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, 2013	Peter B. Madoff, Esq. Release No. 34-71207 File Number: 3-15664
Dec. 26, 2013	Instinet, LLC Release No. 34-71191, IA-3748 File Number: 3-15663
Dec. 24, 2013	Jim Poe and Associates, Inc. and James Emory Poe Release No. IA-3747 File Number: 3-15661
Dec. 24, 2013	Kevin Brennan, CPA Release No. 34-71185, AAER-3523 File Number: 3-15662
Dec. 23, 2013	Clinton Ronald Greenman, CPA Release No. 34-71174, AAER-3522 File Number: 3-13709
Dec. 23, 2013	West Coast Asset Management, Inc. and Lance W. Helfert Release No. 33-9501, IA-3746 File Number: 3-15660
Dec. 20, 2013	Kinross-Kennedy, John, CPA Release No. 34-71154, AAER-3520 File Number: 3-15536
Dec. 20, 2013	Melvin, Thomas D., CPA Release No. 34-71161, AAER-3521 File Number: 3-15659
Dec. 20, 2013	Multri-Precision, LLC Release No. 33-9500 File Number: 3-15658
Dec. 20, 2013	Aladdin Capital Management LLC and Aladdin Capital LLC, Joseph A. Schlim Release No. 34-71170 File Number: 3-15134, 3-15135
Dec. 20, 2013	CompuSonics Video Corporation Cameron Elliot, Administrative Law Judge Release No. 34-71151 File Number: 3-15657
Dec. 19, 2013	China Dongfang Healthcare Group, Inc., China Golf Group, Inc., Oma Enterprises Corp., et al. Cameron Elliot, Administrative Law Judge Release No. 34-71135 File Number: 3-15655
Dec. 19, 2013	Bank of Florida Corp., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-71136 File Number: 3-15656
Dec. 18, 2013	G-Trade Services LLC, et al. Release No. 34-71128, IA-3744 File Number: 3-15654
Dec. 18, 2013	Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Carol Fox Foelak, Administrative Law Judge Release No. 34-71118 File Number: 3-13532
Dec. 18, 2013	Home System Group Release No. 34-71112 File Number: 3-15506
Dec. 18, 2013	Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-71119 See Also: Proposed Plan of Distribution File Number: 3-14909
Dec. 18, 2013	Golden Elephant Glass Technology, Inc. Pacific Alliance Corp. Release No. 34-71113 File Number: 3-15649
Dec. 18, 2013	Jonathan Samuel Daspin Release No. 34-71126, IC-30838 File Number: 3-15652
Dec. 18, 2013	The Enlightened Gourmet, Inc. Eternal Image, Inc. Maxconcept International Holdings, Inc. NMT Medical, Inc. U.S. Fuel Corp. Wits Basin Precious Minerals, Inc. Release No. 34-71115 File Number: 3-15650
Dec. 18, 2013	A.G. Volney Center, Inc. (f/k/a Buddha Steel, Inc.) China Green Material Technologies, Inc. China Tractor Holdings, Inc. Franklin Towers Enterprises, Inc. Release No. 34-71110 File Number: 3-15497
Dec. 18, 2013	Thomas Lekargeren Release No. 34-71127, IC-30839 File Number: 3-15653
Dec. 18, 2013	James Vincent Poti, CPA Release No. 34-71117, AAER-3519 File Number: 3-15651
Dec. 18, 2013	Patch International, Inc. QuadTech International, Inc. Strategic Resources, Ltd. Virtual Medical Centre, Inc. Release No. 34-71111 File Number: 3-15499
Dec. 17, 2013	Frank Dappah Release No. IA-3740 File Number: 3-15647
Dec. 17, 2013	Anglin, Ronald Gene Release No. 34-71109, IA-3741 File Number: 3-15648
Dec. 17, 2013	Alex Halimi Release No. 34-71097, IC-30834 File Number: 3-15646
Dec. 13, 2013	Heritage Worldwide, Inc. Impala Mineral Exploration Corp. Klondike Star Mineral Corporation MIV Therapeutics Inc. Most Home Corp. Moventis Capital, Inc. OrganiTECH USA, Inc. Release No. 34-71072 File Number: 3-15596
Dec. 13, 2013	Berkman, Craig d/b/a Ventures Trust LLC Kern, John B Face Off Acquisitions, LLC Face Off Management, LLC a/k/a Face Off Acquisitions Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust V LLC Ventures Trust VI LLC Ventures Trust Asset Fund LLC Ventures Trust Management LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Assensus Capital, LLC Assensus Capital Management, LLC Release No. 33-9495, 34-71075, IA-3739, IC-30831 File Number: 3-15249
Dec. 12, 2013	Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA Release No. 34-71070, IA-3738, AAER-3518 File Number: 3-15645
Dec. 12, 2013	Merrill Lynch, Pierce, Fenner & Smith Incorporated Release No. 33-9493, 34-71051 File Number: 3-15642
Dec. 12, 2013	Joseph G. Parish III and Scott H. Shannon Release No. IA-3735, IC-30828 File Number: 3-15643
Dec. 12, 2013	Bishop, Darlene A. Release No. 34-71065 File Number: 3-15438
Dec. 12, 2013	Mark M. Wayne Release No. 34-71069, IA-3737, IC-30829 File Number: 3-15644
Dec. 12, 2013	GLG Partners, Inc. and GLG Partners, L.P. Release No. 34-71050, AAER-3516 File Number: 3-15641
Dec. 11, 2013	Craig Toll, CPA, Release No. 34-71031, AAER-3515 File Number: 3-15638
Dec. 11, 2013	Matthew K. Lazar Release No. 34-71043, IA-3734 File Number: 3-15639
Dec. 11, 2013	A.L. Waters Capital, LLC Release No. 34-71049 File Number: 3-15640
Dec. 9, 2013	AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-71026 File Number: 3-15517
Dec. 6, 2013	Michael Anthony Gonzalez Release No. 34-71012 File Number: 3-15637
Dec. 5, 2013	ICC Worldwide, Inc. Innova Pure Water, Inc. Paladin Holdings, Inc. Performing Brands, Inc. Petrol Oil and Gas, Inc. Platinum Research Organization, Inc. Renew Energy Resources, Inc. Vital Living, Inc. Release No. 34-70987 File Number: 3-15636
Dec. 5, 2013	John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC Jarkesy, George R., Jr. John Thomas Financial, Inc. Belesis, Anastasios "Tommy" Release No. 34-70989, IA-3732, IC-30818 File Number: 3-15255
Dec. 4, 2013	Community Alliance, Inc. Defi Global, Inc. Easy Energy, Inc. Industry Concept Holdings, Inc. Transworld Benefits International, Inc. Release No. 34-70973 File Number: 3-15632
Dec. 4, 2013	Catch By Gene, Inc. Four Star Holdings, Inc. Great Spirits, Inc. Shatrusen, Inc. Solid Management Corp. Texas Sweet Crude Oil Corp. Release No. 34-70975 File Number: 3-15633
Dec. 4, 2013	Nicholas J. Polito, Jr. Release No. 34-70980, IA-3731 File Number: 3-15634
Dec. 4, 2013	Fifth Third Bancorp and Daniel Poston Release No. 33-9490, 34-70983, AAER-3514 File Number: 3-15635
Dec. 3, 2013	Charles L. Rizzo and Gina M. Hornbogen Release No. 34-70965, 34-70573 See Also: Proposed Distribution Plan File Number: 3-14641
Dec. 3, 2013	Corey Ribotsky Release No. IA-3730 File Number: 3-15631
Dec. 2, 2013	Charles J. Dushek, and Charles S. Dushek, Release No. IA-3729 File Number: 3-15630
Nov. 27, 2013	Marie L. Huber AndJess E. Jones Release No. 33-9488, IA-3728, IC-30814 File Number: 3-15629
Nov. 27, 2013	Imperato, Daniel Release No. 34-70959 File Number: 3-15628
Nov. 26, 2013	Bott, John P. II Falkenberg, F. Robert Parallax Investments, LLC Release No. 34-70944, IA-3726, IC-30810 File Number: 3-15626
Nov. 26, 2013	Tri-Star Advisors, Inc. Payne, William T. Vaughan, Jon C. Release No. IA-3727 File Number: 3-15627
Nov. 26, 2013	Ambassador Capital Management, LLC Oglesby, Derek H. Release No. IA-3725, IC-30809 File Number: 3-15625
Nov. 25, 2013	Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation Release No. 33-9485 File Number: 3-15621
Nov. 25, 2013	John R. Graves Release No. 34-70938, IA-3724 File Number: 3-15623
Nov. 25, 2013	John B. Guyette Release No. 34-70939 File Number: 3-15624
Nov. 25, 2013	Paul Anthony Mozicato Release No. IA-3723 File Number: 3-15622
Nov. 25, 2013	Bogar, Daniel Young, Bernerd E. Green, Jason T. Release No. 33-9484, 34-70934, IA-3722, IC-30805 File Number: 3-15003
Nov. 22, 2013	Daniels, William J. Doxey, Joseph P. Release No. 33-9482, 34-70923 File Number: 3-15619
Nov. 22, 2013	Carbiz, Inc. InZon Corporation IQ Micro, Inc. Irwin Financial Corporation Princeton Media Group, Inc. Release No. 34-70920 File Number: 3-15469
Nov. 22, 2013	Southern USA Resources, Inc. Release No. 34-70921 File Number: 3-15618
Nov. 22, 2013	Byrnee K. Baylor, Esq. Release No. 34-70931 File Number: 3-15620
Nov. 20, 2013	Lorenzo, Gregg C. Lorenzo, Francis V. Charles Vista, LLC Release No. 33-9480, 34-70904 File Number: 3-15211
Nov. 20, 2013	Grossman, Larry C. Adams, Gregory J. Release No. 33-9481, 34-70908, IA-3720, IC-30802 File Number: 3-15617
Nov. 19, 2013	Agamas Capital Management, LP, Release No. IA-3719 File Number: 3-15616
Nov. 19, 2013	HouseRaising, Inc. iElement Corporation InforMedix Holdings, Inc. Nortia Capital Partners, Inc. PC Universe, Inc. Release No. 34-70896 File Number: 3-15615
Nov. 15, 2013	Carlene B. Veara Release No. IA-3718 File Number: 3-15614
Nov. 14, 2013	AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-70870 File Number: 3-15517
Nov. 13, 2013	Gilchrist, Jonathan C. Release No. 34-70867 File Number: 3-15612
Nov. 13, 2013	Martin, Julieann Palmer Release No. 33-9477, 34-70868, IC-30783 File Number: 3-15613
Nov. 7, 2013	Victoria A. Hunt Release No. IA-3713 File Number: 3-15610
Nov. 7, 2013	Prestige Capital Advisors, LLC Release No. IA-3714 File Number: 3-15611
Nov. 6, 2013	Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. Release No. 34-70825 File Number: 3-11701
Nov. 6, 2013	Klatch, Anthony J., II Release No. IA-3712 File Number: 3-15608
Nov. 6, 2013	Sherb & Co., LLP, et al. Release No. 34-70823, AAER-3512 File Number: 3-15609
Nov. 5, 2013	Joseph Sorbara Release No. 34-70814 File Number: 3-15606
Nov. 5, 2013	The Greater Wenatchee Regional Events Center Public Facilities District, et al. Release No. 33-9471 File Number: 3-15602
Nov. 5, 2013	Piper Jaffray & Co. and Jane Towery Release No. 33-9472, 34-70804 File Number: 3-15603
Nov. 5, 2013	Resources Planning Group, Inc. Release No. IA-3710 File Number: 3-15604
Nov. 5, 2013	Charles M. Raspa Release No. 34-70813 File Number: 3-15605
Nov. 5, 2013	Steven Markowitz Release No. 34-70815 File Number: 3-15607
Nov. 1, 2013	AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-70796 File Number: 3-15517
Nov. 1, 2013	John Hagener Release No. IA-3709 File Number: 3-15381
Oct. 31, 2013	Jeremy S. Fisher Release No. 34-70786 File Number: 3-15598
Oct. 31, 2013	Robert Grabowski Release No. 34-70790 File Number: 3-15599
Oct. 31, 2013	Heritage Worldwide, Inc. Impala Mineral Exploration Corp. Klondike Star Mineral Corporation MIV Therapeutics Inc. Most Home Corp. Moventis Capital, Inc. OrganiTECH USA, Inc. Release No. 34-70783 File Number: 3-15596
Oct. 31, 2013	Acies Corporation Immutech Pharmaceuticals, Inc. MRU Holdings, Inc. MSTI Holdings, Inc. Nestor, Inc. New Generation Holdings, Inc. Nuevo Financial Center, Inc. Release No. 34-70785 File Number: 3-15597
Oct. 30, 2013	Terry Paul Ogden Release No. 34-70779 File Number: 3-15595
Oct. 30, 2013	JPMorgan Chase & Co. Release No. 34-70780 File Number: 3-15507
Oct. 30, 2013	Fry Hensley and Company and Nicholas L. Fry, II Release No. 34-70777, IA-3708, IC-30772
Oct. 30, 2013	Wayne Reed Ogden Release No. 34-70778 File Number: 3-15594
Oct. 29, 2013	Joseph M. Mancuso Release No. 34-70768 File Number: 3-15592
Oct. 29, 2013	Scott Tierney Release No. 34-70770 File Number: 3-15593
Oct. 29, 2013	Ronald Baldwin, Jr. CPA Release No. 34-70767, AAER-3511 File Number: 3-15591
Oct. 28, 2013	Knelman Asset Management Group, LLC and Irving P. Knelman Release No. IA-3705, IC-30766 File Number: 3-15588
Oct. 28, 2013	GW & Wade, LLC Release No. IA-3706 File Number: 3-15589
Oct. 28, 2013	Further Lane Asset Management, LLC, et al. Release No. 34-70759, IA-3707, IC-30767 File Number: 3-15590
Oct. 24, 2013	Skyview Holdings Corp., Stonecrest One, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-70750 File Number: 3-15515
Oct. 24, 2013	Stryker Corporation Release No. 34-70751 File Number: 3-15587

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in this Section

Breadcrumb

Administrative Proceedings

E-mail Updates