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
Oct. 19, 2017	New Western Energy Corp. Preferred Restaurant Brands, Inc. Primco Management, Inc. Release No. 34-81897 File Number: 3-18007
Oct. 19, 2017	American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.) Release No. 34-81904 File Number: 3-12115
Oct. 19, 2017	BOKF, NA Release No. 34-81905 File Number: 3-17533
Oct. 19, 2017	Loop Capital Markets, LLC Release No. 34-81898 File Number: 3-18257
Oct. 19, 2017	Jeffrey W. Tomz, CPA Release No. 34-81908, AAER-3901 File Number: 3-18258
Oct. 19, 2017	Aladdin Capital Management LLC and Aladdin Capital LLC Release No. 34-81910 See Also: Proposed Plan of Distribution Comments Due: 30 days from date of this Notice File Number: 3-15134
Oct. 19, 2017	Mayank Gupta, CPA Release No. 34-81911, AAER-3902 File Number: 3-18259
Oct. 19, 2017	Hampshire Group, Limited United Mortgage Trust, Inc. Zoom Companies, Inc. Release No. 34-81912 File Number: 3-18201
Oct. 18, 2017	Kun De International Holdings, Inc. New Colombia Resources, Inc. Sutor Technology Group Limited Release No. 34-81896 File Number: 3-18169
Oct. 17, 2017	Leonard Vincent Lombardo Release No. 34-81886 File Number: 3-18255
Oct. 16, 2017	Packetport.com, Inc., et al. Release No. 34-81874 File Number: 3-12868
Oct. 16, 2017	Vitale, Joseph Release No. 34-81875 File Number: 3-18252
Oct. 16, 2017	Brandon P. Long Release No. 34-81877, IA-4796 File Number: 3-18254
Oct. 16, 2017	Mergenet Medical Inc., et al. Release No. 33-10426 File Number: 3-18253
Oct. 16, 2017	BioPharma Manufacturing Solutions Inc. CLTC Ventures Corporation (n/k/a Dreamfly Productions Corporation) Crane Global Energy Company DCA Asset Management, Inc. Release No. 34-81884 File Number: 3-18148
Oct. 13, 2017	Jeffery S. Preston Release No. IA-4795 File Number: 3-18251
Oct. 13, 2017	Hampshire Group, Limited United Mortgage Trust, Inc. Zoom Companies, Inc. Release No. 34-81873 File Number: 3-18201
Oct. 12, 2017	IN Media Corporation New Media Insight Group, Inc. Pacific Sands, Inc. Saleen Automotive, Inc. Release No. 34-81869 File Number: 3-18206
Oct. 12, 2017	William B. Fretz, Jr., et al. Release No. 34-81858 File Number: 3-16829
Oct. 12, 2017	Mellon, Matthew T., II Release No. 34-81865 File Number: 3-17571
Oct. 12, 2017	Megalli, Mark Release No. 34-81861, IA-4793 File Number: 3-18250
Oct. 11, 2017	Sam Sadeghi Release No. IA-4792 File Number: 3-18249
Oct. 11, 2017	Danny S. Hood Release No. 34-81847, IA-4790 File Number: 3-18247
Oct. 10, 2017	Christopher Castaldo Release No. 34-81843 File Number: 3-18246
Oct. 10, 2017	Experience Art and Design, Inc. Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.) Heavy Earth Resources, Inc. Horne International, Inc. Release No. 34-81845 File Number: 3-18173
Oct. 10, 2017	Cibolan Gold Corporation Medbook World Inc. Pacific Gold Corp. Sungame Corporation (n/k/a Freevi Corp.) Release No. 34-81846 File Number: 3-18077
Oct. 5, 2017	Axesstel, Inc. Release No. 34-81831 File Number: 3-17941
Oct. 5, 2017	Bilal Basrai Release No. 34-81820 File Number: 3-18244
Oct. 5, 2017	Bryce Stirton Release No. 34-81821 File Number: 3-18245
Oct. 5, 2017	Evolucia, Inc. Legend International Holdings, Inc. OSL Holdings, Inc. Release No. 34-81829 File Number: 3-18014
Oct. 5, 2017	Cono Italiano, Inc. Native American Energy Group, Inc. Plures Technologies, Inc. Secured Technology Innovations Corp. Release No. 34-81830 File Number: 3-18177
Oct. 5, 2017	A.C. Simmonds and Sons, Inc. Joshua Gold Resources, Inc. (f/k/a Enhanced Energy Solutions, Inc.) Game Plan Holdings, Inc. HashingSpace Corp. Release No. 34-81832 File Number: 3-17999
Oct. 5, 2017	Evolucia, Inc. Legend International Holdings, Inc. OSL Holdings, Inc. Release No. 34-81833 File Number: 3-18014
Oct. 5, 2017	Cardinal Resources, Inc. StationDigital Corp. Release No. 34-81834 File Number: 3-18004
Oct. 4, 2017	Wen Chen Hwang aka "Wendy Lee" Release No. 34-81817 File Number: 3-18243
Oct. 3, 2017	Digital Brand Media & Marketing Group, Inc. Intellicell Biosciences, Inc. Release No. 34-81809 File Number: 3-17990
Oct. 3, 2017	Prospect Ventures, Inc. StarNet Pacific Co. Ltd. Sunburst Acquisitions V, Inc. Sunburst Acquisitions VI, Inc. Release No. 34-81810 File Number: 3-17945
Oct. 3, 2017	Biovest International, Inc. Olie Inc. (n/k/a Syndicate Business Development Corp.) Stargate Entertainment, Inc. Three Sigma Ventures, Inc. Release No. 34-81811 File Number: 3-17935
Oct. 3, 2017	Atomic Paintball, Inc. North American Oil & Gas Corp. VelaTel Global Communications, Inc. Release No. 34-81812 File Number: 3-17991
Oct. 3, 2017	Ciralight Global, Inc. GS Enviroservices, Inc. IPOworld Parabel, Inc. Release No. 34-81813 File Number: 3-17977
Oct. 2, 2017	Martin T. Cantu Release No. 34-81793 File Number: 3-18242
Oct. 2, 2017	Maroof Miyana Release No. 34-81790 File Number: 3-18241
Sept. 29, 2017	Pranav V. Patel Release No. 34-81762 File Number: 3-18238
Sept. 29, 2017	Louis F. Petrossi Release No. 34-81763 File Number: 3-18239
Sept. 29, 2017	Daniel C. Caravette Release No. 33-10422, 34-81769 File Number: 3-18240
Sept. 28, 2017	Jones, Bobby D. Release No. 34-81757 File Number: 3-18236
Sept. 28, 2017	Success Holding Group International, Inc. Release No. 33-10418, 34-81750 File Number: 3-18230
Sept. 28, 2017	Laurence M. Torres Release No. 33-10419, 34-81752 File Number: 3-18233
Sept. 28, 2017	Jeffrey Timothy Kluge Release No. 34-81758, IA-4782 File Number: 3-18237
Sept. 28, 2017	Perry H. Beaumont Release No. IA-4780 See Also: Administrative Summary File Number: 3-18234
Sept. 28, 2017	Perry H. Beaumont Release No. IA-4781, IC-32841 See Also: Administrative Summary File Number: 3-18235
Sept. 28, 2017	Honeysuckle Research Inc. Release No. IC-32840 File Number: 3-18232
Sept. 28, 2017	Fengjiu Zhang and Xianli Kong Release No. 34-81744 See Also: Administrative Summary File Number: 3-18227
Sept. 28, 2017	Alere Inc. Release No. 33-10417, 34-81742 File Number: 3-18228
Sept. 28, 2017	Hallas, Demitrios Release No. 34-81743 File Number: 3-18229
Sept. 28, 2017	Success Holding Group International, Inc. Release No. 34-81751 File Number: 3-18231
Sept. 27, 2017	Dearborn Bancorp, Inc. Greentech Mining International, Inc. Hoverink International Holdings, Inc. South West Coast Senior Living Corp. Release No. 34-81735 File Number: 3-18223
Sept. 27, 2017	Louis J. Spina Release No. 34-81732 File Number: 3-18222
Sept. 27, 2017	Brian C. Jensen Release No. 34-81736 File Number: 3-18224
Sept. 27, 2017	Robert K. Stewart, CPA Release No. 34-81740, AAER-3900 File Number: 3-18225
Sept. 27, 2017	Avaneesh Krishnamoorthy Release No. 34-81741, IA-4779 File Number: 3-18226
Sept. 26, 2017	TRH Financial LLC Release No. IA-4776 File Number: 3-18213
Sept. 26, 2017	360 Financial, Inc. Release No. IA-4777 File Number: 3-18214
Sept. 26, 2017	VisionPoint Advisory Group, LLC Release No. IA-4778 File Number: 3-18215
Sept. 26, 2017	Naris Chamroonrat Release No. 34-81718 File Number: 3-18211
Sept. 26, 2017	LBMZ Securities, Inc. Release No. 34-81719 File Number: 3-18216
Sept. 26, 2017	Cecil Franklin Speight Release No. 34-81724 File Number: 3-18218
Sept. 26, 2017	Infinity Real Estate Holdings Corporation International Industrial Enterprise, Inc. Scor International Foods, Inc. Xhibit Corp. Release No. 34-81723 File Number: 3-18217
Sept. 26, 2017	Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation. Release No. 34-81726 File Number: 3-18219
Sept. 26, 2017	Hydrogen Future Corporation Liberty Energy Corp. Omega Brands, Inc. Optionable Inc. Release No. 34-81728 File Number: 3-18220
Sept. 26, 2017	Guardian 8 Holdings Idaho North Resources Corporation Mecklermedia Corporation Verde Science, Inc. Release No. 34-81731 File Number: 3-18221
Sept. 26, 2017	Keenan, Brian J. Release No. IA-4775 File Number: 3-18212
Sept. 25, 2017	G-Trade Services LLC, et al. Release No. 34-81695 File Number: 3-15654
Sept. 25, 2017	Meissner, Kenneth C. Scott, James Doug Tomich, Mark S. "Mike" Release No. 34-81696 See Also: Plan of Distribution File Number: 3-16175
Sept. 25, 2017	Fred Alger Management, Inc. and Fred Alger & Company, Incorporated Release No. 34-81698 File Number: 3-12540
Sept. 25, 2017	Smith Barney Fund Management LLC and Citigroup Global Markets Release No. 34-81700 File Number: 3-11935
Sept. 25, 2017	Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke Release No. 34-81701 File Number: 3-11393
Sept. 25, 2017	Credit Suisse Securities USA (LLC), et al. Release No. 34-81702 File Number: 3-15098
Sept. 25, 2017	Credit Suisse Securities USA (LLC), et al. Release No. 34-81703 File Number: 3-15098
Sept. 25, 2017	Aletheia Research and Management, Inc. Release No. IA-4774 File Number: 3-18205
Sept. 25, 2017	IN Media Corporation New Media Insight Group, Inc. Pacific Sands, Inc. Saleen Automotive, Inc. Release No. 34-81704 File Number: 3-18206
Sept. 25, 2017	KollagenX Corp. Microlin Bio, Inc. Vaccinogen, Inc. Virtus Oil and Gas Corp. Release No. 34-81706 File Number: 3-18207
Sept. 25, 2017	GO EZ Corporation Green St. Energy, Inc. Hyperview Ltd. Imogo Mobile Technologies Corp. Release No. 34-81694 File Number: 3-18204
Sept. 25, 2017	HydroPhi Technologies Group, Inc. iTalk Inc. Soellingen Advisory Group, Inc. U.S. Rare Earths, Inc. Release No. 34-81707 File Number: 3-18208
Sept. 25, 2017	Feng, Hui Law Offices of Feng & Associates, P.C. Release No. 34-81711 File Number: 3-18209
Sept. 25, 2017	Icon Vapor, Inc. POWRtec International Corp. Silvergraph International, Inc. Walter Energy, Inc. (n/k/a New WEI. Inc.) Release No. 34-81712 File Number: 3-18210
Sept. 22, 2017	Abio Financial Group, Inc. Release No. 34-81684 File Number: 3-18198
Sept. 22, 2017	Aervision Holdings, Inc. Amalgamated Pictures Corp. American Patriot Financial Group, Inc. Asia8, Inc. Release No. 34-81685 File Number: 3-18199
Sept. 22, 2017	Marshall G. Eichenauer, Jr. and Sagent Wealth Management, LLC Release No. IA-4773 File Number: 3-18200
Sept. 22, 2017	Hampshire Group, Limited United Mortgage Trust, Inc. Zoom Companies, Inc. Release No. 34-81688 File Number: 3-18201
Sept. 22, 2017	Penny Auction Solutions, Inc. Sebring Software, Inc. Studio II Brands, Inc. Release No. 34-81690 File Number: 3-18202
Sept. 22, 2017	IMK GROUP, INC. Mobilebits Holdings Corporation National Energy Services, Inc. Power of the Dream Ventures Inc. Release No. 34-81692 File Number: 3-18203
Sept. 21, 2017	Telia Company AB Release No. 34-81669, AAER-3898 File Number: 3-18195
Sept. 21, 2017	Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. Release No. 34-81674 File Number: 3-17315
Sept. 21, 2017	Joel P. Zingerman Release No. 34-81677 See Also: Administrative Summary File Number: 3-18196
Sept. 21, 2017	Paritz & Company, P.A., et al. Release No. 34-81678, AAER-3899 See Also: Administrative Summary File Number: 3-18197
Sept. 21, 2017	JuQun, Inc. Live Brands, Inc. Nevada Gold Corp. Nexus Data Technologies Corporation Release No. 34-81666 File Number: 3-18193
Sept. 21, 2017	Platinum Equity Advisors, LLC Release No. IA-4772 See Also: Administrative Summary File Number: 3-18194
Sept. 20, 2017	Engage Eco Solutions, Inc. Old Stone Corporation Teltronics, Inc. (n/k/a Forerunner Technologies Inc.) Xunna Information Technology, Inc. Release No. 34-81663 File Number: 3-18191
Sept. 20, 2017	Joseph H. Craft, CPA Release No. 34-81664, AAER-3897 File Number: 3-18192

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