Dec. 7, 2011	Kenneth E. Marsh, Baldwin Anderson, Robert Anthony Budion, Jeanne M. Lada, and James T. Levier Release No. IA-3329 File Number: 3-14653
Dec. 7, 2011	Credit Suisse Alternative Capital, et al. Release No. 34-65908 File Number: 3-14594
Dec. 6, 2011	David A. Souza Release No. IA-3328 File Number: 3-14548
Dec. 5, 2011	Accesspoint Corp., Aero Performance Products, Inc., Apex Resources Group, Inc., Aradyme Corp., Bancroft Uranium, Inc., Fightersoft Multimedia Corp., Fortress Financial Group, Inc., and Global Aircraft Solutions, Inc. Release No. 34-65881 File Number: 3-14604
Dec. 5, 2011	RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Release No. 34-65880 File Number: 3-14616
Dec. 5, 2011	Mark A. Konyndyk, CPA Release No. 34-65882, AAER-3339 File Number: 3-14651
Dec. 5, 2011	Regenesis Centers, Inc., Regenex, Inc., A.J. Ross Logistics, Inc., Southern Gourmet Products, Inc., Status Game Corp., and Suncast Network, Inc. Release No. 34-65891 File Number: 3-14652
Dec. 5, 2011	Canadian Imperial Holdings, Inc. and CIBC World Markets Corp. Release No. 34-65892 File Number: 3-11987
Dec. 1, 2011	RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Release No. 34-65855 File Number: 3-14616
Nov. 30, 2011	Shiming U.S., Inc., Si Mei Te Food Ltd. (f/k/a China Discovery Acquisition Corp.), Sierra International Group, Inc., and SJ Electronics, Inc. Release No. 34-65850 File Number: 3-14432
Nov. 30, 2011	Chetan Kapur Release No. IA-3327 File Number: 3-14650
Nov. 29, 2011	Joseph Valko Release No. 34-65848 File Number: 3-14647
Nov. 29, 2011	Robert Rossi Release No. 34-65849 File Number: 3-14648
Nov. 29, 2011	Hanes Morgan & Co., Inc. and Uche Akwuba Release No. IA-3326, IC-29877 File Number: 3-14649
Nov. 28, 2011	AEC, I, Inc., Aegir Ventures, Inc., American Toy Vending, Inc., Biometric Security Corp. (a/k/a Pender Financial Group Corp.), and Bridge-It Corp. Release No. 34-65839 File Number: 3-14646
Nov. 28, 2011	Randall Merk Release No. 34-65830, IA-3322 File Number: 3-14642
Nov. 28, 2011	OMNI Investment Advisors Inc. and Gary R. Beynon Release No. 34-65837, IA-3323, IC-29873 File Number: 3-14643
Nov. 28, 2011	Asset Advisors, LLC Release No. IA-3324, IC-29874 File Number: 3-14644
Nov. 28, 2011	Feltl & Company, Inc. Release No. 34-65838, IA-3325, IC-29875 File Number: 3-14645
Nov. 28, 2011	Charles L. Rizzo and Gina M. Hornbogen Release No. 34-65829, IA-3321 File Number: 3-14641
Nov. 22, 2011	Advanced Remote Communication Solutions, Inc., American Aircraft Corp. (a/k/a Codima, Inc.), Avicena Group, Inc., Blowout Entertainment, Inc., Bottomline Home Loan, Inc., and Bytewatch Technologies, Inc. Release No. 34-65802 File Number: 3-14608
Nov. 22, 2011	Barry J. Minkow Release No. IA-3320 File Number: 3-14638
Nov. 22, 2011	Fifth Third Bancorp Release No. 34-65808 File Number: 3-14639
Nov. 21, 2011	Oliver R. Grace, Jr. Release No. IA-3319 File Number: 3-14635
Nov. 21, 2011	Canadian Imperial Holdings, Inc. and CIBC World Markets Corp. Release No. 34-65798 File Number: 3-11987
Nov. 21, 2011	Michael S. Krome Release No. 34-65799 File Number: 3-14636
Nov. 21, 2011	Shengtai Power International, Inc., and Singer Co. N.V. Release No. 34-65801
Nov. 18, 2011	Abviva, Inc., ACTIS Global Ventures, Inc., aeroTelesis, Inc., Amwest Insurance Group, Inc., and Auto Underwriters of America, Inc. Release No. 34-65785 File Number: 3-14634
Nov. 17, 2011	Advanced Remote Communication Solutions, Inc., American Aircraft Corp. (a/k/a Codima, Inc.), Avicena Group, Inc., Blowout Entertainment, Inc., Bottomline Home Loan, Inc., and Bytewatch Technologies, Inc. Release No. 34-65767 File Number: 3-14608
Nov. 17, 2011	FTN Financial Securities Corp. Release No. IA-3316 File Number: 3-14632
Nov. 17, 2011	Dr. Joseph F. Skowron III Release No. 34-65783, IA-3318 File Number: 3-14633
Nov. 17, 2011	UCBH Holdings, Inc. Release No. 34-65766 File Number: 3-14584
Nov. 16, 2011	ADS Media Group, Inc., American Enterprise Development Corp., and Arcland Energy Corp. Release No. 34-65751 File Number: 3-14595
Nov. 16, 2011	ACS Acquisition Corp., American Radio Empire, Inc., American Resources & Development Co., Aviation General, Inc., The Bombay Company, Inc., and Brodie Exploration Corp. Release No. 34-65752 File Number: 3-14588
Nov. 16, 2011	ADS Media Group, Inc., American Enterprise Development Corp., and Arcland Energy Corp. Release No. 34-65753 File Number: 3-14595
Nov. 16, 2011	Free, Paul, CPA Release No. 34-65759, AAER-3338 File Number: 3-14629
Nov. 16, 2011	Martha W. Vlcek, CPA Release No. 34-65755, AAER-3337 File Number: 3-14625
Nov. 16, 2011	Gallagher, Daniel J. Release No. 33-9280, 34-65760 File Number: 3-14630
Nov. 16, 2011	Aaron S. Lamkin Release No. 34-65756 File Number: 3-14626
Nov. 16, 2011	Michael Cameron Van Alphen Release No. 34-65762 File Number: 3-14631
Nov. 16, 2011	The Regency Group, LLC Release No. 34-65757 File Number: 3-14627
Nov. 16, 2011	Morgan Stanley Investment Management Inc. Release No. IA-3315, IC-29862 File Number: 3-14628
Nov. 16, 2011	Steven M. Des Champs, CPA Release No. 34-65754, AAER-3336 File Number: 3-14624
Nov. 15, 2011	CuraTech Industries, Inc. Release No. 34-65747 File Number: 3-14606
Nov. 15, 2011	Advanced Remote Communication Solutions, Inc., American Aircraft Corp. (a/k/a Codima, Inc.), Avicena Group, Inc., Blowout Entertainment, Inc., Bottomline Home Loan, Inc., and Bytewatch Technologies, Inc. Release No. 34-65748 File Number: 3-14608
Nov. 15, 2011	Leaddog Capital Markets, LLC, f/k/a Leaddog Capital Partners, Inc., Chris Messalas, and Joseph LaRocco, Esq. Carol Fox Foelak, Administrative Law Judge Release No. 33-9277, 34-65750, IA-3314, IC-29861 File Number: 3-14623
Nov. 14, 2011	Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC Release No. 34-65746 File Number: 3-11818
Nov. 14, 2011	Ablest Inc. Absolute Potential, Inc. (f/k/a Absolute Waste Services Inc.) Alpha Petroleum Exploration Corp. AMCV Capital Trust I American Health Inc. Avid Sportswear & Golf Corp. (n/k/a Merger Co., Inc.) The Bighub.com, Inc. (n/k/a Capital Consultants Funding, Inc.) Release No. 34-65740 File Number: 3-14587
Nov. 10, 2011	UBS Securities LLC Release No. 34-65733 File Number: 3-14620
Nov. 10, 2011	Longtop Financial Technologies Limited Release No. 34-65734 File Number: 3-14622

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in this Section

Breadcrumb

Administrative Proceedings

E-mail Updates