Administrative Proceedings

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.

The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions

First Quarter

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Release No. Date Respondents

First Quarter

34-85161 Feb. 15, 2019 Brian Hirsch
Other Release No.: IA-5114
34-85159 Feb. 15, 2019 Jeffrey M. Mattich
Other Release No.: AAER-4022
34-85149 Feb. 15, 2019 Cognizant Technology Solutions Corporation
Other Release No.: AAER-4021
34-85134 Feb. 14, 2019 Hector A. May
Other Release No.: IA-5112
34-85115 Feb. 13, 2019 Deloitte Touche Tohmatsu LLC, Futomichi Amano and Yuji Itagaki
Other Release No.: AAER-4020
IA-5109 Feb. 11, 2019 Timothy S. Batchelor
34-85092 Feb. 11, 2019 Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
34-85091 Feb. 11, 2019 Gray Financial Group, Inc., et al.
34-85089 Feb. 11, 2019 Pennant Management, Inc.
34-85079 Feb. 8, 2019 Daniel J. Callahan
See also: Administrative Summary
34-85081 Feb. 8, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: AAER-4019
34-85077 Feb. 8, 2019 Christopher Eikenberry
34-85076 Feb. 7, 2019 Affirmative Insurance Holdings, Inc., Armada Oil, Inc. and Chuma Holdings, Inc.
34-85075 Feb. 7, 2019 Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.) and Heavy Earth Resources, Inc.
34-85074 Feb. 7, 2019 Ronald W. Nichter
Other Release No.: IA-5108
34-85057 Feb. 5, 2019 Onstream Media Corp.
34-85056 Feb. 5, 2019 Bio-AMD, Inc.
34-85053 Feb. 5, 2019 Frank Dinucci, Jr.
IA-5107 Feb. 4, 2019 Andrew B. Scherr
34-85044 Feb. 4, 2019 GLG Partners, Inc. and GLG Partners, L.P.
IA-5106 Feb. 1, 2019 Kenneth Grace
34-85032 Feb. 1, 2019 Yolanda C. Velazquez
34-85028 Feb. 1, 2019 Vanessa Puleo
34-85027 Feb. 1, 2019 Credit Suisse Securities (USA) LLC (Corrected)
34-85017 Jan. 31, 2019 Canadian Imperial Holdings, Inc. and CIBC World Market Corp.
34-85014 Jan. 31, 2019 John L. Gathright, Jr.
Other Release No.: IA-5105
34-85011 Jan. 31, 2019 Ferne Kornfeld
34-85010 Jan. 31, 2019 Barry M. Kornfeld
34-85009 Jan. 31, 2019 Albert D. Klager
34-85008 Jan. 31, 2019 Jordan E. Goodman
34-85013 Jan. 31, 2019 John Austin Gibson, Jr.
Other Release No.: IA-5104
34-85012 Jan. 31, 2019 Evan Louis Greebel, Esq.
34-85004 Jan. 30, 2019 Robert H. Shapiro
34-85002 Jan. 29, 2019 Biovest International, Inc., et al.
34-84998 Jan. 29, 2019 Digital Turbine, Inc.
Other Release No.: AAER-4018
34-84996 Jan. 29, 2019 Grupo Simec S.A.B. de C.V.
Other Release No.: AAER-4017
34-84995 Jan. 29, 2019 Lifeway Foods, Inc.
Other Release No.: AAER-4016
34-84994 Jan. 29, 2019 CytoDyn Inc.
Other Release No.: AAER-4015
34-84993 Jan. 29, 2019 Perry Douglas West, Esq.
34-84983 Jan. 14, 2019 LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: AAER-4014
See also: Administrative Summary
34-84980 Jan. 9, 2019 Katz, Sapper & Miller, LLP and Scott C. Price, CPA
Other Release Nos.: IA-5100, AAER-4013