Closed Litigated Administrative Proceedings
View the Open Litigated Administrative Proceedings page
| File Number | Respondents |
|---|---|
| 3-15015 | Bresner, Michael Calabro, Ralph Konner, Jason Koutsoubos, Dimitrios |
| 3-15017 | Savva, Nicholas S. Hunter Scott Financial, LLC |
| 3-15024 | Gerasimowicz, Walter V. Meditron Asset Management, LLC Meditron Management Group, LLC |
| 3-15024-rtv | Gerasimowicz, Walter V.; Meditron Asset Management, LLC; and Meditron Management Group, LLC |
| 3-15045 | Mura, David |
| 3-15046-rtv | Vallone, Robert, et al. |
| 3-15049 | Morrison, Neil M. M. |
| 3-15057 | Siris, Peter |
| 3-15059 | Brokaw, Edward S. |
| 3-15074-rtv | Bruhn, Lyman J. |
| 3-15076 | 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.) |
| 3-15116 | BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming, LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited |
| 3-15123-rtv | O'Dierno, Dominic |
| 3-15124 | Bandimere, David F. Young, John O. |
| 3-15130 | mPhase Technologies, Inc. |
| 3-15141 | Riad, Mohammed Swanson, Kevin Timothy |
| 3-15155 | Liskov, Jeffrey A. |
| 3-15168 | Aesoph, John J., CPA Bennett, Darren M., CPA |
| 3-15179 | Alexander, Linda Dianne |
| 3-15183 | Goldstein, Gregory Evan |
| 3-15211 | Lorenzo, Gregg C. Lorenzo, Francis V. Charles Vista, LLC |
| 3-15214 | Hesed Technology Co., Ltd. |
| 3-15215 | Tagliaferri, James S. |
| 3-15236 | Shea, Stephen |
| 3-15249 | Berkman, Craig d/b/a Ventures Trust LLC Kern, John B Face Off Acquisitions, LLC Face Off Management, LLC a/k/a Face Off Acquisitions Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust V LLC Ventures Trust VI LLC Ventures Trust Asset Fund LLC Ventures Trust Management LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Assensus Capital, LLC Assensus Capital Management, LLC |
| 3-15255 | John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC Jarkesy, George R., Jr. John Thomas Financial, Inc. Belesis, Anastasios "Tommy" |
| 3-15259 | CapWest Securities, Inc. |
| 3-15263 | ZPR Investment Management, Inc. Zavanelli, Max E. |
| 3-15271 | Scammell, Toby G. |
| 3-15285 | Whitman, Douglas F. |
| 3-15302 | Actavision Ventures, Inc. American Resources Group, Inc. Audioscience, Inc. Basset Enterprises, Inc. Cybertex Enterprises, Inc. (n/k/a Synvion Corp.) Duct Utility Construction & Technologies, Inc. |
| 3-15308 | Contorinis, Joseph |
| 3-15314-rtv | Cannon, Russell K. |
| 3-15317 | Bluestein, Frank |
| 3-15323 | Goyal, Sandeep |
| 3-15325 | Benda Pharmaceutical, Inc. China Shuangji Cement Ltd. |
| 3-15332-rtv | Constantin, Joshua; and Solomon, Brian |
| 3-15350 | The Application of Securities Industry and Financial Markets Association |
| 3-15351 | The Application of Securities Industry and Financial Markets Association |
| 3-15355 | Great Train Store Co. Greate Bay Casino Corp. Gulf Exploration Consultants, Inc. Gulfside Industries Ltd. (n/k/a Consolidated Gulfside Resources, Ltd) Gulftex Energy Corp. III to I Maritime Partners Cayman I, LP Lynn Two, Inc. |
| 3-15364 | The Application of Securities Industry and Financial Markets Association |
| 3-15380-rtv | Deal, Jon Harvey |
| 3-15382 | Cohen, Steven A. |
| 3-15386 | American Wenshen Steel Group, Inc. Case Financial, Inc. Global ePoint, Inc. iMedia International, Inc. |
| 3-15387 | Camelot Entertainment Group, Inc. Cavico Corp. Global 8 Environmental Technologies, Inc. GTC Telecom Corp. ICF Corporation New NRG, Inc. |
| 3-15389 | Duoyuan Printing, Inc. |
| 3-15394 | The Application of Securities Industry and Financial Markets Association |
| 3-15408 | Wilson, Joel I. |
| 3-15410 | GBS Com-Tech Corp. Gentia Software PLC Glengarry Holdings, Ltd. Global TeleSystems, Inc. Golden Health Holdings, Inc. Golden Vista International, Inc. Goolu, Inc. |
| 3-15413 | Hicks, Richard D. |