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
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
March 25, 2014	Creative Vision Alliance Corporation 210 White Wing Drive #B Columbia, South Carolina 29229 Release No. 33-9564 File Number: 3-15812
March 24, 2014	Matech Corp., et al. Cameron Elliot, Administrative Law Judge Release No. 34-71772 File Number: 3-15670
March 24, 2014	Newman, Todd Release No. 34-71787, IA-3804 File Number: 3-15581
March 21, 2014	Aden Solutions Inc., Lumonall, Inc., Smart Comm International Ltd., Tissera, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-71763 File Number: 3-15677
March 21, 2014	Patrick J. Sullivan Release No. 34-71766, IA-3802 File Number: 3-15809
March 21, 2014	The Phoenix Companies, Inc. and PHL Variable Insurance Company Release No. 34-71768 File Number: 3-15810
March 21, 2014	Brendon P. Mcdonald, CPA Release No. 34-71770, AAER-3544 File Number: 3-12105
March 20, 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. 34-71753 File Number: 3-15805
March 20, 2014	Network Dealer Services Holding Corp. NextFit, Inc. Rocky Mountain Minerals, Inc. Titan Technologies, Inc. Trudy Corporation UAGH, Inc. Uranium 308 Corp. Release No. 34-71755 File Number: 3-15806
March 20, 2014	Mazzola, Frank Felix Investments, LLC Release No. 34-71757, IA-3800 File Number: 3-15807
March 20, 2014	Johnson, Aaron Jousan Release No. IA-3801 File Number: 3-15808
March 19, 2014	Feisal Sharif Release No. 34-71743 File Number: 3-15803
March 19, 2014	Bristol Rhace Natural Resource Corp. Release No. 34-71739 File Number: 3-15800
March 19, 2014	First State Bancorporation Release No. 34-71740 File Number: 3-15801
March 19, 2014	Tarcon Acquisitions I, Inc. Release No. 34-71741 File Number: 3-15802
March 19, 2014	Wilfred J. Halpern, CPA Release No. 34-71748 File Number: 3-15804
March 19, 2014	Credit Suisse Alternative Capital, et al. Release No. 34-71752 File Number: 3-14594
March 18, 2014	Gary Allen Cabello Release No. 34-71732 File Number: 3-15796
March 18, 2014	Michael Aaron Brady Release No. 34-71734, IA-3797 File Number: 3-15797
March 18, 2014	Coplan, Jenny E. Release No. 34-71735 File Number: 3-15798
March 18, 2014	Alexander, Linda Dianne Release No. 34-71737 File Number: 3-15179
March 18, 2014	Montgomery, Michael D. Release No. 34-71738, IA-3798 File Number: 3-15799
March 14, 2014	Frank I. Reinschreiber Release No. 34-71724 File Number: 3-15793
March 14, 2014	Richard P. Greene, Esq. Release No. 34-71729 File Number: 3-15795
March 13, 2014	China Dongfang Healthcare Group, Inc., China Golf Group, Inc., Oma Enterprises Corp., et al. Cameron Elliot, Administrative Law Judge Release No. 34-71710 File Number: 3-15655
March 13, 2014	Freedom Environmental Services, Inc. Release No. 34-71711 File Number: 3-15786
March 13, 2014	Horowitz, Michael A. Cohen, Moshe Marc Release No. 33-9559, 34-71715, IA-3794, IC-30981 File Number: 3-15790
March 13, 2014	Harold Ten, Menachem "Mark" Berger, and Debra Flowers Release No. 34-71712, IC-30979 File Number: 3-15787
March 13, 2014	Howard Feder and Bdl Manager LLC Release No. 34-71713, IA-3792, IC-30980 File Number: 3-15788
March 13, 2014	Marc Steven Firestone and Richard Mark Horowitz Release No. 34-71714, IA-3793 File Number: 3-15789
March 13, 2014	Lions Gate Entertainment Corp. Release No. 34-71717 File Number: 3-15791
March 13, 2014	Scott, Fredrick D. Release No. IA-3795 File Number: 3-15792
March 12, 2014	Ferraro, Alan Release No. 34-71708 File Number: 3-15527
March 12, 2014	Banet, Hausmann-Alain Release No. 34-71709, IA-3791 File Number: 3-15445
March 12, 2014	Asia Health & Beauty Treasure, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-71693 File Number: 3-15666
March 12, 2014	Theodule, George Louis Release No. 34-71694, IA-3790 File Number: 3-15784
March 12, 2014	Jefferies LLC (formerly known as Jefferies & Company, Inc.), Release No. 34-71695 File Number: 3-15785
March 11, 2014	CompuSonics Video Corporation Cameron Elliot, Administrative Law Judge Release No. 34-71679 File Number: 3-15657
March 11, 2014	Newnan Coweta Bancshares, Inc. Proper Power Energy Inc. uVuMobile, Inc. WGNB Corp. YouBlast Global, Inc. Release No. 34-71680 File Number: 3-15780
March 11, 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. 34-71682 File Number: 3-15781
March 11, 2014	John A. Stadler Release No. 33-9556, 34-71687 File Number: 3-15782
March 11, 2014	Marshall, Clayton T. Release No. 33-9557, 34-71688, AAER-3542 File Number: 3-15783
March 10, 2014	Henry Morris Release No. 34-71676A, IA-3789 File Number: 3-15777
March 10, 2014	David Loglisci Release No. 34-71677 File Number: 3-15778
March 10, 2014	Julio Ramirez, Jr. Release No. 34-71678A File Number: 3-15779
March 7, 2014	Berkman, Craig d/b/a Ventures Trust LLC Kern, John B Face Off Acquisitions, LLC Face Off Management, LLC a/k/a Face Off Acquisitions Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust V LLC Ventures Trust VI LLC Ventures Trust Asset Fund LLC Ventures Trust Management LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Assensus Capital, LLC Assensus Capital Management, LLC Release No. 34-71667, IA-3788, IC-30977 File Number: 3-15249
March 6, 2014	Daniel Bergin Release No. 34-71656, IA-3786 File Number: 3-15775
March 6, 2014	Michael R. Shechtman Release No. 34-71658, IA-3787 File Number: 3-15776
March 5, 2014	Worldwide Capital, Inc., and Jeffrey W. Lynn Release No. 34-71653 File Number: 3-15772
March 5, 2014	JPMorgan Chase & Co. Release No. 34-71654 File Number: 3-15507
Feb. 28, 2014	BNY Mellon Securities LLC and Mark Shaw Release No. 34-71638 See Also: Modified Plan of Distribution File Number: 3-14191
Feb. 28, 2014	Paul Desjourdy, CPA, Esq. Release No. 34-71639, AAER-3541 File Number: 3-15771
Feb. 27, 2014	Robert Custis, Esq. Release No. 34-71628 File Number: 3-15770
Feb. 26, 2014	John W. Femenia Release No. 34-71619 File Number: 3-15768
Feb. 25, 2014	Clean Energy Capital, LLC Brittenham, Scott A. Release No. 33-9551, 34-71610, IA-3785, IC-30926 File Number: 3-15766
Feb. 25, 2014	Vincent Buonauro, Jr. Release No. 34-71612 File Number: 3-15767
Feb. 24, 2014	Actavision Ventures, Inc. American Resources Group, Inc. Audioscience, Inc. Basset Enterprises, Inc. Cybertex Enterprises, Inc. (n/k/a Synvion Corp.) Duct Utility Construction & Technologies, Inc. Release No. 34-71602 File Number: 3-15302
Feb. 24, 2014	Left Behind Games, Inc. Release No. 34-71603 File Number: 3-15522
Feb. 24, 2014	Bank of Florida Corp., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-71604 File Number: 3-15656
Feb. 21, 2014	Leonard Inserra Release No. 34-71592 File Number: 3-15762
Feb. 21, 2014	Credit Suisse Group Ag Release No. 34-71593, IA-3782 File Number: 3-1576
Feb. 21, 2014	McDuff, Gary L. Release No. 34-71594 File Number: 3-15764
Feb. 21, 2014	James M. Schneider, CPA Release No. 34-71595, AAER-3538 File Number: 3-14171
Feb. 21, 2014	Fabrizio Neves Release No. 34-71599 File Number: 3-15765
Feb. 21, 2014	Klatch, Anthony J., II Release No. IA-3783 File Number: 3-15608
Feb. 21, 2014	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. 34-71601, IA-3784, IC-30922 File Number: 3-15006
Feb. 20, 2014	Ads in Motion, Inc. Premier Beverage Group Corp. Pulmo BioTech, Inc. TriMedia Entertainment Group, Inc. Zanett, Inc. Release No. 34-71581 File Number: 3-15758
Feb. 20, 2014	Community Alliance, Inc. Defi Global, Inc. Easy Energy, Inc. Industry Concept Holdings, Inc. Transworld Benefits International, Inc. Release No. 34-71582 File Number: 3-15632
Feb. 20, 2014	Fillet, Mitchell H. Release No. 34-71583 File Number: 3-15601
Feb. 20, 2014	Jerry S. Williams Release No. IA-3781 File Number: 3-15759
Feb. 20, 2014	Sam Kan, CPA, and Sam Kan & Company Release No. 34-71585, AAER-3537 File Number: 3-15760
Feb. 20, 2014	Michael A. Tripodi Release No. 34-71587 File Number: 3-15761
Feb. 20, 2014	GLG Partners, Inc. and GLG Partners, L.P. Release No. 34-71590 File Number: 3-15641
Feb. 20, 2014	Alliance Capital Management, L.P. Release No. 34-71591 File Number: 3-11359
Feb. 20, 2014	Tweeter Home Entertainment Group, Inc (a/k/a TWTR, Inc.) Ultitek, Ltd. Utix Group, Inc. Velocity Express Corporation Vyteris, Inc. Release No. 34-71579 File Number: 3-15757
Feb. 19, 2014	Catch By Gene, Inc. Four Star Holdings, Inc. Great Spirits, Inc. Shatrusen, Inc. Solid Management Corp. Texas Sweet Crude Oil Corp. Release No. 34-71567 File Number: 3-15633
Feb. 19, 2014	Hajradin Mucovic Release No. 34-71573 File Number: 3-15756
Feb. 19, 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. 34-71576, AAER-3536 File Number: 3-15116
Feb. 18, 2014	Bandimere, David F. Young, John O. Release No. 33-9549, 34-71564, IA-3780, IC-30920 File Number: 3-15124
Feb. 18, 2014	G-Trade Services LLC, et al. Release No. 34-71558 File Number: 3-15654
Feb. 18, 2014	Gordon, Michael Release No. 34-71561 File Number: 3-15753
Feb. 18, 2014	Singer, Mark Andrew Release No. 34-71563, IA-3779 File Number: 3-15754
Feb. 18, 2014	Feathers, Mark Release No. 34-71565 File Number: 3-15755
Feb. 13, 2014	Golden Elephant Glass Technology, Inc. Pacific Alliance Corp. Release No. 34-71551 File Number: 3-15649
Feb. 13, 2014	China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.) Release No. 34-71552 File Number: 3-15453
Feb. 12, 2014	Menies, Matthew Scott Release No. 34-71547 File Number: 3-15751
Feb. 12, 2014	Jerry A. Smith Release No. IA-3778 File Number: 3-15749
Feb. 12, 2014	David L. Rothman Release No. 34-71548 File Number: 3-15752

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