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
Grant Ivan Grieve a/k/a Gad Grieve
Release No. IA-3061
File Number: 3-13799
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
Lambros D. Ballas
Release No. 34-62581
File Number: 3-13981
Verint Systems Inc.
Release No. 34-62583
File Number: 3-13802
Life Resources, Inc., LifeStar Corp., Lifeworks Holdings, Inc.,Listo, Inc., Log Point Technologies, Inc., LRNN Corp., and LysanderMinerals Corp. (f/k/a Lysander Gold Corp.)
Release No. 34-62576
File Number: 3-13917
Spencer International Advisors, Inc. and Scott A. Spencer, CPA
Release No. IA-3059
File Number: 3-13980
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. 34-62570
File Number: 3-13946
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. 34-62571
File Number: 3-13966
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. 34-62574
File Number: 3-13978
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. 34-62559
File Number: 3-13943
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. 34-62560
File Number: 3-13946
Gary S. Becker and Gregory S. Schaefer
Release No. 34-62561
File Number: 3-13976
Kenneth J. Abod, CPA
Release No. 34-62563, AAER-3158
File Number: 3-13977
Aris Industries, Inc., Bene Io, Inc., China Mineral AcquisitionCorp.,Commodore Separation Technologies, Inc., Food IntegratedTechnologies, Inc., Gap Instrument Corp., Skysat Communications NetworkCorp., URT Industries, Inc., and Vicon Fiber Optics Corp.
Release No. 34-62558
File Number: 3-13950
Eric R. Majors Robert G. Mahony, Administrative Law Judge
Release No. IA-3056
File Number: 3-13975
Aris Industries, Inc., Bene Io, Inc., China Mineral AcquisitionCorp.,Commodore Separation Technologies, Inc., Food IntegratedTechnologies, Inc., Gap Instrument Corp., Skysat Communications NetworkCorp., URT Industries, Inc., and Vicon Fiber Optics Corp.
Release No. 34-62545
File Number: 3-13950
Aphton Corp., Apollo International of Delaware, Inc., Applewoods,Inc., Aquagenix, Inc., Asconi Corp., Avalon Borden Companies, Inc.,Aviation Holdings Group, Inc., and Azur Holdings, Inc.
Release No. 34-62546
File Number: 3-13942
Life Resources, Inc., LifeStar Corp., Lifeworks Holdings, Inc.,Listo, Inc., Log Point Technologies, Inc., LRNN Corp., and LysanderMinerals Corp. (f/k/a Lysander Gold Corp.)
Release No. 34-62547
File Number: 3-13917
Andrew D. Petrofsky, CPA
Release No. 34-62548, AAER-3155
File Number: 3-13973
William B. Blount
Release No. 34-62549
File Number: 3-13974
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.
Release No. 34-62551
File Number: 3-12400
Image Innovations Holdings, Inc.
Release No. 34-62535
File Number: 3-13969
Diamond Equities, Inc.
Release No. 34-62536
File Number: 3-13970
Avalon Capital Holdings, Inc.
Release No. 34-62537
File Number: 3-13971
Joseph Milanowski
Release No. 34-62538
File Number: 3-13914
Federated Investment Management Company, Federated Securities Corp.and Federated Shareholder Services Company
Release No. 34-62542
File Number: 3-12111
James R. Halstead
Release No. IA-3054
File Number: 3-13972
SSE Telecom, Inc., Stratesec, Inc., Superfly Advertising, Inc.(f/k/a Morlex, Inc.), SVI Media, Inc., Symons International Group, Inc., Synergy Renewable Resources, Inc., and Syntech International, Inc.(n/k/a Avalon Technology Group, Inc.)
Release No. 34-62532
File Number: 3-13945
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. 34-62525
Martin T. Wegener
Release No. 34-62529
File Number: 3-13968
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. 34-62511
File Number: 3-13946
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. 34-62510
File Number: 3-13940
Micro Laboratories, Inc.
Release No. 34-62492
File Number: 3-13937
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. 34-62494
File Number: 3-13966
The Colonial Bancgroup, Inc. Brenda P. Murray, Chief Administrative Law Judge
Release No. 34-62497
File Number: 3-13967
BISYS Fund Services, Inc.
Release No. 34-62498
File Number: 3-12432
L. Rex Andersen, CPA Carol Fox Foelak, Administrative Law Judge
Release No. 34-62499, AAER-3153
File Number: 3-13935
John F. Kendrick
Release No. 34-62500
File Number: 3-13830
Fineline Holdings, Inc.
Release No. 34-62484
File Number: 3-13963
Matthew C. Gless
Release No. 34-62486, AAER-3152
File Number: 3-13964
Gary Maddux
Release No. 34-62487
File Number: 3-13965
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. 34-62481
File Number: 3-13943
Ephraim Fields
Release No. 33-9127, AAER-3151
File Number: 3-13962
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. 34-62469
File Number: 3-13940
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. 34-62470
File Number: 3-13946
Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato
Release No. 34-62475
File Number: 3-11498
Miracor Diagnostics, Inc., Monaco Finance, Inc., MPEL Holdings Corp. (f/k/a Computer Transceiver Systems, Inc., MR3 Systems, Inc., andMutual Risk Management, Ltd.
Release No. 34-62458
File Number: 3-13921
Brien Santarlas, Esq.
Release No. 34-62460
File Number: 3-13958
Ilse Cappel, CPA
Release No. 34-62465, AAER-3150
File Number: 3-13959
Barry M. Kornfeld
Release No. 34-62466
File Number: 3-13960
Philip W. Milton
Release No. 34-62467
File Number: 3-13961
Dennis Lee Keating II
Release No. 34-62456
File Number: 3-13957
BVR Technologies Ltd. (n/k/a Technoprises Ltd.), Crystal GraphiteCorp., Devine Entertainment Corp., GEE TEN Ventures, Inc., NationalConstruction, Inc. (n/k/a E.G. Capital, Inc.), SHEP Technologies, Inc.,and WHEREVER.Net Holding Corp
Release No. 34-62439
File Number: 3-13892
Aaron Donald Vallett
Release No. 34-62440
File Number: 3-13954
Gary R. Headding
Release No. 34-62446
File Number: 3-13955
Appaloosa Management L.P.
Release No. 34-62447
File Number: 3-13956
Stephen Michael Alexander
Release No. IA-3044
File Number: 3-13953
Broadengate Systems, Inc. (n/k/a Otter Lake Resources, Inc.)
Release No. 34-62426
File Number: 3-13902
Qais R. Bhavnagari
Release No. 34-62438
File Number: 3-13846
Stephen Hozie
Release No. 34-62401, AAER-3148
File Number: 3-13952
Aris Industries, Inc., Bene Io, Inc., China Mineral AcquisitionCorp.,Commodore Separation Technologies, Inc., Food IntegratedTechnologies, Inc., Gap Instrument Corp., Skysat Communications NetworkCorp., URT Industries, Inc., and Vicon Fiber Optics Corp.
Release No. 34-62388
File Number: 3-13950
David D. Hepworth
Release No. 34-62390
File Number: 3-13951
Fremont Investment Advisors, Inc.
Release No. 34-62381
See Also: Final Plan of Distribution
Bruce S. Frank, Esq.
Release No. 34-62383
File Number: 3-13949
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. 34-62375
File Number: 3-13888
Fei-Fei Catherine Fang, CPA
Release No. 34-62372, AAER-3146
File Number: 3-13948
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. 34-62360
File Number: 3-13881
SSE Telecom, Inc., Stratesec, Inc., Superfly Advertising, Inc.(f/k/a Morlex, Inc.), SVI Media, Inc., Symons International Group, Inc., Synergy Renewable Resources, Inc., and Syntech International, Inc.(n/k/a Avalon Technology Group, Inc.)
Release No. 34-62362
File Number: 3-13945
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. 34-62364
File Number: 3-13946
BVR Technologies Ltd. (n/k/a Technoprises Ltd.), Crystal GraphiteCorp., Devine Entertainment Corp., GEE TEN Ventures, Inc., NationalConstruction, Inc. (n/k/a E.G. Capital, Inc.), SHEP Technologies, Inc.,and WHEREVER.Net Holding Corp
Release No. 34-62365
File Number: 3-13892
Phillip Windom Offill, Jr., Esq.
Release No. 34-62367
File Number: 3-13947
Alpha Resources, Inc., Amber’s Stores, Inc., American Biomed, Inc.,American Completion Program 1983-3, and Amtronics Enterprises, Ltd.
Release No. 34-62345
File Number: 3-13922
Miracor Diagnostics, Inc., Monaco Finance, Inc., MPEL Holdings Corp. (f/k/a Computer Transceiver Systems, Inc., MR3 Systems, Inc., andMutual Risk Management, Ltd.
Release No. 34-62346
File Number: 3-13921
Julian T. Tzolov
Release No. 34-62351
File Number: 3-13944
U.S. Biomedical Corp. (f/k/a United Textiles & Toys, Inc.), U.S. Environmental Solutions, Inc. (n/k/a EnviroResolutions, Inc.), USABridge Construction of N.Y., Inc., USA Broadband, Inc.,USA UraniumCorp., and Utopia Marketing, Inc. (n/k/a Daytonabrands, Inc.)
Release No. 34-62327
File Number: 3-13793
Arthur Nadel
Release No. IA-3039
File Number: 3-13853
China Technology Global Corp.
Release No. 34-62305
File Number: 3-13901
Advanced Materials Group, Inc.
Release No. 34-62306
File Number: 3-13941
Aphton Corp., Apollo International of Delaware, Inc., Applewoods,Inc., Aquagenix, Inc., Asconi Corp., Avalon Borden Companies, Inc.,Aviation Holdings Group, Inc., and Azur Holdings, Inc.
Release No. 34-62308
File Number: 3-13942
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. 34-62309
File Number: 3-13943
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. 34-62310
File Number: 3-13888
P&P Research Co., Ltd.
Release No. 34-62298
File Number: 3-13833
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. 34-62292
File Number: 3-13940
Micro Laboratories, Inc.
Release No. 34-62277
File Number: 3-13937
Diatect International Corporation
Release No. 34-62278
File Number: 3-13938
Ryan Nestor
Release No. 34-62279
File Number: 3-13939
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. 34-62275
File Number: 3-13888
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. 34-62253
File Number: 3-13881
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. 34-62254
File Number: 3-13881
Harry O. Nicodemus IV, CPA
Release No. 34-62260, AAER-3143
Sam P. Douglass and Anthony R. Moore
Release No. 34-62261
L. Rex Andersen, CPA
Release No. 34-62262, AAER-3144
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. 34-62264
File Number: 3-13532
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.
Release No. 34-62265
File Number: 3-12400
Melissa A. Mahler
Release No. 34-62267
File Number: 3-13936
Universal Property Development & Acquisition Corp.
Release No. 34-62245
File Number: 3-13883
V-GPO, Inc., Vertigo Theme Parks, Inc. (f/k/a Snap2 Corp.), Videolan Technologies, Inc., and Voicenet, Inc.
Release No. 34-62246
File Number: 3-13864
Pierce, Gordon Brent Newport Capital Corp. Jenirob Company Ltd.
Release No. 33-9125
File Number: 3-13927
Jay Lapine, Esq.
Release No. 34-62238
File Number: 3-13926
11601 to 11700 of 18316 items