http://www.sec.gov/litigation/admin/2013/34-71207.pdf
34-71207
Dec. 30, 2013
Peter B. Madoff, Esq.
http://www.sec.gov/litigation/admin/2013/34-71191.pdf
34-71191
Dec. 26, 2013
Instinet, LLC
http://www.sec.gov/litigation/admin/2013/34-71185.pdf
34-71185
Dec. 24, 2013
Kevin Brennan, CPA
http://www.sec.gov/litigation/admin/2013/ia-3747.pdf
IA-3747
Dec. 24, 2013
Jim Poe and Associates, Inc. and James Emory Poe
http://www.sec.gov/litigation/admin/2013/33-9501.pdf
33-9501
Dec. 23, 2013
West Coast Asset Management, Inc. and Lance W. Helfert
http://www.sec.gov/litigation/admin/2013/34-71174.pdf
34-71174
Dec. 23, 2013
Clinton Ronald Greenman, CPA
http://www.sec.gov/litigation/admin/2013/34-71170.pdf
34-71170
Dec. 20, 2013
Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim
http://www.sec.gov/litigation/admin/2013/33-9500.pdf
33-9500
Dec. 20, 2013
Multri-Precision, LLC
http://www.sec.gov/litigation/admin/2013/34-71161.pdf
34-71161
Dec. 20, 2013
Thomas D. Melvin, CPA
http://www.sec.gov/litigation/admin/2013/34-71154.pdf
34-71154
Dec. 20, 2013
John Kinross-Kennedy, CPA
http://www.sec.gov/litigation/admin/2013/34-71151.pdf
34-71151
Dec. 20, 2013
CompuSonics Video Corporation
http://www.sec.gov/litigation/admin/2013/34-71136.pdf
34-71136
Dec. 19, 2013
Bank of Florida Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-71135.pdf
34-71135
Dec. 19, 2013
China Dongfang Healthcare Group, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-71128.pdf
34-71128
Dec. 18, 2013
G-Trade Services LLC, Convergex Global Markets Limited, and Convergex Execution Solutions LLC
http://www.sec.gov/litigation/admin/2013/34-71127.pdf
34-71127
Dec. 18, 2013
Thomas Lekargeren
http://www.sec.gov/litigation/admin/2013/34-71126.pdf
34-71126
Dec. 18, 2013
Jonathan Samuel Daspin
http://www.sec.gov/litigation/admin/2013/34-71119.pdf
34-71119
Dec. 18, 2013
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
http://www.sec.gov/litigation/admin/2013/34-71118.pdf
34-71118
Dec. 18, 2013
Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, Mark W. Wells
http://www.sec.gov/litigation/admin/2013/34-71117.pdf
34-71117
Dec. 18, 2013
James Vincent Poti, CPA
http://www.sec.gov/litigation/admin/2013/34-71115.pdf
34-71115
Dec. 18, 2013
The Enlightened Gourmet, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-71113.pdf
34-71113
Dec. 18, 2013
Golden Elephant Glass Technology, Inc., and Pacific Alliance Corp.
http://www.sec.gov/litigation/admin/2013/34-71112.pdf
34-71112
Dec. 18, 2013
Home Systems Group
http://www.sec.gov/litigation/admin/2013/34-71111.pdf
34-71111
Dec. 18, 2013
Patch International, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-71110.pdf
34-71110
Dec. 18, 2013
A.G. Volney Center (f/k/a Buddha Steel, Inc.), et al.
http://www.sec.gov/litigation/admin/2013/34-71109.pdf
34-71109
Dec. 17, 2013
Ronald Gene Anglin
http://www.sec.gov/litigation/admin/2013/ia-3740.pdf
IA-3740
Dec. 17, 2013
Frank Dappah
http://www.sec.gov/litigation/admin/2013/34-71097.pdf
34-71097
Dec. 17, 2013
Alex Halimi
http://www.sec.gov/litigation/admin/2013/33-9495.pdf
33-9495
Dec. 13, 2013
Craig Berkman, d/b/a Ventures Trust LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-71072.pdf
34-71072
Dec. 13, 2013
Heritage Worldwide, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-71070.pdf
34-71070
Dec. 12, 2013
Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA
http://www.sec.gov/litigation/admin/2013/34-71069.pdf
34-71069
Dec. 12, 2013
Mark M. Wayne
http://www.sec.gov/litigation/admin/2013/34-71065.pdf
34-71065
Dec. 12, 2013
Darlene A. Bishop
http://www.sec.gov/litigation/admin/2013/ia-3735.pdf
IA-3735
Dec. 12, 2013
Joseph G. Parish III and Scott H. Shannon
http://www.sec.gov/litigation/admin/2013/33-9493.pdf
33-9493
Dec. 12, 2013
Merrill Lynch, Pierce, Fenner and Smith Incorporated
http://www.sec.gov/litigation/admin/2013/34-71050.pdf
34-71050
Dec. 12, 2013
GLG Partners, Inc. and GLG Partners, L.P.
http://www.sec.gov/litigation/admin/2013/34-71049.pdf
34-71049
Dec. 11, 2013
A.L. Waters Capital, LLC
http://www.sec.gov/litigation/admin/2013/34-71043.pdf
34-71043
Dec. 11, 2013
Matthew K. Lazar
http://www.sec.gov/litigation/admin/2013/34-71031.pdf
34-71031
Dec. 11, 2013
Craig Toll, CPA,
http://www.sec.gov/litigation/admin/2013/34-71026.pdf
34-71026
Dec. 9, 2013
AcuNetx, Inc.
http://www.sec.gov/litigation/admin/2013/34-71012.pdf
34-71012
Dec. 6, 2013
Michael Anthony Gonzalez
http://www.sec.gov/litigation/admin/2013/34-70989.pdf
34-70989
Dec. 5, 2013
John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-70987.pdf
34-70987
Dec. 5, 2013
ICC Worldwide, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70975.pdf
34-70975
Dec. 4, 2013
Catch by Gene, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70973.pdf
34-70973
Dec. 4, 2013
Community Alliance, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3730.pdf
IA-3730
Dec. 3, 2013
Corey Ribotsky
http://www.sec.gov/litigation/admin/2013/34-70965.pdf
34-70965
Dec. 3, 2013
Charles L. Rizzo and Gina M. Hornbogen
http://www.sec.gov/litigation/admin/2013/33-9488.pdf
33-9488
Nov. 27, 2013
Marie L. Huber And
Jess E. Jones
http://www.sec.gov/litigation/admin/2013/34-70959.pdf
34-70959
Nov. 27, 2013
Daniel Imperato
http://www.sec.gov/litigation/admin/2013/ia-3725.pdf
IA-3725
Nov. 26, 2013
Ambassador Capital Management, LLC and Derek H. Oglesby
http://www.sec.gov/litigation/admin/2013/ia-3727.pdf
IA-3727
Nov. 26, 2013
Tri-Star Advisors, Inc., William T. Payne, and Jon C. Vaughan
http://www.sec.gov/litigation/admin/2013/34-70944.pdf
34-70944
Nov. 26, 2013
Parallax Investments, LLC, John P. Bott, II, and F. Robert Falkenberg
http://www.sec.gov/litigation/admin/2013/ia-3723.pdf
IA-3723
Nov. 25, 2013
Paul Anthony Mozicato
http://www.sec.gov/litigation/admin/2013/34-70939.pdf
34-70939
Nov. 25, 2013
John B. Guyette
http://www.sec.gov/litigation/admin/2013/34-70938.pdf
34-70938
Nov. 25, 2013
John R. Graves
http://www.sec.gov/litigation/admin/2013/33-9485.pdf
33-9485
Nov. 25, 2013
Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation
http://www.sec.gov/litigation/admin/2013/33-9484.pdf
33-9484
Nov. 25, 2013
Daniel Bogar, Bernerd E. Young, and Jason T. Green
http://www.sec.gov/litigation/admin/2013/34-70931.pdf
34-70931
Nov. 22, 2013
Byrnee K. Baylor, Esq.
http://www.sec.gov/litigation/admin/2013/34-70920.pdf
34-70920
Nov. 22, 2013
Carbiz, Inc., et al.
http://www.sec.gov/litigation/admin/2013/33-9481.pdf
33-9481
Nov. 20, 2013
Larry C. Grossman
and Gregory J. Adams
http://www.sec.gov/litigation/admin/2013/33-9480.pdf
33-9480
Nov. 20, 2013
Gregg C. Lorenzo, et al.
http://www.sec.gov/litigation/admin/2013/ia-3719.pdf
IA-3719
Nov. 19, 2013
Agamas Capital Management, LP,
http://www.sec.gov/litigation/admin/2013/34-70896.pdf
34-70896
Nov. 19, 2013
Houseraising, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3718.pdf
IA-3718
Nov. 15, 2013
Carlene B. Veara
http://www.sec.gov/litigation/admin/2013/34-70870.pdf
34-70870
Nov. 14, 2013
Acunetx, Inc., Alliance Pharmaceutical Corp., BBV Vietnam S.E.A. Acquisition Corp., Cash Technologies, Inc., Conspiracy Entertainment Holdings, Inc., Dematco, Inc., and Interactive Systems Worldwide, Inc.
http://www.sec.gov/litigation/admin/2013/34-70867.pdf
34-70867
Nov. 13, 2013
Jonathan C. Gilchrist
http://www.sec.gov/litigation/admin/2013/33-9477.pdf
33-9477
Nov. 13, 2013
Julieann Palmer Martin
http://www.sec.gov/litigation/admin/2013/ia-3714.pdf
IA-3714
Nov. 7, 2013
Prestige Capital Advisors, LLC
http://www.sec.gov/litigation/admin/2013/ia-3713.pdf
IA-3713
Nov. 7, 2013
Victoria A. Hunt
http://www.sec.gov/litigation/admin/2013/34-70825.pdf
34-70825
Nov. 6, 2013
Invesco Funds Group, Inc.
http://www.sec.gov/litigation/admin/2013/34-70823.pdf
34-70823
Nov. 6, 2013
Sherb and Co., LLP, et al.
http://www.sec.gov/litigation/admin/2013/ia-3712.pdf
IA-3712
Nov. 6, 2013
Anthony J. Klatch, II
http://www.sec.gov/litigation/admin/2013/34-70815.pdf
34-70815
Nov. 5, 2013
Steven Markowitz
http://www.sec.gov/litigation/admin/2013/34-70814.pdf
34-70814
Nov. 5, 2013
Joseph Sorbara
http://www.sec.gov/litigation/admin/2013/34-70813.pdf
34-70813
Nov. 5, 2013
Charles M. Raspa
http://www.sec.gov/litigation/admin/2013/ia-3710.pdf
IA-3710
Nov. 5, 2013
Resources Planning Group, Inc.
http://www.sec.gov/litigation/admin/2013/33-9472.pdf
33-9472
Nov. 5, 2013
Piper Jaffray and Co. and Jane Towery
http://www.sec.gov/litigation/admin/2013/33-9471.pdf
33-9471
Nov. 5, 2013
The Greater Wenatchee Regional Events Center Public Facilities District, et al.
http://www.sec.gov/litigation/admin/2013/ia-3709.pdf
IA-3709
Nov. 1, 2013
John Hagener
http://www.sec.gov/litigation/admin/2013/34-70796.pdf
34-70796
Nov. 1, 2013
AcuNetx, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70790.pdf
34-70790
Oct. 31, 2013
Robert Grabowski
http://www.sec.gov/litigation/admin/2013/34-70786.pdf
34-70786
Oct. 31, 2013
Jeremy S. Fisher
http://www.sec.gov/litigation/admin/2013/34-70785.pdf
34-70785
Oct. 31, 2013
Acies Corporation, et al.
http://www.sec.gov/litigation/admin/2013/34-70783.pdf
34-70783
Oct. 31, 2013
Heritage Worldwide, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70780.pdf
34-70780
Oct. 30, 2013
JPMorgan Chase and Co.
http://www.sec.gov/litigation/admin/2013/34-70779.pdf
34-70779
Oct. 30, 2013
Terry Paul Ogden
http://www.sec.gov/litigation/admin/2013/34-70778.pdf
34-70778
Oct. 30, 2013
Wayne Reed Ogden
http://www.sec.gov/litigation/admin/2013/34-70777.pdf
34-70777
Oct. 30, 2013
Fry Hensley and Company and Nicholas L. Fry, II
http://www.sec.gov/litigation/admin/2013/34-70770.pdf
34-70770
Oct. 29, 2013
Scott Tierney
http://www.sec.gov/litigation/admin/2013/34-70768.pdf
34-70768
Oct. 29, 2013
Joseph M. Mancuso
http://www.sec.gov/litigation/admin/2013/34-70767.pdf
34-70767
Oct. 29, 2013
Ronald Baldwin, Jr. CPA
http://www.sec.gov/litigation/admin/2013/34-70759.pdf
34-70759
Oct. 28, 2013
Further Lane Asset Management, LLC, et al.
http://www.sec.gov/litigation/admin/2013/ia-3706.pdf
IA-3706
Oct. 28, 2013
GW and Wade, LLC
http://www.sec.gov/litigation/admin/2013/ia-3705.pdf
IA-3705
Oct. 28, 2013
Knelman Asset Management Group, LLC and Irving P. Knelman
http://www.sec.gov/litigation/admin/2013/34-70751.pdf
34-70751
Oct. 24, 2013
Stryker Corporation
http://www.sec.gov/litigation/admin/2013/34-70750.pdf
34-70750
Oct. 24, 2013
Skyview Holdings Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70749.pdf
34-70749
Oct. 23, 2013
Huakang Zhou (a/k/a David Zhou), et al.
http://www.sec.gov/litigation/admin/2013/ia-3702.pdf
IA-3702
Oct. 23, 2013
Modern Portfolio Management, Inc., G. Thomas Damasco Ii, and Bryan F. Ohm
http://www.sec.gov/litigation/admin/2013/34-70743.pdf
34-70743
Oct. 23, 2013
Equitas Capital Advisors, LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-70742.pdf
34-70742
Oct. 23, 2013
Stephen Derby Gisclair
http://www.sec.gov/litigation/admin/2013/34-70740.pdf
34-70740
Oct. 22, 2013
Ox Trading, LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-70739.pdf
34-70739
Oct. 22, 2013
Ox Trading, LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-70737.pdf
34-70737
Oct. 22, 2013
Aleksey P. Koval a/k/a Alexei P. Koval
http://www.sec.gov/litigation/admin/2013/34-70729.pdf
34-70729
Oct. 22, 2013
China Ritar Power Corp.
http://www.sec.gov/litigation/admin/2013/ia-3699.pdf
IA-3699
Oct. 21, 2013
Todd Newman
http://www.sec.gov/litigation/admin/2013/ia-3698.pdf
IA-3698
Oct. 21, 2013
Anthony Chiasson
http://www.sec.gov/litigation/admin/2013/ia-3697.pdf
IA-3697
Oct. 21, 2013
Stephen E. Gagnon
http://www.sec.gov/litigation/admin/2013/34-70727.pdf
34-70727
Oct. 21, 2013
Peter C. Orthos
http://www.sec.gov/litigation/admin/2013/34-70724.pdf
34-70724
Oct. 21, 2013
High End Ventures, Inc.
http://www.sec.gov/litigation/admin/2013/34-70722.pdf
34-70722
Oct. 21, 2013
Newtech Resources Ltd.
http://www.sec.gov/litigation/admin/2013/34-70716.pdf
34-70716
Oct. 18, 2013
James A. Philbrook
http://www.sec.gov/litigation/admin/2013/33-9468.pdf
33-9468
Oct. 18, 2013
Daniel J. Gallagher
http://www.sec.gov/litigation/admin/2013/33-9467.pdf
33-9467
Oct. 18, 2013
Harding Advisory LLC and Wing F. Chau
http://www.sec.gov/litigation/admin/2013/34-70710.pdf
34-70710
Oct. 18, 2013
AcuNetx, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3695.pdf
IA-3695
Oct. 17, 2013
Edwin V. Gaw
http://www.sec.gov/litigation/admin/2013/ia-3694.pdf
IA-3694
Oct. 17, 2013
Gignesh Movalia
http://www.sec.gov/litigation/admin/2013/34-70700.pdf
34-70700
Oct. 17, 2013
American Energy Production, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70699.pdf
34-70699
Oct. 17, 2013
Anhui Taiyang Poultry Co., Inc., a/k/a The Parkview Group, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3692.pdf
IA-3692
Oct. 16, 2013
Michael J. Fulcher
http://www.sec.gov/litigation/admin/2013/34-70695.pdf
34-70695
Oct. 16, 2013
Credit Suisse Securities USA (LLC); DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation
http://www.sec.gov/litigation/admin/2013/34-70694.pdf
34-70694
Oct. 16, 2013
Knight Capital Americas LLC
http://www.sec.gov/litigation/admin/2013/34-70690.pdf
34-70690
Oct. 16, 2013
Bonanza One, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70686.pdf
34-70686
Oct. 15, 2013
John Micciola
http://www.sec.gov/litigation/admin/2013/34-70680.pdf
34-70680
Oct. 11, 2013
Thomas S. Mulholland
http://www.sec.gov/litigation/admin/2013/34-70679.pdf
34-70679
Oct. 11, 2013
James C. Mulholland, Jr.
http://www.sec.gov/litigation/admin/2013/34-70678.pdf
34-70678
Oct. 11, 2013
Jonathan Fraiman
http://www.sec.gov/litigation/admin/2013/ia-3690.pdf
IA-3690
Oct. 11, 2013
Burton Douglas Morriss
http://www.sec.gov/litigation/admin/2013/34-70661.pdf
34-70661
Oct. 11, 2013
Crescent Moon, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70660.pdf
34-70660
Oct. 11, 2013
Anasazi Capital Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70659.pdf
34-70659
Oct. 10, 2013
Mark S. Cupo (CPA)
http://www.sec.gov/litigation/admin/2013/34-70658.pdf
34-70658
Oct. 10, 2013
John Lazorchak (CPA)
http://www.sec.gov/litigation/admin/2013/34-70656.pdf
34-70656
Oct. 10, 2013
Mark Gasarch
http://www.sec.gov/litigation/admin/2013/34-70651.pdf
34-70651
Oct. 9, 2013
Stuart M. Rubens
http://www.sec.gov/litigation/admin/2013/34-70650.pdf
34-70650
Oct. 9, 2013
Shawn H. Moore
http://www.sec.gov/litigation/admin/2013/34-70649.pdf
34-70649
Oct. 9, 2013
Peter D. Kirschner
http://www.sec.gov/litigation/admin/2013/34-70648.pdf
34-70648
Oct. 9, 2013
Morgan Stanley and Co. Incorporated
http://www.sec.gov/litigation/admin/2013/34-70646.pdf
34-70646
Oct. 9, 2013
Corbin Jones
http://www.sec.gov/litigation/admin/2013/34-70645.pdf
34-70645
Oct. 9, 2013
Robert Petrozzo
http://www.sec.gov/litigation/admin/2013/34-70642.pdf
34-70642
Oct. 9, 2013
Timothy J. Geidel
http://www.sec.gov/litigation/admin/2013/34-70641.pdf
34-70641
Oct. 9, 2013
Martin E. Weisberg
http://www.sec.gov/litigation/admin/2013/34-70640.pdf
34-70640
Oct. 9, 2013
Mark Steven Berg
http://www.sec.gov/litigation/admin/2013/34-70635.pdf
34-70635
Oct. 9, 2013
Anasazi Capital Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70634.pdf
34-70634
Oct. 9, 2013
HydroGen Corp., et al.
http://www.sec.gov/litigation/admin/2013/ia-3688.pdf
IA-3688
Oct. 8, 2013
Richard Lee
http://www.sec.gov/litigation/admin/2013/34-70633.pdf
34-70633
Oct. 8, 2013
Arn Wilson
http://www.sec.gov/litigation/admin/2013/34-70622.pdf
34-70622
Oct. 8, 2013
American Energy Production, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70616.pdf
34-70616
Oct. 7, 2013
Municipal Mortgage and Equity LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-70615.pdf
34-70615
Oct. 4, 2013
JPMorgan Chase and Co.
http://www.sec.gov/litigation/admin/2013/34-70610.pdf
34-70610
Oct. 4, 2013
China Ritar Power Corp.
http://www.sec.gov/litigation/admin/2013/34-70604.pdf
34-70604
Oct. 3, 2013
Anasazi Capital Corp., et al.
http://www.sec.gov/litigation/admin/2013/33-9462.pdf
33-9462
Oct. 2, 2013
Manarin Investment Counsel, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-70602.pdf
34-70602
Oct. 2, 2013
Jing Xie
http://www.sec.gov/litigation/admin/2013/34-70594.pdf
34-70594
Oct. 2, 2013
GBS Com-Tech Corp., et al.
http://www.sec.gov/litigation/admin/2013/ia-3684.pdf
IA-3684
Oct. 1, 2013
Brewer Investment Advisor, LLC (Corrected)
http://www.sec.gov/litigation/admin/2013/34-70592.pdf
34-70592
Oct. 1, 2013
Philip Mark Cain
http://www.sec.gov/litigation/admin/2013/34-70591.pdf
34-70591
Oct. 1, 2013
GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran
http://www.sec.gov/litigation/admin/2013/34-70587.pdf
34-70587
Oct. 1, 2013
Altus Pharmaceuticals, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70586.pdf
34-70586
Oct. 1, 2013
Big Bear Mining Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70585.pdf
34-70585
Oct. 1, 2013
K's Media
http://www.sec.gov/litigation/admin/2013/34-70584.pdf
34-70584
Oct. 1, 2013
G-Cats Acquisition Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70583.pdf
34-70583
Oct. 1, 2013
Big Bear Mining Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70582.pdf
34-70582
Oct. 1, 2013
Axcess International, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70581.pdf
34-70581
Sep. 30, 2013
James L. Brandolino
http://www.sec.gov/litigation/admin/2013/34-70580.pdf
34-70580
Sep. 30, 2013
China Ruitai International Holdings Co., LTD.
http://www.sec.gov/litigation/admin/2013/34-70579.pdf
34-70579
Sep. 30, 2013
China Ruitai International Holdings Co., Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-70573.pdf
34-70573
Sep. 30, 2013
Charles L. Rizzo and Gina M. Hornbogen
http://www.sec.gov/litigation/admin/2013/34-70577.pdf
34-70577
Sep. 30, 2013
Craig Shapiro
http://www.sec.gov/litigation/admin/2013/34-70576.pdf
34-70576
Sep. 30, 2013
Steven Scarcella
http://www.sec.gov/litigation/admin/2013/33-9461.pdf
33-9461
Sep. 30, 2013
Robert Patrick Stephens
http://www.sec.gov/litigation/admin/2013/33-9460.pdf
33-9460
Sep. 30, 2013
Adam Troy Dooly
http://www.sec.gov/litigation/admin/2013/34-70572.pdf
34-70572
Sep. 30, 2013
Geoffrey H. Lunn
http://www.sec.gov/litigation/admin/2013/34-70571.pdf
34-70571
Sep. 30, 2013
Lawrence Maxwell McCoy
http://www.sec.gov/litigation/admin/2013/34-70567.pdf
34-70567
Sep. 30, 2013
Wilfred W. Hanson, CPA
http://www.sec.gov/litigation/admin/2013/34-70566.pdf
34-70566
Sep. 30, 2013
John Kinross-Kennedy, CPA
http://www.sec.gov/litigation/admin/2013/34-70564.pdf
34-70564
Sep. 30, 2013
Malcolm L. Pollard, CPA and Malcolm L. Pollard, Inc.
http://www.sec.gov/litigation/admin/2013/34-70563.pdf
34-70563
Sep. 30, 2013
Massimo L. Martinucci
http://www.sec.gov/litigation/admin/2013/34-70562.pdf
34-70562
Sep. 30, 2013
Patrizio and Zhao LLC and Xinggeng (John) Zhao, CPA
http://www.sec.gov/litigation/admin/2013/34-70561.pdf
34-70561
Sep. 30, 2013
Michael McGrath, CPA
http://www.sec.gov/litigation/admin/2013/34-70557.pdf
34-70557
Sep. 30, 2013
John W. Jacobsen, CPA
http://www.sec.gov/litigation/admin/2013/34-70556.pdf
34-70556
Sep. 30, 2013
Brian D. Fox
http://www.sec.gov/litigation/admin/2013/34-70553.pdf
34-70553
Sep. 30, 2013
Rick D. Snow, CPA
http://www.sec.gov/litigation/admin/2013/34-70551.pdf
34-70551
Sep. 30, 2013
Municipal Mortgage and Equity LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-70550.pdf
34-70550
Sep. 30, 2013
Colorado 2001B Limited Partnership, et al.
http://www.sec.gov/litigation/admin/2013/34-70549.pdf
34-70549
Sep. 27, 2013
Scott London, CPA
http://www.sec.gov/litigation/admin/2013/33-9459.pdf
33-9459
Sep. 27, 2013
Commonwealth Income and Growth Fund, Inc. and Kimberly
Springsteen-Abbott
http://www.sec.gov/litigation/admin/2013/34-70537.pdf
34-70537
Sep. 27, 2013
Axcess International, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70536.pdf
34-70536
Sep. 27, 2013
Universal Travel Group
http://www.sec.gov/litigation/admin/2013/34-70534.pdf
34-70534
Sep. 26, 2013
Alan Ferraro
http://www.sec.gov/litigation/admin/2013/34-70533.pdf
34-70533
Sep. 26, 2013
George B. Franz III and Ruby Corporation
http://www.sec.gov/litigation/admin/2013/34-70527.pdf
34-70527
Sep. 26, 2013
Brian G. Elrod
http://www.sec.gov/litigation/admin/2013/34-70526.pdf
34-70526
Sep. 26, 2013
Nova Dean Pack, Esq.
http://www.sec.gov/litigation/admin/2013/34-70507.pdf
34-70507
Sep. 26, 2013
Colorado 2001B Limited Partnership, et al.
http://www.sec.gov/litigation/admin/2013/34-70506.pdf
34-70506
Sep. 26, 2013
Camelot Entertainment Group, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3680.pdf
IA-3680
Sep. 25, 2013
Yusaf Jawed
http://www.sec.gov/litigation/admin/2013/34-70494.pdf
34-70494
Sep. 25, 2013
Left Behind Games, Inc.
http://www.sec.gov/litigation/admin/2013/34-70493.pdf
34-70493
Sep. 25, 2013
Axius, Inc.
http://www.sec.gov/litigation/admin/2013/34-70492.pdf
34-70492
Sep. 24, 2013
Owen Mark Williams, CPA
http://www.sec.gov/litigation/admin/2013/34-70490.pdf
34-70490
Sep. 24, 2013
Philip David Horn
http://www.sec.gov/litigation/admin/2013/ia-3678.pdf
IA-3678
Sep. 24, 2013
Timbervest, LLC, et al.
http://www.sec.gov/litigation/admin/2013/33-9455.pdf
33-9455
Sep. 24, 2013
Diego F. Hernandez, et al.
http://www.sec.gov/litigation/admin/2013/34-70481.pdf
34-70481
Sep. 24, 2013
AcuNetx, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70479.pdf
34-70479
Sep. 24, 2013
Redfin Network, Inc.
http://www.sec.gov/litigation/admin/2013/34-70475.pdf
34-70475
Sep. 23, 2013
Bonanza One, Inc., China Century Dragon Media, Inc., Farrallon, Inc., Ora Electronics, Inc., Tia I, Inc., and Tia II, Inc.,
http://www.sec.gov/litigation/admin/2013/34-70474.pdf
34-70474
Sep. 23, 2013
Skyview Holdings Corp., Stonecrest One, Inc., Sunstates Corp., Tetragenex Pharmaceuticals, Inc., Tia III, Inc. (n/k/a PTL Energy, Inc.), Tia IV, Inc., Ultimate Indoor Football League, Inc., and United States Oil and Gas Corp.
http://www.sec.gov/litigation/admin/2013/34-70471.pdf
34-70471
Sep. 23, 2013
James R. Lanier
http://www.sec.gov/litigation/admin/2013/33-9454.pdf
33-9454
Sep. 23, 2013
Donald J. Anthony, Jr., Frank H. Chiappone, Richard D. Feldmann, William P. Gamello, Andrew G. Guzzetti, William F. Lex, Thomas E. Livingston, Brian T. Mayer, Philip S. Rabinovich, and Ryan C. Rogers
http://www.sec.gov/litigation/admin/2013/33-9453.pdf
33-9453
Sep. 23, 2013
TD Bank, N.A.
http://www.sec.gov/litigation/admin/2013/34-70469.pdf
34-70469
Sep. 23, 2013
Advantage Technologies, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70466.pdf
34-70466
Sep. 20, 2013
David Blech
http://www.sec.gov/litigation/admin/2013/34-70461.pdf
34-70461
Sep. 20, 2013
China Lithium Technologies, Inc., and China Wi-Max Communications, Inc.
http://www.sec.gov/litigation/admin/2013/ia-3672.pdf
IA-3672
Sep. 19, 2013
Stephen C. Bond
http://www.sec.gov/litigation/admin/2013/34-70458.pdf
34-70458
Sep. 19, 2013
JPMorgan Chase and Co.
http://www.sec.gov/litigation/admin/2013/34-70456.pdf
34-70456
Sep. 19, 2013
Home System Group
http://www.sec.gov/litigation/admin/2013/34-70455.pdf
34-70455
Sep. 19, 2013
American Asset Development, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70453.pdf
34-70453
Sep. 19, 2013
Altus Pharmaceuticals, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70452.pdf
34-70452
Sep. 19, 2013
John Moraitis
http://www.sec.gov/litigation/admin/2013/34-70450.pdf
34-70450
Sep. 18, 2013
Brendan N. Connors, CPA
http://www.sec.gov/litigation/admin/2013/34-70449.pdf
34-70449
Sep. 18, 2013
Marc G. Nochimson, CPA
http://www.sec.gov/litigation/admin/2013/34-70448.pdf
34-70448
Sep. 18, 2013
Medifast, Inc.
http://www.sec.gov/litigation/admin/2013/34-70447.pdf
34-70447
Sep. 18, 2013
Edmund E. Wilson
http://www.sec.gov/litigation/admin/2013/ia-3671.pdf
IA-3671
Sep. 18, 2013
Shadron L. Stastney
http://www.sec.gov/litigation/admin/2013/34-70438.pdf
34-70438
Sep. 18, 2013
Patch International, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70436.pdf
34-70436
Sep. 18, 2013
Municipal Mortgage and Equity LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-70434.pdf
34-70434
Sep. 18, 2013
A.G. Volney Center, Inc. (f/k/a Buddha Steel, Inc.), et al.
http://www.sec.gov/litigation/admin/2013/34-70433.pdf
34-70433
Sep. 18, 2013
American Energy Production, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70431.pdf
34-70431
Sep. 18, 2013
AIMS Worldwide, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70422.pdf
34-70422
Sep. 17, 2013
GBS Com-Tech Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70415.pdf
34-70415
Sep. 16, 2013
JGP Global Gestandatilde;o de Recursos Ltda.
http://www.sec.gov/litigation/admin/2013/34-70414.pdf
34-70414
Sep. 16, 2013
G-2 Trading LLC
http://www.sec.gov/litigation/admin/2013/34-70413.pdf
34-70413
Sep. 16, 2013
Western Standard, LLC
http://www.sec.gov/litigation/admin/2013/34-70412.pdf
34-70412
Sep. 16, 2013
Philadelphia Financial Management of San Francisco, LLC
http://www.sec.gov/litigation/admin/2013/34-70411.pdf
34-70411
Sep. 16, 2013
War Chest Capital Partners LLC
http://www.sec.gov/litigation/admin/2013/34-70410.pdf
34-70410
Sep. 16, 2013
PEAK6 Capital Management LLC
http://www.sec.gov/litigation/admin/2013/34-70409.pdf
34-70409
Sep. 16, 2013
Pan Capital AB
http://www.sec.gov/litigation/admin/2013/34-70408.pdf
34-70408
Sep. 16, 2013
Vollero Beach Capital Partners LLC
http://www.sec.gov/litigation/admin/2013/34-70407.pdf
34-70407
Sep. 16, 2013
Ontario Teachers' Pension Plan Board
http://www.sec.gov/litigation/admin/2013/34-70406.pdf
34-70406
Sep. 16, 2013
Talkot Capital LLC
http://www.sec.gov/litigation/admin/2013/34-70405.pdf
34-70405
Sep. 16, 2013
Merus Capital Partners, LLC
http://www.sec.gov/litigation/admin/2013/34-70404.pdf
34-70404
Sep. 16, 2013
Southpoint Capital Advisors LP
http://www.sec.gov/litigation/admin/2013/34-70403.pdf
34-70403
Sep. 16, 2013
Soundpost Partners, LP
http://www.sec.gov/litigation/admin/2013/34-70402.pdf
34-70402
Sep. 16, 2013
Meru Capital Group, LP
http://www.sec.gov/litigation/admin/2013/34-70401.pdf
34-70401
Sep. 16, 2013
Manikay Partners LLC
http://www.sec.gov/litigation/admin/2013/34-70400.pdf
34-70400
Sep. 16, 2013
M.S. Junior, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70399.pdf
34-70399
Sep. 16, 2013
Hudson Bay Capital Management LP
http://www.sec.gov/litigation/admin/2013/34-70398.pdf
34-70398
Sep. 16, 2013
Deerfield Management Company, L.P.
http://www.sec.gov/litigation/admin/2013/34-70397.pdf
34-70397
Sep. 16, 2013
Polo Capital International Gestandatilde;o de Recursos Ltda.
http://www.sec.gov/litigation/admin/2013/34-70396.pdf
34-70396
Sep. 16, 2013
D. E. Shaw and Co., L.P.
http://www.sec.gov/litigation/admin/2013/34-70394.pdf
34-70394
Sep. 16, 2013
Credentia Group, LLC
http://www.sec.gov/litigation/admin/2013/34-70393.pdf
34-70393
Sep. 16, 2013
Claritas Investment, Ltd.
http://www.sec.gov/litigation/admin/2013/34-70392.pdf
34-70392
Sep. 16, 2013
Blackthorn Investment Group, LLC
http://www.sec.gov/litigation/admin/2013/34-70391.pdf
34-70391
Sep. 16, 2013
China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc.
http://www.sec.gov/litigation/admin/2013/34-70390.pdf
34-70390
Sep. 13, 2013
Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), et al.
http://www.sec.gov/litigation/admin/2013/33-9450.pdf
33-9450
Sep. 13, 2013
Public Health Trust of Miami-Dade County, Florida
http://www.sec.gov/litigation/admin/2013/34-70388.pdf
34-70388
Sep. 13, 2013
Sarkauskas and Associates, Inc. and James M. Sarkauskas
http://www.sec.gov/litigation/admin/2013/34-70387.pdf
34-70387
Sep. 13, 2013
iVoice, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3668.pdf
IA-3668
Sep. 12, 2013
Benjamin Daniel DeHaan
http://www.sec.gov/litigation/admin/2013/34-70380.pdf
34-70380
Sep. 12, 2013
Avani International Group, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70379.pdf
34-70379
Sep. 12, 2013
Altus Pharmaceuticals, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70378.pdf
34-70378
Sep. 12, 2013
Soil Biogenics Ltd.
http://www.sec.gov/litigation/admin/2013/34-70376.pdf
34-70376
Sep. 12, 2013
Axcess International, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70374.pdf
34-70374
Sep. 12, 2013
Carbiz, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70368.pdf
34-70368
Sep. 11, 2013
Eric T. Burns
http://www.sec.gov/litigation/admin/2013/34-70367.pdf
34-70367
Sep. 10, 2013
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
http://www.sec.gov/litigation/admin/2013/34-70365.pdf
34-70365
Sep. 10, 2013
Colorado 2001B Limited Partnership, Fusion Golf Shafts, Inc., and Graphics Technologies, Inc.
http://www.sec.gov/litigation/admin/2013/34-70359.pdf
34-70359
Sep. 10, 2013
Laura A. Roser
http://www.sec.gov/litigation/admin/2013/34-70355.pdf
34-70355
Sep. 10, 2013
Big Bear Mining Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70353.pdf
34-70353
Sep. 10, 2013
HydroGen Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70351.pdf
34-70351
Sep. 10, 2013
Exmocare, Inc. (n/k/a Second Solar, Inc.), et al.
http://www.sec.gov/litigation/admin/2013/34-70344.pdf
34-70344
Sep. 6, 2013
John A. Picini
http://www.sec.gov/litigation/admin/2013/34-70343.pdf
34-70343
Sep. 6, 2013
Victor Manuel Rivera, Jr.
http://www.sec.gov/litigation/admin/2013/34-70341.pdf
34-70341
Sep. 6, 2013
Timothy M. McGinn and David L. Smith
http://www.sec.gov/litigation/admin/2013/34-70340.pdf
34-70340
Sep. 6, 2013
David G. Bartholomew
http://www.sec.gov/litigation/admin/2013/34-70338.pdf
34-70338
Sep. 6, 2013
Ralph A. Saviano
http://www.sec.gov/litigation/admin/2013/34-70337.pdf
34-70337
Sep. 6, 2013
Lawrence D. Polizzotto
http://www.sec.gov/litigation/admin/2013/34-70333.pdf
34-70333
Sep. 6, 2013
North China Horticulture, Inc.
http://www.sec.gov/litigation/admin/2013/34-70332.pdf
34-70332
Sep. 5, 2013
Spencer C. Barasch
http://www.sec.gov/litigation/admin/2013/34-70331.pdf
34-70331
Sep. 5, 2013
Axius, Inc.
http://www.sec.gov/litigation/admin/2013/34-70330.pdf
34-70330
Sep. 5, 2013
Anthony John Johnson
http://www.sec.gov/litigation/admin/2013/34-70329.pdf
34-70329
Sep. 5, 2013
Craig Kugel
http://www.sec.gov/litigation/admin/2013/ia-3660.pdf
IA-3660
Sep. 5, 2013
Ronald Yee
http://www.sec.gov/litigation/admin/2013/34-70326.pdf
34-70326
Sep. 5, 2013
Gaming World International, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-70325.pdf
34-70325
Sep. 5, 2013
CNC Development, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-70323.pdf
34-70323
Sep. 5, 2013
China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.)
http://www.sec.gov/litigation/admin/2013/34-70321.pdf
34-70321
Sep. 5, 2013
Anhui Taiyang Poultry Co., Inc. a/k/a The Parkview Group, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70319.pdf
34-70319
Sep. 4, 2013
Ricardo Bonilla Rojas
http://www.sec.gov/litigation/admin/2013/34-70310.pdf
34-70310
Sep. 4, 2013
K's Media
http://www.sec.gov/litigation/admin/2013/34-70308.pdf
34-70308
Sep. 4, 2013
China Lithium Technologies, Inc. and China Wi-Max Communications, Inc.
http://www.sec.gov/litigation/admin/2013/34-70306.pdf
34-70306
Sep. 4, 2013
Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.)
http://www.sec.gov/litigation/admin/2013/34-70304.pdf
34-70304
Sep. 3, 2013
Crescent Moon, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70300.pdf
34-70300
Sep. 3, 2013
Gary A. Collyard
http://www.sec.gov/litigation/admin/2013/34-70297.pdf
34-70297
Aug. 30, 2013
GEI Financial Services, Inc., et al.
http://www.sec.gov/litigation/admin/2013/33-9446.pdf
33-9446
Aug. 30, 2013
J.S. Oliver Capital Management, L.P., et al.
http://www.sec.gov/litigation/admin/2013/ia-3657.pdf
IA-3657
Aug. 28, 2013
Hausmann-Alain Banet
http://www.sec.gov/litigation/admin/2013/34-70275.pdf
34-70275
Aug. 28, 2013
First Georgia Community Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70267.pdf
34-70267
Aug. 27, 2013
Alan Smith
http://www.sec.gov/litigation/admin/2013/34-70266.pdf
34-70266
Aug. 27, 2013
Kiavanni Pringle
http://www.sec.gov/litigation/admin/2013/34-70265.pdf
34-70265
Aug. 27, 2013
Bertram A. Hill
http://www.sec.gov/litigation/admin/2013/34-70262.pdf
34-70262
Aug. 27, 2013
Geo Petroleum, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70261.pdf
34-70261
Aug. 27, 2013
Hesed Technology Co., Ltd., et al.
http://www.sec.gov/litigation/admin/2013/ia-3656.pdf
IA-3656
Aug. 27, 2013
William Landberg
http://www.sec.gov/litigation/admin/2013/ia-3655.pdf
IA-3655
Aug. 27, 2013
Carl D. Johns
http://www.sec.gov/litigation/admin/2013/34-70254.pdf
34-70254
Aug. 26, 2013
Anasazi Capital Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70252.pdf
34-70252
Aug. 23, 2013
Darlene A. Bishop
http://www.sec.gov/litigation/admin/2013/ia-3654.pdf
IA-3654
Aug. 21, 2013
David B. Welliver
http://www.sec.gov/litigation/admin/2013/34-70244.pdf
34-70244
Aug. 21, 2013
Oppenheimerfunds, Inc., and Oppenheimerfunds Distributor, Inc.
http://www.sec.gov/litigation/admin/2013/34-70243.pdf
34-70243
Aug. 21, 2013
Robert A. Gist, Esq.
http://www.sec.gov/litigation/admin/2013/34-70240.pdf
34-70240
Aug. 21, 2013
Advantage Technologies, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70239.pdf
34-70239
Aug. 21, 2013
Chariot Advisors, LLC and Elliott L. Shifman
http://www.sec.gov/litigation/admin/2013/34-70238.pdf
34-70238
Aug. 20, 2013
G-Cats Acquisition Corp., GalaGen, Inc., Galena Acquisition Corp., and Garment Graphics, Inc.
http://www.sec.gov/litigation/admin/2013/33-9443.pdf
33-9443
Aug. 20, 2013
Brian Williamson
http://www.sec.gov/litigation/admin/2013/34-70233.pdf
34-70233
Aug. 20, 2013
First Georgia Community Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70226.pdf
34-70226
Aug. 19, 2013
American Technologies Group, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70222.pdf
34-70222
Aug. 16, 2013
Morgan Asset Management, Inc., Morgan Keegan and Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA
http://www.sec.gov/litigation/admin/2013/34-70221.pdf
34-70221
Aug. 16, 2013
Marcellous S. McZeal
http://www.sec.gov/litigation/admin/2013/34-70219.pdf
34-70219
Aug. 16, 2013
Jonathan S. Bristol, Esq.
http://www.sec.gov/litigation/admin/2013/33-9442.pdf
33-9442
Aug. 16, 2013
North East Capital, LLC and Anthony T. Vicidomine
http://www.sec.gov/litigation/admin/2013/34-70215.pdf
34-70215
Aug. 15, 2013
Adam G. Erickson
http://www.sec.gov/litigation/admin/2013/34-70214.pdf
34-70214
Aug. 15, 2013
Chicago Stock Exchange, Inc.
http://www.sec.gov/litigation/admin/2013/ia-3649.pdf
IA-3649
Aug. 15, 2013
Karl Motey
http://www.sec.gov/litigation/admin/2013/34-70208.pdf
34-70208
Aug. 15, 2013
Freedom Financial, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70205.pdf
34-70205
Aug. 15, 2013
Edward T. Stein
http://www.sec.gov/litigation/admin/2013/34-70203.pdf
34-70203
Aug. 15, 2013
Redfin Network, Inc.
http://www.sec.gov/litigation/admin/2013/34-70202.pdf
34-70202
Aug. 15, 2013
Convergence Ethanol, Inc.
http://www.sec.gov/litigation/admin/2013/34-70188.pdf
34-70188
Aug. 14, 2013
Laura Ann Tordy
http://www.sec.gov/litigation/admin/2013/34-70187.pdf
34-70187
Aug. 14, 2013
Martin C. Hartmann III
http://www.sec.gov/litigation/admin/2013/34-70185.pdf
34-70185
Aug. 14, 2013
AIMS Worldwide, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70183.pdf
34-70183
Aug. 14, 2013
Altus Pharmaceuticals, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70181.pdf
34-70181
Aug. 14, 2013
Soil Biogenics Ltd.
http://www.sec.gov/litigation/admin/2013/34-70179.pdf
34-70179
Aug. 14, 2013
iVoice, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70177.pdf
34-70177
Aug. 14, 2013
CNC Development, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-70172.pdf
34-70172
Aug. 13, 2013
L.T. Lawrence and Co., Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70171.pdf
34-70171
Aug. 13, 2013
Ark Asset Management Co., Inc.
http://www.sec.gov/litigation/admin/2013/34-70167.pdf
34-70167
Aug. 13, 2013
Martin A. Pool
http://www.sec.gov/litigation/admin/2013/33-9440.pdf
33-9440
Aug. 13, 2013
Richard D. Hicks
http://www.sec.gov/litigation/admin/2013/34-70164.pdf
34-70164
Aug. 12, 2013
Gaming World International, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-70161.pdf
34-70161
Aug. 12, 2013
Richard P. Sandru
http://www.sec.gov/litigation/admin/2013/34-70157.pdf
34-70157
Aug. 12, 2013
American Wenshen Steel Group, Inc., Case Financial, Inc., Global ePoint, Inc., and iMedia International, Inc.
http://www.sec.gov/litigation/admin/2013/34-70156.pdf
34-70156
Aug. 12, 2013
Camelot Entertainment Group, Inc., Cavico Corp., Global 8 Environmental Technologies, Inc., GTC Telecom Corp., ICF Corporation, and New NRG, Inc.
http://www.sec.gov/litigation/admin/2013/34-70154.pdf
34-70154
Aug. 9, 2013
Pacific Northwestern Energy, LLC
http://www.sec.gov/litigation/admin/2013/34-70153.pdf
34-70153
Aug. 9, 2013
New Horizon Publishing Inc.
http://www.sec.gov/litigation/admin/2013/34-70152.pdf
34-70152
Aug. 9, 2013
Joseph Hilton, a/k/a Joseph Yurkin
http://www.sec.gov/litigation/admin/2013/34-70151.pdf
34-70151
Aug. 9, 2013
Waddell and Reed, Inc., Waddell and Reed Investment Management Company, and Waddell and Reed Services Company
http://www.sec.gov/litigation/admin/2013/34-70133.pdf
34-70133
Aug. 8, 2013
Camelot Entertainment Group, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70128.pdf
34-70128
Aug. 7, 2013
Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.), et al.
http://www.sec.gov/litigation/admin/2013/34-70127.pdf
34-70127
Aug. 6, 2013
GBS Com-Tech Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-70126.pdf
34-70126
Aug. 6, 2013
Thomas Gary Cooper
http://www.sec.gov/litigation/admin/2013/34-70125.pdf
34-70125
Aug. 6, 2013
Joel I. Wilson
http://www.sec.gov/litigation/admin/2013/33-9438.pdf
33-9438
Aug. 6, 2013
UBS Securities LLC
http://www.sec.gov/litigation/admin/2013/ia-3642.pdf
IA-3642
Aug. 5, 2013
Benjamin Daniel Dehaan
http://www.sec.gov/litigation/admin/2013/34-70105.pdf
34-70105
Aug. 2, 2013
Ronald Musich
http://www.sec.gov/litigation/admin/2013/34-70094.pdf
34-70094
Aug. 2, 2013
Convergence Ethanol, Inc.
http://www.sec.gov/litigation/admin/2013/34-70088.pdf
34-70088
Jul. 31, 2013
Steven M. Ray
http://www.sec.gov/litigation/admin/2013/34-70082.pdf
34-70082
Jul. 31, 2013
Banc of America Capital Management, LLC, et al.
http://www.sec.gov/litigation/admin/2013/33-9437.pdf
33-9437
Jul. 31, 2013
ABN AMRO Bank, N.V.
http://www.sec.gov/litigation/admin/2013/ia-3637.pdf
34-70089
Jul. 31, 2013
A.R. andand Co., Inc.
http://www.sec.gov/litigation/admin/2013/34-70083.pdf
34-70083
Jul. 31, 2013
Goelzer Investment Management, Inc. and Gregory W. Goelzer
http://www.sec.gov/litigation/admin/2013/34-70081.pdf
34-70081
Jul. 31, 2013
Commonwealth Bankshares, Inc.
http://www.sec.gov/litigation/admin/2013/34-70080.pdf
34-70080
Jul. 31, 2013
Heartland, Inc.
http://www.sec.gov/litigation/admin/2013/34-70079.pdf
34-70079
Jul. 31, 2013
American Vantage Companies
http://www.sec.gov/litigation/admin/2013/34-70078.pdf
34-70078
Jul. 31, 2013
The Great Train Store Co., et al.
http://www.sec.gov/litigation/admin/2013/34-70077.pdf
34-70077
Jul. 31, 2013
Bloggerwave, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3640.pdf
IA-3640
Jul. 31, 2013
Chauncey C. Mayfield and MayfieldGentry Realty Advisors, LLC
http://www.sec.gov/litigation/admin/2013/34-70074.pdf
34-70074
Jul. 30, 2013
Subramanian Krishnan (CPA) (Corrected)
http://www.sec.gov/litigation/admin/2013/34-70058.pdf
34-70058
Jul. 29, 2013
Ronald S. Rollins
http://www.sec.gov/litigation/admin/2013/ia-3636.pdf
IA-3636
Jul. 29, 2013
Comprehensive Capital Management, Inc.
http://www.sec.gov/litigation/admin/2013/33-9435.pdf
33-9435
Jul. 29, 2013
West Clark Community Schools
http://www.sec.gov/litigation/admin/2013/33-9434.pdf
33-9434
Jul. 29, 2013
City Securities Corporation and Randy G. Ruhl
http://www.sec.gov/litigation/admin/2013/34-70054.pdf
34-70054
Jul. 29, 2013
Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc.
http://www.sec.gov/litigation/admin/2013/34-70043.pdf
34-70043
Jul. 26, 2013
Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim
http://www.sec.gov/litigation/admin/2013/34-70042.pdf
34-70042
Jul. 26, 2013
Duoyuan Printing, Inc.
http://www.sec.gov/litigation/admin/2013/34-70035.pdf
34-70035
Jul. 25, 2013
GDT Tek, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70034.pdf
34-70034
Jul. 24, 2013
Stewart A. Merkin, Esq.
http://www.sec.gov/litigation/admin/2013/34-70033.pdf
34-70033
Jul. 24, 2013
Green Solutions China, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70032.pdf
34-70032
Jul. 24, 2013
iTrackr Systems, Inc.
http://www.sec.gov/litigation/admin/2013/34-70031.pdf
34-70031
Jul. 23, 2013
Virginia K. Sourlis, Esq.
http://www.sec.gov/litigation/admin/2013/34-70030.pdf
34-70030
Jul. 23, 2013
Geo Petroleum, Inc., Global Diamond Resources, Inc., Globalsoft Acquisition Group, Inc., and Globus Wireless, Ltd.
http://www.sec.gov/litigation/admin/2013/34-70022.pdf
34-70022
Jul. 23, 2013
Camelot Entertainment Group, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70020.pdf
34-70020
Jul. 23, 2013
American Wenshen Steel Group, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-70019.pdf
34-70019
Jul. 23, 2013
Securities Transfer, Inc.
http://www.sec.gov/litigation/admin/2013/34-70018.pdf
34-70018
Jul. 23, 2013
Southern Scottish Inns, Inc.
http://www.sec.gov/litigation/admin/2013/34-70017.pdf
34-70017
Jul. 22, 2013
China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc.
http://www.sec.gov/litigation/admin/2013/34-70016.pdf
34-70016
Jul. 22, 2013
Morgan Asset Management, Inc., Morgan Keegan and Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA
http://www.sec.gov/litigation/admin/2013/34-70013.pdf
34-70013
Jul. 22, 2013
Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), et al.
http://www.sec.gov/litigation/admin/2013/34-70012.pdf
34-70012
Jul. 22, 2013
Advanced ID Corp., et al.
http://www.sec.gov/litigation/admin/2013/ia-3634.pdf
IA-3634
Jul. 19, 2013
Steven A. Cohen (Corrected)
http://www.sec.gov/litigation/admin/2013/ia-3633.pdf
IA-3633
Jul. 19, 2013
John Hagener
http://www.sec.gov/litigation/admin/2013/ia-3632.pdf
IA-3632
Jul. 18, 2013
Brion G. Randall
http://www.sec.gov/litigation/admin/2013/34-70003.pdf
34-70003
Jul. 18, 2013
Strong Capital Management, Inc.
http://www.sec.gov/litigation/admin/2013/ia-3630.pdf
IA-3630
Jul. 18, 2013
Jon Harvey Deal
http://www.sec.gov/litigation/admin/2013/34-70002.pdf
34-70002
Jul. 18, 2013
American Technologies Group, Inc., Bonanza Oil and Gas, Inc., and Gulf Coast Oil and Gas, Inc.
http://www.sec.gov/litigation/admin/2013/34-70000.pdf
34-70000
Jul. 18, 2013
First Georgia Community Corp., FLO Corp., Florida Community Banks, Inc., In Touch Media Group, Inc., and NHS Health Solutions, Inc.
http://www.sec.gov/litigation/admin/2013/34-69998.pdf
34-69998
Jul. 17, 2013
Vincent G. Curry
http://www.sec.gov/litigation/admin/2013/34-69995.pdf
34-69995
Jul. 16, 2013
Joseph I. Emas
http://www.sec.gov/litigation/admin/2013/34-69986.pdf
34-69986
Jul. 15, 2013
The Great Train Store Co., et al.
http://www.sec.gov/litigation/admin/2013/34-69984.pdf
34-69984
Jul. 12, 2013
Steven J. Brewer
http://www.sec.gov/litigation/admin/2013/34-69978.pdf
34-69978
Jul. 12, 2013
Greate Bay Hotel and Casino, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69973.pdf
34-69973
Jul. 11, 2013
Enrica Cotellessa-Pitz
http://www.sec.gov/litigation/admin/2013/34-69971.pdf
34-69971
Jul. 11, 2013
Eric Lipkin
http://www.sec.gov/litigation/admin/2013/34-69969.pdf
34-69969
Jul. 11, 2013
David Kugel
http://www.sec.gov/litigation/admin/2013/34-69950.pdf
34-69950
Jul. 9, 2013
Joseph J. Hennessy
http://www.sec.gov/litigation/admin/2013/34-69949.pdf
34-69949
Jul. 9, 2013
Matthew M. Taylor
http://www.sec.gov/litigation/admin/2013/34-69946.pdf
34-69946
Jul. 9, 2013
Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.), et al.
http://www.sec.gov/litigation/admin/2013/34-69945.pdf
34-69945
Jul. 8, 2013
Aichun Li, CPA
http://www.sec.gov/litigation/admin/2013/34-69943.pdf
34-69943
Jul. 8, 2013
Greate Bay Hotel and Casino, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69942.pdf
34-69942
Jul. 8, 2013
China Properties Developments, Inc.
http://www.sec.gov/litigation/admin/2013/34-69937.pdf
34-69937
Jul. 3, 2013
Terry V. Koontz
http://www.sec.gov/litigation/admin/2013/34-69924.pdf
34-69924
Jul. 3, 2013
Jiangbo Pharmaceuticals, Inc.
http://www.sec.gov/litigation/admin/2013/34-69917.pdf
34-69917
Jul. 2, 2013
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
http://www.sec.gov/litigation/admin/2013/34-69906.pdf
34-69906
Jul. 2, 2013
GDT Tek, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69905.pdf
34-69905
Jul. 2, 2013
SinoHub, Inc.
http://www.sec.gov/litigation/admin/2013/34-69896.pdf
34-69896
Jul. 1, 2013
Jennifer E. Thoennes
http://www.sec.gov/litigation/admin/2013/34-69895.pdf
34-69895
Jul. 1, 2013
Fuqi International, Inc.
http://www.sec.gov/litigation/admin/2013/ia-3620.pdf
IA-3620
Jun. 28, 2013
Brion G. Randall
http://www.sec.gov/litigation/admin/2013/34-69886.pdf
34-69886
Jun. 28, 2013
Brian D. Fox
http://www.sec.gov/litigation/admin/2013/34-69879.pdf
34-69879
Jun. 27, 2013
Jerry L. Burdick, CPA
http://www.sec.gov/litigation/admin/2013/34-69873.pdf
34-69873
Jun. 27, 2013
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
http://www.sec.gov/litigation/admin/2013/34-69865.pdf
34-69865
Jun. 27, 2013
Benda Pharmaceutical, Inc. and China Shuangji Cement Ltd.
http://www.sec.gov/litigation/admin/2013/34-69860.pdf
34-69860
Jun. 26, 2013
Bruce W. Tomlinson, CPA
http://www.sec.gov/litigation/admin/2013/34-69840.pdf
34-69840
Jun. 25, 2013
CoreCare Systems, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69839.pdf
34-69839
Jun. 24, 2013
Green Solutions China, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69833.pdf
34-69833
Jun. 24, 2013
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
http://www.sec.gov/litigation/admin/2013/34-69832.pdf
34-69832
Jun. 21, 2013
Michael J. Stewart
http://www.sec.gov/litigation/admin/2013/34-69816.pdf
34-69816
Jun. 21, 2013
Jason A. D'Amato
http://www.sec.gov/litigation/admin/2013/34-69815.pdf
34-69815
Jun. 21, 2013
The Hartcourt Companies, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69808.pdf
34-69808
Jun. 20, 2013
Dennis Ashley Bukantis
http://www.sec.gov/litigation/admin/2013/34-69804.pdf
34-69804
Jun. 20, 2013
Sunrise Solar Corporation
http://www.sec.gov/litigation/admin/2013/34-69797.pdf
34-69797
Jun. 19, 2013
Greenstart, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69796.pdf
34-69796
Jun. 19, 2013
China Environmental Protection, Inc.
http://www.sec.gov/litigation/admin/2013/34-69795.pdf
34-69795
Jun. 19, 2013
Jupiter Enterprises, Inc.
http://www.sec.gov/litigation/admin/2013/34-69783.pdf
34-69783
Jun. 18, 2013
Gerald "Jerry" D. Kegley
http://www.sec.gov/litigation/admin/2013/34-69781.pdf
34-69781
Jun. 18, 2013
Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), et al.
http://www.sec.gov/litigation/admin/2013/34-69780.pdf
34-69780
Jun. 18, 2013
iTrackr Systems, Inc.
http://www.sec.gov/litigation/admin/2013/34-69778.pdf
34-69778
Jun. 18, 2013
Bloggerwave, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69770.pdf
34-69770
Jun. 17, 2013
Avani International Group, Inc., Birch Mountain Resources Ltd., Capital Reserve Canada Ltd., Dynasty Gaming, Inc. (n/k/a Blue Zen Memorial Parks, Inc.), IXI Mobile, Inc., Laureate Resources and Steel Industries, Inc., Millennium Energy Corp., Shannon International, Inc. and Welwind Energy International Corporation
http://www.sec.gov/litigation/admin/2013/34-69769.pdf
34-69769
Jun. 17, 2013
Lunar Growth Corp.
http://www.sec.gov/litigation/admin/2013/34-69765.pdf
34-69765
Jun. 14, 2013
Rosenberg Rich Baker Berman and Company and Brian Zucker, CPA
http://www.sec.gov/litigation/admin/2013/ic-30557.pdf
IC-30557
Jun. 13, 2013
J. Kenneth Alderman, CPA, et al.
http://www.sec.gov/litigation/admin/2013/34-69759.pdf
34-69759
Jun. 13, 2013
Emanuel Goffer
http://www.sec.gov/litigation/admin/2013/34-69750.pdf
34-69750
Jun. 13, 2013
Revlon, Inc.
http://www.sec.gov/litigation/admin/2013/34-69746.pdf
34-69746
Jun. 12, 2013
David M. Tamman, Esq.
http://www.sec.gov/litigation/admin/2013/34-69738.pdf
34-69738
Jun. 12, 2013
Greatmat Technology Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-69730.pdf
34-69730
Jun. 11, 2013
The Great Train Store Co., et al.
http://www.sec.gov/litigation/admin/2013/34-69729.pdf
34-69729
Jun. 11, 2013
Robert A. Gist
http://www.sec.gov/litigation/admin/2013/34-69726.pdf
34-69726
Jun. 11, 2013
Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated
http://www.sec.gov/litigation/admin/2013/34-69728.pdf
34-69728
Jun. 11, 2013
Griffin Mining, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-69727.pdf
34-69727
Jun. 11, 2013
Bloggerwave, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69720.pdf
34-69720
Jun. 7, 2013
Paul Randall Fraley
http://www.sec.gov/litigation/admin/2013/34-69714.pdf
34-69714
Jun. 7, 2013
Bloggerwave, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69713.pdf
34-69713
Jun. 7, 2013
Enercorp, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69705.pdf
34-69705
Jun. 6, 2013
Griffin Mining, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-69704.pdf
34-69704
Jun. 6, 2013
Greate Bay Hotel and Casino, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69698.pdf
34-69698
Jun. 5, 2013
Griffin Mining, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-69697.pdf
34-69697
Jun. 5, 2013
Actavision Ventures, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69689.pdf
34-69689
Jun. 4, 2013
Biopharm Asia, Inc.
http://www.sec.gov/litigation/admin/2013/34-69688.pdf
34-69688
Jun. 3, 2013
Thomas Rubin
http://www.sec.gov/litigation/admin/2013/34-69687.pdf
34-69687
Jun. 3, 2013
Christopher Scott
http://www.sec.gov/litigation/admin/2013/34-69680.pdf
34-69680
Jun. 3, 2013
UBS O'Connor, LLC
http://www.sec.gov/litigation/admin/2013/34-69679.pdf
34-69679
Jun. 3, 2013
Guilin Paper, Inc.
http://www.sec.gov/litigation/admin/2013/ia-3614.pdf
IA-3614
May 31, 2013
Ming Siu
http://www.sec.gov/litigation/admin/2013/33-9407.pdf
33-9407
May 30, 2013
Scuderi Group, Inc. and Salvatore Scuderi
http://www.sec.gov/litigation/admin/2013/33-9406.pdf
33-9406
May 30, 2013
Lewis J. Hunter
http://www.sec.gov/litigation/admin/2013/34-69667.pdf
34-69667
May 30, 2013
John A. Grant
http://www.sec.gov/litigation/admin/2013/34-69665.pdf
34-69665
May 30, 2013
CoreCare Systems, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69664.pdf
34-69664
May 30, 2013
CoreCare Systems, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69663.pdf
34-69663
May 30, 2013
China Organic Agriculture, Inc.
http://www.sec.gov/litigation/admin/2013/34-69662.pdf
34-69662
May 30, 2013
Lanbo Financial Group, Inc.
http://www.sec.gov/litigation/admin/2013/34-69660.pdf
34-69660
May 30, 2013
Advanced ID Corp., et al.
http://www.sec.gov/litigation/admin/2013/ia-3613.pdf
IA-3613
May 30, 2013
John A. Grant
http://www.sec.gov/litigation/admin/2013/34-69656.pdf
34-69656
May 29, 2013
Greenstart, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69655.pdf
34-69655
May 29, 2013
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC
http://www.sec.gov/litigation/admin/2013/34-69654.pdf
34-69654
May 29, 2013
Total, S.A.
http://www.sec.gov/litigation/admin/2013/34-69652.pdf
34-69652
May 29, 2013
Integrity Bancshares, Inc.
http://www.sec.gov/litigation/admin/2013/34-69650.pdf
34-69650
May 29, 2013
Jupiter Enterprises, Inc.
http://www.sec.gov/litigation/admin/2013/34-69648.pdf
34-69648
May 29, 2013
China Properties Developments, Inc.
http://www.sec.gov/litigation/admin/2013/34-69646.pdf
34-69646
May 29, 2013
China Environmental Protection, Inc.
http://www.sec.gov/litigation/admin/2013/34-69645.pdf
34-69645
May 28, 2013
Stormy L. Dean
http://www.sec.gov/litigation/admin/2013/34-69644.pdf
34-69644
May 28, 2013
Rajnish K. Das
http://www.sec.gov/litigation/admin/2013/34-69640.pdf
34-69640
May 24, 2013
Deer Hill Financial Group, LLC
http://www.sec.gov/litigation/admin/2013/34-69637.pdf
34-69637
May 24, 2013
Larry Michael Parrish
http://www.sec.gov/litigation/admin/2013/34-69630.pdf
34-69630
May 23, 2013
Joseph Hilton a/k/a Joseph Yurkin
http://www.sec.gov/litigation/admin/2013/34-69627.pdf
34-69627
May 23, 2013
Neil M.M. Morrison
http://www.sec.gov/litigation/admin/2013/34-69623.pdf
34-69623
May 23, 2013
Joshua Constantin and Brian Solomon
http://www.sec.gov/litigation/admin/2013/ia-3611.pdf
IA-3611
May 23, 2013
Institutional Shareholder Services Inc.
http://www.sec.gov/litigation/admin/2013/34-69626.pdf
34-69626
May 23, 2013
Greatmat Technology Corp., et al.
http://www.sec.gov/litigation/admin/2013/ia-3610.pdf
IA-3610
May 22, 2013
George Elia
http://www.sec.gov/litigation/admin/2013/33-9404.pdf
33-9404
May 22, 2013
City of South Miami, Florida
http://www.sec.gov/litigation/admin/2013/34-69624.pdf
34-69624
May 22, 2013
Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt
http://www.sec.gov/litigation/admin/2013/34-69621.pdf
34-69621
May 22, 2013
Patrick Merrill Brody
http://www.sec.gov/litigation/admin/2013/34-69619.pdf
34-69619
May 22, 2013
CoreCare Systems, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69618.pdf
34-69618
May 22, 2013
Bloggerwave, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69616.pdf
34-69616
May 22, 2013
NewTech Brake Corp.
http://www.sec.gov/litigation/admin/2013/34-69604.pdf
34-69604
May 17, 2013
Centaur Management Co. LLC
http://www.sec.gov/litigation/admin/2013/34-69601.pdf
34-69601
May 17, 2013
Noonan Capital Management, LLC and Timothy George Noonan
http://www.sec.gov/litigation/admin/2013/34-69592.pdf
34-69592
May 16, 2013
Joseph Hilton a/k/a Joseph Yurkin
http://www.sec.gov/litigation/admin/2013/34-69600.pdf
34-69600
May 16, 2013
Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei
http://www.sec.gov/litigation/admin/2013/ia-3608.pdf
IA-3608
May 15, 2013
Wesley W. Wang
http://www.sec.gov/litigation/admin/2013/34-69582.pdf
34-69582
May 15, 2013
Griffin Mining, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-69580.pdf
34-69580
May 15, 2013
Benda Pharmaceutical, Inc. and China Shuangji Cement Ltd.
http://www.sec.gov/litigation/admin/2013/34-69578.pdf
34-69578
May 15, 2013
Avani International Group, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69567.pdf
34-69567
May 14, 2013
Ewan 1, Inc., n/k/a AccessKey IP, Inc.
http://www.sec.gov/litigation/admin/2013/ia-3607.pdf
IA-3607
May 9, 2013
Sandeep Goyal
http://www.sec.gov/litigation/admin/2013/ia-3606.pdf
IA-3606
May 9, 2013
Jesse Tortora
http://www.sec.gov/litigation/admin/2013/ia-3605.pdf
IA-3605
May 9, 2013
Jon Horvath
http://www.sec.gov/litigation/admin/2013/ia-3604.pdf
IA-3604
May 9, 2013
Spyridon Adondakis
http://www.sec.gov/litigation/admin/2013/34-69542.pdf
34-69542
May 9, 2013
The Estate Vault, Inc.
http://www.sec.gov/litigation/admin/2013/34-69533.pdf
34-69533
May 8, 2013
CoreCare Systems, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69531.pdf
34-69531
May 8, 2013
Enercorp, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69529.pdf
34-69529
May 7, 2013
Frank Bluestein
http://www.sec.gov/litigation/admin/2013/34-69526.pdf
34-69526
May 7, 2013
UC Hub Group, Inc.
http://www.sec.gov/litigation/admin/2013/33-9402.pdf
33-9402
May 7, 2013
Ziad K. Abdelnour
http://www.sec.gov/litigation/admin/2013/34-69515.pdf
34-69515
May 6, 2013
The City of Harrisburg, Pennsylvania
http://www.sec.gov/litigation/admin/2013/34-69514.pdf
34-69514
May 6, 2013
Matthew C. Devlin
http://www.sec.gov/litigation/admin/2013/33-9401.pdf
33-9401
May 3, 2013
Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group
http://www.sec.gov/litigation/admin/2013/ia-3600.pdf
IA-3600
May 3, 2013
Putnam Investment Management, LLC
http://www.sec.gov/litigation/admin/2013/ia-3599.pdf
IA-3599
May 3, 2013
Russell K. Cannon
http://www.sec.gov/litigation/admin/2013/ic-30502.pdf
IC-30502
May 2, 2013
Northern Lights Compliance Services, LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-69493.pdf
34-69493
May 2, 2013
Advance Nanotech, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69492.pdf
34-69492
May 1, 2013
Irwin Lipkin
http://www.sec.gov/litigation/admin/2013/34-69486.pdf
34-69486
May 1, 2013
Vincent G. Curry
http://www.sec.gov/litigation/admin/2013/34-69485.pdf
34-69485
May 1, 2013
Kenneth E. Mahaffy, Jr.
http://www.sec.gov/litigation/admin/2013/34-69484.pdf
34-69484
May 1, 2013
Ricardo Bonilla Rojas
http://www.sec.gov/litigation/admin/2013/34-69483.pdf
34-69483
May 1, 2013
Marc Duda
http://www.sec.gov/litigation/admin/2013/34-69472.pdf
34-69472
Apr. 30, 2013
Joseph Contorinis
http://www.sec.gov/litigation/admin/2013/34-69476.pdf
34-69476
Apr. 30, 2013
Advance Nanotech, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69475.pdf
34-69475
Apr. 30, 2013
Indigo Aviation AB, et al.
http://www.sec.gov/litigation/admin/2013/34-69474.pdf
34-69474
Apr. 30, 2013
Allonline.com, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69473.pdf
34-69473
Apr. 30, 2013
Advance Nanotech, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69469.pdf
34-69469
Apr. 26, 2013
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
http://www.sec.gov/litigation/admin/2013/34-69466.pdf
34-69466
Apr. 26, 2013
Richard Bruce Moore
http://www.sec.gov/litigation/admin/2013/34-69463.pdf
34-69463
Apr. 25, 2013
SinoHub, Inc.
http://www.sec.gov/litigation/admin/2013/34-69462.pdf
34-69462
Apr. 25, 2013
Timothy R. Redpath
http://www.sec.gov/litigation/admin/2013/34-69461.pdf
34-69461
Apr. 25, 2013
Michael W. Bozora
http://www.sec.gov/litigation/admin/2013/34-69460.pdf
34-69460
Apr. 25, 2013
David Miller
http://www.sec.gov/litigation/admin/2013/34-69459.pdf
34-69459
Apr. 25, 2013
Actavision Ventures, Inc., American Resources Group, Inc., Audioscience, Inc., Basset Enterprises, Inc., Cybertex Enterprises, Inc. (n/k/a Synvion Corp.), and Duct Utility Construction and Technologies, Inc.
http://www.sec.gov/litigation/admin/2013/34-69447.pdf
34-69447
Apr. 25, 2013
Enercorp, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3592.pdf
IA-3592
Apr. 24, 2013
Tara Bryson
http://www.sec.gov/litigation/admin/2013/34-69442.pdf
34-69442
Apr. 24, 2013
Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa
http://www.sec.gov/litigation/admin/2013/34-69437.pdf
34-69437
Apr. 23, 2013
Waddell and Reed, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69432.pdf
34-69432
Apr. 23, 2013
Anthony Pianelli
http://www.sec.gov/litigation/admin/2013/34-69431.pdf
34-69431
Apr. 23, 2013
Charles Peterein
http://www.sec.gov/litigation/admin/2013/34-69430.pdf
34-69430
Apr. 23, 2013
Alfred Varricchio
http://www.sec.gov/litigation/admin/2013/34-69426.pdf
34-69426
Apr. 23, 2013
Gazoo Energy Group, Coach Industries Group, and Pacificap Entertainment
http://www.sec.gov/litigation/admin/2013/34-69425.pdf
34-69425
Apr. 22, 2013
HarborLight Capital Management, LLC and Dean G. Tanella
http://www.sec.gov/litigation/admin/2013/34-69421.pdf
34-69421
Apr. 19, 2013
Jennifer E. Thoennes
http://www.sec.gov/litigation/admin/2013/ia-3590.pdf
IA-3590
Apr. 19, 2013
Foxhall Capital Management, Inc. and Paul G. Dietrich
http://www.sec.gov/litigation/admin/2013/34-69418.pdf
34-69418
Apr. 19, 2013
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
http://www.sec.gov/litigation/admin/2013/34-69416.pdf
34-69416
Apr. 19, 2013
The Estate Vault, Inc.
http://www.sec.gov/litigation/admin/2013/34-69415.pdf
34-69415
Apr. 19, 2013
Ewan 1, Inc. n/k/a AccessKey IP, Inc.
http://www.sec.gov/litigation/admin/2013/34-69414.pdf
34-69414
Apr. 19, 2013
UC Hub Group, Inc.
http://www.sec.gov/litigation/admin/2013/34-69410.pdf
34-69410
Apr. 19, 2013
Guilin Paper, Inc.
http://www.sec.gov/litigation/admin/2013/34-69409.pdf
34-69409
Apr. 19, 2013
China Organic Agriculture, Inc.
http://www.sec.gov/litigation/admin/2013/34-69408.pdf
34-69408
Apr. 19, 2013
Biopharm Asia, Inc.
http://www.sec.gov/litigation/admin/2013/34-69404.pdf
34-69404
Apr. 18, 2013
Joshua J. Singer
http://www.sec.gov/litigation/admin/2013/34-69390.pdf
34-69390
Apr. 18, 2013
Charles T. Fee
http://www.sec.gov/litigation/admin/2013/ia-3589.pdf
IA-3589
Apr. 18, 2013
Douglas F. Whitman
http://www.sec.gov/litigation/admin/2013/ia-3587.pdf
IA-3587
Apr. 18, 2013
Vector Wealth Management, LLC
http://www.sec.gov/litigation/admin/2013/ia-3586.pdf
IA-3586
Apr. 18, 2013
Umesh Tandon
http://www.sec.gov/litigation/admin/2013/34-69386.pdf
34-69386
Apr. 17, 2013
Sunrise Solar Corporation
http://www.sec.gov/litigation/admin/2013/34-69385.pdf
34-69385
Apr. 17, 2013
Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.)
http://www.sec.gov/litigation/admin/2013/34-69383.pdf
34-69383
Apr. 17, 2013
NewTech Brake Corp.
http://www.sec.gov/litigation/admin/2013/34-69380.pdf
34-69380
Apr. 16, 2013
Noble Innovations, Inc.
http://www.sec.gov/litigation/admin/2013/34-69379.pdf
34-69379
Apr. 15, 2013
Scott Reiman
http://www.sec.gov/litigation/admin/2013/34-69377.pdf
34-69377
Apr. 15, 2013
David Affeldt
http://www.sec.gov/litigation/admin/2013/34-69375.pdf
34-69375
Apr. 15, 2013
Invesco Funds Group, Inc.
http://www.sec.gov/litigation/admin/2013/34-69371.pdf
34-69371
Apr. 12, 2013
Robert Mouallem
http://www.sec.gov/litigation/admin/2013/34-69370.pdf
34-69370
Apr. 12, 2013
New Horizon Publishing Inc.
http://www.sec.gov/litigation/admin/2013/34-69367.pdf
34-69367
Apr. 11, 2013
Joseph Hilton, a/k/a Joseph Yurkin
http://www.sec.gov/litigation/admin/2013/34-69366.pdf
34-69366
Apr. 11, 2013
Michael J. Turnock
http://www.sec.gov/litigation/admin/2013/ia-3584.pdf
IA-3584
Apr. 10, 2013
Toby G. Scammell
http://www.sec.gov/litigation/admin/2013/34-69357.pdf
34-69357
Apr. 10, 2013
Largo Vista Group, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-69355.pdf
34-69355
Apr. 9, 2013
Robert David Beauchene
http://www.sec.gov/litigation/admin/2013/34-69353.pdf
34-69353
Apr. 9, 2013
James C. Fields, CPA
http://www.sec.gov/litigation/admin/2013/34-69352.pdf
34-69352
Apr. 9, 2013
Anthony John Johnson
http://www.sec.gov/litigation/admin/2013/34-69348.pdf
34-69348
Apr. 8, 2013
Richard P. Sandru
http://www.sec.gov/litigation/admin/2013/34-69347.pdf
34-69347
Apr. 8, 2013
Timothy J. Roth
http://www.sec.gov/litigation/admin/2013/34-69346.pdf
34-69346
Apr. 8, 2013
AIM Advisors, Inc. and AIM Distributors, Inc.
http://www.sec.gov/litigation/admin/2013/34-69345.pdf
34-69345
Apr. 8, 2013
Sean Nathan Healy
http://www.sec.gov/litigation/admin/2013/34-69327.pdf
34-69327
Apr. 5, 2013
Koninklijke Philips Electronics N.V.
http://www.sec.gov/litigation/admin/2013/34-69326.pdf
34-69326
Apr. 5, 2013
Eddie Douglas Austin Jr., Esq.
http://www.sec.gov/litigation/admin/2013/34-69314.pdf
34-69314
Apr. 5, 2013
China North East Petroleum Holdings Limited
http://www.sec.gov/litigation/admin/2013/ia-3577.pdf
IA-3577
Apr. 4, 2013
David C. Lin
http://www.sec.gov/litigation/admin/2013/ia-3576.pdf
IA-3576
Apr. 4, 2013
Richard F. Tipton
http://www.sec.gov/litigation/admin/2013/ia-3575.pdf
IA-3575
Apr. 4, 2013
Edward G. Locker
http://www.sec.gov/litigation/admin/2013/ia-3574.pdf
IA-3574
Apr. 4, 2013
ZPR Investment Management, Inc. and Max E. Zavanelli
http://www.sec.gov/litigation/admin/2013/34-69307.pdf
34-69307
Apr. 4, 2013
Gerald "Jerry" D. Kegley
http://www.sec.gov/litigation/admin/2013/34-69306.pdf
34-69306
Apr. 4, 2013
Colleen Erin Kelly Bishop (CPA)
http://www.sec.gov/litigation/admin/2013/34-69292.pdf
34-69292
Apr. 4, 2013
Artfest International, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69291.pdf
34-69291
Apr. 4, 2013
Adzone Research, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69290.pdf
34-69290
Apr. 4, 2013
My Complete Care, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69289.pdf
34-69289
Apr. 4, 2013
Hesed Technology Co., Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-69288.htm
34-69288
Apr. 3, 2013
Morgan Asset Management, Inc., Morgan Keegan and Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA
http://www.sec.gov/litigation/admin/2013/ia-3573.pdf
IA-3573
Apr. 3, 2013
George Elia
http://www.sec.gov/litigation/admin/2013/34-69283.pdf
34-69283
Apr. 3, 2013
Adzone Research, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69282.pdf
34-69282
Apr. 3, 2013
My Complete Care, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69277.pdf
34-69277
Apr. 2, 2013
Eric J. Bur, CPA
http://www.sec.gov/litigation/admin/2013/34-69264.pdf
34-69264
Apr. 2, 2013
Digital Video Systems, Inc., Electroglas, Inc., Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation), Geocom Resources, Inc., and Goldmountain Exploration Corp.
http://www.sec.gov/litigation/admin/2013/34-69261.pdf
34-69261
Apr. 1, 2013
IGIA, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69260.pdf
34-69260
Apr. 1, 2013
IdleAire Technologies Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-69252.pdf
34-69252
Mar. 28, 2013
David M. Decker, Jr.
http://www.sec.gov/litigation/admin/2013/ia-3572.pdf
IA-3572
Mar. 28, 2013
Jorge Gomez
http://www.sec.gov/litigation/admin/2013/34-69248.pdf
34-69248
Mar. 28, 2013
Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc., N.T. Properties, Inc., PrimePlayer, Inc., Skylyft Media Group, Inc., and Spectrum Acquisition Corp.
http://www.sec.gov/litigation/admin/2013/34-69242.pdf
34-69242
Mar. 26, 2013
Wunderlich Securities, Inc., Tracy L. Wiswall, and Gary K. Wunderlich, Jr.
http://www.sec.gov/litigation/admin/2013/34-69224.pdf
34-69224
Mar. 25, 2013
Susan Skaer, Esq.
http://www.sec.gov/litigation/admin/2013/34-69223.pdf
34-69223
Mar. 25, 2013
IGIA, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69214.pdf
34-69214
Mar. 22, 2013
Edward L. Moskop
http://www.sec.gov/litigation/admin/2013/33-9396.pdf
33-9396
Mar. 22, 2013
John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, George R. Jarkesy Jr., John Thomas Financial, Inc., and Anastasios "Tommy' Belesis
http://www.sec.gov/litigation/admin/2013/34-69207.pdf
34-69207
Mar. 22, 2013
Advance Nanotech, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69206.pdf
34-69206
Mar. 22, 2013
American United Gold Corporation, et al.
http://www.sec.gov/litigation/admin/2013/34-69228.pdf
34-69228
Mar. 20, 2013
William G. Reeves, Esq.
http://www.sec.gov/litigation/admin/2013/34-69191.pdf
34-69191
Mar. 20, 2013
Lunar Growth Corp.
http://www.sec.gov/litigation/admin/2013/34-69189.pdf
34-69189
Mar. 20, 2013
Allonline.com, Inc., Bonded Motors, Inc., Cass M L Production Corp., Cyber Grind, Inc., Cygni Investments, Inc., Czech Connection, Inc., and Dynatec International, Inc.
http://www.sec.gov/litigation/admin/2013/34-69185.pdf
34-69185
Mar. 20, 2013
Americas Energy Company-AECo
http://www.sec.gov/litigation/admin/2013/ia-3570.pdf
IA-3570
Mar. 19, 2013
Berton M. Hochfeld
http://www.sec.gov/litigation/admin/2013/33-9394.pdf
33-9394
Mar. 19, 2013
Craig Berkman, d/b/a Ventures Trust LLC, John B. Kern, 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 and Assensus Capital Management, LLC
http://www.sec.gov/litigation/admin/2013/34-69170.pdf
34-69170
Mar. 19, 2013
My Complete Care, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69169.pdf
34-69169
Mar. 19, 2013
Maxsys Holdings, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69168.pdf
34-69168
Mar. 19, 2013
Law Enforcement Associates Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-69165.pdf
34-69165
Mar. 18, 2013
Bruce H. Haglund, Esq.
http://www.sec.gov/litigation/admin/2013/33-9393.pdf
33-9393
Mar. 18, 2013
Banco Comercial Português, S.A.
http://www.sec.gov/litigation/admin/2013/34-69150.pdf
34-69150
Mar. 15, 2013
Centaur Management Co. LLC
http://www.sec.gov/litigation/admin/2013/34-69149.pdf
34-69149
Mar. 15, 2013
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
http://www.sec.gov/litigation/admin/2013/34-69144.pdf
34-69144
Mar. 15, 2013
Patrick Merrill Brody
http://www.sec.gov/litigation/admin/2013/34-69143.pdf
34-69143
Mar. 15, 2013
Laura A. Roser
http://www.sec.gov/litigation/admin/2013/34-69138.pdf
34-69138
Mar. 14, 2013
OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc.
http://www.sec.gov/litigation/admin/2013/34-69137.pdf
34-69137
Mar. 14, 2013
Cache D. Decker
http://www.sec.gov/litigation/admin/2013/34-69128.pdf
34-69128
Mar. 13, 2013
Maxsys Holdings, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69127.pdf
34-69127
Mar. 13, 2013
Digital Video Systems, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69126.pdf
34-69126
Mar. 13, 2013
Digital Video Systems, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69125.pdf
34-69125
Mar. 13, 2013
Along Mobile Technologies, Inc.
http://www.sec.gov/litigation/admin/2013/34-69117.pdf
34-69117
Mar. 12, 2013
Indigo Aviation AB, et al.
http://www.sec.gov/litigation/admin/2013/34-69116.pdf
34-69116
Mar. 12, 2013
Adzone Research, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69113.pdf
34-69113
Mar. 12, 2013
HDL Capital Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-69112.pdf
34-69112
Mar. 12, 2013
New Generation Biofuels Holdings, Inc.
http://www.sec.gov/litigation/admin/2013/34-69111.pdf
34-69111
Mar. 11, 2013
Kevin J. Wilcox
http://www.sec.gov/litigation/admin/2013/34-69100.pdf
34-69100
Mar. 11, 2013
Christopher A. Seeley
http://www.sec.gov/litigation/admin/2013/34-69099.pdf
34-69099
Mar. 11, 2013
Gazoo Energy Group, Coach Industries Group, Pacificap Entertainment
http://www.sec.gov/litigation/admin/2013/34-69097.pdf
34-69097
Mar. 11, 2013
Advance Nanotech, Inc., ANTS Software, Inc., Beauty Brands Group, Inc., Chocolate Candy Creations, Inc., Crystallex International Corp., Dermaxar, Inc., e-SIM, Ltd., and EcoReady Corp.
http://www.sec.gov/litigation/admin/2013/33-9390.pdf
33-9390
Mar. 11, 2013
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC
http://www.sec.gov/litigation/admin/2013/33-9389.pdf
33-9389
Mar. 11, 2013
State of Illinois
http://www.sec.gov/litigation/admin/2013/34-69095.pdf
34-69095
Mar. 8, 2013
Stephen Shea
http://www.sec.gov/litigation/admin/2013/34-69094.pdf
34-69094
Mar. 8, 2013
BDO China Dahua CPA Co., LTD., Ernst and Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants LTD., and Pricewaterhousecoopers Zhong Tian CPAs Limited
http://www.sec.gov/litigation/admin/2013/34-69093.pdf
34-69093
Mar. 8, 2013
Robert David Beauchene
http://www.sec.gov/litigation/admin/2013/34-69092.pdf
34-69092
Mar. 8, 2013
Fry Hensley and Company, And Nicholas L. Fry, II
http://www.sec.gov/litigation/admin/2013/34-69091.pdf
34-69091
Mar. 8, 2013
Ranieri Partners LLC and Donald W. Phillips
http://www.sec.gov/litigation/admin/2013/34-69090.pdf
34-69090
Mar. 8, 2013
William M. Stephens
http://www.sec.gov/litigation/admin/2013/33-9388.pdf
33-9388
Mar. 8, 2013
UBS Financial Services Inc. of Puerto Rico
http://www.sec.gov/litigation/admin/2013/34-69074.pdf
34-69074
Mar. 8, 2013
Lynx Acquisition, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69065.pdf
34-69065
Mar. 7, 2013
Billy Wayne McClintock
http://www.sec.gov/litigation/admin/2013/34-69057.pdf
34-69057
Mar. 7, 2013
Cornerstone Capital Management, Inc., and Laura Jean Kent
http://www.sec.gov/litigation/admin/2013/34-69056.pdf
34-69056
Mar. 7, 2013
Feltl andamp; Company, Inc.
http://www.sec.gov/litigation/admin/2013/34-69051.pdf
34-69051
Mar. 6, 2013
CYDE Liquidating Co.
http://www.sec.gov/litigation/admin/2013/34-69050.pdf
34-69050
Mar. 6, 2013
Law Enforcement Associates Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-69049.pdf
34-69049
Mar. 6, 2013
Artfest International, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69048.pdf
34-69048
Mar. 6, 2013
Law Enforcement Associates Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-69047.pdf
34-69047
Mar. 5, 2013
IdleAire Technologies Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-69046.pdf
34-69046
Mar. 5, 2013
IGIA, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-69036.pdf
34-69036
Mar. 5, 2013
Peak Wealth Opportunities, LLC, and David W. Dube, CPA
http://www.sec.gov/litigation/admin/2013/34-69035.pdf
34-69035
Mar. 5, 2013
Advanced ID Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-69024.pdf
34-69024
Mar. 4, 2013
Atlantic Southern Financial Group, Inc.
http://www.sec.gov/litigation/admin/2013/34-69023.pdf
34-69023
Mar. 4, 2013
ATI Liquidating, Inc. (n/k/a Aviza Technology, Inc.)
http://www.sec.gov/litigation/admin/2013/34-69022.pdf
34-69022
Mar. 4, 2013
Maverick Oil and Gas, Inc.
http://www.sec.gov/litigation/admin/2013/34-69021.pdf
34-69021
Mar. 4, 2013
Clean Power Technologies, Inc.
http://www.sec.gov/litigation/admin/2013/34-69015.pdf
34-69015
Mar. 1, 2013
Allen R. Jacobson
http://www.sec.gov/litigation/admin/2013/34-69014.pdf
34-69014
Mar. 1, 2013
Wendell A. Jacobson
http://www.sec.gov/litigation/admin/2013/ia-3560.pdf
IA-3560
Mar. 1, 2013
Nicholas Delbrocco
http://www.sec.gov/litigation/admin/2013/ia-3559.pdf
IA-3559
Mar. 1, 2013
Ward Onsa
http://www.sec.gov/litigation/admin/2013/34-69004.pdf
34-69004
Feb. 28, 2013
China Wesen Recycling Technology, Inc., Chopin Venture Group, Inc.,Cogito Media Group, Inc., Crescendo Acquisition Corp., Crosswave Communications, Inc., Crown International, Inc. and Crysler Corp.
http://www.sec.gov/litigation/admin/2013/34-69001.pdf
34-69001
Feb. 27, 2013
Douglas F. Vaughan
http://www.sec.gov/litigation/admin/2013/34-68993.pdf
34-68993
Feb. 27, 2013
Oxford Investment Partners, LLC and Walter J. Clarke
34-68991
Feb. 27, 2013
Medis Technologies Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-68990.pdf
34-68990
Feb. 26, 2013
Edward Tackaberry
http://www.sec.gov/litigation/admin/2013/34-68989.pdf
34-68989
Feb. 26, 2013
Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc., N.T. Properties, Inc., PrimePlayer, Inc., Skylyft Media Group, Inc., and Spectrum Acquisition Corp.
http://www.sec.gov/litigation/admin/2013/34-68988.pdf
34-68988
Feb. 26, 2013
Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim
http://www.sec.gov/litigation/admin/2013/34-68986.pdf
34-68986
Feb. 26, 2013
My Complete Care, Inc., New Midwest Co., LLC, NRG, Inc., Nugent Aerospace, Inc., Otter Tail Ag Enterprises, LLC, Raines Lenders LP, and Sadhana Equity Investment, Inc.
http://www.sec.gov/litigation/admin/2013/ia-3556.pdf
IA-3556
Feb. 22, 2013
Sentinel Investment Management Corporation
http://www.sec.gov/litigation/admin/2013/34-68970.pdf
34-68970
Feb. 22, 2013
Digital Video Systems, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68968.pdf
34-68968
Feb. 22, 2013
Advance Nanotech, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68967.pdf
34-68967
Feb. 22, 2013
Largo Vista Group, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-68963.pdf
34-68963
Feb. 21, 2013
James S. Tagliaferri
http://www.sec.gov/litigation/admin/2013/34-68961.pdf
34-68961
Feb. 20, 2013
Hesed Technology Co., Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-68956.pdf
34-68956
Feb. 20, 2013
Lynx Acquisition, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68952.pdf
34-68952
Feb. 19, 2013
Virginia K. Sourlis, Esq.
http://www.sec.gov/litigation/admin/2013/34-68949.pdf
34-68949
Feb. 19, 2013
Michael Lowther, CPA
http://www.sec.gov/litigation/admin/2013/34-68947.pdf
34-68947
Feb. 19, 2013
Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp.
http://www.sec.gov/litigation/admin/2013/34-68946.pdf
34-68946
Feb. 19, 2013
AlphaTrade.com
http://www.sec.gov/litigation/admin/2013/ia-3554.pdf
IA-3554
Feb. 15, 2013
Oxford Investment Partners, LLC and Walter J. Clarke
http://www.sec.gov/litigation/admin/2013/ia-3553.pdf
IA-3553
Feb. 15, 2013
Oxford Investment Partners, LLC and Walter J. Clarke
http://www.sec.gov/litigation/admin/2013/33-9385.pdf
33-9385
Feb. 15, 2013
Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC
http://www.sec.gov/litigation/admin/2013/34-68940.pdf
34-68940
Feb. 15, 2013
Guy W. Gane, Jr.
http://www.sec.gov/litigation/admin/2013/34-68931.pdf
34-68931
Feb. 14, 2013
Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim
http://www.sec.gov/litigation/admin/2013/34-68920.pdf
34-68920
Feb. 13, 2013
Stephen M. Strauss
http://www.sec.gov/litigation/admin/2013/34-68914.pdf
34-68914
Feb. 13, 2013
Eco Global Corporation, et al.
http://www.sec.gov/litigation/admin/2013/34-68903.pdf
34-68903
Feb. 11, 2013
HDL Capital Corp., HMG Worldwide Corp., Homegold Financial, Inc., Hudson Hotels Corp., and Hurry, Inc.
http://www.sec.gov/litigation/admin/2013/34-68902.pdf
34-68902
Feb. 11, 2013
Artfest International, Inc., China Advanced Meditech, Inc., Cynet, Inc., Durham Marketing Corp., Emissary Capital Group, Inc. (n/k/a Cavalier Holdings, Inc.), and ESP Enterprises, Inc. (n/k/a ESP Enterprises of LA, Inc.)
http://www.sec.gov/litigation/admin/2013/34-68893.pdf
34-68893
Feb. 11, 2013
China Voice Holding Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-68892.pdf
34-68892
Feb. 11, 2013
IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc.
http://www.sec.gov/litigation/admin/2013/34-68869.pdf
34-68869
Feb. 8, 2013
GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran
http://www.sec.gov/litigation/admin/2013/34-68868.pdf
34-68868
Feb. 8, 2013
Changed E-Mail, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68866.pdf
34-68866
Feb. 7, 2013
Gary J. Martel
http://www.sec.gov/litigation/admin/2013/ia-3551.pdf
IA-3551
Feb. 7, 2013
James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin
http://www.sec.gov/litigation/admin/2013/34-68859.pdf
34-68859
Feb. 7, 2013
Law Enforcement Associates Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-68858.pdf
34-68858
Feb. 7, 2013
Law Enforcement Associates Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-68857.pdf
34-68857
Feb. 7, 2013
Imreg, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68856.pdf
34-68856
Feb. 7, 2013
HI DEF Enterprises, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68845.pdf
34-68845
Feb. 6, 2013
Joseph J. Repko, CPA
http://www.sec.gov/litigation/admin/2013/ia-3550.pdf
IA-3550
Feb. 6, 2013
Jorge Gomez
http://www.sec.gov/litigation/admin/2013/ia-3549.pdf
IA-3549
Feb. 6, 2013
Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez
http://www.sec.gov/litigation/admin/2013/ia-3548.pdf
IA-3548
Feb. 6, 2013
Howard B. Berger
http://www.sec.gov/litigation/admin/2013/34-68837.pdf
34-68837
Feb. 6, 2013
Advanced ID Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-68836.pdf
34-68836
Feb. 6, 2013
Advance Nanotech, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3546.pdf
IA-3546
Feb. 5, 2013
Juno Mother Earth Asset Management, LLC
http://www.sec.gov/litigation/admin/2013/34-68828.pdf
34-68828
Feb. 5, 2013
Ardsley Advisory Partners
http://www.sec.gov/litigation/admin/2013/34-68827.pdf
34-68827
Feb. 5, 2013
Kenneth Ira Starr
http://www.sec.gov/litigation/admin/2013/34-68826.pdf
34-68826
Feb. 5, 2013
Kenneth Ira Starr, Esq., C.P.A.
http://www.sec.gov/litigation/admin/2013/34-68825.pdf
34-68825
Feb. 5, 2013
Henley Healthcare, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68811.pdf
34-68811
Feb. 1, 2013
Encore Clean Energy, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68810.pdf
34-68810
Feb. 1, 2013
Mitchell Segal, Esq.
http://www.sec.gov/litigation/admin/2013/ia-3543.pdf
IA-3543
Jan. 31, 2013
Jeffrey A. Quay
http://www.sec.gov/litigation/admin/2013/34-68796.pdf
34-68796
Jan. 31, 2013
BNY Mellon Securities LCC and Mark Shaw
http://www.sec.gov/litigation/admin/2013/34-68774.pdf
34-68774
Jan. 30, 2013
GMB Capital Management LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-68772.pdf
34-68772
Jan. 30, 2013
William B. Mitchell
http://www.sec.gov/litigation/admin/2013/34-68764.pdf
34-68764
Jan. 30, 2013
CentreInvest, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68763.pdf
34-68763
Jan. 30, 2013
ICP Solar Technologies, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68756.pdf
34-68756
Jan. 29, 2013
Lisa B. Hovan, CPA
http://www.sec.gov/litigation/admin/2013/34-68754.pdf
34-68754
Jan. 29, 2013
Brian D. Fox
http://www.sec.gov/litigation/admin/2013/ia-3540.pdf
IA-3540
Jan. 29, 2013
Kurt S. Hovan
http://www.sec.gov/litigation/admin/2013/ia-3538.pdf
IA-3538
Jan. 29, 2013
Edward J. Hovan, Jr.
http://www.sec.gov/litigation/admin/2013/ia-3537.pdf
IA-3537
Jan. 29, 2013
IMC Asset Management, Inc.
http://www.sec.gov/litigation/admin/2013/34-68750.pdf
34-68750
Jan. 29, 2013
IAS Energy, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68749.pdf
34-68749
Jan. 28, 2013
Stefan H. Benger
http://www.sec.gov/litigation/admin/2013/34-68739.pdf
34-68739
Jan. 28, 2013
Henley Healthcare, Inc., Hightop Capital Corp., Hiko Bell Mining and Oil Co., Horizon Pharmacies, Inc., Horizon Resources Corp., and Hudson's Grill of America, Inc.
http://www.sec.gov/litigation/admin/2013/34-68736.pdf
34-68736
Jan. 25, 2013
John W. Adams and AIP, LLC
http://www.sec.gov/litigation/admin/2013/34-68738.pdf
34-68738
Jan. 25, 2013
Nicolette D. Loisel
http://www.sec.gov/litigation/admin/2013/34-68737.pdf
34-68737
Jan. 25, 2013
Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA
http://www.sec.gov/litigation/admin/2013/34-68733.pdf
34-68733
Jan. 25, 2013
Gabelli Funds, LLC
http://www.sec.gov/litigation/admin/2013/34-68732.pdf
34-68732
Jan. 25, 2013
Mary Beth Stevens; Paul W. Oliver, Jr.
http://www.sec.gov/litigation/admin/2013/34-68731.pdf
34-68731
Jan. 25, 2013
Largo Vista Group, Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-68729.pdf
34-68729
Jan. 25, 2013
Law Enforcement Associates Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-68727.pdf
34-68727
Jan. 25, 2013
Medis Technologies Ltd., et al.
http://www.sec.gov/litigation/admin/2013/34-68722.pdf
34-68722
Jan. 24, 2013
Eric D. Rogers
http://www.sec.gov/litigation/admin/2013/34-68716.pdf
34-68716
Jan. 24, 2013
HI DEF Enterprises, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68715.pdf
34-68715
Jan. 24, 2013
IAS Energy, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68706.pdf
34-68706
Jan. 23, 2013
China Wesen Recycling Technology, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3536.pdf
IA-3536
Jan. 22, 2013
Raymond Y.H. Park
http://www.sec.gov/litigation/admin/2013/ia-3535.pdf
IA-3535
Jan. 22, 2013
Sung Kook Hwang
http://www.sec.gov/litigation/admin/2013/34-68703.pdf
34-68703
Jan. 22, 2013
Egan-Jones Ratings Company and Sean Egan
http://www.sec.gov/litigation/admin/2013/34-68688.pdf
34-68688
Jan. 18, 2013
AlphaTrade.com
http://www.sec.gov/litigation/admin/2013/34-68686.pdf
34-68686
Jan. 18, 2013
The Hartcourt Companies, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68685.pdf
34-68685
Jan. 17, 2013
Linda Dianne Alexander
http://www.sec.gov/litigation/admin/2013/34-68683.pdf
34-68683
Jan. 17, 2013
Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
http://www.sec.gov/litigation/admin/2013/34-68681.pdf
34-68681
Jan. 17, 2013
Desert Mining, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68680.pdf
34-68680
Jan. 17, 2013
IAS Energy, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68679.pdf
34-68679
Jan. 17, 2013
IBroadband, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68673.pdf
34-68673
Jan. 16, 2013
Larry Lee Adair, Esq.
http://www.sec.gov/litigation/admin/2013/34-68670.pdf
34-68670
Jan. 16, 2013
Mark A. Gelazela and Steven E. Woods
http://www.sec.gov/litigation/admin/2013/34-68669.pdf
34-68669
Jan. 16, 2013
MiddleCove Capital, LLC, and Noah L. Myers
http://www.sec.gov/litigation/admin/2013/34-68664.pdf
34-68664
Jan. 16, 2013
Eco Global Corporation, et al.
http://www.sec.gov/litigation/admin/2013/34-68661.pdf
34-68661
Jan. 15, 2013
Kevin A. Howard, CPA
http://www.sec.gov/litigation/admin/2013/34-68649.pdf
34-68649
Jan. 14, 2013
IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc.
http://www.sec.gov/litigation/admin/2013/34-68646.pdf
34-68646
Jan. 14, 2013
Imreg, Inc., Innovative Holdings and Technologies, Inc., InnoVet, Inc., Institutional Properties 4, Interaction Media Corp., and International CRO Holdings Corp.
http://www.sec.gov/litigation/admin/2013/34-68628.pdf
34-68628
Jan. 11, 2013
Eric Ashman, CPA
http://www.sec.gov/litigation/admin/2013/ia-3533.pdf
IA-3533
Jan. 11, 2013
I. Joseph Massoud
http://www.sec.gov/litigation/admin/2013/34-68623.pdf
34-68623
Jan. 11, 2013
China Wesen Recycling Technology, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68622.pdf
34-68622
Jan. 11, 2013
IBroadband, Inc., et al.
http://www.sec.gov/litigation/admin/2013/ia-3532.pdf
IA-3532
Jan. 10, 2013
Kris Chellam
http://www.sec.gov/litigation/admin/2013/34-68614.pdf
34-68614
Jan. 10, 2013
HearMe, et al.
http://www.sec.gov/litigation/admin/2013/34-68611.pdf
34-68611
Jan. 9, 2013
Jimmie Dean Jones, CPA
http://www.sec.gov/litigation/admin/2013/34-68605.pdf
34-68605
Jan. 9, 2013
John J. Aesoph, CPA, and Darren M. Bennett, CPA
http://www.sec.gov/litigation/admin/2013/34-68601.pdf
34-68601
Jan. 8, 2013
China North East Petroleum Holdings Limited
http://www.sec.gov/litigation/admin/2013/34-68600.pdf
34-68600
Jan. 8, 2013
UBS Financial Services Inc. of Puerto Rico
http://www.sec.gov/litigation/admin/2013/34-68599.pdf
34-68599
Jan. 8, 2013
William J. Reilly, Esq.
http://www.sec.gov/litigation/admin/2013/34-68598.pdf
34-68598
Jan. 7, 2013
HI DEF Enterprises, Inc., Hi-Rise Recycling Systems, Inc., Highline Industries, Inc., Hirel Holdings, Inc., Holiday RV Superstores, Inc. (n/k/a FreedomRoads RV, Inc.), Hooker Enterprises, Inc., Hospital Staffing Services, Inc., and Hotelworks.com, Inc.
http://www.sec.gov/litigation/admin/2013/34-68597.pdf
34-68597
Jan. 7, 2013
Henley Healthcare, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68593.pdf
34-68593
Jan. 7, 2013
Credit Suisse Securities (USA) LLC, et al.
http://www.sec.gov/litigation/admin/2013/34-68592.pdf
34-68592
Jan. 4, 2013
Stephen G. Bennett
http://www.sec.gov/litigation/admin/2013/34-68591.pdf
34-68591
Jan. 4, 2013
Kenneth J. Abod, CPA
http://www.sec.gov/litigation/admin/2013/34-68586.pdf
34-68586
Jan. 4, 2013
Gary J. Martel
http://www.sec.gov/litigation/admin/2013/34-68567.pdf
34-68567
Jan. 3, 2013
Encore Clean Energy, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68566.pdf
34-68566
Jan. 3, 2013
China Voice Holding Corp., et al.
http://www.sec.gov/litigation/admin/2013/34-68565.pdf
34-68565
Jan. 3, 2013
DIAS Holding, Inc., et al.
http://www.sec.gov/litigation/admin/2013/34-68564.pdf
34-68564
Jan. 3, 2013
HealthSport, Inc., et al.