Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

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Date Sort ascending	Respondents
Dec. 30, 2010	Ralph W. Thompson, Jr. Release No. 34-63622 File Number: 3-14116
Dec. 29, 2010	Enrique F. Villalba Release No. IA-3130 File Number: 3-14173
Dec. 23, 2010	Barry Schwartz Release No. 34-63608 File Number: 3-14102
Dec. 23, 2010	Aaron Riddle Release No. IA-3127 File Number: 3-14172
Dec. 23, 2010	Edward Tamimi Release No. 34-63605 File Number: 3-14098
Dec. 22, 2010	James M. Schneider, CPA Release No. 34-63600, AAER-3222 File Number: 3-14171
Dec. 21, 2010	EC Power, Inc., Electro Energy, Inc., EMB Corporation (n/k/a AMTGroup, Inc.), Encore Computer Corp., Enhance Life Sciences, Inc.,e.Nvizion Communications Group Ltd., and Exchange Applications, Inc. Release No. 34-63583 File Number: 3-14168
Dec. 21, 2010	American Pegasus LDG, LLC, American Pegasus Investment Management,Inc., Benjamin P. Chui, Charles E. Hall, Jr., and Triffany Mok Release No. 33-9167 File Number: 3-14169
Dec. 21, 2010	Caibs International, Inc. (n/k/a Caibs International Holding, Inc.), Caliber Learning Network, Inc. (n/k/a CLN, Inc.), Cartoon Acquisition,Inc., Cel Communications, Inc., Cellular Telephone Enterprises, Inc.,and Centrum Industries, Inc. Release No. 34-63586 File Number: 3-14170
Dec. 20, 2010	Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA Release No. 33-9166, AAER-3221 File Number: 3-14167
Dec. 20, 2010	Milan Belans (CPA) Release No. 34-63578, AAER-3220 File Number: 3-14166
Dec. 17, 2010	Daniel Spitzer Release No. IA-3124 File Number: 3-14165
Dec. 17, 2010	C-3D Digital, Inc., California Clean Air, Inc., CEC Properties,Inc., Censtor Corp., The Centennial Group, Inc., Century Technologies,Inc., and Chief Consolidated Mining Co. Release No. 34-63570 File Number: 3-14164
Dec. 17, 2010	Banc of America Securities LLC Release No. 34-63571 File Number: 3-12591
Dec. 16, 2010	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, and Mark W. Wells Carol Fox Foelak, Administrative Law Judge Release No. 34-63563 File Number: 3-13532
Dec. 16, 2010	Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA Release No. 34-63565 File Number: 3-11377
Dec. 16, 2010	Alvin L. Dahl, CPA Release No. 34-63560, AAER-3218 File Number: 3-13150
Dec. 14, 2010	MMR Investment Bankers, LLC (d/b/a MMR, Inc.), William G. Martin,Jr., Eugene R. Rankin, John A. Hubert, and Aaron D. Fimreite Release No. 33-9163
Dec. 14, 2010	John W. Lawton Brenda P. Murray, Chief Administrative Law Judge Release No. IA-3123 File Number: 3-14162
Dec. 10, 2010	Gordon A. Driver Robert G. Mahony, Administrative Law Judge Release No. 34-63529 File Number: 3-14161
Dec. 10, 2010	Golden Goose Resources, Inc. (f/k/a Muscocho Explorations, Ltd.) Release No. 34-63516 File Number: 3-14159
Dec. 10, 2010	PA Fund Management, LLC, PEA Capital LLC, and PA Distributors LLC Release No. 34-63518 See Also: Final Plan of Distribution File Number: 3-11645
Dec. 10, 2010	Steven Byers Release No. 34-63528 File Number: 3-14160
Dec. 9, 2010	Kevin W. Quinn Release No. 34-63511
Dec. 9, 2010	Steven L. Rattner Release No. 34-63478 File Number: 3-14158
Dec. 9, 2010	Jefferies and Co., Inc. Release No. 34-63510 File Number: 3-12495
Dec. 8, 2010	Ministor Peripherals International Ltd., Modatech Systems, Inc.,Modena 5, Inc., Modena 6, Inc., Modern Times Group MTG, Inc., MonarchMedia and Entertainment Group, Inc., The Murdock Group CareerSatisfaction Corp. (n/k/a The Murdock Group Holding Corp.),Mustang.com, Inc., MycoBiotech Ltd., MyPlan USA, Inc., and MyTurn.com,Inc. Release No. 34-63474 File Number: 3-14156
Dec. 8, 2010	Andain, Inc., Aquest Minerals Corp. (n/k/a Anderson Energy Ltd.),Ariel Resources, Ltd., Asensia, Inc., ATG, Inc., Audre RecognitionSystems, Inc. (a/k/a eXtr@act, Inc.), Axis.Com, Inc., and AztekTechnologies, Inc. (n/k/a Aztek Resource Development, Inc.) Release No. 34-63458 File Number: 3-14087
Dec. 8, 2010	Bryan S. Rogers Release No. 34-63477 File Number: 3-14157
Dec. 8, 2010	Speednet, Inc., Springfield Acquisitions Corp., Stemcell GlobalResearch, Inc., Sutton Resources Ltd., and System Software Associates,Inc. Release No. 34-63459 File Number: 3-14136
Dec. 8, 2010	Gartmore Investment Limited Release No. 34-63460 File Number: 3-14154
Dec. 8, 2010	Paul R. Beckwith (CPA) Release No. 34-63473, AAER-3216 File Number: 3-14155
Dec. 8, 2010	Andain, Inc., Aquest Minerals Corp. (n/k/a Anderson Energy Ltd.),Ariel Resources, Ltd., Asensia, Inc., ATG, Inc., Audre RecognitionSystems, Inc. (a/k/a eXtr@act, Inc.), Axis.Com, Inc., and AztekTechnologies, Inc. (n/k/a Aztek Resource Development, Inc.) Release No. 34-63457 File Number: 3-14087
Dec. 7, 2010	Gerson Asset Management, Inc. and Seth Gerson Release No. 34-63449 File Number: 3-12121
Dec. 7, 2010	Douglas Lee Campbell Release No. 34-63450 File Number: 3-14152
Dec. 7, 2010	Banc of America Securities LLC Release No. 34-63451 File Number: 3-14153
Dec. 7, 2010	Edentify, Inc., Embryo Development Corp., Enesco Group, Inc.,Entertainment Is Us, Inc., Entropin, Inc., Epicus Communications Group,Inc., Epixtar Corp., and Evans, Inc. (n/k/a Fur Company A) Release No. 34-63446 File Number: 3-14118
Dec. 6, 2010	Tabatha V, Inc., Tagalder Global Investment, Inc., and TechnicalEnvironment Solutions, Inc. Release No. 34-63433 File Number: 3-14126
Dec. 6, 2010	Apex Capital Group, Inc., Applied Carbon Technology, Inc. (n/k/aMerchant Capital Group, Inc.), Ardeo PLC, Asia Fiber Holdings Ltd., andAtlas Consolidated Mining & Development Corp. Release No. 34-63438 File Number: 3-14151
Dec. 6, 2010	Millennium Partners, L.P. Millennium Management, L.L.C. Millennium International Management, L.L.C. Englander, Israel Feeney, Terence Stone, Fred Pillai, Kovan, Steven B. Markovitz Release No. 34-63445 File Number: 3-12116, 3-11292
Dec. 3, 2010	Enclaves Group, Inc., Energytec, Inc., Entrada Networks, Inc., EpicFinancial Corp., Equisure, Inc., and Equus Gaming Co. Release No. 34-63421 File Number: 3-14119
Dec. 3, 2010	Evergreen Investment Management Company, LLC, Evergreen InvestmentServices, Inc., Evergreen Service Company, LLC and Wachovia Securities,LLC Release No. 34-63424 File Number: 3-12805
Dec. 3, 2010	Springfield Co., Inc., SRR Mercantile Inc., Standard Mining Corp.,Stewart Foods, Inc., Strathclair Ventures, Ltd. (n/k/a SilverCrestMines, Inc.), Sunlite, Inc., Syndicated Food Service International,Inc., and Syspower Multimedia Industries, Inc. Release No. 34-63429 File Number: 3-14150
Dec. 2, 2010	Zurich Capital Markets, Inc. Release No. 34-63420 File Number: 3-12628
Dec. 2, 2010	Animatrix, Inc., Apex Resorts Corp. (n/k/a West Hawk DevelopmentCorp.), Apollo Capital Group, Inc., Artibles, Inc., Asche Transportation Services, Inc., Asia Supernet Corp., Assembly and ManufacturingSystems, Inc., and Azul Holdings, Inc. Release No. 34-63408 File Number: 3-14108
Dec. 2, 2010	Colormax Technologies, Inc. Release No. 34-63409 File Number: 3-14148
Dec. 2, 2010	Payphone Wind Down Corp. Release No. 34-63410 File Number: 3-14149
Dec. 1, 2010	Neil Godbole Release No. IA-3117 File Number: 3-14147
Dec. 1, 2010	Enclaves Group, Inc., Energytec, Inc., Entrada Networks, Inc., EpicFinancial Corp., Equisure, Inc., and Equus Gaming Co. Release No. 34-63401 File Number: 3-14119
Dec. 1, 2010	Janus Capital Management LLC Release No. 34-63407 File Number: 3-11590
Nov. 30, 2010	Milowe Allen Brost, a/k/a Milo Brost, a/k/a M.B. Gonne, a/k/a Phillip K. Collins Release No. 34-63392 File Number: 3-14144
Nov. 30, 2010	Morgan Stanley & Co. Incorporated Release No. 34-63399 File Number: 3-12631
Nov. 30, 2010	Priscilla G. Sabado Release No. 33-9160 File Number: 3-14145
Nov. 29, 2010	Mid-American Waste Systems, Inc., Midwest Energy Companies, Inc.,Mimbres Valley Farmers Association, Inc., MRL, Inc., MTX International,Inc., Multiple Dimensional Laser Technologies, Inc., and MuseTechnologies, Inc. Release No. 34-63380 File Number: 3-14109
Nov. 29, 2010	Dennis H. Johnston, Esq. Release No. 34-63384 File Number: 3-14143
Nov. 26, 2010	Nildo Verdeja Release No. 34-63379 File Number: 3-14142
Nov. 26, 2010	Leonard Maceiras Jr. Release No. 34-63377 File Number: 3-14140
Nov. 26, 2010	Iliana Maceiras Release No. 34-63378 File Number: 3-14141
Nov. 24, 2010	John Briner Release No. 34-63371 File Number: 3-14138
Nov. 24, 2010	Spendthrift Farm, Inc., Sport of Kings, Inc., Sportsend, Inc.,Stacey's Buffet, Inc., Star Partners, Ltd., Sterling Equity Holdings,Inc., Sterling Financial Corp., and Storage @ccess Technologies, Inc.,(n/k/a Bluepoint Data, Inc.) Release No. 34-63369 File Number: 3-14101
Nov. 24, 2010	Electrosound Group, Inc., Elektryon, Evolutions, Inc.,Excelsior-Henderson Motorcycle Manufacturing Co., Executive NationalDevelopment Corp., and Ezcony Interamerica, Inc. Release No. 34-63370 File Number: 3-14092
Nov. 24, 2010	Hector Gallardo, Michael Zurita, and Orion Trading, LLC Release No. 34-63374 File Number: 3-14139
Nov. 23, 2010	Speednet, Inc., Springfield Acquisitions Corp., Stemcell GlobalResearch, Inc., Sutton Resources Ltd., and System Software Associates,Inc. Release No. 34-63362 File Number: 3-14136
Nov. 23, 2010	Robert M. Jaffe Release No. 34-63365 File Number: 3-14137
Nov. 23, 2010	Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC Release No. 34-63360 File Number: 3-11818
Nov. 22, 2010	Catherine Rozanski (CPA) Release No. 34-63356, AAER-3214 File Number: 3-14134
Nov. 22, 2010	New Castle Funds LLC Release No. 34-63358 File Number: 3-14135
Nov. 22, 2010	Emil C. Busse, Jr. Release No. 33-9159
Nov. 22, 2010	F&S Asset Management Group, Inc. Release No. IA-3112 File Number: 3-14131
Nov. 22, 2010	George Wesley Harris Release No. 34-63353 File Number: 3-14090
Nov. 22, 2010	World Group Securities, Inc. Release No. 34-63354 File Number: 3-14132
Nov. 19, 2010	Electrosound Group, Inc., Elektryon, Evolutions, Inc.,Excelsior-Henderson Motorcycle Manufacturing Co., Executive NationalDevelopment Corp., and Ezcony Interamerica, Inc. Release No. 34-63344 File Number: 3-14092
Nov. 19, 2010	Conal C. Doyle Release No. 33-9157 File Number: 3-14129
Nov. 19, 2010	Speedlane.com, Inc., Spintek Gaming Technologies, Inc., StandardBrands Paint Co., Star Casinos International, Inc., Stardrive Solutions, Inc., Sterling Media Capital Group, Inc. (n/k/a Crystal PropertiesHoldings, Inc.), Stormedia, Inc., Strategic Partners, Inc., STSLiquidating Corp.(f/k/a Sym-Tek Systems, Inc.), and SymplexCommunications Corp. Release No. 34-63343 File Number: 3-14100
Nov. 17, 2010	The Buckingham Research Group, Inc. Release No. 34-63323
Nov. 17, 2010	Tabatha V, Inc., Tagalder Global Investment, Inc., and TechnicalEnvironment Solutions, Inc. Release No. 34-63326 File Number: 3-14126
Nov. 17, 2010	VIPC Communications, Inc. and Vizario, Inc. Release No. 34-63327 File Number: 3-14127
Nov. 17, 2010	Walter W. Knitter Release No. 34-63328 File Number: 3-14128
Nov. 16, 2010	Thrasher Capital Management, LLC and James Perkins Release No. IA-3108 File Number: 3-14124
Nov. 15, 2010	Algird M. Norkus Release No. 34-63315 File Number: 3-14123
Nov. 10, 2010	Cape Systems Group, Inc., Caribbean Cigar Company, Casual MaleCorp., Cell Power Technologies, Inc., Cellmetrix, Inc. (f/k/a BCAMInternational, Inc.), Cellular Products, Inc. (n/k/a 872 Main StreetCorp.), Ceptor Corp., CGS Scientific Corp., and Ciprico, Inc. Release No. 34-63298 File Number: 3-14091
Nov. 10, 2010	Won Sok Lee and Yung Bae Kim Release No. 34-63302
Nov. 10, 2010	AOB Holdings, Inc., Applied Data Communications, Inc., AppointTechnologies, Inc., Aqua Care Systems, Inc., AquaSciences International, Inc., and Arix Corp. Release No. 34-63294 File Number: 3-14086
Nov. 10, 2010	Won Sok Lee and Yung Bae Kim Release No. 34-63303
Nov. 10, 2010	Edentify, Inc., Embryo Development Corp., Enesco Group, Inc.,Entertainment Is Us, Inc., Entropin, Inc., Epicus Communications Group,Inc., Epixtar Corp., and Evans, Inc. (n/k/a Fur Company A) Release No. 34-63296 File Number: 3-14118
Nov. 10, 2010	Robert J. Sucarato Release No. IA-3104 File Number: 3-14120
Nov. 10, 2010	Enclaves Group, Inc., Energytec, Inc., Entrada Networks, Inc., EpicFinancial Corp., Equisure, Inc., and Equus Gaming Co. Release No. 34-63297 File Number: 3-14119
Nov. 9, 2010	Robert L. Duncan Release No. IA-3103 File Number: 3-14115
Nov. 9, 2010	Damyon Mouzon Release No. 34-63280 File Number: 3-14029
Nov. 9, 2010	Gary S. Becker and Gregory S. Schaefer Release No. 34-63281 File Number: 3-13976
Nov. 9, 2010	Jose O. Vianna, Jr. Release No. 34-63289 File Number: 3-14117
Nov. 9, 2010	Huntington Bancshares, Inc.; Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA Release No. 34-63290 File Number: 3-11940
Nov. 9, 2010	Ralph W. Thompson, Jr. Release No. 34-63279 File Number: 3-14116
Nov. 8, 2010	Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson Release No. 34-63269 See Also: Proposed Plan of Distrbution File Number: 3-13675
Nov. 5, 2010	Robert W. Davis (CPA) Release No. 34-63264, AAER-3210 File Number: 3-14113
Nov. 5, 2010	Leslie L. Jackson, CPA Release No. 34-63265, AAER-3211 File Number: 3-14114
Nov. 5, 2010	Victor Selenow Release No. 34-63261 File Number: 3-14110
Nov. 5, 2010	Nicholas A. R. Dunning, ACA Release No. 34-63262, AAER-3208 File Number: 3-3208
Nov. 5, 2010	Randall D. Imhoff (CPA) Release No. 34-63263, AAER-3209 File Number: 3-14112
Nov. 4, 2010	Mid-American Waste Systems, Inc., Midwest Energy Companies, Inc.,Mimbres Valley Farmers Association, Inc., MRL, Inc., MTX International,Inc., Multiple Dimensional Laser Technologies, Inc., and MuseTechnologies, Inc. Release No. 34-63249 File Number: 3-14109

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