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: Sept. 24, 2013	Respondents: Redfin Network, Inc. Release No. 34-70479 File Number: 3-15422
Date: Sept. 24, 2013	Respondents: AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-70481 File Number: 3-15517
Date: Sept. 24, 2013	Respondents: Hernandez, Diego F. Wealth Management Partners, LLC (The) Wealth Financial, Limited Liability Company DFHR Investments, Inc. HD Mile High Marketing, Inc. Release No. 33-9455, 34-70485, IA-3677, IC-30696 File Number: 3-15518
Date: Sept. 24, 2013	Respondents: Timbervest, LLC Shapiro, Joel Barth Boden, Walter William Anthony, III Zell, Donald David, Jr. Jones, Gordon, II Release No. IA-3678, IC-30697 File Number: 3-15519
Date: Sept. 24, 2013	Respondents: Philip David Horn Brenda P. Murray, Chief Administrative Law Judge Release No. 34-70490, IA-3679 File Number: 3-15520
Date: Sept. 24, 2013	Respondents: Owen Mark Williams, CPA Release No. 34-70492, AAER-3491 File Number: 3-15521
Date: Sept. 23, 2013	Respondents: Advantage Technologies, Inc., et al. Release No. 34-70469 File Number: 3-15434
Date: Sept. 23, 2013	Respondents: TD Bank, N.A. Release No. 33-9453 File Number: 3-15512
Date: Sept. 23, 2013	Respondents: Anthony, Donald J., Jr. Chiappone, Frank H. Feldman, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C. Release No. 33-9454, 34-70473, IA-3674, IC-30694 File Number: 3-15514
Date: Sept. 23, 2013	Respondents: James R. Lanier (Corrected) Carol Fox Foelak, Administrative Law Judge Release No. 34-70471, IA-3673 File Number: 3-15513
Date: Sept. 23, 2013	Respondents: Skyview Holdings Corp., Stonecrest One, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-70474 File Number: 3-15515
Date: Sept. 23, 2013	Respondents: Bonanza One, Inc. China Century Dragon Media, Inc. Farrallon, Inc. Ora Electronics, Inc. Tia I, Inc. Tia II, Inc. Release No. 34-70475 File Number: 3-15516
Date: Sept. 20, 2013	Respondents: China Lithium Technologies, Inc., and China Wi-Max Communications, Inc. Release No. 34-70461 File Number: 3-15450
Date: Sept. 20, 2013	Respondents: David Blech Release No. 34-70466 File Number: 3-15511
Date: Sept. 19, 2013	Respondents: Moraitis, John Release No. 34-70452 File Number: 3-15510
Date: Sept. 19, 2013	Respondents: Altus Pharmaceuticals, Inc., et al. Release No. 34-70453 File Number: 3-15418
Date: Sept. 19, 2013	Respondents: American Asset Development, Inc. aVinci Media Corp. Ceragenix Pharmaceuticals, Inc. Marshall Holdings International, Inc. MedCom USA, Incorporated Millenium Holding Group, Inc. Release No. 34-70455 File Number: 3-15505
Date: Sept. 19, 2013	Respondents: Home System Group Release No. 34-70456 File Number: 3-15506
Date: Sept. 19, 2013	Respondents: JPMorgan Chase & Co. Release No. 34-70458, AAER-3490 File Number: 3-15507
Date: Sept. 19, 2013	Respondents: Stephen C. Bond Release No. IA-3672 File Number: 3-15509
Date: Sept. 18, 2013	Respondents: AIMS Worldwide, Inc., et al. Release No. 34-70431 File Number: 3-15419
Date: Sept. 18, 2013	Respondents: American Energy Production, Inc. Best Energy Services, Inc. Community Central Bank Corporation Explortex Energy, Inc. HemoBioTech, Inc. Larrea Biosciences Corporation MBI Financial, Inc. Million Dollar Saloon, Inc. Release No. 34-70433 File Number: 3-15496
Date: Sept. 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. 34-70434 File Number: 3-15497
Date: Sept. 18, 2013	Respondents: Municipal Mortgage & Equity LLC, et al. Release No. 34-70436 File Number: 3-15498
Date: Sept. 18, 2013	Respondents: Patch International, Inc. QuadTech International, Inc. Strategic Resources, Ltd. Virtual Medical Centre, Inc. Release No. 34-70438 File Number: 3-15499
Date: Sept. 18, 2013	Respondents: Shadron L. Stastney Release No. IA-3671, IC-30689 File Number: 3-15500
Date: Sept. 18, 2013	Respondents: Edmund E. Wilson (Corrected) Carol Fox Foelak, Administrative Law Judge Release No. 34-70447 File Number: 3-15501
Date: Sept. 18, 2013	Respondents: Medifast, Inc. Release No. 34-70448, AAER-3487 File Number: 3-15502
Date: Sept. 18, 2013	Respondents: Marc G. Nochimson, CPA Release No. 34-70449, AAER-3488 File Number: 3-15503
Date: Sept. 18, 2013	Respondents: Brendan N. Connors, CPA Release No. 34-70450, AAER-3489 File Number: 3-15504
Date: Sept. 17, 2013	Respondents: GBS Com-Tech Corp. Gentia Software PLC Glengarry Holdings, Ltd. Global TeleSystems, Inc. Golden Health Holdings, Inc. Golden Vista International, Inc. Goolu, Inc. Release No. 34-70422 File Number: 3-15410
Date: Sept. 16, 2013	Respondents: China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc. Release No. 34-70391 File Number: 3-15383
Date: Sept. 16, 2013	Respondents: Blackthorn Investment Group, LLC Release No. 34-70392 File Number: 3-15473
Date: Sept. 16, 2013	Respondents: Claritas Investment, Ltd. Release No. 34-70393 File Number: 3-15474
Date: Sept. 16, 2013	Respondents: Credentia Group, LLC Release No. 34-70394 File Number: 3-15475
Date: Sept. 16, 2013	Respondents: D. E. Shaw & Co., L.P. Release No. 34-70396 File Number: 3-15476
Date: Sept. 16, 2013	Respondents: Polo Capital International Gestão de Recursos Ltda. Release No. 34-70397 File Number: 3-15481
Date: Sept. 16, 2013	Respondents: Deerfield Management Company, L.P. Release No. 34-70398 File Number: 3-15477
Date: Sept. 16, 2013	Respondents: Hudson Bay Capital Management LP Release No. 34-70399 File Number: 3-15478
Date: Sept. 16, 2013	Respondents: M.S. Junior, Inc., et al. Release No. 34-70400 File Number: 3-15480
Date: Sept. 16, 2013	Respondents: Manikay Partners LLC Release No. 34-70401 File Number: 3-15488
Date: Sept. 16, 2013	Respondents: Meru Capital Group, LP Release No. 34-70402 File Number: 3-15489
Date: Sept. 16, 2013	Respondents: Soundpost Partners, LP Release No. 34-70403 File Number: 3-15482
Date: Sept. 16, 2013	Respondents: Southpoint Capital Advisors LP Release No. 34-70404 File Number: 3-15483
Date: Sept. 16, 2013	Respondents: Merus Capital Partners, LLC Release No. 34-70405 File Number: 3-15490
Date: Sept. 16, 2013	Respondents: Talkot Capital LLC Release No. 34-70406 File Number: 3-15484
Date: Sept. 16, 2013	Respondents: Ontario Teachers’ Pension Plan Board Release No. 34-70407 File Number: 3-15491
Date: Sept. 16, 2013	Respondents: Vollero Beach Capital Partners LLC Release No. 34-70408 File Number: 3-15485
Date: Sept. 16, 2013	Respondents: Pan Capital AB Release No. 34-70409 File Number: 3-15492
Date: Sept. 16, 2013	Respondents: PEAK6 Capital Management LLC Release No. 34-70410 File Number: 3-15493
Date: Sept. 16, 2013	Respondents: War Chest Capital Partners LLC Release No. 34-70411 File Number: 3-15486
Date: Sept. 16, 2013	Respondents: Philadelphia Financial Management of San Francisco, LLC Release No. 34-70412 File Number: 3-15494
Date: Sept. 16, 2013	Respondents: Western Standard, LLC Release No. 34-70413 File Number: 3-15487
Date: Sept. 16, 2013	Respondents: G-2 Trading LLC Release No. 34-70414 File Number: 3-15495
Date: Sept. 16, 2013	Respondents: JGP Global Gestão de Recursos Ltda. Release No. 34-70415 File Number: 3-15479
Date: Sept. 13, 2013	Respondents: iVoice, Inc. Protectus Medical Devices, Inc. St. Lawrence Energy Corp. Release No. 34-70387 File Number: 3-15416
Date: Sept. 13, 2013	Respondents: Sarkauskas and Associates, Inc. and James M. Sarkauskas Release No. 34-70388, IA-3669, IC-30687 File Number: 3-15471
Date: Sept. 13, 2013	Respondents: Public Health Trust of Miami-Dade County, Florida Release No. 33-9450 File Number: 3-15472
Date: Sept. 13, 2013	Respondents: Credit Suisse Alternative Capital, et al. Release No. 34-70390 File Number: 3-14594
Date: Sept. 12, 2013	Respondents: Carbiz, Inc. InZon Corporation IQ Micro, Inc. Irwin Financial Corporation Princeton Media Group, Inc. Release No. 34-70374 File Number: 3-15469
Date: Sept. 12, 2013	Respondents: Axcess International, Inc., et al. Release No. 34-70376 File Number: 3-15470
Date: Sept. 12, 2013	Respondents: Soil Biogenics Ltd. Release No. 34-70378 File Number: 3-15417
Date: Sept. 12, 2013	Respondents: Altus Pharmaceuticals, Inc., et al. Release No. 34-70379 File Number: 3-15418
Date: Sept. 12, 2013	Respondents: Avani International Group, Inc., et al. Release No. 34-70380 File Number: 3-15324
Date: Sept. 12, 2013	Respondents: Benjamin Daniel DeHaan Release No. IA-3668 File Number: 3-15406
Date: Sept. 11, 2013	Respondents: Burns, Eric T. Release No. 34-70368, IA-3667 File Number: 3-15468
Date: Sept. 10, 2013	Respondents: Exmocare, Inc. (n/k/a Second Solar, Inc.), First Transaction Management, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-70351 File Number: 3-15455
Date: Sept. 10, 2013	Respondents: HydroGen Corp., et al. Release No. 34-70353 File Number: 3-15464
Date: Sept. 10, 2013	Respondents: Big Bear Mining Corp., et al. Release No. 34-70355 File Number: 3-15465
Date: Sept. 10, 2013	Respondents: Laura A. Roser Release No. 34-70359 File Number: 3-15245
Date: Sept. 10, 2013	Respondents: Colorado 2001B Limited Partnership, et al. Release No. 34-70365 File Number: 3-15467
Date: Sept. 10, 2013	Respondents: Federated Investment Management Company, Federated Securities Corp.and Federated Shareholder Services Company Release No. 34-70367 File Number: 3-12111
Date: Sept. 6, 2013	Respondents: North China Horticulture, Inc. Release No. 34-70333 File Number: 3-15457
Date: Sept. 6, 2013	Respondents: Lawrence D. Polizzotto Release No. 34-70337 File Number: 3-15458
Date: Sept. 6, 2013	Respondents: Ralph A. Saviano Release No. 34-70338, IA-3664 File Number: 3-15459
Date: Sept. 6, 2013	Respondents: David G. Bartholomew Release No. 34-70340 File Number: 3-15460
Date: Sept. 6, 2013	Respondents: McGinn, Timothy M. Smith, David L. Release No. 34-70341, IA-3665 File Number: 3-15461
Date: Sept. 6, 2013	Respondents: Victor Manuel Rivera, Jr. Release No. 34-70343, IA-3666 File Number: 3-15462
Date: Sept. 6, 2013	Respondents: John A. Picini Release No. 34-70344 File Number: 3-15463
Date: Sept. 5, 2013	Respondents: Anhui Taiyang Poultry Co., Inc., a/k/a The Parkview Group, Inc., et al. Release No. 34-70321 File Number: 3-15452
Date: Sept. 5, 2013	Respondents: China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.) Release No. 34-70323 File Number: 3-15453
Date: Sept. 5, 2013	Respondents: CNC Development, Ltd., et al. Release No. 34-70325 File Number: 3-15415
Date: Sept. 5, 2013	Respondents: Gaming World International, Ltd., et al. Release No. 34-70326 File Number: 3-15412
Date: Sept. 5, 2013	Respondents: Ronald Yee Release No. IA-3660 File Number: 3-15454
Date: Sept. 5, 2013	Respondents: Craig Kugel Release No. 34-70329, IA-3662 File Number: 3-14906
Date: Sept. 5, 2013	Respondents: Anthony John Johnson Release No. 34-70330, IA-3663 File Number: 3-15269
Date: Sept. 5, 2013	Respondents: Axius, Inc. Release No. 34-70331 File Number: 3-15456
Date: Sept. 5, 2013	Respondents: Spencer C. Barasch Release No. 34-70332 File Number: 3-14891
Date: Sept. 4, 2013	Respondents: Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.) Release No. 34-70306 File Number: 3-15280
Date: Sept. 4, 2013	Respondents: China Lithium Technologies, Inc., and China Wi-Max Communications, Inc. Release No. 34-70308 File Number: 3-15450
Date: Sept. 4, 2013	Respondents: K’s Media Release No. 34-70310 File Number: 3-15451
Date: Sept. 4, 2013	Respondents: Ricardo Bonilla Rojas Release No. 34-70319 File Number: 3-15310
Date: Sept. 3, 2013	Respondents: Collyard, Gary A. Release No. 34-70300 File Number: 3-15448
Date: Sept. 3, 2013	Respondents: Crescent Moon, Inc., et al. Release No. 34-70304 File Number: 3-15449
Date: Aug. 30, 2013	Respondents: J.S. Oliver Capital Management, L.P. Mausner, Ian O. Drennan, Douglas F. Release No. 33-9446, 34-70292, IA-3658, IC-30682 File Number: 3-15446
Date: Aug. 30, 2013	Respondents: Gatherum, Laurie GEI Financial Services, Inc. Goldstein, Norman Release No. 34-70297, IA-3659 File Number: 3-15447
Date: Aug. 28, 2013	Respondents: First Georgia Community Corp., et al. Release No. 34-70275 File Number: 3-15378
Date: Aug. 28, 2013	Respondents: Banet, Hausmann-Alain Release No. IA-3657 File Number: 3-15445
Date: Aug. 28, 2013	Respondents: Joshua Constantin and Brian Solomon Release No. 34-70280 File Number: 3-15332
Date: Aug. 27, 2013	Respondents: Carl D. Johns Release No. IA-3655, IC-30675 File Number: 3-15440