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 – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. 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
July 1, 2014	EFP Rotenberg, LLP and Nicholas R. Bottini, CPA Release No. 33-9608, 34-72503, AAER-3562 File Number: 3-15952
July 1, 2014	Ronald E. Huxtable II Release No. 34-72505 File Number: 3-15748
July 1, 2014	Catalyst Group Holdings Corp. Dynasty Capital, Inc. Las Vegas Gaming, Inc. Midwest Banc Holdings, Inc. Northtech Industries, Inc. Tactical Air Defense Services, Inc. Tamalpais Bancorp United Western Bancorp, Inc. Release No. 34-72507 File Number: 3-15953
July 1, 2014	China Everhealth Corp. Genova Biotherapeutics, Inc. Glacier Enterprises, Inc. Green Asia Resources, Inc. Jesup & Lamont, Inc. Panoshan Marketing Corp. Release No. 34-72508 See Also: Chinese version of this Order File Number: 3-15954
June 30, 2014	The Bank Holdings Community Valley Bancorp Genemen, Inc. GWS Technologies, Inc. Homeland Precious Metals Corp. NuRx Pharmaceuticals, Inc. Release No. 34-72496 File Number: 3-15923
June 27, 2014	G-Trade Services LLC, et al. Release No. 34-72487 File Number: 3-15654
June 27, 2014	S.A.C. Capital Advisors, LP S.A.C. Capital Advisors, LLC CR Intrinsic Investors, LLC Sigma Capital Management, LLC Parameter Capital Management, LLC 72 Credit Management, LLC S.A.C. Private Equity GP, L.P. Release No. IA-3864 File Number: 3-15950
June 27, 2014	Chris Choi, CPA Release No. 34-72494, AAER-3561 File Number: 3-15951
June 26, 2014	Anthony M. Livoti, Jr. Release No. 34-72481 File Number: 3-15949
June 26, 2014	JP Turner & Company, LLC, and William L. Mello Release No. 34-72486 File Number: 3-15014
June 25, 2014	Thomas H. Redmond, Jr. Release No. 34-72463, IA-3863 File Number: 3-15944
June 25, 2014	Neely, Thomas A., Jr. Release No. 33-9605, 34-72470, AAER-3559 File Number: 3-15945
June 25, 2014	Jeffrey C. Kuehr and Michael J. Willoughby Release No. 33-9606, 34-72471, AAER-3560 File Number: 3-15946
June 25, 2014	Brooklin Systems, Inc. Hartman & Associates, Inc. Kona Coast Systems, Inc. MiddleBrook Pharmaceuticals, Inc. Southfield Energy Corp. Release No. 34-72475 File Number: 3-15947
June 25, 2014	Theodore R. Maloney, Esq. Release No. 34-72476 File Number: 3-15948
June 24, 2014	BioMedical Technology Solutions Holdings, Inc. Chaolei Marketing and Finance Company Clear-Lite Holdings, Inc. Encompass Group Affiliates, Inc. (n/k/a Re-Act Enterprises, Inc.) Hydron Technologies, Inc. Sun American Bancorp XenaCare Holdings, Inc. Release No. 34-72451 File Number: 3-15941
June 24, 2014	Cepheus Acquisition Corp. China Aluminum Foil, Inc. China Integrated Energy, Inc. Engchow Education Corporation Pixtel Group Ltd. Release No. 34-72456 See Also: Chinese version of this Order File Number: 3-15942
June 24, 2014	Montanino, David J. Release No. 33-9604, 34-72461, IA-3862, IC-31096 File Number: 3-15943
June 23, 2014	Castle Arch Real Estate Investment Co., LLC Console Acquisition Corp. Pier Acquisition I, Inc. Pier Acquisition II, Inc. Placer Gold Corp. Target Acquisitions III, Inc. Turnstone Systems, Inc. Xebec International, Inc. Release No. 34-72446 File Number: 3-15849
June 20, 2014	Penn Mezzanine Partners Management, L.P. Release No. IA-3858 File Number: 3-15939
June 20, 2014	TL Ventures Inc. Release No. IA-3859 File Number: 3-15940
June 20, 2014	Valley Forge Composite Technologies, Inc. Release No. 34-72438 File Number: 3-15846
June 19, 2014	GLG Partners, Inc. and GLG Partners, L.P. Release No. 34-72430 File Number: 3-15641
June 19, 2014	Costabile, Douglas Release No. 34-72431 File Number: 3-15703
June 18, 2014	Advanced Water Technology Holdings, Inc. Creative Entertainment Holdings, Inc. DRI Corporation (n/k/a Xdric, Inc.) International Paintball Association, Inc. Sherwood Acquisition Corporation Release No. 34-72415 File Number: 3-15901
June 18, 2014	AISystems, Inc. (a/k/a Airline Intelligence Systems, Inc.) Baeta Corp. China Jianye Fuel, Inc. Cordex Pharma, Inc. Diamondhead Casino Corporation Emerald Dairy, Inc. Kentucky Energy, Inc. Release No. 34-72417 File Number: 3-15934
June 18, 2014	North East Capital, LLC. and Anthony T. Vicidomine Release No. 34-72419 File Number: 3-15429
June 18, 2014	Pedras, Christopher A.T. (aka Pedras, Chris aka Pedras, Antone Thomas) Release No. 34-72423 File Number: 3-15936
June 18, 2014	Bryan, Alicia Release No. 34-72424 File Number: 3-15937
June 18, 2014	I. John Benson, CPA, Release No. 34-72427, AAER-3558 File Number: 3-15938
June 18, 2014	Charles L. Rizzo and Gina M. Hornbogen Release No. 34-72429 See Also: Amended Proposed Plan of Distribution File Number: 3-14641
June 17, 2014	Crescent Banking Co. Data Storage Consulting Services, Inc. First National Bancshares, Inc. Infosmart Group, Inc. Marco Community Bancorp, Inc. Sun River Energy, Inc. (n/k/aNew River Exploration, Inc.) Release No. 34-72401 File Number: 3-15931
June 17, 2014	Applied NeuroSolutions, Inc. Cowlitz Bancorporation First Place Financial Corp. Kedem Pharmaceuticals, Inc. Release No. 34-72403 File Number: 3-15932
June 17, 2014	Asia Global Holdings Corp. China Electric Motor, Inc. Ikona Gear International, Inc. Imagin Molecular Corp. (n/k/a The Planet Bottle Corporation) Sungold International Holdings Corp. Westergaard.com, Inc. Release No. 34-72404 File Number: 3-15891
June 17, 2014	Robert D. Graham, Esq. Release No. 34-72409 File Number: 3-13533
June 17, 2014	Michael C. French, Esq. Release No. 33-9601, 34-72414 File Number: 3-15933
June 16, 2014	Paradigm Capital Management, Inc. Release No. 34-72393, IA-3857 File Number: 3-15930
June 12, 2014	Carbon 612 Corporation EcoGlobal Holdings Corporation Euramerica Holdings Corp. Wilder Filings, Inc. Release No. 34-72372 File Number: 3-15892
June 12, 2014	Yang, Siming Release No. IA-3856 File Number: 3-15928
June 12, 2014	Larry R. Polhill Release No. 34-72380 File Number: 3-15929
June 11, 2014	The Bank Holdings Community Valley Bancorp Genemen, Inc. GWS Technologies, Inc. Homeland Precious Metals Corp. NuRx Pharmaceuticals, Inc. Release No. 34-72365 File Number: 3-15923
June 11, 2014	LifeHealthCare, Inc. Smartlinx, Inc. Total Apparel Group, Inc. Release No. 34-72367 File Number: 3-15924
June 11, 2014	Aclor International, Inc. Acrongemonics, Inc. Diversified Global Holdings Group, Inc. FutureIT, Inc. Southern Star Energy, Inc. W. Holding Co., Inc. Release No. 34-72368 File Number: 3-15818
June 11, 2014	Hendrx Corp. Plastinum Polymer Technologies Corp. Vertical Branding, Inc. WHY USA Financial Group, Inc. XNE, Inc. Release No. 34-72369 File Number: 3-15814
June 11, 2014	Steinberg, Michael S. Release No. IA-3853 File Number: 3-15925
June 11, 2014	Robert C. Acri Release No. 33-9599, 34-72370, IA-3854, IC-31077 File Number: 3-15926
June 11, 2014	Richard R. Hylland, CPA Release No. 34-72363, AAER-3557 File Number: 3-12692
June 11, 2014	Thomas E. Meade Release No. IA-3855, IC-31078 File Number: 3-15927
June 10, 2014	Vision Specialist Group, LLC Release No. IA-3849 File Number: 3-15920
June 10, 2014	Bard, Robert G. Release No. IA-3850 File Number: 3-15921
June 10, 2014	Saul Meyer Release No. IA-3851 File Number: 3-15922
June 9, 2014	Malouf, Dennis J. Release No. 33-9597, 34-72352, IA-3847, IC-31073 File Number: 3-15918
June 9, 2014	Christopher B. Mintz Release No. 34-72353, IA-3848 File Number: 3-15919
June 9, 2014	UASNM, Inc. Release No. IA-3846 File Number: 3-15917
June 6, 2014	Liquidnet, Inc. Release No. 33-9596, 34-72339 File Number: 3-15912
June 6, 2014	Wedbush Securities Inc. Jeffrey Bell Christina Fillhart Release No. 34-72340, IA-3845 File Number: 3-15913
June 6, 2014	Symbollon Pharmaceuticals, Inc. Release No. 34-72341 File Number: 3-15914
June 6, 2014	Kenneth Gross Release No. 34-72345 File Number: 3-15915
June 5, 2014	Brian R. Reiss, Esq. Release No. 34-72335 File Number: 3-15911
June 5, 2014	FLM Minerals, Inc. Release No. 34-72316 File Number: 3-15907
June 5, 2014	China Digital Animation Development, Inc. Release No. 34-72318 File Number: 3-15908
June 5, 2014	Zhidali Radio and Television Network, Inc. Release No. 34-72320 File Number: 3-15909
June 5, 2014	China Power Technology, Inc. Release No. 34-72322 File Number: 3-15910
June 5, 2014	Franz, George B., III Ruby Corporation Release No. 34-72334 File Number: 3-15526
June 4, 2014	China Shen Zhou Mining & Resources, Inc. Ideal Financial Solutions, Inc. Smooth Global (China) Holdings, Inc. Weikang Bio-Technology Group Co., Inc. 1st Pacific Bancorp Release No. 34-72304 File Number: 3-15813
June 4, 2014	Philip T. Powers Release No. 34-72310 File Number: 3-15906
June 3, 2014	Erik T. Voorhees Release No. 33-9592 File Number: 3-15902
June 3, 2014	Sunchip Technology, Inc. Release No. 33-9593 File Number: 3-15903
June 3, 2014	ShopEye, Inc., 108 Flying Mist Isle, Foster City, CA 94404 Release No. 33-9594 File Number: 3-15904
June 3, 2014	Diamond Lane, Inc. Release No. 33-9595 File Number: 3-15905
June 3, 2014	J.P. Morgan Securities Inc. Release No. 34-72303 File Number: 3-13673
June 2, 2014	Christopher B. Ruffle Release No. IC-31066 File Number: 3-15898
June 2, 2014	Advanced Water Technology Holdings, Inc. Creative Entertainment Holdings, Inc. DRI Corporation (n/k/a Xdric, Inc.) International Paintball Association, Inc. Sherwood Acquisition Corporation Release No. 34-72295 File Number: 3-15901
June 2, 2014	Cloudeeva, Inc. Release No. 34-72287 File Number: 3-15897
June 2, 2014	S. Paul Kelley Release No. 34-72289 File Number: 3-15899
June 2, 2014	Bravata, John J. Trabulsy, Richard J. Bravata, Antonio M. Release No. 34-72290, IA-3842 File Number: 3-15900
June 2, 2014	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. 34-72296, AAER-3556 File Number: 3-14872, 3-15116
May 30, 2014	Behrooz Sarafraz Release No. 34-72282 File Number: 3-15895
May 30, 2014	Hegedus, Shawn C. Release No. 34-72285 File Number: 3-15696
May 30, 2014	Miller, Everett C. Release No. IA-3840 File Number: 3-15896
May 29, 2014	Carbon 612 Corporation EcoGlobal Holdings Corporation Euramerica Holdings Corp. Wilder Filings, Inc. Release No. 34-72270 File Number: 3-15892
May 29, 2014	Susan Olive Release No. 34-72274 File Number: 3-15893
May 29, 2014	Richard Olive Release No. 34-72275 File Number: 3-15894
May 28, 2014	Network Dealer Services Holding Corp. NextFit, Inc. Rocky Mountain Minerals, Inc. Titan Technologies, Inc. Trudy Corporation UAGH, Inc. Uranium 308 Corp. Release No. 34-72262 File Number: 3-15806
May 28, 2014	Asia Global Holdings Corp. China Electric Motor, Inc. Ikona Gear International, Inc. Imagin Molecular Corp. (n/k/a The Planet Bottle Corporation) Sungold International Holdings Corp. Westergaard.com, Inc. Release No. 34-72264 File Number: 3-15891
May 28, 2014	George Foreman Enterprises, Inc. MacKay Life Sciences, Inc. Reinsurance Technologies, Ltd. (a/k/a Solution Technology International, Inc.) Tire International Environmental Solutions, Inc. WatchIt Technologies, Inc. Weststar Financial Services Corp. WorldSpace, Inc. Release No. 34-72261 File Number: 3-15781
May 27, 2014	Davis, Blayne S. Release No. 34-72256 File Number: 3-15887
May 27, 2014	French, Donald R., Jr. Release No. 34-72257 File Number: 3-15888
May 27, 2014	Gilner, Albert E. Release No. 34-72258 File Number: 3-15889
May 27, 2014	Bochinski, Randi A. Release No. 34-72259 File Number: 3-15890
May 23, 2014	OCTuS, Inc. Pacific Coast National Bancorp Travelstar, Inc. We Save Homes, Inc. ZVUE Corp., Tebbs, Kenneth C. Release No. 34-72233 File Number: 3-15884, 3-15844
May 23, 2014	China Shen Zhou Mining & Resources, Inc. Ideal Financial Solutions, Inc. Smooth Global (China) Holdings, Inc. Weikang Bio-Technology Group Co., Inc. 1st Pacific Bancorp Release No. 34-72235 File Number: 3-15813
May 23, 2014	Pro-Tech Industries, Inc. Vida Life International Ltd. Vitavea, Inc. Western Power & Equipment Corp. Westmont Resources, Inc. Release No. 34-72237 File Number: 3-15885
May 23, 2014	GLG Partners, Inc. and GLG Partners, L.P. Release No. 34-72247
May 23, 2014	Luna, Marcus A., Esq. Release No. 34-72249 File Number: 3-15886
May 22, 2014	IVI Communications, Inc. Omnicity Corp. Precision Petroleum Corporation PSB Group, Inc. Sustainable Power Corp. Whitehall Jewelers Holdings, Inc. (n/k/a WJ Holdings Liquidating Company) Release No. 34-72217 File Number: 3-15805
May 22, 2014	Angel Acquisition Corp. n/k/a BioGeron, Inc. Release No. 34-72219 File Number: 3-15882
May 22, 2014	International Development and Environmental Holdings Release No. 34-72222 File Number: 3-15883
May 22, 2014	G-2 Trading LLC Release No. 34-72231 File Number: 3-15495
May 21, 2014	China Green Lighting Limited China Kangtai Cactus Bio-Tech, Inc. Gemco Minerals, Inc. Perfectenergy International Limited Rodobo International, Inc. Release No. 34-72201 See Also: Chinese version of this Order File Number: 3-15878

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