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: July 12, 2013	Respondents: Greate Bay Hotel & Casino, Inc., et al. Release No. 34-69978 File Number: 3-15352
Date: July 12, 2013	Respondents: Steven J. Brewer Release No. 34-69984, IA-3629 File Number: 3-15377
Date: July 11, 2013	Respondents: David Kugel Release No. 34-69969, IA-3625 File Number: 3-15374
Date: July 11, 2013	Respondents: Eric Lipkin Release No. 34-69971, IA-3626 File Number: 3-15375
Date: July 11, 2013	Respondents: Enrica Cotellessa-Pitz Release No. 34-69973, IA-3627 File Number: 3-15376
Date: July 9, 2013	Respondents: Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.), et al. Release No. 34-69946 File Number: 3-15371
Date: July 9, 2013	Respondents: Matthew M. Taylor Release No. 34-69949, IA-3622 File Number: 3-15372
Date: July 9, 2013	Respondents: Joseph J. Hennessy Release No. 34-69950, IA-3623 File Number: 3-15373
Date: July 8, 2013	Respondents: China Properties Developments, Inc. Release No. 34-69942 File Number: 3-15335
Date: July 8, 2013	Respondents: Greate Bay Hotel & Casino, Inc., et al. Release No. 34-69943 File Number: 3-15352
Date: July 8, 2013	Respondents: Aichun Li, CPA Release No. 34-69945, AAER-3472 File Number: 3-15370
Date: July 3, 2013	Respondents: Jiangbo Pharmaceuticals, Inc. Release No. 34-69924 File Number: 3-15019
Date: July 3, 2013	Respondents: Terry V. Koontz Release No. 34-69937 File Number: 3-15369
Date: July 2, 2013	Respondents: SinoHub, Inc. Release No. 34-69905 File Number: 3-15305
Date: July 2, 2013	Respondents: GDT Tek, Inc., et al. Release No. 34-69906 File Number: 3-15368
Date: July 2, 2013	Respondents: Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry Release No. 34-69917 File Number: 3-14982
Date: July 1, 2013	Respondents: Fuqi International, Inc. Release No. 34-69895 File Number: 3-15367
Date: July 1, 2013	Respondents: Jennifer E. Thoennes Release No. 34-69896 File Number: 3-15294
Date: June 28, 2013	Respondents: Brian D. Fox Release No. 34-69886, AAER-3469 File Number: 3-15191
Date: June 28, 2013	Respondents: Brion G. Randall Release No. IA-3620 File Number: 3-15366
Date: June 27, 2013	Respondents: Benda Pharmaceutical, Inc. China Shuangji Cement Ltd. Release No. 34-69865 File Number: 3-15325
Date: June 27, 2013	Respondents: Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-69873, 34-69418, 34-69138, 34-67363, 33-9329, 34-67142, IA-3417, IC-30099 File Number: 3-14909
Date: June 27, 2013	Respondents: Jerry L. Burdick, CPA Release No. 34-69879, 34-58441 File Number: 3-13151
Date: June 26, 2013	Respondents: Bruce W. Tomlinson, CPA Release No. 34-69860, AAER-3465 File Number: 3-15365
Date: June 25, 2013	Respondents: CoreCare Systems, Inc., et al. Release No. 34-69840 File Number: 3-15319
Date: June 24, 2013	Respondents: 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 Release No. 34-69833 File Number: 3-15301
Date: June 24, 2013	Respondents: Green Solutions China, Inc., et al. Release No. 34-69839 File Number: 3-15363
Date: June 21, 2013	Respondents: The Hartcourt Companies, Inc., et al. Release No. 34-69815 File Number: 3-15128
Date: June 21, 2013	Respondents: Jason A. D’Amato Release No. 34-69816, IA-3618, IC-30565 File Number: 3-15004
Date: June 21, 2013	Respondents: Michael J. Stewart Release No. 34-69832 File Number: 3-15362
Date: June 20, 2013	Respondents: Sunrise Solar Corporation Release No. 34-69804 File Number: 3-15281
Date: June 20, 2013	Respondents: Dennis Ashley Bukantis Release No. 34-69808 File Number: 3-15361
Date: June 19, 2013	Respondents: Jupiter Enterprises, Inc. Release No. 34-69795 File Number: 3-15336
Date: June 19, 2013	Respondents: China Environmental Protection, Inc. Release No. 34-69796 File Number: 3-15334
Date: June 19, 2013	Respondents: Greenstart, Inc., et al. Release No. 34-69797 File Number: 3-15340
Date: June 18, 2013	Respondents: Bloggerwave, Inc., et al. Release No. 34-69778 File Number: 3-15328
Date: June 18, 2013	Respondents: iTrackr Systems, Inc. Release No. 34-69780 File Number: 3-15360
Date: June 18, 2013	Respondents: Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), et al. Release No. 34-69781 File Number: 3-15359
Date: June 18, 2013	Respondents: Gerald "Jerry" D. Kegley Release No. 34-69783 File Number: 3-15262
Date: June 17, 2013	Respondents: Lunar Growth Corp. Release No. 34-69769 File Number: 3-15253
Date: June 17, 2013	Respondents: Avani International Group, Inc., et al. Release No. 34-69770 File Number: 3-15324
Date: June 14, 2013	Respondents: Rosenberg Rich Baker Berman & Company and Brian Zucker, CPA Release No. 34-69765, AAER-3464 File Number: 3-15358
Date: June 13, 2013	Respondents: Revlon, Inc. Release No. 34-69750 File Number: 3-15356
Date: June 13, 2013	Respondents: Emanuel Goffer Release No. 34-69759 File Number: 3-15357
Date: June 13, 2013	Respondents: J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III Release No. IC-30557 File Number: 3-15127
Date: June 12, 2013	Respondents: Greatmat Technology Corp., et al. Release No. 34-69738 File Number: 3-15330
Date: June 12, 2013	Respondents: Tamman, David M., Esq. Release No. 34-69746 File Number: 3-14207
Date: June 11, 2013	Respondents: Bloggerwave, Inc., et al. Release No. 34-69727 File Number: 3-15328
Date: June 11, 2013	Respondents: Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc. Release No. 34-69728 File Number: 3-15326
Date: June 11, 2013	Respondents: Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated Release No. 34-69726 File Number: 3-15353
Date: June 11, 2013	Respondents: Robert A. Gist Release No. 34-69729 File Number: 3-15354
Date: June 11, 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. 34-69730 File Number: 3-15355
Date: June 7, 2013	Respondents: 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 Release No. 34-69713 File Number: 3-15301
Date: June 7, 2013	Respondents: Bloggerwave, Inc., et al. Release No. 34-69714 File Number: 3-15328
Date: June 7, 2013	Respondents: Paul Randall Fraley Release No. 34-69720 File Number: 3-14576
Date: June 6, 2013	Respondents: Greate Bay Hotel & Casino, Inc., et al. Release No. 34-69704 File Number: 3-15352
Date: June 6, 2013	Respondents: Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc. Release No. 34-69705 File Number: 3-15326
Date: June 5, 2013	Respondents: Actavision Ventures, Inc. American Resources Group, Inc. Audioscience, Inc. Basset Enterprises, Inc. Cybertex Enterprises, Inc. (n/k/a Synvion Corp.) Duct Utility Construction & Technologies, Inc. Release No. 34-69697 File Number: 3-15302
Date: June 5, 2013	Respondents: Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc. Release No. 34-69698 File Number: 3-15326
Date: June 4, 2013	Respondents: Biopharm Asia, Inc. Release No. 34-69689 File Number: 3-15287
Date: June 3, 2013	Respondents: Guilin Paper, Inc. Release No. 34-69679 File Number: 3-15289
Date: June 3, 2013	Respondents: UBS O’Connor, LLC Release No. 34-69680, IA-3615 File Number: 3-15347
Date: June 3, 2013	Respondents: Christopher Scott Release No. 34-69687 File Number: 3-15348
Date: June 3, 2013	Respondents: Thomas Rubin Release No. 34-69688 File Number: 3-15349
Date: May 31, 2013	Respondents: Ming Siu Release No. IA-3614 File Number: 3-15345
Date: May 30, 2013	Respondents: John A. Grant Release No. IA-3613 File Number: 3-15342
Date: May 30, 2013	Respondents: Advanced ID Corp., et al. Release No. 34-69660 File Number: 3-15202
Date: May 30, 2013	Respondents: Lanbo Financial Group, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-69662 File Number: 3-15341
Date: May 30, 2013	Respondents: China Organic Agriculture, Inc. Release No. 34-69663 File Number: 3-15288
Date: May 30, 2013	Respondents: CoreCare Systems, Inc., et al. Release No. 34-69664 File Number: 3-15319
Date: May 30, 2013	Respondents: CoreCare Systems, Inc., et al. Release No. 34-69665 File Number: 3-15319
Date: May 30, 2013	Respondents: John A. Grant Release No. 34-69667 File Number: 3-15343
Date: May 30, 2013	Respondents: Lewis J. Hunter Release No. 33-9406, 34-69668 File Number: 3-14974
Date: May 30, 2013	Respondents: Scuderi Group, Inc. and Salvatore Scuderi Release No. 33-9407 File Number: 3-15344
Date: May 29, 2013	Respondents: China Environmental Protection, Inc. Release No. 34-69646 File Number: 3-15334
Date: May 29, 2013	Respondents: China Properties Developments, Inc. Release No. 34-69648 File Number: 3-15335
Date: May 29, 2013	Respondents: Jupiter Enterprises, Inc. Release No. 34-69650 File Number: 3-15336
Date: May 29, 2013	Respondents: Integrity Bancshares, Inc. Release No. 34-69652 File Number: 3-15337
Date: May 29, 2013	Respondents: Total, S.A. Release No. 34-69654, AAER-3461 File Number: 3-15338
Date: May 29, 2013	Respondents: NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Release No. 34-69655 File Number: 3-15339
Date: May 29, 2013	Respondents: Greenstart, Inc., et al. Release No. 34-69656 File Number: 3-15340
Date: May 28, 2013	Respondents: Rajnish K. Das Release No. 34-69644, AAER-3459 File Number: 3-15078
Date: May 28, 2013	Respondents: Stormy L. Dean Release No. 34-69645, AAER-3460 File Number: 3-15077
Date: May 24, 2013	Respondents: Larry Michael Parrish Release No. 34-69637, IA-3612 File Number: 3-15068
Date: May 24, 2013	Respondents: Deer Hill Financial Group, LLC Release No. 34-69640 File Number: 3-15333
Date: May 23, 2013	Respondents: Greatmat Technology Corp., et al. Release No. 34-69626 File Number: 3-15330
Date: May 23, 2013	Respondents: Institutional Shareholder Services Inc. Release No. IA-3611 File Number: 3-15331
Date: May 23, 2013	Respondents: Joshua Constantin and Brian Solomon Release No. 34-69623 File Number: 3-15332
Date: May 23, 2013	Respondents: Morrison, Neil M. M. Release No. 34-69627, IC-30540 File Number: 3-15049
Date: May 23, 2013	Respondents: Joseph Hilton, a/k/a Joseph Yurkin Release No. 34-69630, 34-69592 File Number: 3-15273
Date: May 22, 2013	Respondents: NewTech Brake Corp. Release No. 34-69616 File Number: 3-15279
Date: May 22, 2013	Respondents: Bloggerwave, Inc., et al. Release No. 34-69618 File Number: 3-15328
Date: May 22, 2013	Respondents: CoreCare Systems, Inc., et al. Release No. 34-69619 File Number: 3-15319
Date: May 22, 2013	Respondents: Patrick Merrill Brody Release No. 34-69621 File Number: 3-15246
Date: May 22, 2013	Respondents: Credit Suisse Alternative Capital, et al. Release No. 34-69624 File Number: 3-14594
Date: May 22, 2013	Respondents: City of South Miami, Florida Release No. 33-9404 File Number: 3-15329
Date: May 22, 2013	Respondents: George Elia Release No. IA-3610 File Number: 3-15260
Date: May 17, 2013	Respondents: Noonan Capital Management, LLC and Timothy George Noonan Release No. 34-69601, IA-3609, IC-30525 File Number: 3-14955
Date: May 17, 2013	Respondents: Centaur Management Co. LLC Release No. 34-69604 See Also: Proposed Plan of Distribution File Number: 3-14950
Date: May 16, 2013	Respondents: Alexander V. Rekeda, Xavier Capdepon and Gwen Snorteland, Delaware Asset Advisers and Wei (Alex) Wei Release No. 34-69600 File Number: 3-14953, 3-14954, 3-14952