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: April 2, 2013	Respondents: Digital Video Systems, Inc., Electroglas, Inc., Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation), Geocom Resources, Inc., and Goldmountain Exploration Corp. Release No. 34-69264 File Number: 3-15216
Date: April 2, 2013	Respondents: Eric J. Bur, CPA Release No. 34-69277, AAER-3450 File Number: 3-14201
Date: April 1, 2013	Respondents: IdleAire Technologies Corp., et al. Release No. 34-69260 File Number: 3-15230
Date: April 1, 2013	Respondents: IGIA, Inc., et al. Release No. 34-69261 File Number: 3-15229
Date: March 28, 2013	Respondents: Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc., N.T. Properties, Inc., PrimePlayer, Inc., Skylyft Media Group, Inc., and Spectrum Acquisition Corp. Release No. 34-69248 File Number: 3-15218
Date: March 28, 2013	Respondents: Jorge Gomez Release No. IA-3572 File Number: 3-15205
Date: March 28, 2013	Respondents: David M. Decker, Jr. Release No. 34-69252 File Number: 3-15258
Date: March 26, 2013	Respondents: Wunderlich Securities, Inc., Tracy L. Wiswall, and Gary K. Wunderlich, Jr. Release No. 34-69242 File Number: 3-14403
Date: March 25, 2013	Respondents: IGIA, Inc., et al. Release No. 34-69223 File Number: 3-15229
Date: March 25, 2013	Respondents: Susan Skaer, Esq. Release No. 34-69224 File Number: 3-15257
Date: March 22, 2013	Respondents: American United Gold Corporation, AMS Homecare Inc., Aucxis Corp., and CYOP Systems International Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-69206 File Number: 3-14770
Date: March 22, 2013	Respondents: Advance Nanotech, Inc., et al. Release No. 34-69207 File Number: 3-15201
Date: March 22, 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. 33-9396, 34-69208, IA-3571, IC-30435 File Number: 3-15255
Date: March 22, 2013	Respondents: Edward L. Moskop Release No. 34-69214 File Number: 3-15256
Date: March 20, 2013	Respondents: Americas Energy Company-AECo Release No. 34-69185 File Number: 3-15251
Date: March 20, 2013	Respondents: Allonline.com, Inc., et al. Release No. 34-69189 File Number: 3-15252
Date: March 20, 2013	Respondents: Lunar Growth Corp. Release No. 34-69191 File Number: 3-15253
Date: March 20, 2013	Respondents: William G. Reeves, Esq. Release No. 34-69228 File Number: 3-15254
Date: March 19, 2013	Respondents: Law Enforcement Associates Corp., Matrixx Resource Holdings, Inc., Sonnen Corp., Mortgage Assistance Center Corp., MVP Network, Inc., Sino Shipping Holdings, Inc., Sonnen Corp., Superior Oil & Gas Co., Tekoil & Gas Corp., Trend Mining Co., and Unico, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 34-69168 File Number: 3-15186
Date: March 19, 2013	Respondents: Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc., N.T. Properties, Inc., PrimePlayer, Inc., Skylyft Media Group, Inc., and Spectrum Acquisition Corp. Release No. 34-69169 File Number: 3-15218
Date: March 19, 2013	Respondents: My Complete Care, Inc., et al. Release No. 34-69170 File Number: 3-15217
Date: March 19, 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. 33-9394, 34-69171, IA-3569, IC-30428 File Number: 3-15249
Date: March 19, 2013	Respondents: Berton M. Hochfeld Release No. IA-3570 File Number: 3-15250
Date: March 18, 2013	Respondents: Banco Comercial Português, S.A. Release No. 33-9393, 34-69167, IA-3568 File Number: 3-15248
Date: March 18, 2013	Respondents: Bruce H. Haglund, Esq. Release No. 34-69165 File Number: 3-15247
Date: March 15, 2013	Respondents: Laura A. Roser Release No. 34-69143 File Number: 3-15245
Date: March 15, 2013	Respondents: Patrick Merrill Brody Release No. 34-69144 File Number: 3-15246
Date: March 15, 2013	Respondents: Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry Release No. 34-69149 File Number: 3-14982
Date: March 15, 2013	Respondents: Centaur Management Co. LLC Release No. 34-69150 File Number: 3-14950
Date: March 14, 2013	Respondents: Cache D. Decker Release No. 34-69137 File Number: 3-15244
Date: March 14, 2013	Respondents: Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-69138 File Number: 3-14909
Date: March 13, 2013	Respondents: Along Mobile Technologies, Inc. Release No. 34-69125 File Number: 3-14731
Date: March 13, 2013	Respondents: Digital Video Systems, Inc., Electroglas, Inc., Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation), Geocom Resources, Inc., and Goldmountain Exploration Corp. Release No. 34-69126 File Number: 3-15216
Date: March 13, 2013	Respondents: Digital Video Systems, Inc., Electroglas, Inc., Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation), Geocom Resources, Inc., and Goldmountain Exploration Corp. Release No. 34-69127 File Number: 3-15216
Date: March 13, 2013	Respondents: Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc., N.T. Properties, Inc., PrimePlayer, Inc., Skylyft Media Group, Inc., and Spectrum Acquisition Corp. Release No. 34-69128 File Number: 3-15218
Date: March 12, 2013	Respondents: New Generation Biofuels Holdings, Inc. Release No. 34-69112 File Number: 3-15151
Date: March 12, 2013	Respondents: HDL Capital Corp., et al. Release No. 34-69113 File Number: 3-15208
Date: March 12, 2013	Respondents: Adzone Research, Inc., et al. Release No. 34-69116 File Number: 3-15242
Date: March 12, 2013	Respondents: Indigo Aviation AB, et al. Release No. 34-69117 File Number: 3-15243
Date: March 11, 2013	Respondents: State of Illinois Release No. 33-9389 File Number: 3-15237
Date: March 11, 2013	Respondents: Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Release No. 33-9390 File Number: 3-15238
Date: March 11, 2013	Respondents: Advance Nanotech, Inc., et al. Release No. 34-69097 File Number: 3-15201
Date: March 11, 2013	Respondents: Gazoo Energy Group, Coach Industries Group, and Pacificap Entertainment Release No. 34-69099 File Number: 3-15239
Date: March 11, 2013	Respondents: Christopher A. Seeley Release No. 34-69100 File Number: 3-15240
Date: March 11, 2013	Respondents: Kevin J. Wilcox Release No. 34-69111 File Number: 3-15241
Date: March 8, 2013	Respondents: Lynx Acquisition, Inc., et al. Release No. 34-69074 File Number: 3-15213
Date: March 8, 2013	Respondents: UBS Financial Services Inc. of Puerto Rico Release No. 33-9388, 34-69096 File Number: 3-14863
Date: March 8, 2013	Respondents: William M. Stephens Release No. 34-69090, IC-30417 File Number: 3-15233
Date: March 8, 2013	Respondents: Ranieri Partners LLC and Donald W. Phillips Release No. 34-69091, IA-3563 File Number: 3-15234
Date: March 8, 2013	Respondents: Fry Hensley and Company, And Nicholas L. Fry, II Release No. 34-69092, IA-3564, IC-30418 File Number: 3-15235
Date: March 8, 2013	Respondents: Robert David Beauchene Release No. 34-69093, IA-3565, IC-30419 File Number: 3-14351
Date: March 8, 2013	Respondents: BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming, LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited Release No. 34-69094 File Number: 3-14872, 3-15116
Date: March 8, 2013	Respondents: Shea, Stephen Release No. 34-69095 File Number: 3-15236
Date: March 7, 2013	Respondents: Feltl & Company, Inc. Release No. 34-69056 File Number: 3-14645
Date: March 7, 2013	Respondents: Cornerstone Capital Management, Inc., and Laura Jean Kent Release No. 34-69057 File Number: 3-13199
Date: March 7, 2013	Respondents: Billy Wayne McClintock Release No. 34-69065 File Number: 3-15232
Date: March 6, 2013	Respondents: Law Enforcement Associates Corp., Matrixx Resource Holdings, Inc., Sonnen Corp., Mortgage Assistance Center Corp., MVP Network, Inc., Sino Shipping Holdings, Inc., Sonnen Corp., Superior Oil & Gas Co., Tekoil & Gas Corp., Trend Mining Co., and Unico, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 34-69048 File Number: 3-15186
Date: March 6, 2013	Respondents: Artfest International, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-69049 File Number: 3-15207
Date: March 6, 2013	Respondents: Law Enforcement Associates Corp., Matrixx Resource Holdings, Inc., Sonnen Corp., Mortgage Assistance Center Corp., MVP Network, Inc., Sino Shipping Holdings, Inc., Sonnen Corp., Superior Oil & Gas Co., Tekoil & Gas Corp., Trend Mining Co., and Unico, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 34-69050 File Number: 3-15186
Date: March 6, 2013	Respondents: CYDE Liquidating Co. Release No. 34-69051 File Number: 3-15231
Date: March 5, 2013	Respondents: Advanced ID Corp., et al. Release No. 34-69035 File Number: 3-15202
Date: March 5, 2013	Respondents: Peak Wealth Opportunities, LLC and David W. Dube, CPA Release No. 34-69036, IA-3562, IC-30414, AAER-3448 File Number: 3-14979
Date: March 5, 2013	Respondents: IGIA, Inc., et al. Release No. 34-69046 File Number: 3-15229
Date: March 5, 2013	Respondents: IdleAire Technologies Corp., et al. Release No. 34-69047 File Number: 3-15230
Date: March 4, 2013	Respondents: Clean Power Technologies, Inc. Release No. 34-69021 File Number: 3-15225
Date: March 4, 2013	Respondents: Maverick Oil and Gas, Inc. Release No. 34-69022 File Number: 3-15226
Date: March 4, 2013	Respondents: ATI Liquidating, Inc. (n/k/a Aviza Technology, Inc.) Release No. 34-69023 File Number: 3-15227
Date: March 4, 2013	Respondents: Atlantic Southern Financial Group, Inc. Release No. 34-69024 File Number: 3-15228
Date: March 1, 2013	Respondents: Ward Onsa Brenda P. Murray Chief Administrative Law Judge Release No. IA-3559 File Number: 3-15221
Date: March 1, 2013	Respondents: Nicholas Delbrocco Release No. IA-3560 File Number: 3-15222
Date: March 1, 2013	Respondents: Wendell A. Jacobson Release No. 34-69014 File Number: 3-15223
Date: March 1, 2013	Respondents: Allen R. Jacobson Release No. 34-69015 File Number: 3-15224
Date: Feb. 28, 2013	Respondents: China Wesen Recycling Technology, Inc., et al. Release No. 34-69004 File Number: 3-15111
Date: Feb. 27, 2013	Respondents: Medis Technologies Ltd., Modern Medical Modalities Corp., National Datacomputer, Inc., New Media Lottery Services, Inc., Sino-Bon Entertainment, Inc., Tamir Biotechnology, Inc., and Techmedia Advertising, Inc. Cameron Elliot Administrative Law Judge Release No. 34-68991 File Number: 3-15185
Date: Feb. 27, 2013	Respondents: Oxford Investment Partners, LLC and Walter J. Clarke Release No. 34-68993 File Number: 3-14899
Date: Feb. 27, 2013	Respondents: Douglas F. Vaughan Release No. 34-69001 File Number: 3-15220
Date: Feb. 26, 2013	Respondents: My Complete Care, Inc., et al. Release No. 34-68986 File Number: 3-15217
Date: Feb. 26, 2013	Respondents: Aladdin Capital Management LLC and Aladdin Capital LLC, Joseph A. Schlim Release No. 34-68988 File Number: 3-15134, 3-15135
Date: Feb. 26, 2013	Respondents: Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc., N.T. Properties, Inc., PrimePlayer, Inc., Skylyft Media Group, Inc., and Spectrum Acquisition Corp. Release No. 34-68989 File Number: 3-15218
Date: Feb. 26, 2013	Respondents: Edward Tackaberry Release No. 34-68990 File Number: 3-15219
Date: Feb. 22, 2013	Respondents: Largo Vista Group, Ltd., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68967 File Number: 3-15187
Date: Feb. 22, 2013	Respondents: Advance Nanotech, Inc., et al. Release No. 34-68968 File Number: 3-15201
Date: Feb. 22, 2013	Respondents: Digital Video Systems, Inc., Electroglas, Inc., Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation), Geocom Resources, Inc., and Goldmountain Exploration Corp. Release No. 34-68970 File Number: 3-15216
Date: Feb. 22, 2013	Respondents: Sentinel Investment Management Corporation Release No. IA-3556 File Number: 3-15159
Date: Feb. 21, 2013	Respondents: Tagliaferri, James S. Release No. 34-68963, IA-3555 File Number: 3-15215
Date: Feb. 20, 2013	Respondents: Lynx Acquisition, Inc., et al. Release No. 34-68956 File Number: 3-15213
Date: Feb. 20, 2013	Respondents: Hesed Technology Co., Ltd. Release No. 34-68961 File Number: 3-15214
Date: Feb. 19, 2013	Respondents: AlphaTrade.com Release No. 34-68946 File Number: 3-15180
Date: Feb. 19, 2013	Respondents: Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp. Release No. 34-68947 File Number: 3-15176
Date: Feb. 19, 2013	Respondents: Michael Lowther, CPA Release No. 34-68949, AAER-3445 File Number: 3-12938
Date: Feb. 19, 2013	Respondents: Virginia K. Sourlis, Esq. Release No. 34-68952 File Number: 3-15212
Date: Feb. 15, 2013	Respondents: Guy W. Gane, Jr. Brenda P. Murray Chief Administrative Law Judge Release No. 34-68940 File Number: 3-15210
Date: Feb. 15, 2013	Respondents: Lorenzo, Gregg C. Lorenzo, Francis V. Charles Vista, LLC Release No. 33-9385, 34-68943 File Number: 3-15211
Date: Feb. 15, 2013	Respondents: Oxford Investment Partners, LLC and Walter J. Clarke Release No. IA-3553, IC-30384 File Number: 3-14899
Date: Feb. 15, 2013	Respondents: Oxford Investment Partners, LLC and Walter J. Clarke Release No. IA-3554, IC-30385 File Number: 3-14899
Date: Feb. 14, 2013	Respondents: Aladdin Capital Management LLC and Aladdin Capital LLC, Joseph A. Schlim Release No. 34-68931 File Number: 3-15134, 3-15135
Date: Feb. 13, 2013	Respondents: Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp. Release No. 34-68914 File Number: 3-15176
Date: Feb. 13, 2013	Respondents: Stephen M. Strauss Release No. 34-68920 File Number: 3-14980
Date: Feb. 11, 2013	Respondents: IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc. Release No. 34-68892 File Number: 3-15174
Date: Feb. 11, 2013	Respondents: China Voice Holding Corp. China Yongxin Pharmaceuticals, Inc. Creative Technologies Holdings, Inc. Crestek, Inc. Crys*Tel Telecommunications.com, Inc. (n/k/a Fleet Management Solutions, Inc.) CSI Computer Specialists, Inc. CST Entertainment, Inc. (n/k/a Legacy Holding, Inc.) Release No. 34-68893 File Number: 3-15076