Administrative Proceedings

The links below direct you to the individual case pages for litigated administrative proceedings adjudicated by the Commission, including its consideration of appeals from initial decisions issued by administrative law judges or from SRO or PCAOB action. The case pages contain the Commission opinions and orders as well as significant filings in such matters. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

Below is a chronological list of 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. The orders and other issuances in litigated administrative proceedings below also may be found on the individual case pages linked on the Open Litigated Administrative Proceedings and Closed Litigated Administrative Proceedings pages, together with filings made in the proceedings. The issuances pertaining to distribution proceedings may also be found in the individual case charts on the Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds page.

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Date Sort descending	Respondents
July 2, 2018	KBR, Inc. Release No. 33-10516, 34-83578, AAER-3946 File Number: 3-18569
June 29, 2018	Alexander Capital, L.P. Release No. 34-83562 File Number: 3-18561
June 29, 2018	Philip A. Noto II Release No. 34-83563 File Number: 3-18562
June 29, 2018	Barry T. Eisenberg Release No. 34-83564 File Number: 3-18563
June 29, 2018	Cantor Fitzgerald & Co. Release No. 34-83565 File Number: 3-18560
June 29, 2018	Morgan Stanley Smith Barney LLC Release No. 34-83571, IA-4953 File Number: 3-18566
June 29, 2018	Bruce A. Hauptman and Grand Teton Capital Management, LLC Release No. IA-4950, IC-33143 See Also: Administrative Summary File Number: 3-18559
June 29, 2018	Aisling Capital LLC Release No. IA-4951 See Also: Administrative Summary File Number: 3-18564
June 29, 2018	THL Managers V, LLC and THL Managers VI, LLC Release No. IA-4952 File Number: 3-18565
June 29, 2018	Green Parts International, Inc. Integrated Environmental Technologies, Ltd. M2 Ngage Group Inc. (n/k/a Troika Media Group)(a/k/a Roomlinx Inc.) Urban Barns Foods, Inc. Release No. 34-83574 File Number: 3-18497
June 28, 2018	Bayes Capital, LLC Release No. 34-83556 File Number: 3-18558
June 28, 2018	Jon B. Schmidhammer Release No. 34-83552, IA-4949 File Number: 3-18557
June 25, 2018	Lorenzo, Gregg C. Lorenzo, Francis V. Charles Vista, LLC Release No. 34-83502 File Number: 3-15211
June 25, 2018	Derik J. Todd, et al. Release No. 34-83503 File Number: 3-17672
June 25, 2018	Wells Fargo Advisors, LLC Release No. 33-10511, 34-83508, IA-4947 File Number: 3-18556
June 22, 2018	Apex Fund Services (Us), Inc. Release No. 34-83496 File Number: 3-17300
June 22, 2018	Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan Release No. 34-83497 See Also: Distribution Plan File Number: 3-17791
June 20, 2018	FuelNation, Inc. 3D Total Solutions, Inc. Release No. 34-83487 File Number: 3-18551
June 20, 2018	Development Capital Group, Inc. SharkReach, Inc. Spiral Toys Inc. Worthington Energy, Inc. Release No. 34-83488 File Number: 3-18552
June 19, 2018	Pasquale Rubbo Release No. 34-83461 File Number: 3-18548
June 19, 2018	Radiant Oil & Gas, Inc. Tungsten Corp. Well Power, Inc. Release No. 34-83469 File Number: 3-18507
June 19, 2018	Escalera Resources Co. Force Minerals Corp. Release No. 34-83470 File Number: 3-18550
June 19, 2018	Canwealth Minerals Corp. Cubed, Inc. Eco Integrated Technologies, Inc. Enviro Cleanse, Inc. Release No. 34-83472 File Number: 3-18353
June 19, 2018	California Mines Corp. Cindisue Mining Corp. Dune Energy, Inc. Release No. 34-83473 File Number: 3-18360
June 19, 2018	Ronald A. Fossum Jr. Release No. 34-83434, IA-4943 File Number: 3-18543
June 19, 2018	Merrill Lynch, Pierce and Fenner & Smith Incorporated Release No. 33-10507, 34-83462, IA-4944 File Number: 3-18549
June 19, 2018	Nicholas Rubbo Release No. 34-83460 File Number: 3-18547
June 18, 2018	Addington, Bryan Lee Release No. 34-83459, IA-4942 File Number: 3-18545
June 14, 2018	MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA Release No. 34-83437 File Number: 3-17956
June 14, 2018	Devere USA, Inc. Release No. 34-83443 File Number: 3-18527
June 14, 2018	Joseph Mangiapane, Jr. Release No. 34-83448 File Number: 3-18544
June 14, 2018	William Jordan Release No. IA-4941 File Number: 3-18541
June 14, 2018	MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA Release No. 34-83433 File Number: 3-17956
June 14, 2018	RSM US LLP Release No. 34-83428, AAER-3943 See Also: Administrative Summary File Number: 3-18542
June 14, 2018	Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. Release No. 34-83436 See Also: Distribution Plan File Number: 3-17315
June 13, 2018	Eric Erb Release No. IA-4940 File Number: 3-18540
June 13, 2018	America Greener Technologies, Inc. MV Portfolios, Inc. Trycera Financial, Inc. Release No. 34-83427 File Number: 3-18490
June 12, 2018	Merrill Lynch, Pierce and Fenner & Smith Incorporated Release No. 34-83408 File Number: 3-18538
June 12, 2018	Solo International, Inc. Urban Hydroponics, Inc. Your Event, Inc. Release No. 34-83420 File Number: 3-18500
June 8, 2018	Nachman Aaron Troodler, Esq. Release No. 34-83399 File Number: 3-18536
June 8, 2018	Larry Werbel (Corrected) Release No. IA-4939 File Number: 3-18537
June 7, 2018	Halek, Jason A. Release No. 34-83394 File Number: 3-18534
June 7, 2018	Kessler, Richard W. Release No. IA-4938 File Number: 3-18535
June 6, 2018	Michael J. Mona, Jr. Release No. 34-83391, AAER-3942 File Number: 3-18533
June 5, 2018	Constant Contact, Inc. and Endurance International Group Holdings, Inc. Release No. 33-10504, 34-83377 See Also: Administrative Summary File Number: 3-18531
June 5, 2018	Gary W. Freeman Release No. 34-83382, IA-4935, IC-33116 File Number: 3-18532
June 4, 2018	Lyxor Asset Management, Inc. Release No. IA-4932 See Also: Administrative Summary File Number: 3-18526
June 4, 2018	Devere USA, Inc. Release No. IA-4933 File Number: 3-18527
June 4, 2018	Barbara A. Endres Release No. IA-4934 File Number: 3-18528
June 4, 2018	Middlecove Capital, LLC and Noah L. Myers Release No. 34-83364 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: 3-14993 File Number: 3-14993
June 4, 2018	Christopher C. Burtraw Release No. 34-83371, IA-4936 File Number: 3-18529
June 4, 2018	Fern Holdings Corp. Fortune Capital Financial Holding Corp. Gaming Entertainment International, Inc. Global Food Technologies, Inc. Release No. 34-83373 File Number: 3-18530
June 4, 2018	Altona Resources, Inc. APEX 10, Inc. APEX 11, Inc. Clone Algo, Inc. Release No. 34-83374 File Number: 3-18339
June 4, 2018	Blacksands Petroleum, Inc. China Education Alliance, Inc. DoMark International, Inc. East Coast Diversified Corp. Release No. 34-83375 File Number: 3-18333
June 1, 2018	Bachrach Asset Management Inc. Release No. IA-4919 File Number: 3-18511
June 1, 2018	Biglari Capital LLC Release No. IA-4920 File Number: 3-18512
June 1, 2018	RLJ Equity Partners, LLC Release No. IA-4929 File Number: 3-18521
June 1, 2018	Rose Park Advisors, LLC Release No. IA-4930 File Number: 3-18522
June 1, 2018	Veteri Place Corporation Release No. IA-4931 File Number: 3-18523
June 1, 2018	Brahma Management, Ltd. Release No. IA-4921 File Number: 3-18513
June 1, 2018	Bristol Group, Inc. Release No. IA-4922 File Number: 3-18514
June 1, 2018	CAI Managers & Co., L.P. Release No. IA-4923 File Number: 3-18515
June 1, 2018	Cherokee Investment Partners LLC Release No. IA-4924 File Number: 3-18516
June 1, 2018	Ecosystem Investment Partners LLC Release No. IA-4925 File Number: 3-18517
June 1, 2018	Elm Partners Management LLC Release No. IA-4926 File Number: 3-18518
June 1, 2018	HEP Management Corporation Release No. IA-4927 File Number: 3-18519
June 1, 2018	Prescott General Partners LLC Release No. IA-4928 File Number: 3-18520
May 31, 2018	Earnest H. (Woody) Delong, Esq. Release No. 34-83354 File Number: 3-18510
May 31, 2018	George Doumanis Release No. 34-83358 File Number: 3-18524
May 30, 2018	Emanuel Pantelakis Release No. 34-83348 File Number: 3-18509
May 29, 2018	Content Checked Holdings, Inc. e.Digital Corp. Liberty Coal Energy Corp. Release No. 34-83335 File Number: 3-18475
May 29, 2018	Kon, Alexander Release No. 33-10501, 34-83336 File Number: 3-17674
May 29, 2018	Bercowy, Gregory M. Release No. IA-4916 File Number: 3-18508
May 25, 2018	Mullan Agritech, Inc. ReliaBrand, Inc. UBL Interactive, Inc. Release No. 34-83334 File Number: 3-18501
May 25, 2018	Senefeld, Tobin J. Release No. 34-83331 File Number: 3-18458
May 25, 2018	Maxwell Technologies, Inc., et al. Release No. 34-83333 File Number: 3-18408
May 24, 2018	John C. Knight Release No. 34-83316 File Number: 3-18502
May 24, 2018	Arthur Kaplan Release No. 33-10500 File Number: 3-18504
May 24, 2018	Aberon Capital Management, LLC and Joseph Krigsfeld Release No. IA-4914, IC-33107 File Number: 3-18503
May 24, 2018	Mass Hysteria Entertainment Company, Inc. Bobbers, Stark Naked TOA Holdings, Inc. Release No. 34-83327 File Number: 3-18506
May 24, 2018	Radiant Oil & Gas, Inc. Tungsten Corp. Well Power, Inc. Release No. 34-83329 File Number: 3-18507
May 24, 2018	Perry A. Gruss Release No. IA-4915 File Number: 3-18505
May 23, 2018	Adam S. Tracy, Esq. Release No. 34-83304 File Number: 3-18499
May 23, 2018	Solo International, Inc. Urban Hydroponics, Inc. Your Event, Inc. Release No. 34-83312 File Number: 3-18500
May 23, 2018	Mullan Agritech, Inc. ReliaBrand, Inc. UBL Interactive, Inc. Release No. 34-83314 File Number: 3-18501
May 22, 2018	Tibor Klein Release No. IA-4913 File Number: 3-18498
May 21, 2018	Lisa A. Esposito Release No. 34-83291 File Number: 3-18495
May 21, 2018	COPsync, Inc. Falconridge Oil Technologies Corp. FLASR, Inc. Fonon Corp. Release No. 34-83297 File Number: 3-18496
May 21, 2018	Green Parts International, Inc. Integrated Environmental Technologies, Ltd. M2 Ngage Group Inc. (n/k/a Troika Media Group)(a/k/a Roomlinx Inc.) Urban Barns Foods, Inc. Release No. 34-83299 File Number: 3-18497
May 21, 2018	Baltia Air Lines, Inc. Graphite Corp. Green Energy Management Services Holdings, Inc. 24Holdings, Inc. Release No. 34-83301 File Number: 3-18472
May 17, 2018	Manhattan Transfer Registrar Company and John C. Ahearn Release No. 33-10497, 34-83267 See Also: Administrative Summary File Number: 3-18491
May 17, 2018	Play La Inc. Titan Trading Analytics, Inc. Release No. 34-83281 File Number: 3-18492
May 17, 2018	Apptigo International, Inc. JD International Limited XLI Technologies Inc. Zentric, Inc. Release No. 34-83285 File Number: 3-18493
May 17, 2018	Ambicom Holdings, Inc. Arrow Cars International, Inc. CDEX, Inc. EFactor Group Corp. iCoreConnect Inc. (a/k/a iMedicor Inc. or Vemics Inc.) Release No. 34-83287 File Number: 3-18336
May 17, 2018	Prospect Ventures, Inc. StarNet Pacific Co. Ltd. Sunburst Acquisitions V, Inc. Sunburst Acquisitions VI, Inc. Release No. 34-83288 File Number: 3-17945
May 17, 2018	American Nano Silicon Technologies, Inc. American Soil Technologies, Inc. Andalay Solar, Inc. Crimson Forest Entertainment Group, Inc. Release No. 34-83283 File Number: 3-18326
May 16, 2018	Chardan Capital Markets, LLC Release No. 34-83251 File Number: 3-18486
May 16, 2018	Jerard Basmagy Release No. 34-83252 File Number: 3-18487
May 16, 2018	Industrial and Commercial Bank of China Financial Services, LLC Release No. 34-83253 File Number: 3-18488
May 16, 2018	China Precision Steel, Inc. Golden River Resources Corp. Release No. 34-83260 File Number: 3-18152

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