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.

Date	Respondents
Date: Dec. 30, 2013	Respondents: Peter B. Madoff, Esq. Release No. 34-71207 File Number: 3-15664
Date: Dec. 26, 2013	Respondents: Instinet, LLC Release No. 34-71191, IA-3748 File Number: 3-15663
Date: Dec. 24, 2013	Respondents: Jim Poe and Associates, Inc. and James Emory Poe Release No. IA-3747 File Number: 3-15661
Date: Dec. 24, 2013	Respondents: Kevin Brennan, CPA Release No. 34-71185, AAER-3523 File Number: 3-15662
Date: Dec. 23, 2013	Respondents: Clinton Ronald Greenman, CPA Release No. 34-71174, AAER-3522 File Number: 3-13709
Date: Dec. 23, 2013	Respondents: West Coast Asset Management, Inc. and Lance W. Helfert Release No. 33-9501, IA-3746 File Number: 3-15660
Date: Dec. 20, 2013	Respondents: CompuSonics Video Corporation Cameron Elliot, Administrative Law Judge Release No. 34-71151 File Number: 3-15657
Date: Dec. 20, 2013	Respondents: Kinross-Kennedy, John, CPA Release No. 34-71154, AAER-3520 File Number: 3-15536
Date: Dec. 20, 2013	Respondents: Melvin, Thomas D., CPA Release No. 34-71161, AAER-3521 File Number: 3-15659
Date: Dec. 20, 2013	Respondents: Multri-Precision, LLC Release No. 33-9500 File Number: 3-15658
Date: Dec. 20, 2013	Respondents: Aladdin Capital Management LLC and Aladdin Capital LLC, Joseph A. Schlim Release No. 34-71170 File Number: 3-15134, 3-15135
Date: Dec. 19, 2013	Respondents: 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
Date: Dec. 19, 2013	Respondents: Bank of Florida Corp., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-71136 File Number: 3-15656
Date: Dec. 18, 2013	Respondents: 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
Date: Dec. 18, 2013	Respondents: Patch International, Inc. QuadTech International, Inc. Strategic Resources, Ltd. Virtual Medical Centre, Inc. Release No. 34-71111 File Number: 3-15499
Date: Dec. 18, 2013	Respondents: Home System Group Release No. 34-71112 File Number: 3-15506
Date: Dec. 18, 2013	Respondents: Golden Elephant Glass Technology, Inc. Pacific Alliance Corp. Release No. 34-71113 File Number: 3-15649
Date: Dec. 18, 2013	Respondents: 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
Date: Dec. 18, 2013	Respondents: James Vincent Poti, CPA Release No. 34-71117, AAER-3519 File Number: 3-15651
Date: Dec. 18, 2013	Respondents: 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
Date: Dec. 18, 2013	Respondents: Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-71119 See Also: Proposed Plan of Distribution File Number: 3-14909
Date: Dec. 18, 2013	Respondents: Jonathan Samuel Daspin Release No. 34-71126, IC-30838 File Number: 3-15652
Date: Dec. 18, 2013	Respondents: Thomas Lekargeren Release No. 34-71127, IC-30839 File Number: 3-15653
Date: Dec. 18, 2013	Respondents: G-Trade Services LLC, et al. Release No. 34-71128, IA-3744 File Number: 3-15654
Date: Dec. 17, 2013	Respondents: Alex Halimi Release No. 34-71097, IC-30834 File Number: 3-15646
Date: Dec. 17, 2013	Respondents: Frank Dappah Release No. IA-3740 File Number: 3-15647
Date: Dec. 17, 2013	Respondents: Anglin, Ronald Gene Release No. 34-71109, IA-3741 File Number: 3-15648
Date: Dec. 13, 2013	Respondents: 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
Date: Dec. 13, 2013	Respondents: 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
Date: Dec. 12, 2013	Respondents: GLG Partners, Inc. and GLG Partners, L.P. Release No. 34-71050, AAER-3516 File Number: 3-15641
Date: Dec. 12, 2013	Respondents: Merrill Lynch, Pierce, Fenner & Smith Incorporated Release No. 33-9493, 34-71051 File Number: 3-15642
Date: Dec. 12, 2013	Respondents: Joseph G. Parish III and Scott H. Shannon Release No. IA-3735, IC-30828 File Number: 3-15643
Date: Dec. 12, 2013	Respondents: Bishop, Darlene A. Release No. 34-71065 File Number: 3-15438
Date: Dec. 12, 2013	Respondents: Mark M. Wayne Release No. 34-71069, IA-3737, IC-30829 File Number: 3-15644
Date: Dec. 12, 2013	Respondents: Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA Release No. 34-71070, IA-3738, AAER-3518 File Number: 3-15645
Date: Dec. 11, 2013	Respondents: Craig Toll, CPA, Release No. 34-71031, AAER-3515 File Number: 3-15638
Date: Dec. 11, 2013	Respondents: Matthew K. Lazar Release No. 34-71043, IA-3734 File Number: 3-15639
Date: Dec. 11, 2013	Respondents: A.L. Waters Capital, LLC Release No. 34-71049 File Number: 3-15640
Date: Dec. 9, 2013	Respondents: AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-71026 File Number: 3-15517
Date: Dec. 6, 2013	Respondents: Michael Anthony Gonzalez Release No. 34-71012 File Number: 3-15637
Date: Dec. 5, 2013	Respondents: 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
Date: Dec. 5, 2013	Respondents: 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
Date: Dec. 4, 2013	Respondents: 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
Date: Dec. 4, 2013	Respondents: 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
Date: Dec. 4, 2013	Respondents: Nicholas J. Polito, Jr. Release No. 34-70980, IA-3731 File Number: 3-15634
Date: Dec. 4, 2013	Respondents: Fifth Third Bancorp and Daniel Poston Release No. 33-9490, 34-70983, AAER-3514 File Number: 3-15635
Date: Dec. 3, 2013	Respondents: Charles L. Rizzo and Gina M. Hornbogen Release No. 34-70965, 34-70573 See Also: Proposed Distribution Plan File Number: 3-14641
Date: Dec. 3, 2013	Respondents: Corey Ribotsky Release No. IA-3730 File Number: 3-15631
Date: Dec. 2, 2013	Respondents: Charles J. Dushek, and Charles S. Dushek, Release No. IA-3729 File Number: 3-15630
Date: Nov. 27, 2013	Respondents: Imperato, Daniel Release No. 34-70959 File Number: 3-15628
Date: Nov. 27, 2013	Respondents: Marie L. Huber AndJess E. Jones Release No. 33-9488, IA-3728, IC-30814 File Number: 3-15629
Date: Nov. 26, 2013	Respondents: Bott, John P. II Falkenberg, F. Robert Parallax Investments, LLC Release No. 34-70944, IA-3726, IC-30810 File Number: 3-15626
Date: Nov. 26, 2013	Respondents: Tri-Star Advisors, Inc. Payne, William T. Vaughan, Jon C. Release No. IA-3727 File Number: 3-15627
Date: Nov. 26, 2013	Respondents: Ambassador Capital Management, LLC Oglesby, Derek H. Release No. IA-3725, IC-30809 File Number: 3-15625
Date: Nov. 25, 2013	Respondents: Bogar, Daniel Young, Bernerd E. Green, Jason T. Release No. 33-9484, 34-70934, IA-3722, IC-30805 File Number: 3-15003
Date: Nov. 25, 2013	Respondents: Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation Release No. 33-9485 File Number: 3-15621
Date: Nov. 25, 2013	Respondents: John R. Graves Release No. 34-70938, IA-3724 File Number: 3-15623
Date: Nov. 25, 2013	Respondents: John B. Guyette Release No. 34-70939 File Number: 3-15624
Date: Nov. 25, 2013	Respondents: Paul Anthony Mozicato Release No. IA-3723 File Number: 3-15622
Date: Nov. 22, 2013	Respondents: Daniels, William J. Doxey, Joseph P. Release No. 33-9482, 34-70923 File Number: 3-15619
Date: Nov. 22, 2013	Respondents: Carbiz, Inc. InZon Corporation IQ Micro, Inc. Irwin Financial Corporation Princeton Media Group, Inc. Release No. 34-70920 File Number: 3-15469
Date: Nov. 22, 2013	Respondents: Southern USA Resources, Inc. Release No. 34-70921 File Number: 3-15618
Date: Nov. 22, 2013	Respondents: Byrnee K. Baylor, Esq. Release No. 34-70931 File Number: 3-15620
Date: Nov. 20, 2013	Respondents: Lorenzo, Gregg C. Lorenzo, Francis V. Charles Vista, LLC Release No. 33-9480, 34-70904 File Number: 3-15211
Date: Nov. 20, 2013	Respondents: Grossman, Larry C. Adams, Gregory J. Release No. 33-9481, 34-70908, IA-3720, IC-30802 File Number: 3-15617
Date: Nov. 19, 2013	Respondents: HouseRaising, Inc. iElement Corporation InforMedix Holdings, Inc. Nortia Capital Partners, Inc. PC Universe, Inc. Release No. 34-70896 File Number: 3-15615
Date: Nov. 19, 2013	Respondents: Agamas Capital Management, LP, Release No. IA-3719 File Number: 3-15616
Date: Nov. 15, 2013	Respondents: Carlene B. Veara Release No. IA-3718 File Number: 3-15614
Date: Nov. 14, 2013	Respondents: AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-70870 File Number: 3-15517
Date: Nov. 13, 2013	Respondents: Martin, Julieann Palmer Release No. 33-9477, 34-70868, IC-30783 File Number: 3-15613
Date: Nov. 13, 2013	Respondents: Gilchrist, Jonathan C. Release No. 34-70867 File Number: 3-15612
Date: Nov. 7, 2013	Respondents: Victoria A. Hunt Release No. IA-3713 File Number: 3-15610
Date: Nov. 7, 2013	Respondents: Prestige Capital Advisors, LLC Release No. IA-3714 File Number: 3-15611
Date: Nov. 6, 2013	Respondents: Klatch, Anthony J., II Release No. IA-3712 File Number: 3-15608
Date: Nov. 6, 2013	Respondents: Sherb & Co., LLP, et al. Release No. 34-70823, AAER-3512 File Number: 3-15609
Date: Nov. 6, 2013	Respondents: Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. Release No. 34-70825 File Number: 3-11701
Date: Nov. 5, 2013	Respondents: The Greater Wenatchee Regional Events Center Public Facilities District, et al. Release No. 33-9471 File Number: 3-15602
Date: Nov. 5, 2013	Respondents: Piper Jaffray & Co. and Jane Towery Release No. 33-9472, 34-70804 File Number: 3-15603
Date: Nov. 5, 2013	Respondents: Resources Planning Group, Inc. Release No. IA-3710 File Number: 3-15604
Date: Nov. 5, 2013	Respondents: Charles M. Raspa Release No. 34-70813 File Number: 3-15605
Date: Nov. 5, 2013	Respondents: Joseph Sorbara Release No. 34-70814 File Number: 3-15606
Date: Nov. 5, 2013	Respondents: Steven Markowitz Release No. 34-70815 File Number: 3-15607
Date: Nov. 1, 2013	Respondents: AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-70796 File Number: 3-15517
Date: Nov. 1, 2013	Respondents: John Hagener Release No. IA-3709 File Number: 3-15381
Date: Oct. 31, 2013	Respondents: 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
Date: Oct. 31, 2013	Respondents: 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
Date: Oct. 31, 2013	Respondents: Jeremy S. Fisher Release No. 34-70786 File Number: 3-15598
Date: Oct. 31, 2013	Respondents: Robert Grabowski Release No. 34-70790 File Number: 3-15599
Date: Oct. 30, 2013	Respondents: Fry Hensley and Company and Nicholas L. Fry, II Release No. 34-70777, IA-3708, IC-30772
Date: Oct. 30, 2013	Respondents: Wayne Reed Ogden Release No. 34-70778 File Number: 3-15594
Date: Oct. 30, 2013	Respondents: Terry Paul Ogden Release No. 34-70779 File Number: 3-15595
Date: Oct. 30, 2013	Respondents: JPMorgan Chase & Co. Release No. 34-70780 File Number: 3-15507
Date: Oct. 29, 2013	Respondents: Ronald Baldwin, Jr. CPA Release No. 34-70767, AAER-3511 File Number: 3-15591
Date: Oct. 29, 2013	Respondents: Joseph M. Mancuso Release No. 34-70768 File Number: 3-15592
Date: Oct. 29, 2013	Respondents: Scott Tierney Release No. 34-70770 File Number: 3-15593
Date: Oct. 28, 2013	Respondents: Knelman Asset Management Group, LLC and Irving P. Knelman Release No. IA-3705, IC-30766 File Number: 3-15588
Date: Oct. 28, 2013	Respondents: GW & Wade, LLC Release No. IA-3706 File Number: 3-15589
Date: Oct. 28, 2013	Respondents: Further Lane Asset Management, LLC, et al. Release No. 34-70759, IA-3707, IC-30767 File Number: 3-15590
Date: Oct. 24, 2013	Respondents: Skyview Holdings Corp., Stonecrest One, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-70750 File Number: 3-15515
Date: Oct. 24, 2013	Respondents: Stryker Corporation Release No. 34-70751 File Number: 3-15587