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.

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Date Sort ascending	Respondents
Dec. 28, 2012	Desert Mining, Inc., Eagle Broadband, Inc., Endovasc, Inc., Environmental Oil Processing Technology Corp., Falcon Ridge Development, Inc., Fellows Energy Ltd., Forster Drilling Corp. (n/k/a Phoenix Drilling Corporation), and Golden Autumn Holdings, Inc. Release No. 34-68544 File Number: 3-15160
Dec. 27, 2012	Stewart A. Merkin, Esq. Release No. 34-68543 File Number: 3-15158
Dec. 27, 2012	Sentinel Investment Management Corporation Release No. IA-3530 File Number: 3-15159
Dec. 27, 2012	Liskov, Jeffrey A. Release No. IA-3527 File Number: 3-15155
Dec. 27, 2012	EagleEye Asset Management, LLC Cameron Elliot, Administrative Law Judge Release No. IA-3528 File Number: 3-15156
Dec. 27, 2012	1st Financial Services, LLC and Jeffry C. Eisnaugle, a/k/a Jeff Chapman Release No. IA-3529, IC-30331 File Number: 3-15157
Dec. 21, 2012	Top Fund Management, Inc. and Barry C. Ziskin Release No. 33-9377 File Number: 3-15154
Dec. 21, 2012	New Generation Biofuels Holdings, Inc. Release No. 34-68508 File Number: 3-15151
Dec. 21, 2012	David C. Lin, Esq. Release No. 34-68509 File Number: 3-15152
Dec. 21, 2012	James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin Release No. IA-3525 File Number: 3-15153
Dec. 20, 2012	Carl N. Duncan Release No. 34-68501 File Number: 3-15149
Dec. 20, 2012	ICP Solar Technologies, Inc., et al. Release No. 34-68485 File Number: 3-15144
Dec. 20, 2012	IAS Energy, Inc., et al. Release No. 34-68486 File Number: 3-15145
Dec. 20, 2012	Steven B. Hart Release No. IA-3524 File Number: 3-15150
Dec. 20, 2012	David E. Ruskjer Cameron Elliot Administrative Law Judge Release No. 34-68499 File Number: 3-15147
Dec. 20, 2012	The New America High Income Fund, Inc.; Robert F. Birch; and Ellen E. Terry Release No. IC-30313 File Number: 3-15146
Dec. 20, 2012	Steven A. Gould Release No. 34-68500, IA-3523, AAER-3433 File Number: 3-15148
Dec. 20, 2012	IBroadband, Inc., et al. Release No. 34-68484 File Number: 3-15143
Dec. 19, 2012	China Wesen Recycling Technology, Inc., et al. Release No. 34-68466 File Number: 3-15111
Dec. 19, 2012	Claymore Advisors, LLC Release No. IA-3519 File Number: 3-15139
Dec. 19, 2012	Fiduciary Asset Management, LLC Release No. IA-3520 File Number: 3-15140
Dec. 19, 2012	Riad, Mohammed Swanson, Kevin Timothy Release No. 34-68467 File Number: 3-15141
Dec. 19, 2012	C.D. Acquisition Corp., et al. Release No. 34-68465 File Number: 3-15099
Dec. 19, 2012	Michael Passaro Release No. 34-68477 File Number: 3-15142
Dec. 18, 2012	New England Investment and Retirement Group, Inc. and Nicholas John Giacoumakis Release No. IA-3516 File Number: 3-15137
Dec. 18, 2012	David G. Ghysels, Kenneth E. Mahaffy, Jr., and Linus N. Nwaigwe Robert G. Mahony, Administrative Law Judge Release No. 34-68462, IA-3517 File Number: 3-13481
Dec. 18, 2012	HearMe, et al. Release No. 34-68463 File Number: 3-15138
Dec. 18, 2012	DIAS Holding, Inc., Earthblock Technologies, Inc., Ensurapet, Inc., FIIC Holdings, Inc., GEM Solutions, Inc., Gold Star Tutoring Services, Inc., and GPS Industries, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68454 File Number: 3-15090
Dec. 18, 2012	Biremis Corporation, Peter Beck, and Charles Kim Release No. 34-68456 File Number: 3-15136
Dec. 17, 2012	Joseph A. Schlim Release No. 33-9375, IA-3515 File Number: 3-15135
Dec. 17, 2012	J. Brian Laib, CPA Release No. 34-68449, AAER-3431 File Number: 3-15133
Dec. 17, 2012	Allianz SE Release No. 34-68448 File Number: 3-15132
Dec. 17, 2012	Aladdin Capital Management LLC and Aladdin Capital LLC Release No. 33-9374, IA-3514 File Number: 3-15134
Dec. 14, 2012	Rajnish K. Das Release No. 34-68436, AAER-3430 File Number: 3-15078
Dec. 14, 2012	James Warren Margulies Release No. 34-68446 File Number: 3-15131
Dec. 14, 2012	Stormy L. Dean Release No. 34-68435, AAER-3429 File Number: 3-15077
Dec. 13, 2012	Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne E. Lipski, CPA Release No. 34-68420 See Also: Proposed Plan of Distribution , and Notice of Settlement Submit Comments on: 34-68420
Dec. 13, 2012	Deloitte & Touche (South Africa) Release No. 34-68432, AAER-3428 File Number: 3-15129
Dec. 12, 2012	DIAS Holding, Inc., Earthblock Technologies, Inc., Ensurapet, Inc., FIIC Holdings, Inc., GEM Solutions, Inc., Gold Star Tutoring Services, Inc., and GPS Industries, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68411 File Number: 3-15090
Dec. 12, 2012	The Hartcourt Companies, Inc., et al. Release No. 34-68409 File Number: 3-15128
Dec. 11, 2012	Careside, Inc., et al. Release No. 34-68397 File Number: 3-15085
Dec. 10, 2012	China Voice Holding Corp. China Yongxin Pharmaceuticals, Inc. Creative Technologies Holdings, Inc. Crestek, Inc. Crys*Tel Telecommunications.com, Inc. (n/k/a Fleet Management Solutions, Inc.) CSI Computer Specialists, Inc. CST Entertainment, Inc. (n/k/a Legacy Holding, Inc.) Release No. 34-68388 File Number: 3-15076
Dec. 10, 2012	J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III Release No. IC-30300 File Number: 3-15127
Dec. 6, 2012	Dominic O'Dierno Release No. 34-68371 File Number: 3-15123
Dec. 6, 2012	William J. Reilly, Esq. Release No. 34-68374 File Number: 3-15126
Dec. 6, 2012	QuillIndustries, Inc. (n/k/a Eagle Worldwide Inc.), et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68366 File Number: 3-14943
Dec. 6, 2012	Bandimere, David F. Young, John O. Release No. 33-9372, 34-68372, IC-30293, IA-3511 File Number: 3-15124
Dec. 6, 2012	Benjamin R. Daniels Release No. 34-68369 File Number: 3-15121
Dec. 6, 2012	David R. Smith Release No. 33-9373, 34-68373, IC-30294 File Number: 3-15125
Dec. 6, 2012	Stephen Persad Release No. 34-68370 File Number: 3-15122
Dec. 5, 2012	Adam Harrington a/k/a Adam Rukdeschel and Adam Harrington Ruckdeschel Carol Fox Foelak, Administrative Law Judge Release No. 34-68365 File Number: 3-15119
Dec. 5, 2012	Changed E-Mail, Inc., et al. Release No. 34-68355 File Number: 3-15096
Dec. 5, 2012	Castle Hill Associates, Inc., et al. Release No. 34-68356 File Number: 3-15088
Dec. 5, 2012	Martin Miles Werner Release No. 34-68364 File Number: 3-15118
Dec. 4, 2012	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 Release No. 34-68349 File Number: 3-15098
Dec. 4, 2012	HealthSport, Inc., et al. Release No. 34-68345 File Number: 3-15117
Dec. 4, 2012	China Voice Holding Corp. China Yongxin Pharmaceuticals, Inc. Creative Technologies Holdings, Inc. Crestek, Inc. Crys*Tel Telecommunications.com, Inc. (n/k/a Fleet Management Solutions, Inc.) CSI Computer Specialists, Inc. CST Entertainment, Inc. (n/k/a Legacy Holding, Inc.) Release No. 34-68346 File Number: 3-15076
Dec. 4, 2012	Joseph S. Blimline Release No. 34-68347 File Number: 3-15016
Dec. 3, 2012	Caribbean Pacific Marketing, Inc. Release No. 33-9371 File Number: 3-15083
Dec. 3, 2012	Castle Hill Associates, Inc., et al. Release No. 34-68332 File Number: 3-15088
Dec. 3, 2012	BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming, LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited Release No. 34-68335, AAER-3426 File Number: 3-15116
Dec. 3, 2012	China Voice Holding Corp. China Yongxin Pharmaceuticals, Inc. Creative Technologies Holdings, Inc. Crestek, Inc. Crys*Tel Telecommunications.com, Inc. (n/k/a Fleet Management Solutions, Inc.) CSI Computer Specialists, Inc. CST Entertainment, Inc. (n/k/a Legacy Holding, Inc.) Release No. 34-68333 File Number: 3-15076
Dec. 3, 2012	Arnett L. Waters Release No. 34-68334, IA-3509 File Number: 3-15115
Nov. 30, 2012	Stephen P. Amella Release No. 34-68327 File Number: 3-15113
Nov. 30, 2012	Anand Sekaran Release No. 34-68331, IA-3508 File Number: 3-15114
Nov. 29, 2012	China Wesen Recycling Technology, Inc., et al. Release No. 34-68321 See Also: the Japanese version File Number: 3-15111
Nov. 29, 2012	Angelo A. Alleca Release No. 34-68323, IA-3507 File Number: 3-15112
Nov. 29, 2012	Encore Clean Energy, Inc., et al. Release No. 34-68315 File Number: 3-15110
Nov. 28, 2012	Careside, Inc., et al. Release No. 34-68304 File Number: 3-15085
Nov. 28, 2012	KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA, and R. Jonathan Corless Release No. 34-68307, AAER-3425 File Number: 3-15109
Nov. 27, 2012	Morgan Stanley & Co. Incorporated Release No. 34-68299 File Number: 3-12631
Nov. 27, 2012	Ambit Capital Pvt. Ltd. Release No. 34-68295 File Number: 3-15105
Nov. 27, 2012	Motilal Oswal Securities Limited Release No. 34-68296 File Number: 3-15106
Nov. 27, 2012	JM Financial Institutional Securities Private Limited Release No. 34-68297 File Number: 3-15107
Nov. 27, 2012	Fearless International, Inc., Glassmaster Company, Global Entertainment Holdings/Equities, Inc., Global Realty Development Corp., Global Roaming Distribution, Inc., and Gottaplay Interactive, Inc. Release No. 34-68291 File Number: 3-15073
Nov. 27, 2012	Edelweiss Financial Services Limited Release No. 34-68298 File Number: 3-15108
Nov. 27, 2012	Vision Twenty One, Inc. Release No. 34-68292 File Number: 3-15008
Nov. 26, 2012	John S. Morgan, et al. Release No. 34-68289 File Number: 3-14967
Nov. 23, 2012	Florin S. Ilovici Release No. 34-68285 File Number: 3-14948
Nov. 21, 2012	Diomed Holdings, Inc., et al. Release No. 34-68278 File Number: 3-15047
Nov. 21, 2012	Weizhan Tang Release No. IA-3505 File Number: 3-15060
Nov. 21, 2012	Ward K. Capstick Release No. 34-68284 File Number: 3-15104
Nov. 20, 2012	Gary R. Marks Release No. 34-68275, IA-3504 File Number: 3-15103
Nov. 20, 2012	EM Capital Management, LLC and Seth Richard Freeman Release No. IA-3502 File Number: 3-15101
Nov. 20, 2012	Evens Barthelemy and Barthelemy Group LLC Release No. IA-3503, IC-30278 File Number: 3-15102
Nov. 19, 2012	Charles C. Slowey, Jr. Release No. 34-68259 File Number: 3-15100
Nov. 19, 2012	Charles L. Rizzo and Gina M. Hornbogen Release No. 34-68264 File Number: 3-14641
Nov. 19, 2012	C.D. Acquisition Corp., et al. Release No. 34-68256 File Number: 3-15099
Nov. 19, 2012	Wilfred R. Blum and Alexander Lindale, LLC Release No. 34-68258, IC-30269 File Number: 3-14961
Nov. 16, 2012	Diomed Holdings, Inc., et al. Release No. 34-68250 File Number: 3-15047
Nov. 16, 2012	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 Release No. 33-9368, 34-68251 File Number: 3-15098
Nov. 16, 2012	Wonder Auto Technology, Inc. Release No. 34-68249 File Number: 3-15097
Nov. 15, 2012	Massachusetts Mutual Life Insurance Company Release No. IC-30264 File Number: 3-15095
Nov. 15, 2012	Changed E-Mail, Inc., et al. Release No. 34-68248 File Number: 3-15096
Nov. 14, 2012	Garth Ronald Peterson Release No. IA-3501 File Number: 3-15093
Nov. 14, 2012	Bradford Keith Dent Release No. 34-68223 File Number: 3-15039
Nov. 14, 2012	James S. Quay a/k/a Jim Quay, a/k/a Stephen Quay, and a/k/a Stephen Jameson Release No. 34-68234, AAER-3424 File Number: 3-15091
Nov. 14, 2012	James S. Quay a/k/a Jim Quay, a/k/a Stephen Quay, and a/k/a Stephen Jameson Release No. 34-68235 File Number: 3-15092
Nov. 14, 2012	Michael J. Southworth Release No. 34-68236 File Number: 3-15094
Nov. 14, 2012	DIAS Holding, Inc., Earthblock Technologies, Inc., Ensurapet, Inc., FIIC Holdings, Inc., GEM Solutions, Inc., Gold Star Tutoring Services, Inc., and GPS Industries, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68221 File Number: 3-15090

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