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: Aug. 27, 2013	Respondents: William Landberg Release No. IA-3656 File Number: 3-15444
Date: Aug. 27, 2013	Respondents: Hesed Technology Co., Ltd. Release No. 34-70261 File Number: 3-15214
Date: Aug. 27, 2013	Respondents: Geo Petroleum, Inc., et al. Release No. 34-70262 File Number: 3-15388
Date: Aug. 27, 2013	Respondents: Bertram A. Hill Release No. 34-70265 File Number: 3-15441
Date: Aug. 27, 2013	Respondents: Pringle, Kiavanni Release No. 34-70266 File Number: 3-15442
Date: Aug. 27, 2013	Respondents: Smith, Alan Release No. 34-70267 File Number: 3-15443
Date: Aug. 26, 2013	Respondents: Anasazi Capital Corp. Certified Diabetic Services, Inc. Chartwell International, Inc. (n/k/a Covalent Energy International, Inc.) China Junlian Integrated Surveillance, Inc. First Sun South Corp. FirstPlus Financial Group, Inc. Great American Hotels & Resorts, Inc. Release No. 34-70254 File Number: 3-15439
Date: Aug. 23, 2013	Respondents: Bishop, Darlene A. Release No. 34-70252 File Number: 3-15438
Date: Aug. 21, 2013	Respondents: Chariot Advisors, LLC Shifman, Elliott L. Release No. 34-70239, IA-3653, IC-30655 File Number: 3-15433
Date: Aug. 21, 2013	Respondents: Advantage Technologies, Inc., et al. Release No. 34-70240 File Number: 3-15434
Date: Aug. 21, 2013	Respondents: Robert A. Gist, Esq. Release No. 34-70243 File Number: 3-15436
Date: Aug. 21, 2013	Respondents: Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-70244 File Number: 3-14909
Date: Aug. 21, 2013	Respondents: David B. Welliver Release No. IA-3654 File Number: 3-15435
Date: Aug. 20, 2013	Respondents: First Georgia Community Corp., et al. Release No. 34-70233 File Number: 3-15378
Date: Aug. 20, 2013	Respondents: Williamson, Brian Release No. 33-9443, 34-70234, IA-3652, IC-30652 File Number: 3-15430, 3-15430-rtv
Date: Aug. 20, 2013	Respondents: G-Cats Acquisition Corp. GalaGen, Inc. Galena Acquisition Corp. Garment Graphics, Inc. Release No. 34-70238 File Number: 3-15431
Date: Aug. 19, 2013	Respondents: American Technologies Group, Inc., et al. Release No. 34-70226 File Number: 3-15379
Date: Aug. 16, 2013	Respondents: North East Capital, LLCand Anthony T. Vicidomine Release No. 33-9442, 34-70223, IA-3651, IC-30651 File Number: 3-15429
Date: Aug. 16, 2013	Respondents: Jonathan S. Bristol, Esq. Release No. 34-70219 File Number: 3-15427
Date: Aug. 16, 2013	Respondents: Marcellous S. McZeal Release No. 34-70221 File Number: 3-15428
Date: Aug. 16, 2013	Respondents: Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.;James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Release No. 34-70222 See Also: Modified Plan of Distribution File Number: 3-13847
Date: Aug. 15, 2013	Respondents: Convergence Ethanol, Inc. Release No. 34-70202 File Number: 3-15404
Date: Aug. 15, 2013	Respondents: Redfin Network, Inc. Release No. 34-70203 File Number: 3-15422
Date: Aug. 15, 2013	Respondents: Edward T. Stein Release No. 34-70205, IA-3648 File Number: 3-15423
Date: Aug. 15, 2013	Respondents: Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn Release No. 34-70208 File Number: 3-11246
Date: Aug. 15, 2013	Respondents: Karl Motey Release No. IA-3649 File Number: 3-15424
Date: Aug. 15, 2013	Respondents: Chicago Stock Exchange, Inc. Release No. 34-70214 File Number: 3-15425
Date: Aug. 15, 2013	Respondents: Adam G. Erickson Release No. 34-70215, IA-3650 File Number: 3-15426
Date: Aug. 14, 2013	Respondents: CNC Development, Ltd., et al. Release No. 34-70177 File Number: 3-15415
Date: Aug. 14, 2013	Respondents: iVoice, Inc. Protectus Medical Devices, Inc. St. Lawrence Energy Corp. Release No. 34-70179 File Number: 3-15416
Date: Aug. 14, 2013	Respondents: Soil Biogenics Ltd. Release No. 34-70181 File Number: 3-15417
Date: Aug. 14, 2013	Respondents: Altus Pharmaceuticals, Inc., et al. Release No. 34-70183 File Number: 3-15418
Date: Aug. 14, 2013	Respondents: AIMS Worldwide, Inc., et al. Release No. 34-70185 File Number: 3-15419
Date: Aug. 14, 2013	Respondents: Martin C. Hartmann III Release No. 34-70187 File Number: 3-15420
Date: Aug. 14, 2013	Respondents: Laura Ann Tordy Release No. 34-70188 File Number: 3-15421
Date: Aug. 13, 2013	Respondents: Hicks, Richard D. Release No. 33-9440, 34-70165, IA-3647 File Number: 3-15413
Date: Aug. 13, 2013	Respondents: Martin A. Pool Release No. 34-70167 File Number: 3-15414
Date: Aug. 13, 2013	Respondents: Ark Asset Management Co., Inc. Release No. 34-70171 File Number: 3-13714
Date: Aug. 13, 2013	Respondents: L.T. Lawrence & Co., Inc., et al. Release No. 34-70172 File Number: 3-99230
Date: Aug. 12, 2013	Respondents: Camelot Entertainment Group, Inc. Cavico Corp. Global 8 Environmental Technologies, Inc. GTC Telecom Corp. ICF Corporation New NRG, Inc. Release No. 34-70156 File Number: 3-15387
Date: Aug. 12, 2013	Respondents: American Wenshen Steel Group, Inc. Case Financial, Inc. Global ePoint, Inc. iMedia International, Inc. Release No. 34-70157 File Number: 3-15386
Date: Aug. 12, 2013	Respondents: Richard P. Sandru Release No. 34-70161, IA-3646, IC-30649 File Number: 3-15268
Date: Aug. 12, 2013	Respondents: Gaming World International, Ltd., et al. Release No. 34-70164 File Number: 3-15412
Date: Aug. 9, 2013	Respondents: Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company Release No. 34-70151 File Number: 3-12372
Date: Aug. 9, 2013	Respondents: Joseph Hilton, a/k/a Joseph Yurkin Release No. 34-70152 File Number: 3-15273
Date: Aug. 9, 2013	Respondents: New Horizon Publishing Inc. Release No. 34-70153 File Number: 3-15274
Date: Aug. 9, 2013	Respondents: Pacific Northwestern Energy, LLC Release No. 34-70154 File Number: 3-15411
Date: Aug. 8, 2013	Respondents: Camelot Entertainment Group, Inc. Cavico Corp. Global 8 Environmental Technologies, Inc. GTC Telecom Corp. ICF Corporation New NRG, Inc. Release No. 34-70133 File Number: 3-15387
Date: Aug. 7, 2013	Respondents: Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.), et al. Release No. 34-70128 File Number: 3-15371
Date: Aug. 6, 2013	Respondents: UBS Securities LLC Release No. 33-9438, 34-70121, IA-3643, 33-9439 See Also: Release No. 33-9439 File Number: 3-15407
Date: Aug. 6, 2013	Respondents: Wilson, Joel I. Release No. 34-70125, IA-3644 File Number: 3-15408
Date: Aug. 6, 2013	Respondents: Thomas Gary Cooper Release No. 34-70126, IA-3645, IC-30642 File Number: 3-15409
Date: Aug. 6, 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. 34-70127 File Number: 3-15410
Date: Aug. 5, 2013	Respondents: Benjamin Daniel DeHaan Release No. IA-3642 File Number: 3-15406
Date: Aug. 2, 2013	Respondents: Convergence Ethanol, Inc. Release No. 34-70094 File Number: 3-15404
Date: Aug. 2, 2013	Respondents: Ronald Musich Release No. 34-70105, IA-3641 File Number: 3-15405
Date: July 31, 2013	Respondents: Chauncey C. Mayfield and MayfieldGentry Realty Advisors, LLC Release No. IA-3640 File Number: 3-15402
Date: July 31, 2013	Respondents: Bloggerwave, Inc., et al. Release No. 34-70077 File Number: 3-15328
Date: July 31, 2013	Respondents: Great Train Store Co. Greate Bay Casino Corp. Gulf Exploration Consultants, Inc. Gulfside Industries Ltd. (n/k/a Consolidated Gulfside Resources, Ltd) Gulftex Energy Corp. III to I Maritime Partners Cayman I, LP Lynn Two, Inc. Release No. 34-70078 File Number: 3-15355
Date: July 31, 2013	Respondents: American Vantage Companies Release No. 34-70079 File Number: 3-15396
Date: July 31, 2013	Respondents: Heartland, Inc. Release No. 34-70080 File Number: 3-15397
Date: July 31, 2013	Respondents: Commonwealth Bankshares, Inc. Release No. 34-70081 File Number: 3-15398
Date: July 31, 2013	Respondents: Goelzer Investment Management, Inc. and Gregory W. Goelzer Release No. 34-70083, IA-3638 File Number: 3-15400
Date: July 31, 2013	Respondents: A.R. Schmeidler & Co., Inc. Release No. 34-70089, 33-9436 See Also: Release No. 33-9436 File Number: 3-15399
Date: July 31, 2013	Respondents: ABN AMRO Bank, N.V. Release No. 33-9437, 34-70086, IA-3639 File Number: 3-15401
Date: July 31, 2013	Respondents: Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC Release No. 34-70082 File Number: 3-11818
Date: July 31, 2013	Respondents: Steven M. Ray Release No. 34-70088 File Number: 3-15403
Date: July 30, 2013	Respondents: Subramanian Krishnan (CPA)(Corrected) Release No. 34-70074, AAER-3473 File Number: 3-15395
Date: July 29, 2013	Respondents: Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc. Release No. 34-70054 File Number: 3-15326
Date: July 29, 2013	Respondents: City Securities Corporation and Randy G. Ruhl Release No. 33-9434, 34-70056, IC-30632 File Number: 3-15390
Date: July 29, 2013	Respondents: West Clark Community Schools Release No. 33-9435, IC-70057 File Number: 3-15391
Date: July 29, 2013	Respondents: Comprehensive Capital Management, Inc. Release No. IA-3636 File Number: 3-15393
Date: July 29, 2013	Respondents: Ronald S. Rollins Release No. 34-70058, IA-3635, IC-30633 File Number: 3-15392
Date: July 26, 2013	Respondents: Duoyuan Printing, Inc. Release No. 34-70042 File Number: 3-15389
Date: July 26, 2013	Respondents: Aladdin Capital Management LLC and Aladdin Capital LLC, Joseph A. Schlim Release No. 34-70043 File Number: 3-15134, 3-15135
Date: July 25, 2013	Respondents: GDT Tek, Inc., et al. Release No. 34-70035 File Number: 3-15368
Date: July 24, 2013	Respondents: iTrackr Systems, Inc. Release No. 34-70032 File Number: 3-15360
Date: July 24, 2013	Respondents: Green Solutions China, Inc., et al. Release No. 34-70033 File Number: 3-15363
Date: July 24, 2013	Respondents: Stewart A. Merkin, Esq. Release No. 34-70034 File Number: 3-15158
Date: July 23, 2013	Respondents: Southern Scottish Inns, Inc. Release No. 34-70018 File Number: 3-15384
Date: July 23, 2013	Respondents: Securities Transfer, Inc. Release No. 34-70019 File Number: 3-15385
Date: July 23, 2013	Respondents: American Wenshen Steel Group, Inc. Case Financial, Inc. Global ePoint, Inc. iMedia International, Inc. Release No. 34-70020 File Number: 3-15386
Date: July 23, 2013	Respondents: Camelot Entertainment Group, Inc. Cavico Corp. Global 8 Environmental Technologies, Inc. GTC Telecom Corp. ICF Corporation New NRG, Inc. Release No. 34-70022 File Number: 3-15387
Date: July 23, 2013	Respondents: Geo Petroleum, Inc., et al. Release No. 34-70030 File Number: 3-15388
Date: July 23, 2013	Respondents: Virginia K. Sourlis, Esq. Release No. 34-70031 File Number: 3-15212
Date: July 22, 2013	Respondents: Advanced ID Corp., et al. Release No. 34-70012 File Number: 3-15202
Date: July 22, 2013	Respondents: Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), et al. Release No. 34-70013 File Number: 3-15359
Date: July 22, 2013	Respondents: Centaur Management Co. LLC Release No. 34-70015, 34-69604 See Also: Distribution Plan File Number: 3-14950
Date: July 22, 2013	Respondents: Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.;James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Release No. 34-70016 File Number: 3-13847
Date: July 22, 2013	Respondents: China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc. Release No. 34-70017 File Number: 3-15383
Date: July 19, 2013	Respondents: John Hagener Release No. IA-3633 File Number: 3-15381
Date: July 19, 2013	Respondents: Cohen, Steven A. Release No. IA-3634 File Number: 3-15382, 3-15382
Date: July 18, 2013	Respondents: First Georgia Community Corp., et al. Release No. 34-70000 File Number: 3-15378
Date: July 18, 2013	Respondents: American Technologies Group, Inc., et al. Release No. 34-70002 File Number: 3-15379
Date: July 18, 2013	Respondents: Deal, Jon Harvey Release No. IA-3630 File Number: 3-15380
Date: July 18, 2013	Respondents: Strong Capital Management, Inc. Release No. 34-70003 File Number: 3-12448
Date: July 18, 2013	Respondents: Brion G. Randall Release No. IA-3632 File Number: 3-15366
Date: July 17, 2013	Respondents: Vincent G. Curry Release No. 34-69998 File Number: 3-15312
Date: July 16, 2013	Respondents: Joseph I. Emas Release No. 34-69995, 34-61386 File Number: 3-13757
Date: July 15, 2013	Respondents: Great Train Store Co. Greate Bay Casino Corp. Gulf Exploration Consultants, Inc. Gulfside Industries Ltd. (n/k/a Consolidated Gulfside Resources, Ltd) Gulftex Energy Corp. III to I Maritime Partners Cayman I, LP Lynn Two, Inc. Release No. 34-69986 File Number: 3-15355