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: Feb. 11, 2013	Respondents: Artfest International, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68902 File Number: 3-15207
Date: Feb. 11, 2013	Respondents: HDL Capital Corp., et al. Release No. 34-68903 File Number: 3-15208
Date: Feb. 8, 2013	Respondents: Changed E-Mail, Inc., et al. Release No. 34-68868 File Number: 3-15096
Date: Feb. 8, 2013	Respondents: GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran Release No. 34-68869 File Number: 3-14854
Date: Feb. 7, 2013	Respondents: HI DEF Enterprises, Inc., et al. Release No. 34-68856 File Number: 3-15166
Date: Feb. 7, 2013	Respondents: Imreg, Inc., et al. Release No. 34-68857 File Number: 3-15173
Date: Feb. 7, 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. 34-68858 File Number: 3-15186
Date: Feb. 7, 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. 34-68859 File Number: 3-15186
Date: Feb. 7, 2013	Respondents: James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin Release No. IA-3551 File Number: 3-15153
Date: Feb. 7, 2013	Respondents: Gary J. Martel Release No. 34-68866, IA-3552
Date: Feb. 6, 2013	Respondents: Advance Nanotech, Inc., et al. Release No. 34-68836 File Number: 3-15201
Date: Feb. 6, 2013	Respondents: Advanced ID Corp., et al. Release No. 34-68837 File Number: 3-15202
Date: Feb. 6, 2013	Respondents: Howard B. Berger Release No. IA-3548 File Number: 3-15203
Date: Feb. 6, 2013	Respondents: Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez Release No. IA-3549 File Number: 3-15204
Date: Feb. 6, 2013	Respondents: Jorge Gomez Release No. IA-3550 File Number: 3-15205
Date: Feb. 6, 2013	Respondents: Joseph J. Repko, CPA Release No. 34-68845, AAER-3444 File Number: 3-15206
Date: Feb. 5, 2013	Respondents: Henley Healthcare, Inc., et al. Release No. 34-68825 File Number: 3-15165
Date: Feb. 5, 2013	Respondents: Kenneth Ira Starr, Esq., C.P.A. Release No. 34-68826, IA-3544 File Number: 3-15197
Date: Feb. 5, 2013	Respondents: Kenneth Ira Starr Release No. 34-68827 File Number: 3-15198
Date: Feb. 5, 2013	Respondents: Ardsley Advisory Partners Release No. 34-68828, IA-3545 File Number: 3-15199
Date: Feb. 5, 2013	Respondents: Juno Mother Earth Asset Management, LLC Release No. IA-3546 File Number: 3-15200
Date: Feb. 1, 2013	Respondents: Mitchell Segal, Esq. Release No. 34-68810 File Number: 3-14945
Date: Feb. 1, 2013	Respondents: Encore Clean Energy, Inc., et al. Release No. 34-68811 File Number: 3-15110
Date: Jan. 31, 2013	Respondents: BNY Mellon Securities LLC and Mark Shaw Release No. 34-68796 See Also: the Proposed Plan of Distribution File Number: 3-14191, 3-14192
Date: Jan. 31, 2013	Respondents: Jeffrey A. Quay Release No. IA-3543 File Number: 3-15196
Date: Jan. 30, 2013	Respondents: ICP Solar Technologies, Inc., et al. Release No. 34-68763 File Number: 3-15144
Date: Jan. 30, 2013	Respondents: CentreInvest, Inc., OOO CentreInvest Securities, Vladimir Chekholko, William Herlyn, Dan Rapoport, and Svyatoslav Yenin Robert G. Mahony, Administrative Law Judge Release No. 34-68764 File Number: 3-13304
Date: Jan. 30, 2013	Respondents: William B. Mitchell Release No. 34-68772 File Number: 3-15195
Date: Jan. 30, 2013	Respondents: GMB Capital Management LLC, et al. Release No. 34-68774 File Number: 3-14854
Date: Jan. 29, 2013	Respondents: IAS Energy, Inc., et al. Release No. 34-68750 File Number: 3-15145
Date: Jan. 29, 2013	Respondents: IMC Asset Management, Inc. Release No. IA-3537 File Number: 3-15190
Date: Jan. 29, 2013	Respondents: Edward J. Hovan, Jr. Release No. IA-3538 File Number: 3-15192
Date: Jan. 29, 2013	Respondents: Kurt S. Hovan Release No. IA-3540 File Number: 3-15194
Date: Jan. 29, 2013	Respondents: Brian D. Fox Release No. 34-68754, AAER-3442 File Number: 3-15191
Date: Jan. 29, 2013	Respondents: Lisa B. Hovan, CPA Release No. 34-68756, IA-3539, AAER-3443 File Number: 3-15193
Date: Jan. 28, 2013	Respondents: Henley Healthcare, Inc., et al. Release No. 34-68739 File Number: 3-15165
Date: Jan. 28, 2013	Respondents: Stefan H. Benger Carol Fox Foelak, Administrative Law Judge Release No. 34-68749 File Number: 3-15189
Date: Jan. 25, 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. 34-68727 File Number: 3-15185
Date: Jan. 25, 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. 34-68729 File Number: 3-15186
Date: Jan. 25, 2013	Respondents: Largo Vista Group, Ltd., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68731 File Number: 3-15187
Date: Jan. 25, 2013	Respondents: Mary Beth Stevens; Paul W. Oliver, Jr. Release No. 34-68732
Date: Jan. 25, 2013	Respondents: Gabelli Funds, LLC Release No. 34-68733
Date: Jan. 25, 2013	Respondents: Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA Release No. 34-68737 File Number: 3-14958
Date: Jan. 25, 2013	Respondents: Nicolette D. Loisel Release No. 34-68738 File Number: 3-15188
Date: Jan. 25, 2013	Respondents: John W. Adams and AIP, LLC Release No. 34-68736 See Also: the Modified Plan of Distribution File Number: 3-11676
Date: Jan. 24, 2013	Respondents: IAS Energy, Inc., et al. Release No. 34-68715 File Number: 3-15145
Date: Jan. 24, 2013	Respondents: HI DEF Enterprises, Inc., et al. Release No. 34-68716 File Number: 3-15166
Date: Jan. 24, 2013	Respondents: Eric D. Rogers Release No. 34-68722 File Number: 3-15184
Date: Jan. 23, 2013	Respondents: China Wesen Recycling Technology, Inc., et al. Release No. 34-68706 File Number: 3-15111
Date: Jan. 22, 2013	Respondents: Egan-Jones Ratings Company and Sean Egan Release No. 34-68703 File Number: 3-14856
Date: Jan. 22, 2013	Respondents: Sung Kook Hwang Release No. IA-3535 File Number: 3-15181
Date: Jan. 22, 2013	Respondents: Raymond Y.H. Park Release No. IA-3536 File Number: 3-15182
Date: Jan. 18, 2013	Respondents: The Hartcourt Companies, Inc., et al. Release No. 34-68686 File Number: 3-15128
Date: Jan. 18, 2013	Respondents: AlphaTrade.com Release No. 34-68688 File Number: 3-15180
Date: Jan. 17, 2013	Respondents: IBroadband, Inc., et al. Release No. 34-68679 File Number: 3-15143
Date: Jan. 17, 2013	Respondents: IAS Energy, Inc., et al. Release No. 34-68680 File Number: 3-15145
Date: Jan. 17, 2013	Respondents: Desert Mining, Inc., Eagle Broadband, Inc., Endovasc, Inc., Environmental Oil Processing Technology Corp., Falcon Ridge Development, Inc., Fellows Energy Ltd., Forster Drilling Corp. (n/k/a Phoenix Drilling Corporation), and Golden Autumn Holdings, Inc. Release No. 34-68681 File Number: 3-15160
Date: Jan. 17, 2013	Respondents: Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds Release No. 34-68683
Date: Jan. 17, 2013	Respondents: Alexander, Linda Dianne Release No. 34-68685 File Number: 3-15179
Date: Jan. 16, 2013	Respondents: Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp. Release No. 34-68664 File Number: 3-15176
Date: Jan. 16, 2013	Respondents: Middlecove Capital, LLC and Noah L. Myers Release No. 34-68669, IA-3534, IC-30351 File Number: 3-14993
Date: Jan. 16, 2013	Respondents: Mark A. Gelazela and Steven E. Woods Carol Fox Foelak, Administrative Law Judge Release No. 34-68670 File Number: 3-15177
Date: Jan. 16, 2013	Respondents: Larry Lee Adair, Esq. Release No. 34-68673 File Number: 3-15178
Date: Jan. 15, 2013	Respondents: Kevin A. Howard, CPA Release No. 34-68661, AAER-3441 File Number: 3-15175
Date: Jan. 14, 2013	Respondents: Imreg, Inc., et al. Release No. 34-68646 File Number: 3-15173
Date: Jan. 14, 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. 34-68649 File Number: 3-15174
Date: Jan. 11, 2013	Respondents: IBroadband, Inc., et al. Release No. 34-68622 File Number: 3-15143
Date: Jan. 11, 2013	Respondents: China Wesen Recycling Technology, Inc., et al. Release No. 34-68623 File Number: 3-15111
Date: Jan. 11, 2013	Respondents: I. Joseph Massoud Release No. IA-3533 File Number: 3-15170
Date: Jan. 11, 2013	Respondents: Eric Ashman, CPA Release No. 34-68628, AAER-3440 File Number: 3-15171
Date: Jan. 10, 2013	Respondents: HearMe, et al. Release No. 34-68614 File Number: 3-15138
Date: Jan. 10, 2013	Respondents: Kris Chellam Release No. IA-3532 File Number: 3-15169
Date: Jan. 9, 2013	Respondents: Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-68605, AAER-3436 File Number: 3-15168
Date: Jan. 9, 2013	Respondents: LSB Industries, Inc. and Jimmie Dean Jones, CPA Release No. 34-68611, AAER-3438 File Number: 3-13555
Date: Jan. 8, 2013	Respondents: William J. Reilly, Esq. Release No. 34-68599 File Number: 3-15126
Date: Jan. 8, 2013	Respondents: UBS Financial Services Inc. of Puerto Rico Release No. 34-68600 File Number: 3-14863
Date: Jan. 8, 2013	Respondents: China North East Petroleum Holdings Limited Release No. 34-68601 File Number: 3-15167
Date: Jan. 7, 2013	Respondents: Credit Suisse Securities (USA) LLC, et al. Release No. 34-68593 File Number: 3-15098
Date: Jan. 7, 2013	Respondents: Henley Healthcare, Inc., et al. Release No. 34-68597 File Number: 3-15165
Date: Jan. 7, 2013	Respondents: HI DEF Enterprises, Inc., et al. Release No. 34-68598 File Number: 3-15166
Date: Jan. 4, 2013	Respondents: Gary J. Martel Release No. 34-68586 File Number: 3-15162
Date: Jan. 4, 2013	Respondents: Kenneth J. Abod, CPA Release No. 34-68591, AAER-3435
Date: Jan. 4, 2013	Respondents: Stephen G. Bennett Release No. 34-68592 File Number: 3-15163
Date: Jan. 3, 2013	Respondents: HealthSport, Inc., et al. Release No. 34-68564 File Number: 3-15117
Date: Jan. 3, 2013	Respondents: DIAS Holding, Inc., Earthblock Technologies, Inc., Ensurapet, Inc., FIIC Holdings, Inc., GEM Solutions, Inc., Gold Star Tutoring Services, Inc., and GPS Industries, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68565 File Number: 3-15090
Date: Jan. 3, 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. 34-68566 File Number: 3-15076
Date: Jan. 3, 2013	Respondents: Encore Clean Energy, Inc., et al. Release No. 34-68567 File Number: 3-15110