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
May 21, 2014	Ironbird Capital LLC Release No. 34-72211 File Number: 3-15880
May 21, 2014	Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle Release No. 34-72212, IA-3839 File Number: 3-15881
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
May 20, 2014	Amcore Financial, Inc. China Sure Water (USA), Inc. EuroBancshares, Inc. InterAmerican Acquisition Group, Inc. Link Scaffold Products North America Stone Tan China Acquisition Corp. Vanholt Group, Ltd. Release No. 34-72189 File Number: 3-15841
May 20, 2014	James T. Adams, CPA Release No. 34-72198, AAER-3554 File Number: 3-15876
May 20, 2014	Bryce Walker, CA and Spence Walker, CA, CPA Release No. 34-72199, AAER-3555 File Number: 3-15877
May 19, 2014	Delaney, Thomas R. II Yancey, Charles W. Release No. 34-72185, IC-31048 File Number: 3-15873
May 19, 2014	Johnson, Michael H. Release No. 34-72186, IC-31049 File Number: 3-15874
May 19, 2014	Lindsey Alan Wetzig Release No. 34-72187 File Number: 3-15875
May 19, 2014	Menies, Matthew Scott Release No. 34-72188 File Number: 3-15751
May 16, 2014	Tennessee Commerce Bancorp, Inc. Release No. 34-72175 File Number: 3-15872
May 16, 2014	JPMorgan Chase & Co. Release No. 34-72181 File Number: 3-15507
May 15, 2014	Cybermesh International Corp. Golden Harvest Corporation (a/k/a Disability Access Corporation) Mirenco, Inc. Newport Digital Technologies, Inc. Resource Holdings, Inc. SCOLR Pharma, Inc. Tital Global Holdings, Inc. Release No. 34-72166 File Number: 3-15866
May 15, 2014	Newnan Coweta Bancshares, Inc. Proper Power Energy Inc. uVuMobile, Inc. WGNB Corp. YouBlast Global, Inc. Release No. 34-72167 File Number: 3-15780
May 15, 2014	Assured Equities IV Corp. Beach First National Bancshares, Inc. Norquest Acquisition Corp. SAE Acquisitions, Inc. Unity Holdings, Inc. Valiant Healthcare, Inc. (n/k/a Valiant ACMS, Inc.) Winrock International, Inc. Release No. 34-72168 File Number: 3-15859
May 15, 2014	Rafferty Capital Markets, LLC Release No. 34-72171 File Number: 3-15871
May 13, 2014	Christopher D. Wiest Release No. 34-72155 File Number: 3-15870
May 9, 2014	Moore, Shawn H. Release No. 34-72144 File Number: 3-15560
May 9, 2014	Gurudeo Persaud Release No. 34-72145, IA-3833 File Number: 3-15867
May 9, 2014	Spangler, Mark F. Release No. IA-3834 File Number: 3-15868
May 9, 2014	G-Trade Services LLC, et al. Release No. 34-72146 See Also: Proposed Distribution Plan Comments received are available: https://www.sec.gov/comments/3-15654/3-15654.shtml File Number: 3-15654
May 8, 2014	Imaging Diagnostic Systems, Inc. Release No. 34-72121 File Number: 3-15864
May 8, 2014	Ronald N. Dennis Release No. IA-3831 File Number: 3-15865
May 7, 2014	ATS Corporation Clear Skies Solar, Inc. Debut Broadcasting Corporation, Inc. Physicians Healthcare Management Group, Inc. Technipower Systems, Inc. (a/k/a Solomon Technologies, Inc.) Theater Xtreme Entertainment Group, Inc. WorldGate Communications, Inc. YTB International, Inc. (a/k/a 1803 International, Inc.) Release No. 34-72110 File Number: 3-15863
May 7, 2014	Environmental Energy Services, Inc. IDI Global, Inc. Inform Worldwide Holdings, Inc. Iptimize, Inc. NGEN, Inc. (a/k/a Nanogen, Inc.) Patrol Systems, Inc. Release No. 34-72111 File Number: 3-15669
May 7, 2014	Amcore Financial, Inc. China Sure Water (USA), Inc. EuroBancshares, Inc. InterAmerican Acquisition Group, Inc. Link Scaffold Products North America Stone Tan China Acquisition Corp. Vanholt Group, Ltd. Release No. 34-72112 File Number: 3-15841
May 5, 2014	GeNOsys, Inc. Release No. 34-72093 File Number: 3-15862
May 5, 2014	Ads in Motion, Inc. Premier Beverage Group Corp. Pulmo BioTech, Inc. TriMedia Entertainment Group, Inc. Zanett, Inc. Release No. 34-72091 File Number: 3-15758
May 1, 2014	Jauyo ("Jason") Lee Release No. 34-72072 File Number: 3-15861
May 1, 2014	Hernandez, Diego F. Wealth Management Partners, LLC (The) Wealth Financial, Limited Liability Company DFHR Investments, Inc. HD Mile High Marketing, Inc. Release No. 33-9581, 34-72073, IA-3828, IC-31037 File Number: 3-15518
May 1, 2014	Power Air Corporation Wescorp Energy, Inc. World Ventures, Inc. Release No. 34-72061 File Number: 3-15678
May 1, 2014	The Enlightened Gourmet, Inc. Eternal Image, Inc. Maxconcept International Holdings, Inc. NMT Medical, Inc. U.S. Fuel Corp. Wits Basin Precious Minerals, Inc. Release No. 34-72062 File Number: 3-15650
May 1, 2014	Advanced Pipe Fitting Technologies Inc. Release No. 34-72063 File Number: 3-15686
May 1, 2014	New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. Release No. 34-72065 File Number: 3-15860
April 30, 2014	Franz, George B., III Ruby Corporation Release No. 34-72058, IA-3826, IC-31035 Additional Materials: Exhibit 1 See Also: Exhibit 1 File Number: 3-15526
April 29, 2014	Assured Equities IV Corp. Beach First National Bancshares, Inc. Norquest Acquisition Corp. SAE Acquisitions, Inc. Unity Holdings, Inc. Valiant Healthcare, Inc. (n/k/a Valiant ACMS, Inc.) Winrock International, Inc. Release No. 34-72043 File Number: 3-15859
April 28, 2014	Fortenberry, Stanley Jonathan (a/k/a Fortenberry, S.J.; Fortenberry, John; Fortenberry, Johnny) Release No. 33-9579, 34-72034, IA-3825, IC-31031 File Number: 3-15858
April 25, 2014	Oded Gabay Release No. 34-72021 File Number: 3-15854
April 25, 2014	Aharon R. Yehuda Release No. 34-72022 File Number: 3-15855
April 25, 2014	Suken A. Shah Release No. 34-72023 File Number: 3-15856
April 25, 2014	Shimul A. Shah Release No. 34-72024 File Number: 3-15857
April 23, 2014	Tweeter Home Entertainment Group, Inc (a/k/a TWTR, Inc.) Ultitek, Ltd. Utix Group, Inc. Velocity Express Corporation Vyteris, Inc. Release No. 34-71996 File Number: 3-15757
April 23, 2014	Aclor International, Inc. Acrongemonics, Inc. Diversified Global Holdings Group, Inc. FutureIT, Inc. Southern Star Energy, Inc. W. Holding Co., Inc. Release No. 34-71997 File Number: 3-15818
April 23, 2014	KMJ Corbin & Company, LLP, Kendall G. Merkley, CPA, and Anthony J. Price, CPA Release No. 34-72005, AAER-3551 File Number: 3-14044
April 23, 2014	McGinn, Timothy M. Smith, David L. Release No. 34-72004, IA-3821 File Number: 3-15461
April 23, 2014	Jane E. O'brien Release No. 34-72010, IA-3823 File Number: 3-15852
April 23, 2014	West, Blair Alexander Release No. 34-72011 File Number: 3-15811
April 23, 2014	North China Horticulture, Inc. Release No. 34-71995 File Number: 3-15457
April 22, 2014	Brody, Kevin Patrick Release No. 34-71984 File Number: 3-15690
April 22, 2014	Franquelin, Armand R. Release No. 34-71991 File Number: 3-15848
April 22, 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. 34-71992 File Number: 3-15849
April 22, 2014	Sample, Matthew D. Release No. 34-71993, IA-3820 File Number: 3-15850
April 22, 2014	Williamson, Brian Release No. 34-71994 File Number: 3-15851
April 21, 2014	Valley Forge Composite Technologies, Inc. Release No. 34-71974 File Number: 3-15846
April 21, 2014	Gordon, Michael Release No. 34-71975 File Number: 3-15753
April 17, 2014	Cain, Philip Mark Release No. 34-71967, IA-3819 File Number: 3-15548
April 17, 2014	Chalmers, Julianne Release No. 34-71969 File Number: 3-15845
April 16, 2014	Tebbs, Kenneth C. Release No. 34-71955 File Number: 3-15844
April 15, 2014	Amcore Financial, Inc. China Sure Water (USA), Inc. EuroBancshares, Inc. InterAmerican Acquisition Group, Inc. Link Scaffold Products North America Stone Tan China Acquisition Corp. Vanholt Group, Ltd. Release No. 34-71947 File Number: 3-15841
April 15, 2014	Total Wealth Management, Inc. Cooper, Jacob Keith McNamee, Nathan Shoemaker, Douglas David Release No. 33-9575, 34-71948, IA-3818, IC-31017 Additional Materials: Exhibit A See Also: Exhibit A File Number: 3-15842
April 15, 2014	Robert C. Rice Release No. 34-71949 File Number: 3-15843
April 15, 2014	Scott T. Veech, CPA Release No. 34-71951, AAER-3550 File Number: 3-13737
April 14, 2014	Patrick J. Booths Release No. 34-71944 File Number: 3-15840
April 14, 2014	Steven J. Little Release No. 34-71942 File Number: 3-15838
April 14, 2014	Joshua D. Spivey Release No. 34-71943 File Number: 3-15839
April 11, 2014	AgFeed Industries, Inc. Release No. 34-71929 File Number: 3-15836
April 11, 2014	Falcon Oil & Gas Co., Inc. First Dearborn Income Properties, LP Franklin American Corp. Future Healthcare, Inc. Gandalf Technologies, Inc. GEO International Corp. GEOAlert, Inc. GiraSolar, Inc. Release No. 34-71930 File Number: 3-14971
April 11, 2014	Aladdin Capital Management LLC and Aladdin Capital LLC, Joseph A. Schlim Release No. 34-71937 File Number: 3-15134, 3-15135
April 10, 2014	Network Dealer Services Holding Corp. NextFit, Inc. Rocky Mountain Minerals, Inc. Titan Technologies, Inc. Trudy Corporation UAGH, Inc. Uranium 308 Corp. Release No. 34-71923 File Number: 3-15806
April 10, 2014	Ronald E. Walblay Release No. 34-71928 File Number: 3-15834
April 10, 2014	Davian, Anthony J. Release No. IA-3817 File Number: 3-15835
April 9, 2014	Hewlett-Packard Company, Release No. 34-71916 File Number: 3-15832
April 8, 2014	Empire Stock Transfer, Inc. and Patrick R. Mokros Release No. 34-71904 File Number: 3-15827
April 8, 2014	Matthew J. Blevins Release No. 34-71905 File Number: 3-15828
April 8, 2014	Buswell, Richard J. Release No. 34-71907, IA-3813 File Number: 3-15829
April 8, 2014	Fouke, Herbert Steven Release No. 34-71908, IA-3814 File Number: 3-15830
April 8, 2014	James Alexander Shepherd Release No. IA-3815 File Number: 3-15831
April 8, 2014	Laird Daniels, CPA Release No. 33-9573, 34-71896, AAER-3548 File Number: 3-15825
April 8, 2014	Kawamura, Keiko Release No. 33-9574, 34-71903, IA-3812, IC-31012 File Number: 3-15826
April 7, 2014	Grossman, Larry C. Adams, Gregory J. Release No. 33-9572, 34-71885, IA-3811, IC-31008 File Number: 3-15617
April 4, 2014	Ads in Motion, Inc. Premier Beverage Group Corp. Pulmo BioTech, Inc. TriMedia Entertainment Group, Inc. Zanett, Inc. Release No. 34-71867 File Number: 3-15758
April 4, 2014	Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason Medvin Release No. 34-71871, IC-31007 File Number: 3-15823
April 4, 2014	Geidel, Timothy J. Release No. 34-71876, IA-3810 File Number: 3-15556
April 4, 2014	Jones, Corbin Release No. 34-71877 File Number: 3-15558
April 4, 2014	Inviva, Inc. and Jefferson National Life Insurance Company Release No. 34-71882 File Number: 3-11579
April 3, 2014	Transamerica Financial Advisors, Inc. Release No. 34-71850, IA-3808 File Number: 3-15822
April 3, 2014	Anthony, Donald J., Jr. Chiappone, Frank H. Feldman, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C. Release No. 33-9571, 34-71864, IC-31005 File Number: 3-15514
April 2, 2014	Alan Sheinwald and Alliance Advisors LLC Release No. 34-71847 File Number: 3-15819
April 2, 2014	Thomas, Delsa U. The D. Christopher Capital Management Group, LLC Release No. IA-3806 File Number: 3-15820
April 2, 2014	Jeffrey M. Semanscin Release No. IA-3807 File Number: 3-15821
April 1, 2014	Aclor International, Inc. Acrongemonics, Inc. Diversified Global Holdings Group, Inc. FutureIT, Inc. Southern Star Energy, Inc. W. Holding Co., Inc. Release No. 34-71834 File Number: 3-15818
March 28, 2014	Charles L. Rizzo and Gina M. Hornbogen Release No. 34-71831 File Number: 3-14641
March 27, 2014	Hendrx Corp. Plastinum Polymer Technologies Corp. Vertical Branding, Inc. WHY USA Financial Group, Inc. XNE, Inc. Release No. 34-71816 File Number: 3-15814
March 27, 2014	L&L Energy, Inc. Lee, Dickson, CPA Release No. 33-9565, 34-71823, AAER-3545 File Number: 3-15815
March 27, 2014	Shirley Kiang Release No. 34-71824, AAER-3546 File Number: 3-15816
March 27, 2014	JPMorgan Chase & Co. Release No. 34-71825, 34-71654, 34-70780, 34-70615, 34-70458 File Number: 3-15507
March 26, 2014	China Metallic Resources, Inc. China Timber Work Enterprises, Inc. Linda Illumination, Inc. Premier International Hotel Group, Inc. Release No. 34-71800 File Number: 3-15665
March 26, 2014	Jinhao Motor Company Carol Fox Foelak, Administrative Law Judge Release No. 34-71801 File Number: 3-15685
March 26, 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. 34-71803 File Number: 3-15813
March 25, 2014	GBS Com-Tech Corp. Gentia Software PLC Glengarry Holdings, Ltd. Global TeleSystems, Inc. Golden Health Holdings, Inc. Golden Vista International, Inc. Goolu, Inc. Release No. 34-71788 File Number: 3-15410

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