Administrative Proceedings

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. 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.

The list below provides links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, pursuant to delegated authority.

Administrative Proceedings RSS Feed
Date Respondents
KMJ Corbin & Company, LLP, Kendall G. Merkley, CPA, and Anthony J. Price, CPA
Release No. 34-62899, AAER-3185
File Number: 3-14044
David N. Kenneally, CPA
Release No. 34-62888, AAER-3183
File Number: 3-14040
Patti M. Dodge, CPA
Release No. 34-62889, AAER-3184
File Number: 3-14041
Brad A. Morrice, Esq.
Release No. 34-62890
File Number: 3-14042
Steven W. Salutric
Release No. IA-3082
File Number: 3-13996
UB&T Financial Services Corp., United Community Holdings, Inc.,United Homes, Inc., United Magazine Co., and United Shields Corp.
Release No. 34-62871
File Number: 3-13990
Channel America Television Network, Inc., EquiMed, Inc., KoreHoldings, Inc., Robotic Vision Systems, Inc. (n/k/a Acuity Cimatrix,Inc.), Security Investments Group, Inc., Shared Technologies Cellular,Inc., Shimoda Resources Holdings, Inc., Tri Star Holdings, Inc. (f/k/aSilver Star Foods, Inc.), and V-One Corp.
Release No. 34-62872
File Number: 3-13946
Kenneth Bruce Baker
Release No. 34-62868
File Number: 3-14038
Gregory Vincent Cronin
Release No. IA-3080
File Number: 3-14039
Kevin J. Schott, CPA
Release No. 34-62865, AAER-3181
File Number: 3-14037
Neal R. Greenberg
Release No. 33-9139
File Number: 3-14033
America First Associates Corp., American Eco Corp., American Income 2 LP, American Income 3 LP, American International Assets, Inc., American Leasing Investors V-C, American Sensors, Inc., and Americana Hotels& Realty Corp.
Release No. 34-62852
File Number: 3-14032
Microwave Laboratories, Inc., Millionaire.com, Inc., MiradorDiversified Services, Inc., ML Direct, Inc., MLH Properties Ltd.Partnership, Modena 4, Inc., Motor Cars Auto Group, Inc., and MultiSolutions, Inc.
Release No. 34-62859
File Number: 3-14034
Team America, Inc., Teldar Financial, Inc. (n/k/a Harlem BusinessDevelopment Corp.), Telecomm Industries, Inc., TeleHubLink Corp., TerraFirma Technologies, Inc., Texon Energy Corp., Thatlook.com, Inc., andTHC Communications, Inc.
Release No. 34-62860
File Number: 3-14035
The Tag Group, Inc., T.C.B. Enterprises, Inc., TechnologyInternational, Ltd., Telelink International Corp., TeletimerInternational, Inc., Telmed, Inc., Texas American Resources, Inc., andTexas Equipment Corp.
Release No. 34-62861
File Number: 3-14036
Jason Hertz
Release No. 34-62862
File Number: 3-13893
Edward M. Denigris
Release No. 34-62844
File Number: 3-14031
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.
Release No. 34-62848
File Number: 3-12400
Atchison Casting Corp. (n/k/a Bradken-Atchison/St. Joseph, Inc.),CityFed Financial Corp., Divine, Inc. (n/k/a Enivid, Inc.), GenesisWorldwide, Inc., Hampton Consulting Corp., and Jake's PizzaInternational, Inc.
Release No. 34-62839
File Number: 3-14005
Craig Kellerman
Release No. 34-62840
File Number: 3-14030
LACE Financial Corp. and Barron Putnam
Release No. 34-62834
File Number: 3-14028
Damyon Mouzon
Release No. 34-62835
File Number: 3-14029
Federated Investment Management Company, Federated Securities Corp.and Federated Shareholder Services Company
Release No. 34-62836
File Number: 3-12111
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
Release No. 34-62837
File Number: 3-13675
Villa Pasta, Inc., VIP Global Capital, Inc., Virtual World ofSports, Inc. (f/k/a Accord Ventures, Inc.), Viva Gaming & Resorts,Inc., VJG4, Inc., Voice IT Worldwide, Inc. The Voyager Group, Inc., andVu-Data Corp.
Release No. 34-62812
File Number: 3-14027
American Bullion Minerals, Ltd., American Industries Ltd., AmericanResource Corp., American Transportation Television Network, Inc.,Amerimmune Pharmaceuticals, Inc., and Anaconda Venture Corp.
Release No. 34-62807
File Number: 3-14003
Geotec, Inc., Innopet Brands Corp., Marbledge Group, Inc. (n/k/a ARGrowth Finance Corp.), Phlo Corp., Pliant Systems, Inc., SoutheastBanking Corp., TNX Television Holdings, Inc., and Westpoint Stevens,Inc.
Release No. 34-62808
File Number: 3-13999
Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh
Release No. 34-62809
See Also: Proposed Plan of Distribution
File Number: 3-11793In
Southwest Securities, Inc.
Release No. 34-62810
File Number: 3-11793
Pinnacle Capital Markets LLC and Michael A. Paciorek
Release No. 34-62811
File Number: 3-14026
American Bullion Minerals, Ltd., American Industries Ltd., AmericanResource Corp., American Transportation Television Network, Inc.,Amerimmune Pharmaceuticals, Inc., and Anaconda Venture Corp.
Release No. 34-62800
File Number: 3-14003
David V. Siegel
Release No. 34-62803
File Number: 3-13787
Gabelli Funds LLC
Release No. 34-62806
File Number: 3-13019
UB&T Financial Services Corp., United Community Holdings, Inc.,United Homes, Inc., United Magazine Co., and United Shields Corp.
Release No. 34-62789
File Number: 3-13990
T&W Financial Corp., Talger Management, Inc., TCom VenturesCorp. (f/k/a Telecom Wireless Corp.), TEQ-1 Corp., Tesseract Group,Inc., TexMont, Inc., Thunderbird Mining, Milling & Chemical Corp.,and TK Originals, Inc.
Release No. 34-62790
File Number: 3-13982
Atchison Casting Corp. (n/k/a Bradken-Atchison/St. Joseph, Inc.),CityFed Financial Corp., Divine, Inc. (n/k/a Enivid, Inc.), GenesisWorldwide, Inc., Hampton Consulting Corp., and Jake's PizzaInternational, Inc.
Release No. 34-62778
File Number: 3-14005
Geotec, Inc., Innopet Brands Corp., Marbledge Group, Inc. (n/k/a ARGrowth Finance Corp.), Phlo Corp., Pliant Systems, Inc., SoutheastBanking Corp., TNX Television Holdings, Inc., and Westpoint Stevens,Inc.
Release No. 34-62779A
File Number: 3-13999
Geotec, Inc., Innopet Brands Corp., Marbledge Group, Inc. (n/k/a ARGrowth Finance Corp.), Phlo Corp., Pliant Systems, Inc., SoutheastBanking Corp., TNX Television Holdings, Inc., and Westpoint Stevens,Inc.
Release No. 34-62780
File Number: 3-13999
Applied Nanoscience, Inc., Aquacell Technologies, Inc. (n/k/aGreencore Technology, Inc.), Aquacell Water, Inc. (n/k/a BelievingToday, Inc.), Aquapro Corp., Asia Electronics Holding Co., Inc., AsianStar Development, Inc., Associated Golf Management, Inc., (n/k/a DeltaMining & Exploration Corp.) and Avasoft, Inc.
Release No. 34-62781
File Number: 3-13943
Apogee Technology, Inc.
Release No. 34-62786
File Number: 3-13862
James E. Gansman
Release No. 34-62769
File Number: 3-14023
Donna B. Murdoch
Release No. 34-62770
File Number: 3-14024
Stephen D. Chanslor (CPA)
Release No. 34-62773, AAER-3176
File Number: 3-14025
Thompson Consulting, Inc.
Release No. IA-3073
File Number: 3-14019
E. Sherman Warner
Release No. IA-3074
File Number: 3-14020
Kyle J. Thompson
Release No. IA-3075
File Number: 3-14021
David C. Condie
Release No. IA-3076
File Number: 3-14022
Stephen Burke, CPA
Release No. 34-62761, AAER-3175
File Number: 3-14018
Robert T. Harvey
Release No. IA-3072A
File Number: 3-14017
Fineline Holdings, Inc.
Release No. 34-62757
File Number: 3-13963
E-Sync Networks, Inc. (n/k/a ESNI, Inc.), EchoCath, Inc., EdisonBrothers Stores, Inc., Electronic Technology Group, Inc. (n/k/aSolutionNet International, Inc.), EMCEE Broadcast Products, Inc., ERDWaste Corp., Eurasia Gold Fields, Inc., European Micro Holdings, Inc.,and Exotech, Inc.
Release No. 34-62756
File Number: 3-13966
BCI Telecom Holding, Inc., Bonanza Explorations, Inc. (F/K/ACopperstone Resources Corp.) (N/K/A Bonanza Resources Corp.),Bonaventure Resources, Inc., British American Holdings, Ltd.,British-American Insurance Company, Ltd., BT Energy Corp., ButterfieldPreferred Growth Fund 83, and By George Holding Corp. (N/K/A AMRMeridian, Inc.)
Release No. 34-62747
Gregory Todd Froning
Release No. 34-62749
File Number: 3-14011
Bloomfield, Ronald S. Gorgia, Robert Labi, Victor Martin, John Earl, Sr. Miller, Eugene
Release No. 34-62750
File Number: 3-13871
L. Cyrus DeBlanc
Release No. 34-62751, AAER-3172
File Number: 3-14012
Matthew W. Hardey
Release No. 34-62752, AAER-3173
File Number: 3-14013
William H. Center
Release No. 34-62753
File Number: 3-13014
Universal Ceramics, Inc., Universal Equity Partners, Inc.,University Real Estate Fund 10, Ltd., University Real Estate Partnership V, Ursus Telecom Corp., U.S. Diagnostic, Inc., U.S. Mobile Services,Inc., USR Industries, Inc., and Utopia Trading, Inc.
Release No. 34-62741
File Number: 3-13978
AIM Advisors, Inc. and AIM Distributors, Inc.
Release No. 34-62746
Ezra C. Levy
Release No. IA-3069
File Number: 3-14010
State of New Jersey
Release No. 33-9135
File Number: 3-14009
J.P. Morgan Securities Inc.
Release No. 34-62738
See Also: Proposed Plan of Distribution
File Number: 3-13673In
Four Crystal Funding, Inc.
Release No. 34-62723
File Number: 3-14008
Gabelli Funds LLC
Release No. 34-62728
File Number: 3-13019
American Skandia Investment Services, Inc.
Release No. 34-62733
See Also: Final Distribution Plan
File Number: 3-13446
Applied Nanoscience, Inc., Aquacell Technologies, Inc. (n/k/aGreencore Technology, Inc.), Aquacell Water, Inc. (n/k/a BelievingToday, Inc.), Aquapro Corp., Asia Electronics Holding Co., Inc., AsianStar Development, Inc., Associated Golf Management, Inc., (n/k/a DeltaMining & Exploration Corp.) and Avasoft, Inc.
Release No. 34-62714
File Number: 3-13943
Paul Greenwood
Release No. 34-62720
File Number: 3-14007
Apogee Technology, Inc.
Release No. 34-62721
File Number: 3-13862
Alyn Corp., American Holding Investments, Inc., American Midland Corp., American Millennium Corp., American Pallet Leasing, Inc., American Stellar Energy, Inc. and Amwest Environmental Group, Inc. James T. Kelly, Administrative Law Judge
Release No. 34-62696
File Number: 3-13881
Atchison Casting Corp. (n/k/a Bradken-Atchison/St. Joseph, Inc.),CityFed Financial Corp., Divine, Inc. (n/k/a Enivid, Inc.), GenesisWorldwide, Inc., Hampton Consulting Corp., and Jake's PizzaInternational, Inc.
Release No. 34-62698
File Number: 3-14005
PanWorld Minerals International, Inc.
Release No. 34-62701
File Number: 3-14006
Commonwealth Equity Services, LLP d/b/a Commonwealth FinancialNetwork, Detwiler, Mitchell, Fenton & Graves, Inc., James X. McCarty, Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; and James X. McCarty
Release No. 34-62705
File Number: 3-12749, 3-12750, 3-12751
Richard Jonathan Blech
Release No. 34-62687
File Number: 3-14001
Robert Comiskey
Release No. 34-62689
File Number: 3-14002
American Bullion Minerals, Ltd., American Industries Ltd., AmericanResource Corp., American Transportation Television Network, Inc.,Amerimmune Pharmaceuticals, Inc., and Anaconda Venture Corp.
Release No. 34-62691
File Number: 3-14003
William Carson Arnold
Release No. 34-62693
File Number: 3-14004
Diatect International Corporation
Release No. 34-62672
File Number: 3-13938
Appiant Technologies, Inc., Cobalis Corp., Futurelink Corp., STM Wireless, Inc., Supermail International, Inc. (n/k/a PBHG, INC.), and Women First Healthcare, Inc. Carol Fox Foelak, Administrative Law Judge
Release No. 34-62674
File Number: 3-13998
Geotec, Inc., Innopet Brands Corp., Marbledge Group, Inc. (n/k/a ARGrowth Finance Corp.), Phlo Corp., Pliant Systems, Inc., SoutheastBanking Corp., TNX Television Holdings, Inc., and Westpoint Stevens,Inc.
Release No. 34-62676
File Number: 3-13999
Stanton B.J. Defreitas
Release No. 34-62677
File Number: 3-13923
Stephen J. Brace
Release No. 34-62679
File Number: 3-14000
Dohan + Company CPA, Steven H. Dohan, CPA, Nancy L. Brown, CPA, and Erez Bahar, CA Carol Fox Foelak, Administrative Law Judge
Release No. 34-62666, AAER-3171
File Number: 3-13997
Vikonics, Inc., Vision Ten, Inc., Vizacom, Inc., Voiceflash Networks, Inc. (d/b/a The Dataflash Corp.), VoiceIQ, Inc. (n/k/a Yoho Resources, Inc.), Voyus, Ltd., and VSI Holdings, Inc. Brenda P. Murray, Chief Administrative Law Judge
Release No. 34-62662
File Number: 3-13918
Navistar International Corporation, Daniel C. Ustian, Robert C.Lannert, Thomas M. Akers, Jr., James W. Mcintosh, James J. Stanaway,Ernest A. Stinsa, Michael J. Schultz
Release No. 33-9132, AAER-3165
File Number: 3-13994
Mark T. Schwetschenau
Release No. 34-62654, AAER-3166
File Number: 3-13995
American Energy Services, Inc., Dynacore Patent Litigation Trust,Earth Sciences, Inc., Empiric Energy, Inc., Future Carz, Inc., NBI,Inc., Noble Group Holdings, Inc. (f/k/a Leasing Solutions, Inc. and LeBon Table Brand Foods Corp.), Reliance Acceptance Group, Inc., and Vegas Equity International Corp.
Release No. 34-62652
File Number: 3-13940
Janus Capital Management LLC
Release No. IA-3065
File Number: 3-11590
Steven W. Salutric
Release No. IA-3066
File Number: 3-13996
American Energy Services, Inc., Dynacore Patent Litigation Trust,Earth Sciences, Inc., Empiric Energy, Inc., Future Carz, Inc., NBI,Inc., Noble Group Holdings, Inc. (f/k/a Leasing Solutions, Inc. and LeBon Table Brand Foods Corp.), Reliance Acceptance Group, Inc., and Vegas Equity International Corp.
Release No. 34-62633
File Number: 3-13940
Shauntel A. McCoy
Release No. 34-62634
File Number: 3-13991
Aamer Abdullah
Release No. 34-62635
File Number: 3-13992
Thomas P. Flanagan, CPA
Release No. 34-62636, AAER-3163
File Number: 3-13993
Applied Nanoscience, Inc., Aquacell Technologies, Inc. (n/k/aGreencore Technology, Inc.), Aquacell Water, Inc. (n/k/a BelievingToday, Inc.), Aquapro Corp., Asia Electronics Holding Co., Inc., AsianStar Development, Inc., Associated Golf Management, Inc., (n/k/a DeltaMining & Exploration Corp.) and Avasoft, Inc.
Release No. 34-62622
File Number: 3-13943
UB&T Financial Services Corp., United Community Holdings, Inc.,United Homes, Inc., United Magazine Co., and United Shields Corp.
Release No. 34-62627
File Number: 3-13990
John J. Coutris
Release No. 34-62611
File Number: 3-13987
Michael J. Coutris
Release No. 34-62612
File Number: 3-13988
J. Coutris Partners, LP
Release No. 34-62613
File Number: 3-13989
Eric S. Butler Robert G. Mahony, Administrative Law Judge
Release No. 34-62603
File Number: 3-13986
T&W Financial Corp., Talger Management, Inc., TCom VenturesCorp. (f/k/a Telecom Wireless Corp.), TEQ-1 Corp., Tesseract Group,Inc., TexMont, Inc., Thunderbird Mining, Milling & Chemical Corp.,and TK Originals, Inc.
Release No. 34-62586
File Number: 3-13982
Larry E. Hulse, CPA
Release No. 34-62589, AAER-3160
File Number: 3-13983
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