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.

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Date Sort descending	Respondents
Feb. 13, 2015	Caramadre, Joseph A., CPA Release No. 34-74276, IA-4025 File Number: 3-16388
Feb. 13, 2015	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. 33-9725, 34-74273, AAER-3638 File Number: 3-16386
Feb. 12, 2015	Water Island Capital LLC Release No. IC-31455 File Number: 3-16385
Feb. 12, 2015	JPMorgan Chase & Co. Release No. 34-74266 See Also: Plan of Distribution File Number: 3-15507
Feb. 11, 2015	China Green Lighting Limited China Kangtai Cactus Bio-Tech, Inc. Gemco Minerals, Inc. Perfectenergy International Limited Rodobo International, Inc. Release No. 34-74243 File Number: 3-15878
Feb. 11, 2015	Efstratios "Elias" D. Argyropoulos Release No. 34-74248 File Number: 3-16382
Feb. 11, 2015	Hill, Charles L., Jr. Release No. 34-74249 File Number: 3-16383
Feb. 11, 2015	Toms, Nicholas Release No. 34-74261 File Number: 3-16384
Feb. 11, 2015	Child, Van Wagoner & Bradshaw, PLLC Anderson, Russell E., CPA Van Wagoner, Marty, CPA Release No. 34-74262, AAER-3637 File Number: 3-15965
Feb. 10, 2015	William Slater, CPA and Peter E. Williams, III Release No. 34-74240, AAER-3636 File Number: 3-16381
Feb. 9, 2015	Mark V. Sever, CPA Release No. 34-74233, AAER-3633 File Number: 3-13722
Feb. 9, 2015	Jeffrey P. Jorissen, CPA Release No. 34-74234, AAER-3634 File Number: 3-13127
Feb. 9, 2015	Kevin Morano, CPA Release No. 34-74235, AAER-3635 File Number: 3-13248
Feb. 6, 2015	BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming, LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited Release No. 34-74217, AAER-3627 File Number: 3-15116
Feb. 6, 2015	John A. Geringer Release No. IA-4022 File Number: 3-16376
Feb. 6, 2015	Morgan Stanley and Co. LLC, et al. Release No. 34-74231 File Number: 3-15982
Feb. 6, 2015	GLR Advisors, LLC Release No. IA-4023 File Number: 3-16377
Feb. 6, 2015	Mountain Share Transfer, LLC and Erik Sterling Nelson Release No. 34-74226 File Number: 3-16378
Feb. 6, 2015	Foster, Lawrence Release No. 34-74227 File Number: 3-16379
Feb. 6, 2015	McCarty, Jordon Release No. 34-74228 File Number: 3-16380
Feb. 6, 2015	Christopher J. Kelly, ACA and Margaret Hebb, ACA Release No. 34-74229, AAER-3631 File Number: 3-14724
Feb. 6, 2015	Marlin R. Brinsky, CPA Release No. 34-74230, AAER-3632 File Number: 3-13872
Feb. 4, 2015	Wyoming Investment Management Services, LLC and Craig M. Scariot Release No. IA-4014 File Number: 3-16368
Feb. 4, 2015	Arete Ltd. Release No. IA-4015 File Number: 3-16369
Feb. 4, 2015	Brenda L. Ridley Release No. IA-4016 File Number: 3-16370
Feb. 4, 2015	New Line Capital, LLC and David A. Nagler Release No. IA-4017 File Number: 3-16371
Feb. 4, 2015	Douglas E. Hampton Release No. 34-74206, IA-4018 File Number: 3-16372
Feb. 4, 2015	Wulf, David R. Release No. 34-74207, IA-4020 File Number: 3-16374
Feb. 4, 2015	Michael R. Drilling Release No. IA-4019 File Number: 3-16373
Feb. 4, 2015	Steven Neil, CPA Release No. 34-74208, AAER-3626 File Number: 3-16375
Feb. 4, 2015	Sample, Matthew D. Release No. IA-4021 File Number: 3-15850
Feb. 3, 2015	QSGI Inc. Release No. 34-74189 File Number: 3-16044
Feb. 3, 2015	The ELIV Group, LLC Valente, Scott Release No. IA-4013 File Number: 3-16367
Feb. 3, 2015	All-American Care Centers, Inc. FDH, Inc. Stirrup Creek Gold Ltd. USN Communications, Inc. (n/k/a CTBB Holdings, Inc.) Release No. 34-74188 File Number: 3-16282
Feb. 2, 2015	AARX, Inc. Acquirestuff.Com, Inc. Advanced Scientific Asset Holding, Inc. Air South Airlines, Inc. Altek Power Corp. AM Build, Inc. Amber Hill, Inc. American Family Cookies, Inc. Release No. 34-74185 File Number: 3-16266
Jan. 30, 2015	John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC Jarkesy, George R., Jr. John Thomas Financial, Inc. Belesis, Anastasios "Tommy" Release No. 33-9718, 34-74181, IA-4011, IC-31439 File Number: 3-15255
Jan. 30, 2015	AirTouch Communications, Inc. Kanakubo, Hideyuki Kaiser, Jerome, CPA Release No. 33-9719, 34-74183, AAER-3625 File Number: 3-16033
Jan. 29, 2015	International Capital Group, LLC, et al. Release No. 33-9717, 34-74172, IC-31437 File Number: 3-16366
Jan. 29, 2015	Bebo, Laurie Buono, John, CPA Release No. 34-74177, AAER-3624 File Number: 3-16293
Jan. 28, 2015	First National Community Bancorp Inc. and William Lance Release No. 33-9714, 34-74161, AAER-3622 File Number: 3-16363
Jan. 28, 2015	King, Ryan C. Release No. 33-9715, 34-74162, IC-31434 File Number: 3-15736
Jan. 28, 2015	Marion, David L. Release No. 34-74163 File Number: 3-16364
Jan. 28, 2015	Marsha Bass Release No. IA-4009 File Number: 3-16365
Jan. 28, 2015	8 By 8, Inc. 8 Corp. Ackeeox Corp. Advanced Incubator, Inc. Ameri First Financial Group, Inc. American Capital Holdings, Inc. Dynamic Health Products, Inc. Spa-E Release No. 34-74155 File Number: 3-16222
Jan. 28, 2015	Brandeis Holdings, Inc. Brighton Investment Holding Co., Inc. Bristol Acquisitions Corp. The Continental Orinoco Co., Inc. Release No. 34-74156 File Number: 3-16260
Jan. 28, 2015	Bluesky Filing Corp. Book4Golf.com Corp. Casdim International Systems, Inc. CBC Bancorp, Inc. Centraxx, Inc. Release No. 34-74157 File Number: 3-16273
Jan. 27, 2015	YesDTC Holdings, Inc. Release No. 34-74140 File Number: 3-16280
Jan. 27, 2015	Oppenheimer & Co. Inc. Release No. 33-9711, AAER-3621, 34-74141 File Number: 3-16361
Jan. 27, 2015	Zurich Capital Markets, Inc. Release No. 34-74154 File Number: 3-12628
Jan. 26, 2015	Stuart, Stephen Release No. 34-74137 File Number: 3-16151
Jan. 23, 2015	Spectrum Concepts, LLC Worswick, Donald James Grosso, Michael Nicholas Brown, Michael Patrick Release No. 34-74123 File Number: 3-16358
Jan. 23, 2015	Galemmo, Glen Allan Release No. 34-74124, IA-4006 File Number: 3-16359
Jan. 23, 2015	Havanich, David B., Jr. DellaSala, Carmine A. Welch, Matthew D. Scurlock, Richard Hampton, III RTG Inc. d/b/a Retirement Tax Advisory Group Carrio, Jose F. Karasik, Dennis K. Carrio Karasik & Associates, LLP Salovay, Michael J. Release No. 33-9708, 34-74120, IA-4005 File Number: 3-16354
Jan. 23, 2015	Michael T. Lombardo, Jr. Release No. 34-74121 File Number: 3-16355
Jan. 23, 2015	Rawitt, Stuart E. Release No. 34-74122 File Number: 3-16357
Jan. 23, 2015	Spectrum Concepts, LLC Worswick, Donald James Grosso, Michael Nicholas Brown, Michael Patrick Release No. 33-9709, 34-74123 File Number: 3-16358
Jan. 22, 2015	Walid Hatoum Release No. 34-74112, AAER-3620 File Number: 3-16352
Jan. 22, 2015	Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. Release No. 34-74119, IC-31426 File Number: 3-16353
Jan. 21, 2015	Standard & Poor's Ratings Services Release No. 33-9704, 34-74102 File Number: 3-16346
Jan. 21, 2015	Standard & Poor's Ratings Services Release No. 33-9705, 34-74104 File Number: 3-16348
Jan. 21, 2015	Duka, Barbara Release No. 33-9706, 34-74105, IC-31425 File Number: 3-16349
Jan. 21, 2015	Standard & Poor's Ratings Services Release No. 34-74103 File Number: 3-16347
Jan. 21, 2015	du Pasquier & Co., Inc. Release No. IA-4004 File Number: 3-16350
Jan. 21, 2015	Robert A. Ramsey, CPA Release No. 34-74108 File Number: 3-16351
Jan. 20, 2015	Forum National Investments, Ltd. Release No. 34-74090 File Number: 3-16283
Jan. 16, 2015	Waddell & Reed, Inc., et al. Release No. 34-74079 File Number: 3-12372
Jan. 16, 2015	Reeves, III, Alfred P. Release No. 34-74080 File Number: 3-16264
Jan. 16, 2015	Steven Durrelle Williams Release No. 34-74081 File Number: 3-16246
Jan. 16, 2015	Giovannetti, Edgar Lee Release No. 34-74089, IA-3999, IC-31421 File Number: 3-16344
Jan. 16, 2015	Consulting Services Group, LLC Release No. IA-4000 File Number: 3-16345
Jan. 15, 2015	Charles Irizarry Release No. 33-9701, 34-74068 File Number: 3-16341
Jan. 15, 2015	Wayne Middleton Release No. 33-9702, 34-74069 File Number: 3-16342
Jan. 15, 2015	Bill C. (Billy) Crafton, Jr. Release No. 34-74070, IA-3998 File Number: 3-16343
Jan. 15, 2015	PA Fund Management, LLC, PEA Capital LLC, and PA Distributors LLC Release No. 34-74071 File Number: 3-11645
Jan. 15, 2015	All-American Care Centers, Inc. FDH, Inc. Stirrup Creek Gold Ltd. USN Communications, Inc. (n/k/a CTBB Holdings, Inc.) Release No. 34-74056 File Number: 3-16282
Jan. 15, 2015	UBS Securities LLC Release No. 33-9697, 34-74060 File Number: 3-16338
Jan. 15, 2015	Briner, John, Esq. Dalmy, Diane. Esq. De Joya Griffith, LLC De Joya, Arthur, CPA Griffith, Jason, CPA Whetman, Chris, CPA Zhang, Philip, CPA M&K CPAs, PLLC Manis, Matt, CPA Ridenour, Jon, CPA Ortego, Ben, CPA Release No. 33-9699, 34-74065 File Number: 3-16339
Jan. 15, 2015	Stuart Carnie Release No. 33-9700, 34-74066 File Number: 3-16340
Jan. 14, 2015	VHGI Holdings, Inc. Release No. 34-74047 File Number: 3-16247
Jan. 14, 2015	4301, Inc. Alpine Management Ltd. Amazing Nutritionals, Inc. America First Associates Corp. American Interactive Media, Inc. ILMI Corp. Superior Holdings, Inc. Ultimistics, Inc. (n/k/a Continental Holdings International, Inc.) Release No. 34-74048 File Number: 3-16221
Jan. 13, 2015	Global Stevia Corp. Release No. 34-74037 File Number: 3-16005
Jan. 13, 2015	James T. Crane, CPA Release No. 34-74039, AAER-3619 File Number: 3-16333
Jan. 13, 2015	Williams, Brent F. Release No. IA-3996 File Number: 3-16337
Jan. 13, 2015	Shelton Financial Group, Inc. and Jeffrey Shelton Release No. IA-3993, 34-74044 File Number: 3-16334
Jan. 13, 2015	Slade, Duane Hamblin Release No. IA-3994 File Number: 3-16335
Jan. 13, 2015	Williams, Guy Andrew Release No. IA-3995 File Number: 3-16336
Jan. 12, 2015	EDGA Exchange, Inc. and EDGX Exchange, Inc., The Application of Securities Industry and Financial Markets Association Release No. 34-74032 File Number: 3-16332, 3-16330
Jan. 9, 2015	Accredited Business Consolidators Corp. AsherXino Corp. Bakers Footwear Group, Inc. Card Activation Technologies Inc. High Plains Gas, Inc. Pacific Copper Corp. Release No. 34-74019 File Number: 3-15993
Jan. 8, 2015	Bitech Pharma, Inc. Blue Chapman, Inc. BSN Systems, Inc. California Bancshares, Inc. Release No. 34-74013 File Number: 3-16261
Jan. 8, 2015	Steinberg, Michael S. Release No. 34-74014 File Number: 3-15925
Jan. 6, 2015	Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-74005 File Number: 3-14909
Dec. 31, 2014	Murphy, Phillip Dennis Release No. 34-73968, IA-3992 File Number: 3-16294
Dec. 29, 2014	Vero Capital Management, LLC Geiger, Robert Barbaresi, George Downey, Steven, CPA Release No. IA-3991, IC-31402 File Number: 3-16328
Dec. 24, 2014	Alto Group Holdings, Inc. Gametech International, Inc. Rosewood Acquisition Corporation Sunshine State Capital Investments, Inc. Trinergy Global Inc. (f/k/a PyroTec Inc.) Voyager Two, Inc. Release No. 34-73932 File Number: 3-16043
Dec. 24, 2014	China Bus Group Co. (f/k/a Alpine Alpha 3, Ltd.) China Capital Finance Corp. Inc. China Complant Group Inc. China Oumei Real Estate, Inc. China Transportation International Holdings Group Ltd. ChinaCast Education Corp. Phoenix Agri Enterprises, Inc. Precise Strategy Acquisition Corp. I Release No. 34-73933 File Number: 3-16137
Dec. 24, 2014	Bio Oil National Corp. CSV International Holdings, Inc. (f/k/a Europa Acquisition VIII, Inc.) Greenpro Resources Corp. (f/k/a Lightwood Acquisition Corp.) Moxian Corp. Opera Jet International Ltd. Release No. 34-73934 File Number: 3-16059
Dec. 23, 2014	Adarna Energy Corporation Bluedata Corporation Brampton Crest International, Inc. Covenant Group of China Inc. Mobile Area Networks, Inc. Netco Investments, Inc. OneTravel Holdings, Inc. PDG Environmental, Inc. Release No. 34-73916 File Number: 3-16105
Dec. 23, 2014	Cepheus Acquisition Corp. China Aluminum Foil, Inc. China Integrated Energy, Inc. Engchow Education Corporation Pixtel Group Ltd. Release No. 34-73917 File Number: 3-15942
Dec. 23, 2014	North East Capital, LLC and Anthony T. Vicidomine Release No. 34-73921 See Also: Proposed Plan of Distribution Comments Due: 30 days from publication of this Notice Comments received are available: https://www.sec.gov/comments/3-15429/3-15429.shtml Submit Comments on: 3-15429 File Number: 3-15429
Dec. 23, 2014	Evergreen Investment Management Company, LLC, Evergreen InvestmentServices, Inc., Evergreen Service Company, LLC and Wachovia Securities,LLC Release No. 34-73923 File Number: 3-12805

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