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: May 16, 2013	Respondents: Joseph Hilton, a/k/a Joseph Yurkin Release No. 34-69592, 34-69630 File Number: 3-15273
Date: May 15, 2013	Respondents: Avani International Group, Inc., et al. Release No. 34-69578 File Number: 3-15324
Date: May 15, 2013	Respondents: Benda Pharmaceutical, Inc. China Shuangji Cement Ltd. Release No. 34-69580 File Number: 3-15325
Date: May 15, 2013	Respondents: Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc. Release No. 34-69582 File Number: 3-15326
Date: May 15, 2013	Respondents: Wesley W. Wang Release No. IA-3608 File Number: 3-15327
Date: May 14, 2013	Respondents: Ewan 1, Inc., n/k/a AccessKey IP, Inc. Release No. 34-69567 File Number: 3-15291
Date: May 9, 2013	Respondents: The Estate Vault, Inc. Release No. 34-69542 File Number: 3-15292
Date: May 9, 2013	Respondents: Spyridon Adondakis Release No. IA-3604 File Number: 3-15320
Date: May 9, 2013	Respondents: Jon Horvath Release No. IA-3605 File Number: 3-15321
Date: May 9, 2013	Respondents: Jesse Tortora Release No. IA-3606 File Number: 3-15322
Date: May 9, 2013	Respondents: Goyal, Sandeep Release No. IA-3607 File Number: 3-15323
Date: May 8, 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. 34-69531 File Number: 3-15301
Date: May 8, 2013	Respondents: CoreCare Systems, Inc., et al. Release No. 34-69533 File Number: 3-15319
Date: May 7, 2013	Respondents: Ziad K. Abdelnour Release No. 33-9402, IC-30508 File Number: 3-15318
Date: May 7, 2013	Respondents: UC Hub Group, Inc. Release No. 34-69526 File Number: 3-15290
Date: May 7, 2013	Respondents: Bluestein, Frank Release No. 34-69529, IA-3603 File Number: 3-15317
Date: May 6, 2013	Respondents: Matthew C. Devlin Release No. 34-69514, IA-3602 File Number: 3-15315
Date: May 6, 2013	Respondents: The City of Harrisburg, Pennsylvania Release No. 34-69515 File Number: 3-15316
Date: May 3, 2013	Respondents: Russell K. Cannon Release No. IA-3599 File Number: 3-15314
Date: May 3, 2013	Respondents: Putnam Investment Management, LLC Release No. IA-3600, IC-30504 File Number: 3-11317
Date: May 3, 2013	Respondents: Gerasimowicz, Walter V. Meditron Asset Management, LLC Meditron Management Group, LLC Release No. 33-9401, 34-69506, IA-3601, IC-30505 File Number: 3-15024
Date: May 2, 2013	Respondents: Advance Nanotech, Inc., et al. Release No. 34-69493 File Number: 3-15201
Date: May 2, 2013	Respondents: Northern Lights Compliance Services, LLC, et al. Release No. IC-30502 File Number: 3-15313
Date: May 1, 2013	Respondents: Marc Duda Release No. 34-69483, IA-3597 File Number: 3-15309
Date: May 1, 2013	Respondents: Ricardo Bonilla Rojas Release No. 34-69484 File Number: 3-15310
Date: May 1, 2013	Respondents: Kenneth E. Mahaffy, Jr. Release No. 34-69485 File Number: 3-15311
Date: May 1, 2013	Respondents: Vincent G. Curry Release No. 34-69486 File Number: 3-15312
Date: May 1, 2013	Respondents: Irwin Lipkin Release No. 34-69492, IA-3598 File Number: 3-15089
Date: April 30, 2013	Respondents: Advance Nanotech, Inc., et al. Release No. 34-69473 File Number: 3-15201
Date: April 30, 2013	Respondents: Allonline.com, Inc., et al. Release No. 34-69474 File Number: 3-15252
Date: April 30, 2013	Respondents: Indigo Aviation AB, et al. Release No. 34-69475 File Number: 3-15243
Date: April 30, 2013	Respondents: Advance Nanotech, Inc., et al. Release No. 34-69476 File Number: 3-15201
Date: April 30, 2013	Respondents: Contorinis, Joseph Release No. 34-69472, IA-3596 File Number: 3-15308
Date: April 26, 2013	Respondents: Richard Bruce Moore Release No. 34-69466 File Number: 3-15307
Date: April 26, 2013	Respondents: Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson Release No. 34-69469 File Number: 3-13675
Date: April 25, 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. 34-69447 File Number: 3-15301
Date: April 25, 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. 34-69459 File Number: 3-15302
Date: April 25, 2013	Respondents: David Miller Release No. 34-69460 File Number: 3-15303
Date: April 25, 2013	Respondents: Michael W. Bozora Release No. 34-69461, IA-3594 File Number: 3-15306
Date: April 25, 2013	Respondents: Timothy R. Redpath Release No. 34-69462, IA-3595 File Number: 3-15304
Date: April 25, 2013	Respondents: SinoHub, Inc. Release No. 34-69463 File Number: 3-15305
Date: April 24, 2013	Respondents: Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa Release No. 34-69442, AAER-3456 File Number: 3-15299
Date: April 24, 2013	Respondents: Tara Bryson Release No. IA-3592 File Number: 3-15300
Date: April 23, 2013	Respondents: Gazoo Energy Group, Coach Industries Group, and Pacificap Entertainment Release No. 34-69426 File Number: 3-15239
Date: April 23, 2013	Respondents: Alfred Varricchio Release No. 34-69430 File Number: 3-15296
Date: April 23, 2013	Respondents: Charles Peterein Release No. 34-69431 File Number: 3-15297
Date: April 23, 2013	Respondents: Anthony Pianelli Release No. 34-69432 File Number: 3-15298
Date: April 23, 2013	Respondents: Waddell & Reed, Inc., et al. Release No. 34-69437 See Also: Proposed Plan of Distribution Submit Comments on: 3-12372 File Number: 3-12372
Date: April 22, 2013	Respondents: HarborLight Capital Management, LLC and Dean G. Tanella Release No. 34-69425, IA-3591, IC-30474 File Number: 3-15295
Date: April 19, 2013	Respondents: Biopharm Asia, Inc. Release No. 34-69408 File Number: 3-15287
Date: April 19, 2013	Respondents: China Organic Agriculture, Inc. Release No. 34-69409 File Number: 3-15288
Date: April 19, 2013	Respondents: Guilin Paper, Inc. Release No. 34-69410 File Number: 3-15289
Date: April 19, 2013	Respondents: UC Hub Group, Inc. Release No. 34-69414 File Number: 3-15290
Date: April 19, 2013	Respondents: Ewan 1, Inc., n/k/a AccessKey IP, Inc. Release No. 34-69415 File Number: 3-15291
Date: April 19, 2013	Respondents: The Estate Vault, Inc. Release No. 34-69416 File Number: 3-15292
Date: April 19, 2013	Respondents: Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-69418 File Number: 3-14909
Date: April 19, 2013	Respondents: Foxhall Capital Management, Inc. and Paul G. Dietrich Release No. IA-3590 File Number: 3-15293
Date: April 19, 2013	Respondents: Jennifer E. Thoennes Release No. 34-69421 File Number: 3-15294
Date: April 18, 2013	Respondents: Umesh Tandon Release No. IA-3586, IC-30446 File Number: 3-15282
Date: April 18, 2013	Respondents: Vector Wealth Management, LLC Release No. IA-3587 File Number: 3-15283
Date: April 18, 2013	Respondents: Whitman, Douglas F. Release No. IA-3589 File Number: 3-15285
Date: April 18, 2013	Respondents: Charles T. Fee Release No. 34-69390, IA-3588, IC-30467 File Number: 3-15284
Date: April 18, 2013	Respondents: Joshua J. Singer Release No. 34-69404 File Number: 3-15286
Date: April 17, 2013	Respondents: NewTech Brake Corp. Release No. 34-69383 File Number: 3-15279
Date: April 17, 2013	Respondents: Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.) Release No. 34-69385 File Number: 3-15280
Date: April 17, 2013	Respondents: Sunrise Solar Corporation Release No. 34-69386 File Number: 3-15281
Date: April 16, 2013	Respondents: Noble Innovations, Inc. Release No. 34-69380 File Number: 3-15278
Date: April 15, 2013	Respondents: Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. Release No. 34-69375 File Number: 3-11701
Date: April 15, 2013	Respondents: David Affeldt Release No. 34-69377 File Number: 3-15276
Date: April 15, 2013	Respondents: Scott Reiman Release No. 34-69379, IA-3585, IC-30463 File Number: 3-15277
Date: April 12, 2013	Respondents: New Horizon Publishing Inc. Release No. 34-69370 File Number: 3-15274
Date: April 12, 2013	Respondents: Robert Mouallem Release No. 34-69371 File Number: 3-15275
Date: April 11, 2013	Respondents: Michael J. Turnock Release No. 34-69366 File Number: 3-15272
Date: April 11, 2013	Respondents: Joseph Hilton, a/k/a Joseph Yurkin Release No. 34-69367 File Number: 3-15273
Date: April 10, 2013	Respondents: Largo Vista Group, Ltd., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-69357 File Number: 3-15187
Date: April 10, 2013	Respondents: Scammell, Toby G. Release No. IA-3584 File Number: 3-15271
Date: April 9, 2013	Respondents: Anthony John Johnson Release No. 34-69352, IA-3580 File Number: 3-15269
Date: April 9, 2013	Respondents: James C. Fields, CPA Release No. 34-69353, AAER-3453 File Number: 3-15270
Date: April 9, 2013	Respondents: Robert David Beauchene Release No. 34-69355, IA-3581, IC-30455 File Number: 3-14351
Date: April 8, 2013	Respondents: Sean Nathan Healy Release No. 34-69345 File Number: 3-15266
Date: April 8, 2013	Respondents: Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. Release No. 34-69346 File Number: 3-11701
Date: April 8, 2013	Respondents: Timothy J. Roth Release No. 34-69347, IA-3578 File Number: 3-15267
Date: April 8, 2013	Respondents: Richard P. Sandru Release No. 34-69348, IA-3579, IC-30453 File Number: 3-15268
Date: April 5, 2013	Respondents: China North East Petroleum Holdings Limited Release No. 34-69314 File Number: 3-15167
Date: April 5, 2013	Respondents: Eddie Douglas Austin Jr., Esq. Release No. 34-69326 File Number: 3-15264
Date: April 5, 2013	Respondents: Koninklijke Philips Electronics N.V. Release No. 34-69327, AAER-3452 File Number: 3-15265
Date: April 4, 2013	Respondents: Hesed Technology Co., Ltd. Release No. 34-69289 File Number: 3-15214
Date: April 4, 2013	Respondents: My Complete Care, Inc., et al. Release No. 34-69290 File Number: 3-15217
Date: April 4, 2013	Respondents: Adzone Research, Inc., et al. Release No. 34-69291 File Number: 3-15242
Date: April 4, 2013	Respondents: Artfest International, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-69292 File Number: 3-15207
Date: April 4, 2013	Respondents: Colleen Erin Kelly Bishop (CPA) Release No. 34-69306, AAER-3451 File Number: 3-15261
Date: April 4, 2013	Respondents: Gerald "Jerry" D. Kegley Release No. 34-69307 File Number: 3-15262
Date: April 4, 2013	Respondents: ZPR Investment Management, Inc. Zavanelli, Max E. Release No. IA-3574, IC-30446 File Number: 3-15263
Date: April 4, 2013	Respondents: James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin Release No. IA-3575 File Number: 3-15153
Date: April 4, 2013	Respondents: James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin Release No. IA-3576 File Number: 3-15153
Date: April 4, 2013	Respondents: James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin Release No. IA-3577 File Number: 3-15153
Date: April 3, 2013	Respondents: My Complete Care, Inc., et al. Release No. 34-69282 File Number: 3-15217
Date: April 3, 2013	Respondents: Adzone Research, Inc., et al. Release No. 34-69283 File Number: 3-15242
Date: April 3, 2013	Respondents: George Elia Release No. IA-3573 File Number: 3-15260
Date: April 3, 2013	Respondents: Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.;James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Release No. 34-69288 See Also: Proposed Plan of Distribution Comments received are available: https://www.sec.gov/comments/3-13847/3-13847.shtml File Number: 3-13847