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Administrative Proceedings

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

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Release No. Date Respondents
Fourth Quarter
34-71207 Dec. 30, 2013 Peter B. Madoff, Esq.
34-71191 Dec. 26, 2013 Instinet, LLC
Other Release No.: IA-3748
34-71185 Dec. 24, 2013 Kevin Brennan, CPA
Other Release No.: AAER-3523
IA-3747 Dec. 24, 2013 Jim Poe and Associates, Inc. and James Emory Poe
33-9501 Dec. 23, 2013 West Coast Asset Management, Inc. and Lance W. Helfert
Other Release No.: IA-3746
34-71174 Dec. 23, 2013 Clinton Ronald Greenman, CPA
Other Release No.: AAER-3522
34-71170 Dec. 20, 2013 Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim
33-9500 Dec. 20, 2013 Multri-Precision, LLC
34-71161 Dec. 20, 2013 Thomas D. Melvin, CPA
Other Release No.: AAER-3521
34-71154 Dec. 20, 2013 John Kinross-Kennedy, CPA
Other Release No.: AAER-3520
34-71151 Dec. 20, 2013 CompuSonics Video Corporation
34-71136 Dec. 19, 2013 Bank of Florida Corp., et al.
34-71135 Dec. 19, 2013 China Dongfang Healthcare Group, Inc., et al.
34-71128 Dec. 18, 2013 G-Trade Services LLC, Convergex Global Markets Limited, and Convergex Execution Solutions LLC
Other Release No.: IA-3744
34-71127 Dec. 18, 2013 Thomas Lekargeren
Other Release No.: IC-30839
34-71126 Dec. 18, 2013 Jonathan Samuel Daspin
Other Release No.: IC-30838
34-71119 Dec. 18, 2013 Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
Note: See also Proposed Plan of Distribution
34-71118 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, Mark W. Wells
34-71117 Dec. 18, 2013 James Vincent Poti, CPA
Other Release No.: AAER-3519
34-71115 Dec. 18, 2013 The Enlightened Gourmet, Inc., et al.
34-71113 Dec. 18, 2013 Golden Elephant Glass Technology, Inc., and Pacific Alliance Corp.
34-71112 Dec. 18, 2013 Home Systems Group
34-71111 Dec. 18, 2013 Patch International, Inc., et al.
34-71110 Dec. 18, 2013 A.G. Volney Center (f/k/a Buddha Steel, Inc.), et al.
34-71109 Dec. 17, 2013 Ronald Gene Anglin
Other Release No.: IA-3741
IA-3740 Dec. 17, 2013 Frank Dappah
34-71097 Dec. 17, 2013 Alex Halimi
Other Release No.: IC-30834
33-9495 Dec. 13, 2013 Craig Berkman, d/b/a Ventures Trust LLC, et al.
Other Release Nos.: 34-71075, IA-3739, IC-30831
34-71072 Dec. 13, 2013 Heritage Worldwide, Inc., et al.
34-71070 Dec. 12, 2013 Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA
Other Release Nos.: IA-3738, AAER-3518
34-71069 Dec. 12, 2013 Mark M. Wayne
Other Release Nos.: IA-3737, IC-30829
34-71065 Dec. 12, 2013 Darlene A. Bishop
IA-3735 Dec. 12, 2013 Joseph G. Parish III and Scott H. Shannon
Other Release No.: IC-30828
33-9493 Dec. 12, 2013 Merrill Lynch, Pierce, Fenner & Smith Incorporated
Other Release No.: 34-71051
34-71050 Dec. 12, 2013 GLG Partners, Inc. and GLG Partners, L.P.
Other Release No.: AAER-3516
34-71049 Dec. 11, 2013 A.L. Waters Capital, LLC
34-71043 Dec. 11, 2013 Matthew K. Lazar
Other Release No.: IA-3734
34-71031 Dec. 11, 2013 Craig Toll, CPA,
Other Release No.: AAER-3515
34-71026 Dec. 9, 2013 AcuNetx, Inc.
34-71012 Dec. 6, 2013 Michael Anthony Gonzalez
34-70989 Dec. 5, 2013 John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, et al.
Other Release Nos.: IA-3732, IC-30818
34-70987 Dec. 5, 2013 ICC Worldwide, Inc., et al.
33-9490 Dec. 4, 2013 Fifth Third Bancorp and Daniel Poston
Other Release Nos.: 34-70983, AAER-3514
34-70980 Dec. 4, 2013 Nicholas J. Polito, Jr.
Other Release No.: IA-3731
34-70975 Dec. 4, 2013 Catch by Gene, Inc., et al.
34-70973 Dec. 4, 2013 Community Alliance, Inc., et al.
IA-3730 Dec. 3, 2013 Corey Ribotsky
34-70965 Dec. 3, 2013 Charles L. Rizzo and Gina M. Hornbogen
Other Release No.: 34-70573
Note: See also Proposed Distribution Plan
IA-3729 Dec. 2, 2013 Charles J. Dushek, and Charles S. Dushek,
33-9488 Nov. 27, 2013 Marie L. Huber And Jess E. Jones
Other Release Nos.: IA-3728, IC-30814
34-70959 Nov. 27, 2013 Daniel Imperato
IA-3725 Nov. 26, 2013 Ambassador Capital Management, LLC and Derek H. Oglesby
Other Release No.: IC-30809
IA-3727 Nov. 26, 2013 Tri-Star Advisors, Inc., William T. Payne, and Jon C. Vaughan
34-70944 Nov. 26, 2013 Parallax Investments, LLC, John P. Bott, II, and F. Robert Falkenberg
Other Release Nos.: IA-3726, IC-30810
IA-3723 Nov. 25, 2013 Paul Anthony Mozicato
34-70939 Nov. 25, 2013 John B. Guyette
34-70938 Nov. 25, 2013 John R. Graves
Other Release No.: IA-3724
33-9485 Nov. 25, 2013 Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation
33-9484 Nov. 25, 2013 Daniel Bogar, Bernerd E. Young, and Jason T. Green
Other Release Nos.: 34-70934, IA-3722, IC-30805
34-70931 Nov. 22, 2013 Byrnee K. Baylor, Esq.
34-70921 Nov. 22, 2013 Southern USA Resources, Inc.
34-70920 Nov. 22, 2013 Carbiz, Inc., et al.
33-9482 Nov. 22, 2013 Joseph P. Doxey and William J. Daniels
Other Release No.: 34-70923
33-9481 Nov. 20, 2013 Larry C. Grossman and Gregory J. Adams
Other Release Nos.: 34-70908, IA-3720, IC-30802
33-9480 Nov. 20, 2013 Gregg C. Lorenzo, et al.
Other Release No.: 34-70904
IA-3719 Nov. 19, 2013 Agamas Capital Management, LP,
34-70896 Nov. 19, 2013 Houseraising, Inc., et al.
IA-3718 Nov. 15, 2013 Carlene B. Veara
34-70870 Nov. 14, 2013 Acunetx, Inc., Alliance Pharmaceutical Corp., BBV Vietnam S.E.A. Acquisition Corp., Cash Technologies, Inc., Conspiracy Entertainment Holdings, Inc., Dematco, Inc., and Interactive Systems Worldwide, Inc.
34-70867 Nov. 13, 2013 Jonathan C. Gilchrist
33-9477 Nov. 13, 2013 Julieann Palmer Martin
Other Release Nos.: 34-70868, IC-30783
IA-3714 Nov. 7, 2013 Prestige Capital Advisors, LLC
IA-3713 Nov. 7, 2013 Victoria A. Hunt
34-70825 Nov. 6, 2013 Invesco Funds Group, Inc.
34-70823 Nov. 6, 2013 Sherb & Co., LLP, et al.
Other Release No.: AAER-3512
IA-3712 Nov. 6, 2013 Anthony J. Klatch, II
34-70815 Nov. 5, 2013 Steven Markowitz
34-70814 Nov. 5, 2013 Joseph Sorbara
34-70813 Nov. 5, 2013 Charles M. Raspa
IA-3710 Nov. 5, 2013 Resources Planning Group, Inc.
33-9472 Nov. 5, 2013 Piper Jaffray & Co. and Jane Towery
Other Release No.: 34-70804
33-9471 Nov. 5, 2013 The Greater Wenatchee Regional Events Center Public Facilities District, et al.
IA-3709 Nov. 1, 2013 John Hagener
34-70796 Nov. 1, 2013 AcuNetx, Inc., et al.
34-70790 Oct. 31, 2013 Robert Grabowski
34-70786 Oct. 31, 2013 Jeremy S. Fisher
34-70785 Oct. 31, 2013 Acies Corporation, et al.
34-70783 Oct. 31, 2013 Heritage Worldwide, Inc., et al.
34-70780 Oct. 30, 2013 JPMorgan Chase & Co.
34-70779 Oct. 30, 2013 Terry Paul Ogden
34-70778 Oct. 30, 2013 Wayne Reed Ogden
34-70777 Oct. 30, 2013 Fry Hensley and Company and Nicholas L. Fry, II
Other Release Nos.: IA-3708; IC-30772
34-70770 Oct. 29, 2013 Scott Tierney
34-70768 Oct. 29, 2013 Joseph M. Mancuso
34-70767 Oct. 29, 2013 Ronald Baldwin, Jr. CPA
Other Release No.: AAER-3511
34-70759 Oct. 28, 2013 Further Lane Asset Management, LLC, et al.
Other Release Nos.: IA-3707, IC-30767
IA-3706 Oct. 28, 2013 GW & Wade, LLC
IA-3705 Oct. 28, 2013 Knelman Asset Management Group, LLC and Irving P. Knelman
Other Release No.: IC-30766
34-70751 Oct. 24, 2013 Stryker Corporation
34-70750 Oct. 24, 2013 Skyview Holdings Corp., et al.
34-70749 Oct. 23, 2013 Huakang Zhou (a/k/a David Zhou), et al.
IA-3702 Oct. 23, 2013 Modern Portfolio Management, Inc., G. Thomas Damasco Ii, and Bryan F. Ohm
34-70743 Oct. 23, 2013 Equitas Capital Advisors, LLC, et al.
Other Release No.: IA-3704
34-70742 Oct. 23, 2013 Stephen Derby Gisclair
Other Release No.: IA-3703
34-70740 Oct. 22, 2013 Ox Trading, LLC, et al.
Other Release No.: IC-30753
34-70739 Oct. 22, 2013 Ox Trading, LLC, et al.
34-70737 Oct. 22, 2013 Aleksey P. Koval a/k/a Alexei P. Koval
Other Release No.: IA-3701
34-70729 Oct. 22, 2013 China Ritar Power Corp.
IA-3699 Oct. 21, 2013 Todd Newman
IA-3698 Oct. 21, 2013 Anthony Chiasson
IA-3697 Oct. 21, 2013 Stephen E. Gagnon
34-70727 Oct. 21, 2013 Peter C. Orthos
34-70724 Oct. 21, 2013 High End Ventures, Inc.
34-70722 Oct. 21, 2013 Newtech Resources Ltd.
34-70716 Oct. 18, 2013 James A. Philbrook
33-9468 Oct. 18, 2013 Daniel J. Gallagher
Other Release No.: 34-70712
33-9467 Oct. 18, 2013 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-3696, IC-30746
34-70710 Oct. 18, 2013 AcuNetx, Inc., et al.
IA-3695 Oct. 17, 2013 Edwin V. Gaw
IA-3694 Oct. 17, 2013 Gignesh Movalia
34-70700 Oct. 17, 2013 American Energy Production, Inc., et al.
34-70699 Oct. 17, 2013 Anhui Taiyang Poultry Co., Inc., a/k/a The Parkview Group, Inc., et al.
IA-3692 Oct. 16, 2013 Michael J. Fulcher
34-70695 Oct. 16, 2013 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
34-70694 Oct. 16, 2013 Knight Capital Americas LLC
34-70690 Oct. 16, 2013 Bonanza One, Inc., et al.
34-70686 Oct. 15, 2013 John Micciola
34-70680 Oct. 11, 2013 Thomas S. Mulholland
34-70679 Oct. 11, 2013 James C. Mulholland, Jr.
34-70678 Oct. 11, 2013 Jonathan Fraiman
Other Release No.: IA-3691
IA-3690 Oct. 11, 2013 Burton Douglas Morriss
34-70661 Oct. 11, 2013 Crescent Moon, Inc., et al.
34-70660 Oct. 11, 2013 Anasazi Capital Corp., et al.
34-70659 Oct. 10, 2013 Mark S. Cupo (CPA)
Other Release No.: AAER-3507
34-70658 Oct. 10, 2013 John Lazorchak (CPA)
Other Release No.: AAER-3506
34-70656 Oct. 10, 2013 Mark Gasarch
34-70651 Oct. 9, 2013 Stuart M. Rubens
34-70650 Oct. 9, 2013 Shawn H. Moore
34-70649 Oct. 9, 2013 Peter D. Kirschner
34-70648 Oct. 9, 2013 Morgan Stanley & Co. Incorporated
34-70646 Oct. 9, 2013 Corbin Jones
34-70645 Oct. 9, 2013 Robert Petrozzo
34-70642 Oct. 9, 2013 Timothy J. Geidel
Other Release No.: IA-3689
34-70641 Oct. 9, 2013 Martin E. Weisberg
34-70640 Oct. 9, 2013 Mark Steven Berg
34-70635 Oct. 9, 2013 Anasazi Capital Corp., et al.
34-70634 Oct. 9, 2013 HydroGen Corp., et al.
IA-3688 Oct. 8, 2013 Richard Lee
34-70633 Oct. 8, 2013 Arn Wilson
34-70622 Oct. 8, 2013 American Energy Production, Inc., et al.
34-70616 Oct. 7, 2013 Municipal Mortgage & Equity LLC, et al.
34-70615 Oct. 4, 2013 JPMorgan Chase & Co.
34-70610 Oct. 4, 2013 China Ritar Power Corp.
34-70604 Oct. 3, 2013 Anasazi Capital Corp., et al.
33-9462 Oct. 2, 2013 Manarin Investment Counsel, Ltd., et al.
Other Release Nos.: 34-70595, IA-3686, IC-30740
34-70602 Oct. 2, 2013 Jing Xie
Other Release No.: AAER-3505
34-70594 Oct. 2, 2013 GBS Com-Tech Corp., et al.
IA-3684 Oct. 1, 2013 Brewer Investment Advisor, LLC (Corrected)
34-70592 Oct. 1, 2013 Philip Mark Cain
Other Release No.: IA-3685
34-70591 Oct. 1, 2013 GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran
Other Release Nos.: 34-68869, 34-68774, 33-9315
34-70587 Oct. 1, 2013 Altus Pharmaceuticals, Inc., et al.
34-70586 Oct. 1, 2013 Big Bear Mining Corp., et al.
34-70585 Oct. 1, 2013 Kís Media
34-70584 Oct. 1, 2013 G-Cats Acquisition Corp., et al.
34-70583 Oct. 1, 2013 Big Bear Mining Corp., et al.
34-70582 Oct. 1, 2013 Axcess International, Inc., et al.
Third Quarter
34-70581 Sep. 30, 2013 James L. Brandolino
34-70580 Sep. 30, 2013 China Ruitai International Holdings Co., LTD.
34-70579 Sep. 30, 2013 China Ruitai International Holdings Co., Ltd., et al.
Other Release No.: AAER-3504
34-70573 Sep. 30, 2013 Charles L. Rizzo and Gina M. Hornbogen
Note: See also Proposed Distribution Plan
Comments received are available for this notice.
34-70577 Sep. 30, 2013 Craig Shapiro
34-70576 Sep. 30, 2013 Steven Scarcella
33-9461 Sep. 30, 2013 Robert Patrick Stephens
Other Release No.: 34-70578
33-9460 Sep. 30, 2013 Adam Troy Dooly
34-70572 Sep. 30, 2013 Geoffrey H. Lunn
34-70571 Sep. 30, 2013 Lawrence Maxwell McCoy
Other Release No.: IA-3683
34-70567 Sep. 30, 2013 Wilfred W. Hanson, CPA
Other Release No.: AAER-3503
34-70566 Sep. 30, 2013 John Kinross-Kennedy, CPA
Other Release No.: AAER-3502
34-70564 Sep. 30, 2013 Malcolm L. Pollard, CPA and Malcolm L. Pollard, Inc.
Other Release No.: AAER-3501
34-70563 Sep. 30, 2013 Massimo L. Martinucci
34-70562 Sep. 30, 2013 Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA
Other Release No.: AAER-3500
34-70561 Sep. 30, 2013 Michael McGrath, CPA
Other Release No.: AAER-3499
34-70557 Sep. 30, 2013 John W. Jacobsen, CPA
Other Release No.: AAER-3498
34-70556 Sep. 30, 2013 Brian D. Fox
34-70553 Sep. 30, 2013 Rick D. Snow, CPA
Other Release No.: AAER-3497
34-70551 Sep. 30, 2013 Municipal Mortgage & Equity LLC, et al.
34-70550 Sep. 30, 2013 Colorado 2001B Limited Partnership, et al.
34-70549 Sep. 27, 2013 Scott London, CPA
Other Release No.: AAER-3496
33-9459 Sep. 27, 2013 Commonwealth Income & Growth Fund, Inc. and Kimberly Springsteen-Abbott
Other Release No.: 34-70547
34-70537 Sep. 27, 2013 Axcess International, Inc., et al.
34-70536 Sep. 27, 2013 Universal Travel Group
34-70534 Sep. 26, 2013 Alan Ferraro
34-70533 Sep. 26, 2013 George B. Franz III and Ruby Corporation
Other Release Nos.: IA-3682, IC-30736
34-70527 Sep. 26, 2013 Brian G. Elrod
Other Release No.: IA-3681
34-70526 Sep. 26, 2013 Nova Dean Pack, Esq.
34-70507 Sep. 26, 2013 Colorado 2001B Limited Partnership, et al.
34-70506 Sep. 26, 2013 Camelot Entertainment Group, Inc., et al.
IA-3680 Sep. 25, 2013 Yusaf Jawed
34-70494 Sep. 25, 2013 Left Behind Games, Inc.
34-70493 Sep. 25, 2013 Axius, Inc.
34-70492 Sep. 24, 2013 Owen Mark Williams, CPA
Other Release No.: AAER-3491
34-70490 Sep. 24, 2013 Philip David Horn
Other Release No.: IA-3679
IA-3678 Sep. 24, 2013 Timbervest, LLC, et al.
Other Release No.: IC-30697
33-9455 Sep. 24, 2013 Diego F. Hernandez, et al.
Other Release Nos.: 34-70485, IA-3677, IC-30696
34-70481 Sep. 24, 2013 AcuNetx, Inc., et al.
34-70479 Sep. 24, 2013 Redfin Network, Inc.
34-70475 Sep. 23, 2013 Bonanza One, Inc., China Century Dragon Media, Inc., Farrallon, Inc., Ora Electronics, Inc., Tia I, Inc., and Tia II, Inc.,
34-70474 Sep. 23, 2013 Skyview Holdings Corp., Stonecrest One, Inc., Sunstates Corp., Tetragenex Pharmaceuticals, Inc., Tia III, Inc. (n/k/a PTL Energy, Inc.), Tia IV, Inc., Ultimate Indoor Football League, Inc., and United States Oil and Gas Corp.
34-70471 Sep. 23, 2013 James R. Lanier
Other Release No.: IA-3673
33-9454 Sep. 23, 2013 Donald J. Anthony, Jr., Frank H. Chiappone, Richard D. Feldmann, William P. Gamello, Andrew G. Guzzetti, William F. Lex, Thomas E. Livingston, Brian T. Mayer, Philip S. Rabinovich, and Ryan C. Rogers
Other Release Nos.: 34-70473, IA-3674, IC-30694
33-9453 Sep. 23, 2013 TD Bank, N.A.
34-70469 Sep. 23, 2013 Advantage Technologies, Inc., et al.
34-70466 Sep. 20, 2013 David Blech
34-70461 Sep. 20, 2013 China Lithium Technologies, Inc., and China Wi-Max Communications, Inc.
IA-3672 Sep. 19, 2013 Stephen C. Bond
34-70458 Sep. 19, 2013 JPMorgan Chase & Co.
Other Release No.: AAER-3490
34-70456 Sep. 19, 2013 Home System Group
34-70455 Sep. 19, 2013 American Asset Development, Inc., et al.
34-70453 Sep. 19, 2013 Altus Pharmaceuticals, Inc., et al.
34-70452 Sep. 19, 2013 John Moraitis
34-70450 Sep. 18, 2013 Brendan N. Connors, CPA
Other Release No.: AAER-3489
34-70449 Sep. 18, 2013 Marc G. Nochimson, CPA
Other Release No.: AAER-3488
34-70448 Sep. 18, 2013 Medifast, Inc.
Other Release No.: AAER-3487
34-70447 Sep. 18, 2013 Edmund E. Wilson
IA-3671 Sep. 18, 2013 Shadron L. Stastney
Other Release No.: IC-30689
34-70438 Sep. 18, 2013 Patch International, Inc., et al.
34-70436 Sep. 18, 2013 Municipal Mortgage & Equity LLC, et al.
34-70434 Sep. 18, 2013 A.G. Volney Center, Inc. (f/k/a Buddha Steel, Inc.), et al.
34-70433 Sep. 18, 2013 American Energy Production, Inc., et al.
34-70431 Sep. 18, 2013 AIMS Worldwide, Inc., et al.
34-70422 Sep. 17, 2013 GBS Com-Tech Corp., et al.
34-70415 Sep. 16, 2013 JGP Global Gestão de Recursos Ltda.
34-70414 Sep. 16, 2013 G-2 Trading LLC
34-70413 Sep. 16, 2013 Western Standard, LLC
34-70412 Sep. 16, 2013 Philadelphia Financial Management of San Francisco, LLC
34-70411 Sep. 16, 2013 War Chest Capital Partners LLC
34-70410 Sep. 16, 2013 PEAK6 Capital Management LLC
34-70409 Sep. 16, 2013 Pan Capital AB
34-70408 Sep. 16, 2013 Vollero Beach Capital Partners LLC
34-70407 Sep. 16, 2013 Ontario Teachersí Pension Plan Board
34-70406 Sep. 16, 2013 Talkot Capital LLC
34-70405 Sep. 16, 2013 Merus Capital Partners, LLC
34-70404 Sep. 16, 2013 Southpoint Capital Advisors LP
34-70403 Sep. 16, 2013 Soundpost Partners, LP
34-70402 Sep. 16, 2013 Meru Capital Group, LP
34-70401 Sep. 16, 2013 Manikay Partners LLC
34-70400 Sep. 16, 2013 M.S. Junior, Inc., et al.
34-70399 Sep. 16, 2013 Hudson Bay Capital Management LP
34-70398 Sep. 16, 2013 Deerfield Management Company, L.P.
34-70397 Sep. 16, 2013 Polo Capital International Gestão de Recursos Ltda.
34-70396 Sep. 16, 2013 D. E. Shaw & Co., L.P.
34-70394 Sep. 16, 2013 Credentia Group, LLC
34-70393 Sep. 16, 2013 Claritas Investment, Ltd.
34-70392 Sep. 16, 2013 Blackthorn Investment Group, LLC
34-70391 Sep. 16, 2013 China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc.
34-70390 Sep. 13, 2013 Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), et al.
33-9450 Sep. 13, 2013 Public Health Trust of Miami-Dade County, Florida
34-70388 Sep. 13, 2013 Sarkauskas and Associates, Inc. and James M. Sarkauskas
Other Release Nos.: IA-3669, IC-30687
34-70387 Sep. 13, 2013 iVoice, Inc., et al.
IA-3668 Sep. 12, 2013 Benjamin Daniel DeHaan
34-70380 Sep. 12, 2013 Avani International Group, Inc., et al.
34-70379 Sep. 12, 2013 Altus Pharmaceuticals, Inc., et al.
34-70378 Sep. 12, 2013 Soil Biogenics Ltd.
34-70376 Sep. 12, 2013 Axcess International, Inc., et al.
34-70374 Sep. 12, 2013 Carbiz, Inc., et al.
34-70368 Sep. 11, 2013 Eric T. Burns
Other Release No.: IA-3667
34-70367 Sep. 10, 2013 Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
34-70365 Sep. 10, 2013 Colorado 2001B Limited Partnership, Fusion Golf Shafts, Inc., and Graphics Technologies, Inc.
34-70359 Sep. 10, 2013 Laura A. Roser
34-70355 Sep. 10, 2013 Big Bear Mining Corp., et al.
34-70353 Sep. 10, 2013 HydroGen Corp., et al.
34-70351 Sep. 10, 2013 Exmocare, Inc. (n/k/a Second Solar, Inc.), et al.
34-70344 Sep. 6, 2013 John A. Picini
34-70343 Sep. 6, 2013 Victor Manuel Rivera, Jr.
Other Release No.: IA-3666
34-70341 Sep. 6, 2013 Timothy M. McGinn and David L. Smith
Other Release No.: IA-3665
34-70340 Sep. 6, 2013 David G. Bartholomew
34-70338 Sep. 6, 2013 Ralph A. Saviano
Other Release No.: IA-3664
34-70337 Sep. 6, 2013 Lawrence D. Polizzotto
34-70333 Sep. 6, 2013 North China Horticulture, Inc.
34-70332 Sep. 5, 2013 Spencer C. Barasch
34-70331 Sep. 5, 2013 Axius, Inc.
34-70330 Sep. 5, 2013 Anthony John Johnson
Other Release No.: IA-3663
34-70329 Sep. 5, 2013 Craig Kugel
Other Release No.: IA-3662
IA-3660 Sep. 5, 2013 Ronald Yee
34-70326 Sep. 5, 2013 Gaming World International, Ltd., et al.
34-70325 Sep. 5, 2013 CNC Development, Ltd., et al.
34-70323 Sep. 5, 2013 China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.)
34-70321 Sep. 5, 2013 Anhui Taiyang Poultry Co., Inc. a/k/a The Parkview Group, Inc., et al.
34-70319 Sep. 4, 2013 Ricardo Bonilla Rojas
34-70310 Sep. 4, 2013 K's Media
34-70308 Sep. 4, 2013 China Lithium Technologies, Inc. and China Wi-Max Communications, Inc.
34-70306 Sep. 4, 2013 Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.)
34-70304 Sep. 3, 2013 Crescent Moon, Inc., et al.
34-70300 Sep. 3, 2013 Gary A. Collyard
34-70297 Aug. 30, 2013 GEI Financial Services, Inc., et al.
Other Release No.: IA-3659
33-9446 Aug. 30, 2013 J.S. Oliver Capital Management, L.P., et al.
Other Release Nos.: 34-70292, IA-3658, IC-30682
34-70280 Aug. 28, 2013 Joshua Constantin and Brian Solomon
IA-3657 Aug. 28, 2013 Hausmann-Alain Banet
34-70275 Aug. 28, 2013 First Georgia Community Corp., et al.
34-70267 Aug. 27, 2013 Alan Smith
34-70266 Aug. 27, 2013 Kiavanni Pringle
34-70265 Aug. 27, 2013 Bertram A. Hill
34-70262 Aug. 27, 2013 Geo Petroleum, Inc., et al.
34-70261 Aug. 27, 2013 Hesed Technology Co., Ltd., et al.
IA-3656 Aug. 27, 2013 William Landberg
IA-3655 Aug. 27, 2013 Carl D. Johns
Other Release No.: IC-30675
34-70254 Aug. 26, 2013 Anasazi Capital Corp., et al.
34-70252 Aug. 23, 2013 Darlene A. Bishop
IA-3654 Aug. 21, 2013 David B. Welliver
34-70244 Aug. 21, 2013 Oppenheimerfunds, Inc., and Oppenheimerfunds Distributor, Inc.
34-70243 Aug. 21, 2013 Robert A. Gist, Esq.
34-70240 Aug. 21, 2013 Advantage Technologies, Inc., et al.
34-70239 Aug. 21, 2013 Chariot Advisors, LLC and Elliott L. Shifman
Other Release Nos.: IA-3653, IC-30655
34-70238 Aug. 20, 2013 G-Cats Acquisition Corp., GalaGen, Inc., Galena Acquisition Corp., and Garment Graphics, Inc.
33-9443 Aug. 20, 2013 Brian Williamson
Other Release Nos.: 34-70234, IA-3652, IC-30652
34-70233 Aug. 20, 2013 First Georgia Community Corp., et al.
34-70226 Aug. 19, 2013 American Technologies Group, Inc., et al.
34-70222 Aug. 16, 2013 Morgan Asset Management, Inc., Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA
See also:  Modified Plan of Distribution
34-70221 Aug. 16, 2013 Marcellous S. McZeal
34-70219 Aug. 16, 2013 Jonathan S. Bristol, Esq.
33-9442 Aug. 16, 2013 North East Capital, LLC and Anthony T. Vicidomine
Other Release Nos.: 34-70223, IA-3651, IC-30651
34-70215 Aug. 15, 2013 Adam G. Erickson
Other Release No.: IA-3650
34-70214 Aug. 15, 2013 Chicago Stock Exchange, Inc.
IA-3649 Aug. 15, 2013 Karl Motey
34-70208 Aug. 15, 2013 Freedom Financial, Inc., et al.
34-70205 Aug. 15, 2013 Edward T. Stein
Other Release No.: IA-3648
34-70203 Aug. 15, 2013 Redfin Network, Inc.
34-70202 Aug. 15, 2013 Convergence Ethanol, Inc.
34-70188 Aug. 14, 2013 Laura Ann Tordy
34-70187 Aug. 14, 2013 Martin C. Hartmann III
34-70185 Aug. 14, 2013 AIMS Worldwide, Inc., et al.
34-70183 Aug. 14, 2013 Altus Pharmaceuticals, Inc., et al.
34-70181 Aug. 14, 2013 Soil Biogenics Ltd.
34-70179 Aug. 14, 2013 iVoice, Inc., et al.
34-70177 Aug. 14, 2013 CNC Development, Ltd., et al.
34-70172 Aug. 13, 2013 L.T. Lawrence & Co., Inc., et al.
34-70171 Aug. 13, 2013 Ark Asset Management Co., Inc.
34-70167 Aug. 13, 2013 Martin A. Pool
33-9440 Aug. 13, 2013 Richard D. Hicks
Other Release Nos.: 34-70165, IA-3647
34-70164 Aug. 12, 2013 Gaming World International, Ltd., et al.
34-70161 Aug. 12, 2013 Richard P. Sandru
Other Release Nos.: IA-3646, IC-30649
34-70157 Aug. 12, 2013 American Wenshen Steel Group, Inc., Case Financial, Inc., Global ePoint, Inc., and iMedia International, Inc.
34-70156 Aug. 12, 2013 Camelot Entertainment Group, Inc., Cavico Corp., Global 8 Environmental Technologies, Inc., GTC Telecom Corp., ICF Corporation, and New NRG, Inc.
34-70154 Aug. 9, 2013 Pacific Northwestern Energy, LLC
34-70153 Aug. 9, 2013 New Horizon Publishing Inc.
34-70152 Aug. 9, 2013 Joseph Hilton, a/k/a Joseph Yurkin
34-70151 Aug. 9, 2013 Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company
34-70133 Aug. 8, 2013 Camelot Entertainment Group, Inc., et al.
34-70128 Aug. 7, 2013 Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.), et al.
34-70127 Aug. 6, 2013 GBS Com-Tech Corp., et al.
34-70126 Aug. 6, 2013 Thomas Gary Cooper
Other Release Nos.: IA-3645, IC-30642
34-70125 Aug. 6, 2013 Joel I. Wilson
Other Release No.: IA-3644
33-9438 Aug. 6, 2013 UBS Securities LLC
Other Release Nos.: 34-70121, IA-3643
See also:  Waiver, Release No. 33-9439
IA-3642 Aug. 5, 2013 Benjamin Daniel Dehaan
34-70105 Aug. 2, 2013 Ronald Musich
Other Release No.: IA-3641
34-70094 Aug. 2, 2013 Convergence Ethanol, Inc.
34-70088 Jul. 31, 2013 Steven M. Ray
34-70082 Jul. 31, 2013 Banc of America Capital Management, LLC, et al.
33-9437 Jul. 31, 2013 ABN AMRO Bank, N.V.
Other Release Nos.: 34-70086, IA-3639
34-70089 Jul. 31, 2013 A.R. Schmeidler & Co., Inc.
See also:  Waiver, Release No. 33-9436
34-70083 Jul. 31, 2013 Goelzer Investment Management, Inc. and Gregory W. Goelzer
Other Release No.: IA-3638
34-70081 Jul. 31, 2013 Commonwealth Bankshares, Inc.
34-70080 Jul. 31, 2013 Heartland, Inc.
34-70079 Jul. 31, 2013 American Vantage Companies
34-70078 Jul. 31, 2013 The Great Train Store Co., et al.
34-70077 Jul. 31, 2013 Bloggerwave, Inc., et al.
IA-3640 Jul. 31, 2013 Chauncey C. Mayfield and MayfieldGentry Realty Advisors, LLC
34-70074 Jul. 30, 2013 Subramanian Krishnan (CPA) (Corrected)
Other Release No.: AAER-3473
34-70058 Jul. 29, 2013 Ronald S. Rollins
Other Release Nos.: IA-3635, IC-30633
IA-3636 Jul. 29, 2013 Comprehensive Capital Management, Inc.
33-9435 Jul. 29, 2013 West Clark Community Schools
Other Release No.: IC-70057
33-9434 Jul. 29, 2013 City Securities Corporation and Randy G. Ruhl
Other Release Nos.: 34-70056, IC-30632
34-70054 Jul. 29, 2013 Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc.
34-70043 Jul. 26, 2013 Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim
34-70042 Jul. 26, 2013 Duoyuan Printing, Inc.
34-70035 Jul. 25, 2013 GDT Tek, Inc., et al.
34-70034 Jul. 24, 2013 Stewart A. Merkin, Esq.
34-70033 Jul. 24, 2013 Green Solutions China, Inc., et al.
34-70032 Jul. 24, 2013 iTrackr Systems, Inc.
34-70031 Jul. 23, 2013 Virginia K. Sourlis, Esq.
34-70030 Jul. 23, 2013 Geo Petroleum, Inc., Global Diamond Resources, Inc., Globalsoft Acquisition Group, Inc., and Globus Wireless, Ltd.
34-70022 Jul. 23, 2013 Camelot Entertainment Group, Inc., et al.
34-70020 Jul. 23, 2013 American Wenshen Steel Group, Inc., et al.
34-70019 Jul. 23, 2013 Securities Transfer, Inc.
34-70018 Jul. 23, 2013 Southern Scottish Inns, Inc.
34-70017 Jul. 22, 2013 China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc.
34-70016 Jul. 22, 2013 Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA
34-70015 Jul. 22, 2013

Centaur Management Co. LLC
See also:  Distribution Plan
Other Release No.: 34-69604

34-70013 Jul. 22, 2013 Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), et al.
34-70012 Jul. 22, 2013 Advanced ID Corp., et al.
IA-3634 Jul. 19, 2013 Steven A. Cohen (Corrected)
IA-3633 Jul. 19, 2013 John Hagener
IA-3632 Jul. 18, 2013 Brion G. Randall
34-70003 Jul. 18, 2013 Strong Capital Management, Inc.
IA-3630 Jul. 18, 2013 Jon Harvey Deal
34-70002 Jul. 18, 2013 American Technologies Group, Inc., Bonanza Oil & Gas, Inc., and Gulf Coast Oil & Gas, Inc.
34-70000 Jul. 18, 2013 First Georgia Community Corp., FLO Corp., Florida Community Banks, Inc., In Touch Media Group, Inc., and NHS Health Solutions, Inc.
34-69998 Jul. 17, 2013 Vincent G. Curry
34-69995 Jul. 16, 2013 Joseph I. Emas
See also: Rel. No. 34-61386
34-69986 Jul. 15, 2013 The Great Train Store Co., et al.
34-69984 Jul. 12, 2013 Steven J. Brewer
Other Release No.: IA-3629
34-69978 Jul. 12, 2013 Greate Bay Hotel & Casino, Inc., et al.
34-69973 Jul. 11, 2013 Enrica Cotellessa-Pitz
Other Release No.: IA-3627
34-69971 Jul. 11, 2013 Eric Lipkin
Other Release No.: IA-3626
34-69969 Jul. 11, 2013 David Kugel
Other Release No.: IA-3625
34-69950 Jul. 9, 2013 Joseph J. Hennessy
Other Release No.: IA-3623
34-69949 Jul. 9, 2013 Matthew M. Taylor
Other Release No.: IA-3622
34-69946 Jul. 9, 2013 Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.), et al.
34-69945 Jul. 8, 2013 Aichun Li, CPA
Other Release No.: AAER-3472
34-69943 Jul. 8, 2013 Greate Bay Hotel & Casino, Inc., et al.
34-69942 Jul. 8, 2013 China Properties Developments, Inc.
34-69937 Jul. 3, 2013 Terry V. Koontz
34-69924 Jul. 3, 2013 Jiangbo Pharmaceuticals, Inc.
34-69917 Jul. 2, 2013 Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
34-69906 Jul. 2, 2013 GDT Tek, Inc., et al.
34-69905 Jul. 2, 2013 SinoHub, Inc.
34-69896 Jul. 1, 2013 Jennifer E. Thoennes
34-69895 Jul. 1, 2013 Fuqi International, Inc.
Second Quarter
IA-3620 Jun. 28, 2013 Brion G. Randall
34-69886 Jun. 28, 2013 Brian D. Fox
Other Release No.: AAER-3469
34-69879 Jun. 27, 2013 Jerry L. Burdick, CPA
Other Release No.: 34-58441
34-69873 Jun. 27, 2013 Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
Other Release Nos.: 34-69418, 34-69138, 34-67363, 33-9329, 34-67142, IA-3417, IC-30099
34-69865 Jun. 27, 2013 Benda Pharmaceutical, Inc. and China Shuangji Cement Ltd.
34-69860 Jun. 26, 2013 Bruce W. Tomlinson, CPA
Other Release No.: AAER-3465
34-69840 Jun. 25, 2013 CoreCare Systems, Inc., et al.
34-69839 Jun. 24, 2013 Green Solutions China, Inc., et al.
34-69833 Jun. 24, 2013 Enercorp, Inc., FTS Group, Inc., Games, Inc. (n/k/a InQBate Corporation), Hartmarx Corporation (n/k/a XMH Corp. 1), and Penn Treaty American Corporation
34-69832 Jun. 21, 2013 Michael J. Stewart
34-69816 Jun. 21, 2013 Jason A. DíAmato
Other Release Nos.: IA-3618, IC-30565
34-69815 Jun. 21, 2013 The Hartcourt Companies, Inc., et al.
34-69808 Jun. 20, 2013 Dennis Ashley Bukantis
34-69804 Jun. 20, 2013 Sunrise Solar Corporation
34-69797 Jun. 19, 2013 Greenstart, Inc., et al.
34-69796 Jun. 19, 2013 China Environmental Protection, Inc.
34-69795 Jun. 19, 2013 Jupiter Enterprises, Inc.
34-69783 Jun. 18, 2013 Gerald "Jerry" D. Kegley
34-69781 Jun. 18, 2013 Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), et al.
34-69780 Jun. 18, 2013 iTrackr Systems, Inc.
34-69778 Jun. 18, 2013 Bloggerwave, Inc., et al.
34-69770 Jun. 17, 2013 Avani International Group, Inc., Birch Mountain Resources Ltd., Capital Reserve Canada Ltd., Dynasty Gaming, Inc. (n/k/a Blue Zen Memorial Parks, Inc.), IXI Mobile, Inc., Laureate Resources & Steel Industries, Inc., Millennium Energy Corp., Shannon International, Inc. and Welwind Energy International Corporation
34-69769 Jun. 17, 2013 Lunar Growth Corp.
34-69765 Jun. 14, 2013 Rosenberg Rich Baker Berman & Company and Brian Zucker, CPA
Other Release No.: AAER-3464
IC-30557 Jun. 13, 2013 J. Kenneth Alderman, CPA, et al.
34-69759 Jun. 13, 2013 Emanuel Goffer
34-69750 Jun. 13, 2013 Revlon, Inc.
34-69746 Jun. 12, 2013 David M. Tamman, Esq.
34-69738 Jun. 12, 2013 Greatmat Technology Corp., et al.
34-69730 Jun. 11, 2013 The Great Train Store Co., et al.
34-69729 Jun. 11, 2013 Robert A. Gist
34-69726 Jun. 11, 2013 Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated
34-69728 Jun. 11, 2013 Griffin Mining, Ltd., et al.
34-69727 Jun. 11, 2013 Bloggerwave, Inc., et al.
34-69720 Jun. 7, 2013 Paul Randall Fraley
34-69714 Jun. 7, 2013 Bloggerwave, Inc., et al.
34-69713 Jun. 7, 2013 Enercorp, Inc., et al.
34-69705 Jun. 6, 2013 Griffin Mining, Ltd., et al.
34-69704 Jun. 6, 2013 Greate Bay Hotel & Casino, Inc., et al.
34-69698 Jun. 5, 2013 Griffin Mining, Ltd., et al.
34-69697 Jun. 5, 2013 Actavision Ventures, Inc., et al.
34-69689 Jun. 4, 2013 Biopharm Asia, Inc.
34-69688 Jun. 3, 2013 Thomas Rubin
34-69687 Jun. 3, 2013 Christopher Scott
34-69680 Jun. 3, 2013 UBS OíConnor, LLC
Other Release No.: IA-3615
34-69679 Jun. 3, 2013 Guilin Paper, Inc.
IA-3614 May 31, 2013 Ming Siu
33-9407 May 30, 2013 Scuderi Group, Inc. and Salvatore Scuderi
33-9406 May 30, 2013 Lewis J. Hunter
Other Release No.: 34-69668
34-69667 May 30, 2013 John A. Grant
34-69665 May 30, 2013 CoreCare Systems, Inc., et al.
34-69664 May 30, 2013 CoreCare Systems, Inc., et al.
34-69663 May 30, 2013 China Organic Agriculture, Inc.
34-69662 May 30, 2013 Lanbo Financial Group, Inc.
34-69660 May 30, 2013 Advanced ID Corp., et al.
IA-3613 May 30, 2013 John A. Grant
34-69656 May 29, 2013 Greenstart, Inc., et al.
34-69655 May 29, 2013 NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC
34-69654 May 29, 2013 Total, S.A.
Other Release No.: AAER-3461
34-69652 May 29, 2013 Integrity Bancshares, Inc.
34-69650 May 29, 2013 Jupiter Enterprises, Inc.
34-69648 May 29, 2013 China Properties Developments, Inc.
34-69646 May 29, 2013 China Environmental Protection, Inc.
34-69645 May 28, 2013 Stormy L. Dean
Other Release No.: AAER-3460
34-69644 May 28, 2013 Rajnish K. Das
Other Release No.: AAER-3459
34-69640 May 24, 2013 Deer Hill Financial Group, LLC
34-69637 May 24, 2013 Larry Michael Parrish
Other Release No.: IA-3612
34-69630 May 23, 2013 Joseph Hilton a/k/a Joseph Yurkin
Other Release No.: 34-69592
34-69627 May 23, 2013 Neil M.M. Morrison
Other Release No.: IC-30540
34-69623 May 23, 2013 Joshua Constantin and Brian Solomon
IA-3611 May 23, 2013 Institutional Shareholder Services Inc.
34-69626 May 23, 2013 Greatmat Technology Corp., et al.
IA-3610 May 22, 2013 George Elia
33-9404 May 22, 2013 City of South Miami, Florida
34-69624 May 22, 2013 Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt
34-69621 May 22, 2013 Patrick Merrill Brody
34-69619 May 22, 2013 CoreCare Systems, Inc., et al.
34-69618 May 22, 2013 Bloggerwave, Inc., et al.
34-69616 May 22, 2013 NewTech Brake Corp.
34-69604 May 17, 2013 Centaur Management Co. LLC
See also:  Proposed Plan of Distribution 
34-69601 May 17, 2013 Noonan Capital Management, LLC and Timothy George Noonan
Other Release Nos.: IA-3609, IC-30525
34-69592 May 16, 2013 Joseph Hilton a/k/a Joseph Yurkin
Other Release No.: 34-69630
34-69600 May 16, 2013 Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei
IA-3608 May 15, 2013 Wesley W. Wang
34-69582 May 15, 2013 Griffin Mining, Ltd., et al.
34-69580 May 15, 2013 Benda Pharmaceutical, Inc. and China Shuangji Cement Ltd.
34-69578 May 15, 2013 Avani International Group, Inc., et al.
34-69567 May 14, 2013 Ewan 1, Inc., n/k/a AccessKey IP, Inc.
IA-3607 May 9, 2013 Sandeep Goyal
IA-3606 May 9, 2013 Jesse Tortora
IA-3605 May 9, 2013 Jon Horvath
IA-3604 May 9, 2013 Spyridon Adondakis
34-69542 May 9, 2013 The Estate Vault, Inc.
34-69533 May 8, 2013 CoreCare Systems, Inc., et al.
34-69531 May 8, 2013 Enercorp, Inc., et al.
34-69529 May 7, 2013 Frank Bluestein
Other Release No.: IA-3603
34-69526 May 7, 2013 UC Hub Group, Inc.
33-9402 May 7, 2013 Ziad K. Abdelnour
Other Release No.: IC-30508
34-69515 May 6, 2013 The City of Harrisburg, Pennsylvania
34-69514 May 6, 2013 Matthew C. Devlin
Other Release No.: IA-3602
33-9401 May 3, 2013 Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group
Other Release Nos.: 34-69506, IA-3601, IC-30505
IA-3600 May 3, 2013 Putnam Investment Management, LLC
Other Release No.: IC-30504
IA-3599 May 3, 2013 Russell K. Cannon
IC-30502 May 2, 2013 Northern Lights Compliance Services, LLC, et al.
34-69493 May 2, 2013 Advance Nanotech, Inc., et al.
34-69492 May 1, 2013 Irwin Lipkin
Other Release No.: IA-3598
34-69486 May 1, 2013 Vincent G. Curry
34-69485 May 1, 2013 Kenneth E. Mahaffy, Jr.
34-69484 May 1, 2013 Ricardo Bonilla Rojas
34-69483 May 1, 2013 Marc Duda
Other Release No.: IA-3597
34-69472 Apr. 30, 2013 Joseph Contorinis
Other Release No.: IA-3596
34-69476 Apr. 30, 2013 Advance Nanotech, Inc., et al.
34-69475 Apr. 30, 2013 Indigo Aviation AB, et al.
34-69474 Apr. 30, 2013 Allonline.com, Inc., et al.
34-69473 Apr. 30, 2013 Advance Nanotech, Inc., et al.
34-69469 Apr. 26, 2013 Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
34-69466 Apr. 26, 2013 Richard Bruce Moore
34-69463 Apr. 25, 2013 SinoHub, Inc.
34-69462 Apr. 25, 2013 Timothy R. Redpath
Other Release No.: IA-3595
34-69461 Apr. 25, 2013 Michael W. Bozora
Other Release No.: IA-3594
34-69460 Apr. 25, 2013 David Miller
34-69459 Apr. 25, 2013 Actavision Ventures, Inc., American Resources Group, Inc., Audioscience, Inc., Basset Enterprises, Inc., Cybertex Enterprises, Inc. (n/k/a Synvion Corp.), and Duct Utility Construction & Technologies, Inc.
34-69447 Apr. 25, 2013 Enercorp, Inc., et al.
IA-3592 Apr. 24, 2013 Tara Bryson
34-69442 Apr. 24, 2013 Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa
Other Release No.: AAER-3456
34-69437 Apr. 23, 2013 Waddell & Reed, Inc., et al.
See also:  Proposed Plan of Distribution
Submit Comments on Proposed Plan of Distribution
34-69432 Apr. 23, 2013 Anthony Pianelli
34-69431 Apr. 23, 2013 Charles Peterein
34-69430 Apr. 23, 2013 Alfred Varricchio
34-69426 Apr. 23, 2013 Gazoo Energy Group, Coach Industries Group, and Pacificap Entertainment
34-69425 Apr. 22, 2013 HarborLight Capital Management, LLC and Dean G. Tanella
Other Release Nos.: IA-3591, IC-30474
34-69421 Apr. 19, 2013 Jennifer E. Thoennes
IA-3590 Apr. 19, 2013 Foxhall Capital Management, Inc. and Paul G. Dietrich
34-69418 Apr. 19, 2013 Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
34-69416 Apr. 19, 2013 The Estate Vault, Inc.
34-69415 Apr. 19, 2013 Ewan 1, Inc. n/k/a AccessKey IP, Inc.
34-69414 Apr. 19, 2013 UC Hub Group, Inc.
34-69410 Apr. 19, 2013 Guilin Paper, Inc.
34-69409 Apr. 19, 2013 China Organic Agriculture, Inc.
34-69408 Apr. 19, 2013 Biopharm Asia, Inc.
34-69404 Apr. 18, 2013 Joshua J. Singer
34-69390 Apr. 18, 2013 Charles T. Fee
Other Release Nos.: IA-3588, IC-30467
IA-3589 Apr. 18, 2013 Douglas F. Whitman
IA-3587 Apr. 18, 2013 Vector Wealth Management, LLC
IA-3586 Apr. 18, 2013 Umesh Tandon
Other Release No.: IC-30446
34-69386 Apr. 17, 2013 Sunrise Solar Corporation
34-69385 Apr. 17, 2013 Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.)
34-69383 Apr. 17, 2013 NewTech Brake Corp.
34-69380 Apr. 16, 2013 Noble Innovations, Inc.
34-69379 Apr. 15, 2013 Scott Reiman
Other Release Nos.: IA-3585, IC-30463
34-69377 Apr. 15, 2013 David Affeldt
34-69375 Apr. 15, 2013 Invesco Funds Group, Inc.
34-69371 Apr. 12, 2013 Robert Mouallem
34-69370 Apr. 12, 2013 New Horizon Publishing Inc.
34-69367 Apr. 11, 2013 Joseph Hilton, a/k/a Joseph Yurkin
34-69366 Apr. 11, 2013 Michael J. Turnock
IA-3584 Apr. 10, 2013 Toby G. Scammell
34-69357 Apr. 10, 2013 Largo Vista Group, Ltd., et al.
34-69355 Apr. 9, 2013 Robert David Beauchene
Other Release Nos.: IA-3581, IC-30455
34-69353 Apr. 9, 2013 James C. Fields, CPA
Other Release No.: AAER-3453
34-69352 Apr. 9, 2013 Anthony John Johnson
Other Release No.: IA-3580
34-69348 Apr. 8, 2013 Richard P. Sandru
Other Release Nos.: IA-3579, IC-30453
34-69347 Apr. 8, 2013 Timothy J. Roth
Other Release No.: IA-3578
34-69346 Apr. 8, 2013 AIM Advisors, Inc. and AIM Distributors, Inc.
34-69345 Apr. 8, 2013 Sean Nathan Healy
34-69327 Apr. 5, 2013 Koninklijke Philips Electronics N.V.
Other Release No.: AAER-3452
34-69326 Apr. 5, 2013 Eddie Douglas Austin Jr., Esq.
34-69314 Apr. 5, 2013 China North East Petroleum Holdings Limited
IA-3577 Apr. 4, 2013 David C. Lin
IA-3576 Apr. 4, 2013 Richard F. Tipton
IA-3575 Apr. 4, 2013 Edward G. Locker
IA-3574 Apr. 4, 2013 ZPR Investment Management, Inc. and Max E. Zavanelli
Other Release No.: IC-30446
34-69307 Apr. 4, 2013 Gerald "Jerry" D. Kegley
34-69306 Apr. 4, 2013 Colleen Erin Kelly Bishop (CPA)
Other Release No.: AAER-3451
34-69292 Apr. 4, 2013 Artfest International, Inc., et al.
34-69291 Apr. 4, 2013 Adzone Research, Inc., et al.
34-69290 Apr. 4, 2013 My Complete Care, Inc., et al.
34-69289 Apr. 4, 2013 Hesed Technology Co., Ltd., et al.
34-69288 Apr. 3, 2013 Morgan Asset Management, Inc., Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA
See also:  Proposed Plan of Distribution
Comments received are available for this notice.
IA-3573 Apr. 3, 2013 George Elia
34-69283 Apr. 3, 2013 Adzone Research, Inc., et al.
34-69282 Apr. 3, 2013 My Complete Care, Inc., et al.
34-69277 Apr. 2, 2013 Eric J. Bur, CPA
Other Release No.: AAER-3450
34-69264 Apr. 2, 2013 Digital Video Systems, Inc., Electroglas, Inc., Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation), Geocom Resources, Inc., and Goldmountain Exploration Corp.
34-69261 Apr. 1, 2013 IGIA, Inc., et al.
34-69260 Apr. 1, 2013 IdleAire Technologies Corp., et al.
First Quarter
34-69252 Mar. 28, 2013 David M. Decker, Jr.
IA-3572 Mar. 28, 2013 Jorge Gomez
34-69248 Mar. 28, 2013 Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc., N.T. Properties, Inc., PrimePlayer, Inc., Skylyft Media Group, Inc., and Spectrum Acquisition Corp.
34-69242 Mar. 26, 2013 Wunderlich Securities, Inc., Tracy L. Wiswall, and Gary K. Wunderlich, Jr.
34-69224 Mar. 25, 2013 Susan Skaer, Esq.
34-69223 Mar. 25, 2013 IGIA, Inc., et al.
34-69214 Mar. 22, 2013 Edward L. Moskop
33-9396 Mar. 22, 2013 John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, George R. Jarkesy Jr., John Thomas Financial, Inc., and Anastasios "Tommy' Belesis
Other Release Nos.: 34-69208, IA-3571, IC-30435
34-69207 Mar. 22, 2013 Advance Nanotech, Inc., et al.
34-69206 Mar. 22, 2013 American United Gold Corporation, et al.
34-69228 Mar. 20, 2013 William G. Reeves, Esq.
34-69191 Mar. 20, 2013 Lunar Growth Corp.
34-69189 Mar. 20, 2013 Allonline.com, Inc., Bonded Motors, Inc., Cass M L Production Corp., Cyber Grind, Inc., Cygni Investments, Inc., Czech Connection, Inc., and Dynatec International, Inc.
34-69185 Mar. 20, 2013 Americas Energy Company-AECo
IA-3570 Mar. 19, 2013 Berton M. Hochfeld
33-9394 Mar. 19, 2013 Craig Berkman, d/b/a Ventures Trust LLC, John B. Kern, 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 and Assensus Capital Management, LLC
Other Release Nos.: 34-69171, IA-3569; IC-30428
34-69170 Mar. 19, 2013 My Complete Care, Inc., et al.
34-69169 Mar. 19, 2013 Maxsys Holdings, Inc., et al.
34-69168 Mar. 19, 2013 Law Enforcement Associates Corp., et al.
34-69165 Mar. 18, 2013 Bruce H. Haglund, Esq.
33-9393 Mar. 18, 2013 Banco Comercial PortuguÍs, S.A.
Other Release Nos.: 34-69167, IA-3568
34-69150 Mar. 15, 2013 Centaur Management Co. LLC
34-69149 Mar. 15, 2013 Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
34-69144 Mar. 15, 2013 Patrick Merrill Brody
34-69143 Mar. 15, 2013 Laura A. Roser
34-69138 Mar. 14, 2013 OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc.
34-69137 Mar. 14, 2013 Cache D. Decker
34-69128 Mar. 13, 2013 Maxsys Holdings, Inc., et al.
34-69127 Mar. 13, 2013 Digital Video Systems, Inc., et al.
34-69126 Mar. 13, 2013 Digital Video Systems, Inc., et al.
34-69125 Mar. 13, 2013 Along Mobile Technologies, Inc.
34-69117 Mar. 12, 2013 Indigo Aviation AB, et al.
34-69116 Mar. 12, 2013 Adzone Research, Inc., et al.
34-69113 Mar. 12, 2013 HDL Capital Corp., et al.
34-69112 Mar. 12, 2013 New Generation Biofuels Holdings, Inc.
34-69111 Mar. 11, 2013 Kevin J. Wilcox
34-69100 Mar. 11, 2013 Christopher A. Seeley
34-69099 Mar. 11, 2013 Gazoo Energy Group, Coach Industries Group, Pacificap Entertainment
34-69097 Mar. 11, 2013 Advance Nanotech, Inc., ANTS Software, Inc., Beauty Brands Group, Inc., Chocolate Candy Creations, Inc., Crystallex International Corp., Dermaxar, Inc., e-SIM, Ltd., and EcoReady Corp.
33-9390 Mar. 11, 2013 Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC
33-9389 Mar. 11, 2013 State of Illinois
34-69095 Mar. 8, 2013 Stephen Shea
34-69094 Mar. 8, 2013 BDO China Dahua CPA Co., LTD., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants LTD., and Pricewaterhousecoopers Zhong Tian CPAs Limited
34-69093 Mar. 8, 2013 Robert David Beauchene
Other Release Nos.: IA-3565, IC-30419
34-69092 Mar. 8, 2013 Fry Hensley and Company, And Nicholas L. Fry, II
Other Release Nos.: IA-3564, IC-30418
34-69091 Mar. 8, 2013 Ranieri Partners LLC and Donald W. Phillips
Other Release No.: IA-3563
34-69090 Mar. 8, 2013 William M. Stephens
Other Release No.: IC-30417
33-9388 Mar. 8, 2013 UBS Financial Services Inc. of Puerto Rico
Other Release No.: 34-69096
34-69074 Mar. 8, 2013 Lynx Acquisition, Inc., et al.
34-69065 Mar. 7, 2013 Billy Wayne McClintock
34-69057 Mar. 7, 2013 Cornerstone Capital Management, Inc., and Laura Jean Kent
34-69056 Mar. 7, 2013 Feltl & Company, Inc.
34-69051 Mar. 6, 2013 CYDE Liquidating Co.
34-69050 Mar. 6, 2013 Law Enforcement Associates Corp., et al.
34-69049 Mar. 6, 2013 Artfest International, Inc., et al.
34-69048 Mar. 6, 2013 Law Enforcement Associates Corp., et al.
34-69047 Mar. 5, 2013 IdleAire Technologies Corp., et al.
34-69046 Mar. 5, 2013 IGIA, Inc., et al.
34-69036 Mar. 5, 2013 Peak Wealth Opportunities, LLC, and David W. Dube, CPA
Other Release Nos.: IA-3562, IC-30414, AAER-3448
34-69035 Mar. 5, 2013 Advanced ID Corp., et al.
34-69024 Mar. 4, 2013 Atlantic Southern Financial Group, Inc.
34-69023 Mar. 4, 2013 ATI Liquidating, Inc. (n/k/a Aviza Technology, Inc.)
34-69022 Mar. 4, 2013 Maverick Oil and Gas, Inc.
34-69021 Mar. 4, 2013 Clean Power Technologies, Inc.
34-69015 Mar. 1, 2013 Allen R. Jacobson
34-69014 Mar. 1, 2013 Wendell A. Jacobson
IA-3560 Mar. 1, 2013 Nicholas Delbrocco
IA-3559 Mar. 1, 2013 Ward Onsa
34-69004 Feb. 28, 2013 China Wesen Recycling Technology, Inc., Chopin Venture Group, Inc.,Cogito Media Group, Inc., Crescendo Acquisition Corp., Crosswave Communications, Inc., Crown International, Inc. and Crysler Corp.
34-69001 Feb. 27, 2013 Douglas F. Vaughan
34-68993 Feb. 27, 2013 Oxford Investment Partners, LLC and Walter J. Clarke
34-68991 Feb. 27, 2013 Medis Technologies Ltd., et al.
34-68990 Feb. 26, 2013 Edward Tackaberry
34-68989 Feb. 26, 2013 Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc., N.T. Properties, Inc., PrimePlayer, Inc., Skylyft Media Group, Inc., and Spectrum Acquisition Corp.
34-68988 Feb. 26, 2013 Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim
34-68986 Feb. 26, 2013 My Complete Care, Inc., New Midwest Co., LLC, NRG, Inc., Nugent Aerospace, Inc., Otter Tail Ag Enterprises, LLC, Raines Lenders LP, and Sadhana Equity Investment, Inc.
IA-3556 Feb. 22, 2013 Sentinel Investment Management Corporation
34-68970 Feb. 22, 2013 Digital Video Systems, Inc., et al.
34-68968 Feb. 22, 2013 Advance Nanotech, Inc., et al.
34-68967 Feb. 22, 2013 Largo Vista Group, Ltd., et al.
34-68963 Feb. 21, 2013 James S. Tagliaferri
Other Release No.:†IA-3555; IC-30402
34-68961 Feb. 20, 2013 Hesed Technology Co., Ltd., et al.
34-68956 Feb. 20, 2013 Lynx Acquisition, Inc., et al.
34-68952 Feb. 19, 2013 Virginia K. Sourlis, Esq.
34-68949 Feb. 19, 2013 Michael Lowther, CPA
Other Release No.: AAER-3445
34-68947 Feb. 19, 2013 Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp.
34-68946 Feb. 19, 2013 AlphaTrade.com
IA-3554 Feb. 15, 2013 Oxford Investment Partners, LLC and Walter J. Clarke
Other Release No.: IC-30385
IA-3553 Feb. 15, 2013 Oxford Investment Partners, LLC and Walter J. Clarke
Other Release No.: IC-30384
33-9385 Feb. 15, 2013 Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC
Other Release No.: 34-68943
34-68940 Feb. 15, 2013 Guy W. Gane, Jr.
34-68931 Feb. 14, 2013 Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim
34-68920 Feb. 13, 2013 Stephen M. Strauss
34-68914 Feb. 13, 2013 Eco Global Corporation, et al.
34-68903 Feb. 11, 2013 HDL Capital Corp., HMG Worldwide Corp., Homegold Financial, Inc., Hudson Hotels Corp., and Hurry, Inc.
34-68902 Feb. 11, 2013 Artfest International, Inc., China Advanced Meditech, Inc., Cynet, Inc., Durham Marketing Corp., Emissary Capital Group, Inc. (n/k/a Cavalier Holdings, Inc.), and ESP Enterprises, Inc. (n/k/a ESP Enterprises of LA, Inc.)
34-68893 Feb. 11, 2013 China Voice Holding Corp., et al.
34-68892 Feb. 11, 2013 IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc.
34-68869 Feb. 8, 2013 GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran
34-68868 Feb. 8, 2013 Changed E-Mail, Inc., et al.
34-68866 Feb. 7, 2013 Gary J. Martel
Other Release No.: IA-3552
IA-3551 Feb. 7, 2013 James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin
34-68859 Feb. 7, 2013 Law Enforcement Associates Corp., et al.
34-68858 Feb. 7, 2013 Law Enforcement Associates Corp., et al.
34-68857 Feb. 7, 2013 Imreg, Inc., et al.
34-68856 Feb. 7, 2013 HI DEF Enterprises, Inc., et al.
34-68845 Feb. 6, 2013 Joseph J. Repko, CPA
Other Release No.: AAER-3444
IA-3550 Feb. 6, 2013 Jorge Gomez
IA-3549 Feb. 6, 2013 Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez
IA-3548 Feb. 6, 2013 Howard B. Berger
34-68837 Feb. 6, 2013 Advanced ID Corp., et al.
34-68836 Feb. 6, 2013 Advance Nanotech, Inc., et al.
IA-3546 Feb. 5, 2013 Juno Mother Earth Asset Management, LLC
34-68828 Feb. 5, 2013 Ardsley Advisory Partners
Other Release No.: IA-3545
34-68827 Feb. 5, 2013 Kenneth Ira Starr
34-68826 Feb. 5, 2013 Kenneth Ira Starr, Esq., C.P.A.
Other Release No.: IA-3544
34-68825 Feb. 5, 2013 Henley Healthcare, Inc., et al.
34-68811 Feb. 1, 2013 Encore Clean Energy, Inc., et al.
34-68810 Feb. 1, 2013 Mitchell Segal, Esq.
IA-3543 Jan. 31, 2013 Jeffrey A. Quay
34-68796 Jan. 31, 2013 BNY Mellon Securities LCC and Mark Shaw
Note: See also the Proposed Plan of Distribution
34-68774 Jan. 30, 2013 GMB Capital Management LLC, et al.
34-68772 Jan. 30, 2013 William B. Mitchell
34-68764 Jan. 30, 2013 CentreInvest, Inc., et al.
34-68763 Jan. 30, 2013 ICP Solar Technologies, Inc., et al.
34-68756 Jan. 29, 2013 Lisa B. Hovan, CPA
Other Release No.: IA-3539; AAER-3443
34-68754 Jan. 29, 2013 Brian D. Fox
Other Release No.: AAER-3442
IA-3540 Jan. 29, 2013 Kurt S. Hovan
IA-3538 Jan. 29, 2013 Edward J. Hovan, Jr.
IA-3537 Jan. 29, 2013 IMC Asset Management, Inc.
34-68750 Jan. 29, 2013 IAS Energy, Inc., et al.
34-68749 Jan. 28, 2013 Stefan H. Benger
34-68739 Jan. 28, 2013 Henley Healthcare, Inc., Hightop Capital Corp., Hiko Bell Mining & Oil Co., Horizon Pharmacies, Inc., Horizon Resources Corp., and Hudsonís Grill of America, Inc.
34-68736 Jan. 25, 2013 John W. Adams and AIP, LLC
Note: See also the Modified Plan of Distribution
34-68738 Jan. 25, 2013 Nicolette D. Loisel
34-68737 Jan. 25, 2013 Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA
34-68733 Jan. 25, 2013 Gabelli Funds, LLC
34-68732 Jan. 25, 2013 Mary Beth Stevens; Paul W. Oliver, Jr.
34-68731 Jan. 25, 2013 Largo Vista Group, Ltd., et al.
34-68729 Jan. 25, 2013 Law Enforcement Associates Corp., et al.
34-68727 Jan. 25, 2013 Medis Technologies Ltd., et al.
34-68722 Jan. 24, 2013 Eric D. Rogers
34-68716 Jan. 24, 2013 HI DEF Enterprises, Inc., et al.
34-68715 Jan. 24, 2013 IAS Energy, Inc., et al.
34-68706 Jan. 23, 2013 China Wesen Recycling Technology, Inc., et al.
IA-3536 Jan. 22, 2013 Raymond Y.H. Park
IA-3535 Jan. 22, 2013 Sung Kook Hwang
34-68703 Jan. 22, 2013 Egan-Jones Ratings Company and Sean Egan
34-68688 Jan. 18, 2013 AlphaTrade.com
34-68686 Jan. 18, 2013 The Hartcourt Companies, Inc., et al.
34-68685 Jan. 17, 2013 Linda Dianne Alexander
34-68683 Jan. 17, 2013 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
34-68681 Jan. 17, 2013 Desert Mining, Inc., et al.
34-68680 Jan. 17, 2013 IAS Energy, Inc., et al.
34-68679 Jan. 17, 2013 IBroadband, Inc., et al.
34-68673 Jan. 16, 2013 Larry Lee Adair, Esq.
34-68670 Jan. 16, 2013 Mark A. Gelazela and Steven E. Woods
34-68669 Jan. 16, 2013 MiddleCove Capital, LLC, and Noah L. Myers
Other Release Nos.: IA-3534, IC-30351
34-68664 Jan. 16, 2013 Eco Global Corporation, et al.
34-68661 Jan. 15, 2013 Kevin A. Howard, CPA
Other Release No.: AAER-3441
34-68649 Jan. 14, 2013 IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc.
34-68646 Jan. 14, 2013 Imreg, Inc., Innovative Holdings & Technologies, Inc., InnoVet, Inc., Institutional Properties 4, Interaction Media Corp., and International CRO Holdings Corp.
34-68628 Jan. 11, 2013 Eric Ashman, CPA
Other Release No.: AAER-3440
IA-3533 Jan. 11, 2013 I. Joseph Massoud
34-68623 Jan. 11, 2013 China Wesen Recycling Technology, Inc., et al.
34-68622 Jan. 11, 2013 IBroadband, Inc., et al.
IA-3532 Jan. 10, 2013 Kris Chellam
34-68614 Jan. 10, 2013 HearMe, et al.
34-68611 Jan. 9, 2013 Jimmie Dean Jones, CPA
Other Release No.: AAER-3438
34-68605 Jan. 9, 2013 John J. Aesoph, CPA, and Darren M. Bennett, CPA
Other Release No.: AAER-3436
34-68601 Jan. 8, 2013 China North East Petroleum Holdings Limited
34-68600 Jan. 8, 2013 UBS Financial Services Inc. of Puerto Rico
34-68599 Jan. 8, 2013 William J. Reilly, Esq.
34-68598 Jan. 7, 2013 HI DEF Enterprises, Inc., Hi-Rise Recycling Systems, Inc., Highline Industries, Inc., Hirel Holdings, Inc., Holiday RV Superstores, Inc. (n/k/a FreedomRoads RV, Inc.), Hooker Enterprises, Inc., Hospital Staffing Services, Inc., and Hotelworks.com, Inc.
34-68597 Jan. 7, 2013 Henley Healthcare, Inc., et al.
34-68593 Jan. 7, 2013 Credit Suisse Securities (USA) LLC, et al.
34-68592 Jan. 4, 2013 Stephen G. Bennett
34-68591 Jan. 4, 2013 Kenneth J. Abod, CPA
Other Release No.: AAER-3435
34-68586 Jan. 4, 2013 Gary J. Martel
34-68567 Jan. 3, 2013 Encore Clean Energy, Inc., et al.
34-68566 Jan. 3, 2013 China Voice Holding Corp., et al.
34-68565 Jan. 3, 2013 DIAS Holding, Inc., et al.
34-68564 Jan. 3, 2013 HealthSport, Inc., et al.

 

http://www.sec.gov/litigation/admin/adminarchive/adminarc2013.shtml


Modified: 04/23/2014