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. 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
Feb. 11, 2014	Dixon, Roy, Jr. Release No. 34-71522, IA-3776 File Number: 3-15746
Feb. 11, 2014	David M. Martin CPA Release No. 34-71523, AAER-3534 File Number: 3-15747
Feb. 10, 2014	Fifth Third Bancorp and Daniel Poston Release No. 34-71515 File Number: 3-15635
Feb. 6, 2014	David J. Weishaus Release No. 34-71497, IA-3775 File Number: 3-15743
Feb. 6, 2014	Faisal Siddiqui Release No. 34-71500 File Number: 3-15744
Feb. 6, 2014	Siddiqui, Salmaan Release No. 34-71501 File Number: 3-15745
Feb. 6, 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. 34-71495 File Number: 3-15650
Feb. 6, 2014	ICC Worldwide, Inc. Innova Pure Water, Inc. Paladin Holdings, Inc. Performing Brands, Inc. Petrol Oil and Gas, Inc. Platinum Research Organization, Inc. Renew Energy Resources, Inc. Vital Living, Inc. Release No. 34-71496 File Number: 3-15636
Feb. 5, 2014	Lawrence A. O'Donnell, CPA Release No. 34-71484, AAER-3532 File Number: 3-15741
Feb. 5, 2014	Geoffrey W. Nehrenz Release No. 34-71492, IA-3773 File Number: 3-15742
Feb. 5, 2014	Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-71493 See Also: Plan of Distribution File Number: 3-14909
Feb. 4, 2014	Benjamin Chouchane Release No. 34-71477 File Number: 3-15739
Feb. 4, 2014	Henry A. Condron Release No. 34-71478 File Number: 3-15740
Feb. 4, 2014	King, Ryan C. Release No. 33-9543, 34-71471, IC-30903 File Number: 3-15736
Feb. 4, 2014	Gonnella, Thomas C. Release No. 33-9544, 34-71472, IA-3771, IC-30904 File Number: 3-15737
Feb. 4, 2014	West Coast Asset Management, Inc. and Lance W. Helfert Release No. 34-71474 File Number: 3-15660
Feb. 4, 2014	Marek Leszczynski Release No. 34-71476 File Number: 3-15738
Feb. 3, 2014	LaPaz Mining Corp. Stone Boat Mining Corp. Goldstream Mining Inc. Chum Mining Group Inc. Eclipse Resources Inc. PRW Energy Release No. 33-9523 File Number: 3-15715
Feb. 3, 2014	Stone Boat Mining Corp. Release No. 33-9524 File Number: 3-15716
Feb. 3, 2014	Gold Camp Explorations Inc. Release No. 33-9532 File Number: 3-15724
Feb. 3, 2014	Canyon Minerals Inc. Release No. 33-9533 File Number: 3-15725
Feb. 3, 2014	Gaspard Mining Inc. Release No. 33-9534 File Number: 3-15726
Feb. 3, 2014	Jewel Explorations Inc. Release No. 33-9535 File Number: 3-15727
Feb. 3, 2014	Goldstream Mining Inc. Release No. 33-9525 File Number: 3-15717
Feb. 3, 2014	Coronation Mining Corp. Release No. 33-9536 File Number: 3-15728
Feb. 3, 2014	Chum Mining Group Inc. Release No. 33-9526 File Number: 3-15718
Feb. 3, 2014	Bonanza Resources Corp. Release No. 33-9537 File Number: 3-15729
Feb. 3, 2014	Eclipse Resources Inc. Release No. 33-9527 File Number: 3-15719
Feb. 3, 2014	CBL Resources Inc. Release No. 33-9538 File Number: 3-15730
Feb. 3, 2014	PRWC Energy Inc. Release No. 33-9528 File Number: 3-15720
Feb. 3, 2014	Kingman River Resources Inc. Release No. 33-9539 File Number: 3-15731
Feb. 3, 2014	Tuba City Gold Corp. Release No. 33-9529 File Number: 3-15721
Feb. 3, 2014	Lost Hills Mining Inc. Release No. 33-9540 File Number: 3-15732
Feb. 3, 2014	Braxton Resources Inc. Release No. 33-9530 File Number: 3-15722
Feb. 3, 2014	Seaview Resources Inc. Release No. 33-9541 File Number: 3-15733
Feb. 3, 2014	Clearpoint Resources Inc. Release No. 33-9531 File Number: 3-15723
Feb. 3, 2014	Yuma Resources Inc. Release No. 33-9542 File Number: 3-15734
Jan. 31, 2014	DeMiro, Dante Release No. 34-71459, IA-3769 File Number: 3-15711
Jan. 31, 2014	Gonul Colak and Milen K. Kostov, Release No. 33-9522, 34-71461 File Number: 3-15712
Jan. 31, 2014	Armando Ruiz, and Maradon Holdings, LLC Release No. 34-71462 File Number: 3-14388
Jan. 31, 2014	Charles W. Adams Release No. 34-71463, IA-3770 File Number: 3-15713
Jan. 31, 2014	Ross Inserra Release No. 34-71464 File Number: 3-15714
Jan. 30, 2014	Andrea Lando-Tanico Release No. 34-71443 File Number: 3-15710
Jan. 30, 2014	Navigator Money Management, Inc. and Mark A. Grimaldi Release No. 33-9521, IA-3767, IC-30897 File Number: 3-15707
Jan. 30, 2014	Charles L. Rizzo and Gina M. Hornbogen Release No. 34-71448 File Number: 3-14641
Jan. 30, 2014	Veridien Corporation Release No. 34-71438 File Number: 3-15704
Jan. 30, 2014	Horizon Financial Corp. Release No. 34-71439 File Number: 3-15705
Jan. 30, 2014	Frontier Financial Corporation Release No. 34-71440 File Number: 3-15706
Jan. 30, 2014	Patrick Verdi Release No. 34-71441 File Number: 3-15708
Jan. 30, 2014	Melvyn Nathanson Release No. 34-71442, IA-3768 File Number: 3-15709
Jan. 29, 2014	HouseRaising, Inc. iElement Corporation InforMedix Holdings, Inc. Nortia Capital Partners, Inc. PC Universe, Inc. Release No. 34-71433 File Number: 3-15615
Jan. 29, 2014	Gabriel Technologies Corp. Release No. 34-71434 File Number: 3-15700
Jan. 29, 2014	Scottrade, Inc. Release No. 34-71435 File Number: 3-15702
Jan. 29, 2014	Costabile, Douglas Release No. 34-71437 File Number: 3-15703
Jan. 28, 2014	Hegedus, Shawn C. Release No. 34-71427 File Number: 3-15696
Jan. 28, 2014	Thomas C. Conradt Release No. 34-71428 File Number: 3-15697
Jan. 28, 2014	Thomas C. Conradt Release No. 34-71429, IA-3765 File Number: 3-15698
Jan. 28, 2014	Fredric Aaron, Esq. Release No. 34-71430 File Number: 3-15699
Jan. 28, 2014	Fremont Investment Advisors, Inc. Release No. 34-71426 File Number: 3-11726
Jan. 28, 2014	Covenant Bancshares, Inc. Release No. 34-71411 File Number: 3-15692
Jan. 28, 2014	Colorado 2001C Limited Partnership (f/k/a PDC 2001-C Limited Partnership) Release No. 34-71412 File Number: 3-15693
Jan. 28, 2014	Colorado 2001D Limited Partnership (f/k/a PDC 2001-D Limited Partnership) Release No. 34-71413 File Number: 3-15694
Jan. 28, 2014	Michael R. Enea Release No. 34-71414 File Number: 3-15695
Jan. 27, 2014	Western Asset Management Co. Release No. IA-3762, IC-30893 File Number: 3-15688
Jan. 27, 2014	Western Asset Management Company Release No. IA-3763 File Number: 3-15689
Jan. 27, 2014	Brody, Kevin Patrick Release No. 34-71398 File Number: 3-15690
Jan. 27, 2014	Rathgeber, James A. Release No. 34-71399 File Number: 3-15691
Jan. 24, 2014	Advanced Pipe Fitting Technologies Inc. Release No. 34-71384 File Number: 3-15686
Jan. 24, 2014	KPMG LLP Release No. 34-71389, AAER-3530 File Number: 3-15687
Jan. 24, 2014	New Dragon Asia Corp. Release No. 34-71380 File Number: 3-15684
Jan. 24, 2014	Jinhao Motor Company Carol Fox Foelak, Administrative Law Judge Release No. 34-71382 File Number: 3-15685
Jan. 23, 2014	Trent Martin Release No. 34-71369 File Number: 3-15682
Jan. 23, 2014	Neto, Waldyr Da Silva Prado Release No. 34-71379 File Number: 3-15683
Jan. 22, 2014	Samuel B. Franklin & Company, Inc., Samuel B. Franklin, Richard J. Franklin, Jack J. Apple, Bruce D. Livington, Delmar Gladstone (8-11825) Samuel Binder, Hearing Examiner, Williamson, Brian Release No. 33-9515, 34-71364, IA-3760, IC-30887 File Number: 3-1543, 3-15430, 3-15430-rtv
Jan. 22, 2014	Michael B. Spadino, Release No. 34-71368 File Number: 3-15681
Jan. 21, 2014	High End Ventures, Inc. Release No. 34-71359 File Number: 3-15577
Jan. 21, 2014	iVoice, Inc. Protectus Medical Devices, Inc. St. Lawrence Energy Corp. Release No. 34-71355 File Number: 3-15416
Jan. 21, 2014	Heritage Worldwide, Inc. Impala Mineral Exploration Corp. Klondike Star Mineral Corporation MIV Therapeutics Inc. Most Home Corp. Moventis Capital, Inc. OrganiTECH USA, Inc. Release No. 34-71356 File Number: 3-15596
Jan. 21, 2014	Exmocare, Inc. (n/k/a Second Solar, Inc.), First Transaction Management, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-71357 File Number: 3-15455
Jan. 21, 2014	Acies Corporation Immutech Pharmaceuticals, Inc. MRU Holdings, Inc. MSTI Holdings, Inc. Nestor, Inc. New Generation Holdings, Inc. Nuevo Financial Center, Inc. Release No. 34-71358 File Number: 3-15597
Jan. 17, 2014	Bank of Florida Corp., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-71335 File Number: 3-15656
Jan. 17, 2014	Newtech Resources Ltd. Release No. 34-71336 File Number: 3-15576
Jan. 17, 2014	Lanbo Financial Group, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-71337 File Number: 3-15341
Jan. 17, 2014	American Asset Development, Inc. aVinci Media Corp. Ceragenix Pharmaceuticals, Inc. Marshall Holdings International, Inc. MedCom USA, Incorporated Millenium Holding Group, Inc. Release No. 34-71338 File Number: 3-15505
Jan. 17, 2014	American Wenshen Steel Group, Inc. Case Financial, Inc. Global ePoint, Inc. iMedia International, Inc. Release No. 34-71339 File Number: 3-15386
Jan. 17, 2014	Egeberg, Eugene M., CPA Release No. 33-9513, 34-71348, AAER-3529 File Number: 3-15680
Jan. 16, 2014	China Ruitai International Holdings Co., Ltd. Release No. 34-71323 File Number: 3-15545
Jan. 16, 2014	Carbiz, Inc. InZon Corporation IQ Micro, Inc. Irwin Financial Corporation Princeton Media Group, Inc. Release No. 34-71319 File Number: 3-15469
Jan. 16, 2014	G-Cats Acquisition Corp. GalaGen, Inc. Galena Acquisition Corp. Garment Graphics, Inc. Release No. 34-71320 File Number: 3-15431
Jan. 16, 2014	Skyview Holdings Corp., Stonecrest One, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-71321 File Number: 3-15515
Jan. 16, 2014	Bonanza One, Inc. China Century Dragon Media, Inc. Farrallon, Inc. Ora Electronics, Inc. Tia I, Inc. Tia II, Inc. Release No. 34-71322 File Number: 3-15516
Jan. 15, 2014	Aden Solutions Inc., Lumonall, Inc., Smart Comm International Ltd., Tissera, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-71304 File Number: 3-15677
Jan. 15, 2014	Power Air Corporation Wescorp Energy, Inc. World Ventures, Inc. Release No. 34-71306 File Number: 3-15678
Jan. 15, 2014	Louis J. Schaufele III Release No. 34-71315, IA-3757 File Number: 3-15679
Jan. 14, 2014	David H. Frederickson, Esq. Release No. 34-71292 File Number: 3-15676
Jan. 14, 2014	Hicks, Richard D. Release No. 33-9511, 34-71298, IA-3755 File Number: 3-15413
Jan. 14, 2014	Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp., et al. Release No. 34-71300 File Number: 3-15098

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