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

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Release No. Date Respondents

Fourth Quarter

34-82243 Dec. 8, 2017 Steven William Sparks
34-82242 Dec. 8, 2017 Robin Glen Charlet
IA-4823 Dec. 8, 2017 Horter Investment Management, LLC
34-82244 Dec. 8, 2017 Ameriprise Financial Services, Inc.
Other Release No.: IA-4822
33-10443 Dec. 8, 2017 Institutional Investor Advisers, Inc.
Other Release Nos.: IA-4824, IC-32937
34-82233 Dec. 7, 2017 William J. Pulte
See also: Administrative Summary
34-82231 Dec. 7, 2017 American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.)
34-82222 Dec. 5, 2017 Next Galaxy Corp., et al.
IA-4821 Dec. 5, 2017 William P. Carlson, Jr.
34-82220 Dec. 5, 2017 Robert W. Davis, CPA
Other Release No.: AAER-3915
IA-4820 Dec. 5, 2017 Paritosh Gupta, et al.
IA-4819 Dec. 5, 2017 Brahman Capital Corp.
34-82215 Dec. 5, 2017 Gregory Davis, CPA
Other Release No.: AAER-3914
34-82208 Dec. 4, 2017 Rahuldev Gandhi, CPA
Other Release No.: AAER-3913
34-82207 Dec. 4, 2017 Richard J. Koch, CPA
Other Release No.: AAER-3912
34-82206 Dec. 4, 2017 Anton & Chia, LLP, et al.
Other Release No.: AAER-3911
34-82200 Dec. 1, 2017 Credit Suisse Securities (USA) LLC; Sanford Michael Katz
34-82195 Dec. 1, 2017 EZTD, Inc.
33-10441 Nov. 30, 2017 Thaddeus Bereday
Other Release Nos.: 34-82179, AAER-3910
34-82187 Nov. 30, 2017 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
34-82186 Nov. 30, 2017 Apex Fund Services (US), Inc.
34-82188 Nov. 30, 2017 Ivan J. A. Turrentine
34-82185 Nov. 30, 2017 Weatherford International PLC, et al.; Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
34-82184 Nov. 30, 2017 Howard Richards; James Goodland and Securus Wealth Management, LLC
34-82183 Nov. 30, 2017 Aladdin Capital Management LLC and Aladdin Capital LLC
See also: Plan of Distribution
34-82177 Nov. 29, 2017 James M. Palladino
34-82157 Nov. 27, 2017 Edward D. Jones & Co., L.P.
34-82154 Nov. 27, 2017 Jon L. Frank
Other Release No.: AAER-3909
IA-4812 Nov. 22, 2017 Gray Financial Group, Inc., et al.
Other Release No.: IC-32905
33-10438 Nov. 22, 2017 Hartford Investment Financial Services, et al.
Other Release Nos.: 34-82151, IA-4813, IC-32906
34-82133 Nov. 20, 2017 Banc of America Capital Management, LLC, Bacap Distributors, LLC and Banc of America Securities, LLC
34-82124 Nov. 20, 2017 Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
34-82121 Nov. 20, 2017 Weatherford International PLC, et al.
IA-4811 Nov. 20, 2017 Lawrence E. Penn III
34-82118 Nov. 20, 2017 CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc.
34-82117 Nov. 20, 2017 David N. Fuselier
34-82110 Nov. 17, 2017 Michael C. Sabatino, CPA
Other Release No.: AAER-3907
34-82106 Nov. 17, 2017 Nathan Whitney Drage, Esq.
34-82104 Nov. 16, 2017 Integrated Freight Corporation
34-82096 Nov. 16, 2017 UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C.
34-82093 Nov. 15, 2017 Gamzio Mobile, Inc. and Gold Hill Resources, Inc.
34-82089 Nov. 15, 2017 Experience Art and Design, Inc., et al.
34-82079 Nov. 14, 2017 IMK GROUP, INC., et al.
33-10437 Nov. 14, 2017 Paul Behrens, CPA
Other Release Nos.: 34-82073, AAER-3906
33-10436 Nov. 14, 2017 Retirement Surety LLC, et al.
Other Release No.: 34-82069
34-82070 Nov. 14, 2017 David I. Osunkwo, Esq.
34-82054 Nov. 13, 2017 Wells Fargo Advisors, LLC
See also: Administrative Summary
34-82047 Nov. 9, 2017 Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
34-82046 Nov. 9, 2017 Millennium Partners, L.P., et al.
34-82039 Nov. 8, 2017 Hui Feng, Esq. and Law Offices of Feng & Associates P.C.
34-82033 Nov. 8, 2017 Stephen D. Ferrone
34-82030 Nov. 8, 2017 Patric Ken Baccam, a/k/a Khanh Sengpraseuth
Other Release No.: IA-4809
34-82023 Nov. 6, 2017 IN Media Corporation, et al.
34-82015 Nov. 6, 2017 Donald H. Ellison
Other Release No.: IA-4807
34-82011 Nov. 3, 2017 American-Swiss Capital, Inc., et al.
IA-4805 Nov. 3, 2017 Tamer F. Moumen
34-82010 Nov. 3, 2017 James P. Kolf
Other Release No.: IA-4806
34-82002 Nov. 2, 2017 Focus Media Holding Limited and Jason Jiang
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-82001 Nov. 2, 2017 Goelzer Investment Management, Inc. and Gregory W. Goelzer
34-82000 Nov. 2, 2017 Southwest Securities, Inc., et al.
34-81989 Oct. 31, 2017 Millennium Management LLC
34-81983 Oct. 31, 2017 Jeffrey D. Smith, Joseph Carswell and Michael W. Fullard
33-10433 Oct. 27, 2017 UBS Financial Services, Inc.
Other Release Nos.: 34-81974, IA-4803
See also: Administrative Summary
33-10432 Oct. 26, 2017 Artemus Mayor
Other Release No.: 34-81966
See also: Administrative Summary
33-10431 Oct. 26, 2017 Henry Lin-Han Jan
Other Release No.: 34-81965
See also: Administrative Summary
33-10430 Oct. 26, 2017 Kenneth P. Krueger (Corrected)
Other Release Nos.: 34-81964, IA-4802
33-10429 Oct. 26, 2017 YourPeople, Inc., dba Zenefits FTW Insurance Services and Parker Conrad
See also: Administrative Summary
34-81961 Oct. 26, 2017 Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.
34-81960 Oct. 26, 2017 Six Financial Information Inc.
34-81959 Oct. 26, 2017 Canterbury Consulting, Inc.
Other Release No.: IA-4801
34-81954 Oct. 26, 2017 Harold J. Swart, Jr.
Other Release No.: AAER-3903
IA-4800 Oct. 26, 2017 Augustine Capital Management, et al.
Other Release Nos.: IC-32883, AAER-3904
See also: Administrative Summary
34-81939 Oct. 24, 2017 Success Holding Group International, Inc.
IA-4799 Oct. 23, 2017 Brian J. Keenan
IA-4798 Oct. 23, 2017 Kevin J. Amell
34-81912 Oct. 19, 2017 Hampshire Group, Limited, United Mortgage Trust, Inc. and Zoom Companies, Inc.
34-81911 Oct. 19, 2017 Mayank Gupta, CPA
Other Release No.: AAER-3902
34-81910 Oct. 19, 2017 Aladdin Capital Management LLC and Aladdin Capital LLC
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-81908 Oct. 19, 2017 Jeffrey W. Tomz, CPA
Other Release No.: AAER-3901
34-81898 Oct. 19, 2017 Loop Capital Markets, LLC
34-81905 Oct. 19, 2017 BOKF, NA and Lawson Financial Corporation and Robert Lawson
34-81904 Oct. 19, 2017 American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.)
34-81897 Oct. 19, 2017 New Western Energy Corp. and Primco Management, Inc.
34-81896 Oct. 18, 2017 Kun De International Holdings, Inc., New Colombia Resources, Inc. and Sutor Technology Group Limited
34-81886 Oct. 17, 2017 Leonard Vincent Lombardo
34-81884 Oct. 16, 2017 BioPharma Manufacturing Solutions Inc., et al.
33-10426 Oct. 16, 2017 Mergenet Medical Inc., et al.
34-81877 Oct. 16, 2017 Brandon P. Long
Other Release No.: IA-4796
34-81875 Oct. 16, 2017 Joseph Vitale
34-81874 Oct. 16, 2017 Packetport.com, Inc., et al.
34-81873 Oct. 13, 2017 Hampshire Group, Limited, United Mortgage Trust, Inc. and Zoom Companies, Inc.
IA-4795 Oct. 13, 2017 Jeffery S. Preston
34-81869 Oct. 12, 2017 IN Media Corporation, et al.
34-81861 Oct. 12, 2017 Mark Megalli
Other Release No.: IA-4793
34-81865 Oct. 12, 2017 Matthew T. Mellon II
34-81858 Oct. 12, 2017 William B. Fretz, Jr., et al.
34-81847 Oct. 11, 2017 Danny S. Hood
Other Release No.: IA-4790
IA-4792 Oct. 11, 2017 Sam Sadeghi
34-81846 Oct. 10, 2017 Cibolan Gold Corporation, et al.
34-81845 Oct. 10, 2017 Experience Art, et al.
34-81843 Oct. 10, 2017 Christopher Castaldo
34-81834 Oct. 5, 2017 StationDigital Corp.
34-81833 Oct. 5, 2017 Evolucia, Inc. and OSL Holdings, Inc.
34-81832 Oct. 5, 2017 A.C. Simmonds and Sons, Inc., Game Plan Holdings, Inc., and HashingSpace Corp.
34-81831 Oct. 5, 2017 Axesstel, Inc.
34-81830 Oct. 5, 2017 Cono Italiano, Inc., et al.
34-81829 Oct. 5, 2017 Evolucia, Inc., et al.
34-81821 Oct. 5, 2017 Bryce Stirton
34-81820 Oct. 5, 2017 Bilal Basrai
34-81817 Oct. 4, 2017 Wen Chen Hwang aka "Wendy Lee"
34-81813 Oct. 3, 2017 GS EnviroServices, Inc., IPOWorld and Parabel, Inc.
34-81812 Oct. 3, 2017 Atomic Paintball, Inc., North American Oil & Gas Corp. and VelaTel Global Communications, Inc.
34-81811 Oct. 3, 2017 Biovest International, Inc.
34-81810 Oct. 3, 2017 Prospect Ventures, Inc., et al.
34-81809 Oct. 3, 2017 Intellicell Biosciences, Inc.
34-81793 Oct. 2, 2017 Martin T. Cantu
34-81790 Oct. 2, 2017 Maroof Miyana

Third Quarter

33-10422 Sep. 29, 2017 Daniel C. Caravette
Other Release No.: 34-81769
34-81763 Sep. 29, 2017 Louis F. Petrossi
34-81762 Sep. 29, 2017 Pranav V. Patel
34-81758 Sep. 28, 2017 Jeffrey Timothy Kluge
Other Release No.: IA-4782
33-10419 Sep. 28, 2017 Laurence M. Torres
Other Release No.: 34-81752
33-10418 Sep. 28, 2017 Success Holding Group International, Inc.
Other Release No.: 34-81750
34-81757 Sep. 28, 2017 Bobby D. Jones
34-81751 Sep. 28, 2017 Success Holding Group International, Inc.
34-81743 Sep. 28, 2017 Demitrios Hallas
33-10417 Sep. 28, 2017 Alere Inc.
Other Release No.: 34-81742
34-81744 Sep. 28, 2017 Fengjiu Zhang and Xianli Kong
See also: Administrative Summary
IC-32840 Sep. 28, 2017 Honeysuckle Research Inc.
IA-4781 Sep. 28, 2017 Perry H. Beaumont
Other Release No.: IC-32841
See also: Administrative Summary
IA-4780 Sep. 28, 2017 SIX Financial Information USA Inc.
See also: Administrative Summary
34-81741 Sep. 27, 2017 Avaneesh Krishnamoorthy
Other Release No.: IA-4779
34-81740 Sep. 27, 2017 Robert K. Stewart, CPA
Other Release No.: AAER-3900
34-81736 Sep. 27, 2017 Brian C. Jensen
34-81732 Sep. 27, 2017 Louis J. Spina
34-81735 Sep. 27, 2017 Dearborn Bancorp, Inc., et al.
34-81731 Sep. 26, 2017 Guardian 8 Holdings, et al.
34-81728 Sep. 26, 2017 Hydrogen Future Corporation, et al.
34-81726 Sep. 26, 2017 Next Galaxy Corp., et al.
34-81723 Sep. 26, 2017 Infinity Real Estate Holdings Corporation, et al.
34-81724 Sep. 26, 2017 Cecil Franklin Speight
34-81719 Sep. 26, 2017 LBMZ Securities, Inc.
34-81718 Sep. 26, 2017 Naris Chamroonrat
IA-4778 Sep. 26, 2017 VisionPoint Advisory Group, LLC
IA-4777 Sep. 26, 2017 360 Financial, Inc.
IA-4776 Sep. 26, 2017 TRH Financial LLC
IA-4775 Sep. 26, 2017 Brian J. Keenan
34-81712 Sep. 25, 2017 Icon Vapor, Inc., et al.
34-81711 Sep. 25, 2017 Hui Feng and Law Offices of Feng & Associates P.C.
34-81707 Sep. 25, 2017 HydroPhi Technologies Group, Inc., et al.
34-81706 Sep. 25, 2017 KollagenX Corp., et al.
34-81704 Sep. 25, 2017 IN Media Corporation, et al.
IA-4774 Sep. 25, 2017 Aletheia Research and Management, Inc.
34-81703 Sep. 25, 2017 Credit Suisse Securities USA (LLC), et al.
34-81702 Sep. 25, 2017 Credit Suisse Securities USA (LLC), et al.
34-81701 Sep. 25, 2017 Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke
34-81700 Sep. 25, 2017 Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.
34-81698 Sep. 25, 2017 Fred Alger Management, Inc. and Fred Alger & Company, Incorporated
34-81696 Sep. 25, 2017 Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich
See also: Plan of Distribution
34-81695 Sep. 25, 2017 G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC
34-81694 Sep. 25, 2017 GO EZ Corporation, et al.
34-81692 Sep. 22, 2017 IMK Group, Inc., et al.
34-81690 Sep. 22, 2017 Penny Auction Solutions, Inc., Sebring Software, Inc. and Studio II Brands, Inc.
34-81688 Sep. 22, 2017 Hampshire Group, Limited, United Mortgage Trust, Inc. and Zoom Companies, Inc.
IA-4773 Sep. 22, 2017 Marshall G. Eichenauer, Jr. and Sagent Wealth Management, LLC
34-81685 Sep. 22, 2017 Aervision Holdings, Inc., et al.
34-81684 Sep. 22, 2017 Abio Financial Group, Inc.
34-81678 Sep. 21, 2017 Paritz & Company, P.A., et al.
Other Release No.: AAER-3899
See also: Administrative Summary
34-81677 Sep. 21, 2017 Joel P. Zingerman
See also: Administrative Summary
34-81674 Sep. 21, 2017 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
34-81669 Sep. 21, 2017 Telia Company AB
Other Release No.: AAER-3898
IA-4772 Sep. 21, 2017 Platinum Equity Advisors, LLC
See also: Administrative Summary
34-81666 Sep. 21, 2017 JuQun, Inc., et al.
34-81664 Sep. 20, 2017 Joseph H. Craft, CPA
Other Release No.: AAER-3897
34-81663 Sep. 20, 2017 Engage Eco Solutions, Inc., et al.
34-81660 Sep. 19, 2017 Axiom Oil & Gas Corp., et al.
34-81658 Sep. 19, 2017 Immunoclin Corp., Intelligent Living America, Inc. and Ivanhoe Energy, Inc.
34-81656 Sep. 19, 2017 Creator Capital Ltd.
34-81649 Sep. 18, 2017 Meridian Co., Ltd.
34-81647 Sep. 18, 2017 Huixin Waste Water Solutions, Inc.
34-81645 Sep. 18, 2017 Gerald J. (a/k/a Gerry) Cocuzzo
34-81643 Sep. 18, 2017 ARX Gold Corporation
34-81631 Sep. 15, 2017 Herschel C. (a/k/a Tres) Knippa
34-81637 Sep. 15, 2017 George Russell Thoreson
Other Release No.: IA-4771
33-10414 Sep. 15, 2017 Mark A. Gomes
Other Release Nos.: 34-81636, IA-4770, IC-32819
See also: Administrative Summary
34-81634 Sep. 14, 2017 Citigroup Global Markets, Inc. (Corrected)
34-81625 Sep. 14, 2017 Neurologix, Inc., Organic Alliance, Inc. and Zinco do Brasil, Inc.
34-81621 Sep. 14, 2017 CellCyte Genetics Corp., China Pediatric Pharmaceuticals, Inc. and Hawker Energy, Inc.
34-81624 Sep. 14, 2017 Brian McCollum
34-81623 Sep. 14, 2017 Kenneth Mack and Bryan Mcmillan
34-81622 Sep. 14, 2017 Jeffrey Hammel, CPA
34-81620 Sep. 14, 2017 Orthofix International N.V.
34-81633 Sep. 14, 2017 Morgan Stanley Smith Barney LLC (Corrected)
34-81619 Sep. 14, 2017 Thomas C. Tekulve, Jr., CPA
Other Release No.: AAER-3896
34-81627 Sep. 14, 2017 Institutional Investors Advisory Company
34-81618 Sep. 14, 2017 China Hefeng Rescue Equipment, Inc., et al.
34-81611 Sep. 14, 2017 Suntrust Investment Services, Inc.
Other Release No.: IA-4769
34-81609 Sep. 13, 2017 Cono Italiano, Inc., et al.
34-81607 Sep. 13, 2017 ANV Security Group, Inc.
34-81593 Sep. 13, 2017 Daryl G. Bank
34-81589 Sep. 12, 2017 Chile Mining Technologies Inc.
34-81587 Sep. 12, 2017 Experience Art and Design, Inc., et al.
34-81585 Sep. 12, 2017 Howarth Financial Services, LLC and Gary S. Howarth
Other Release Nos.: IA-4768, IC-32816
See also: Administrative Summary
34-81584 Sep. 12, 2017 Jeremy A. Licht d/b/a JL Capital Management
Other Release Nos.: IA-4767, IC-32815
See also: Administrative Summary
34-81577 Sep. 11, 2017 Gamzio Mobile, Inc. and Gold Hill Resources, Inc.
34-81575 Sep. 11, 2017 Kun De International Holdings, Inc., New Colombia Resources, Inc. and Sutor Technology Group Limited
IA-4766 Sep. 11, 2017 Potomac Asset Management Company, Inc. and Goodloe E. Byron, Jr.
34-81570 Sep. 11, 2017 Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-81566 Sep. 11, 2017 William D. Veasey, IV
34-81565 Sep. 11, 2017 Javier Alvarado, Jr.
34-81571 Sep. 11, 2017 G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC
34-81564 Sep. 11, 2017 Gary Yin
Other Release No.: IA-4765
34-81563 Sep. 8, 2017 Olie, Inc., et al.
IA-4764 Sep. 8, 2017 Envoy Advisory, Inc.
34-81559 Sep. 8, 2017 John R. Holtzhauser, CPA
Other Release No.: AAER-3895
34-81557 Sep. 8, 2017 Mike Lundy a/k/a Barkley J.W. Lundy
Other Release No.: IA-4763
34-81553 Sep. 7, 2017 Blink Technologies, Inc. (f/k/a ePunk, Inc.)
34-81552 Sep. 7, 2017 New Western Energy Corp., Preferred Restaurant Brands, Inc. and Primco Management, Inc.
34-81551 Sep. 7, 2017 Century Acquisition Corp. and Eastern Acquisition Corp.
34-81546 Sep. 7, 2017 Brian K. Rabinovitz, CPA
Other Release No.: AAER-3894
34-81544 Sep. 7, 2017 Waldemar Grab
Other Release No.: AAER-3893
34-81542 Sep. 7, 2017 Adrian D. Beamish, CPA
Other Release No.: AAER-3892
33-10411 Sep. 7, 2017 State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC and State Street Bank and Trust Company
Other Release No.: 34-81543
33-10410 Sep. 7, 2017 State Street Bank and Trust Company
34-81540 Sep. 6, 2017 Tintic Gold Mining Company
34-81536 Sep. 6, 2017 Hall Tees, Inc., et al.
34-81535 Sep. 6, 2017 American-Swiss Capital, Inc., et al.
34-81534 Sep. 6, 2017 Steven C. Scudder
Other Release No.: IA-4762
34-81533 Sep. 5, 2017 GeoGlobal Resources, Inc. and USA Synthetic Fuel Corp.
34-81529 Sep. 5, 2017 China Precision Steel, Inc. and Golden River Resources Corp.
34-81527 Sep. 5, 2017 Bohai Pharmaceuticals Group Inc.
34-81525 Sep. 5, 2017 Mackenzie Taylor Minerals, Inc., et al.
34-81524 Sep. 5, 2017 BioPharma Manufacturing Solutions Inc., et al.
34-81523 Sep. 5, 2017 Alan M. Stark, Esq.
34-81522 Sep. 5, 2017 Accelerated Aquisition XVII, et al.
34-81521 Sep. 1, 2017 William Tirrell
34-81519 Aug. 31, 2017 Aja Cannafacturing, Inc., et al.
34-81518 Aug. 31, 2017 Cibolan Gold Corporation, et al.
34-81514 Aug. 31, 2017 PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC
34-81513 Aug. 31, 2017 J. Michael Scarborough and Royal Alliance Associates, Inc.
34-81509 Aug. 30, 2017 International Building Concepts Ltd. (n/k/a Home Builders International), et al.
34-81508 Aug. 30, 2017 Solar Shore One, Inc., et al.
34-81492 Aug. 28, 2017 Circle Star Energy Corp. and Energy Holdings International, Inc.
34-81489 Aug. 28, 2017 CellCyte Genetics Corp., China Pediatric Pharmaceuticals, Inc. and Hawker Energy, Inc.
See also: Chinese Version
34-81480 Aug. 24, 2017 John Abio (a/k/a Tre Brandenberg)
34-81475 Aug. 24, 2017 Municipal Finance Services, Inc., Rick A. Smith and Jon G. Wolff
Other Release No.: IA-4758
See also: Administrative Summary
34-81477 Aug. 24, 2017 Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
34-81473 Aug. 23, 2017 T3 Holdings, Inc. and Vortronnix Technologies, Inc.
34-81472 Aug. 23, 2017 Sylvester King, Jr.
Other Release Nos.: IA-4757, IC-32795
34-81471 Aug. 23, 2017 Aaron R. Parthemer
Other Release Nos.: IA-4756, IC-32794
34-81467 Aug. 23, 2017 Jack Sini
34-81466 Aug. 23, 2017 Jason Hershberger
34-81465 Aug. 23, 2017 Juan M. Perez Ortega
34-81464 Aug. 23, 2017 Shawna Leigh Lynch
34-81463 Aug. 23, 2017 Martin Miller
33-10406 Aug. 23, 2017 Beaumont Financing Authority
33-10405 Aug. 23, 2017 O'Connor & Company Securities, Inc. and Anthony Michael Wetherbee
Other Release Nos.: 34-81462, IC-32789
IA-4753 Aug. 22, 2017 Martin Shkreli
33-10404 Aug. 22, 2017 Vertical Capital Asset Management, LLC, et al.
Other Release Nos.: 34-81456, IA-4751, IC-32788
See also: Administrative Summary
34-81461 Aug. 22, 2017 Jeffrey Gainer
Other Release No.: IA-4755
34-81460 Aug. 22, 2017 Brian Michael Berger
Other Release No.: IA-4754
34-81459 Aug. 22, 2017 Paul Elvidge
34-81458 Aug. 22, 2017 Gerardo E. Reyes
Other Release No.: IA-4752
34-81455 Aug. 22, 2017 Paul E. Renfroe
34-81452 Aug. 22, 2017 Matthew Gamsey, CPA
Other Release No.: AAER-3891
34-81451 Aug. 22, 2017 Edward Dimaria
Other Release No.: AAER-3890
34-81450 Aug. 21, 2017 Ubiquity, Inc.
34-81449 Aug. 21, 2017 Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-81447 Aug. 21, 2017 Allen Chi
34-81445 Aug. 21, 2017 Laurence I. Balter d/b/a Oracle Investment Research
34-81444 Aug. 21, 2017 Prudential Equity Group, LLC, formerly known as Prudential Securities, Inc.
34-81443 Aug. 21, 2017 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
See also: Administrative Summary
IA-4749 Aug. 21, 2017 Deerfield Management Company, L.P.
34-81441 Aug. 18, 2017 Spring Hill Capital Markets, et al.
34-81426 Aug. 18, 2017 Joshua F. McAlees
34-81425 Aug. 18, 2017 John W. Boyer
34-81430 Aug. 18, 2017 James M. Palladino
33-10401 Aug. 18, 2017 Banca IMI Securities Corp.
Other Release No.: 34-81427
34-81424 Aug. 17, 2017 Attitude Drinks Incorporated, et al.
34-81423 Aug. 17, 2017 Valdor Technology International Inc.
34-81421 Aug. 17, 2017 Aurios Inc., et al.
34-81417 Aug. 17, 2017 Stephen S. Eubanks
Other Release No.: IA-4748
34-81416 Aug. 17, 2017 Sarkauskas, Associates, Inc. and James M. Sarkauskas
34-81412 Aug. 16, 2017 Aquentium, Inc., et al.
IA-4747 Aug. 16, 2017 Institutional Investors Advisory Company
IA-4746 Aug. 16, 2017 Capital Dynamics, Inc.
See also: Administrative Summary
34-81397 Aug. 15, 2017 Lisa Pavelka McAlister, CPA
Other Release No.: AAER-3889
IA-4744 Aug. 15, 2017 Diane W. Lamm
Other Release No.: IC-32782
34-81405 Aug. 15, 2017 David I. Osunkwo
Other Release Nos.: IA-4745, IC-32783
34-81396 Aug. 15, 2017 KPMG LLP and John Riordan, CPA
Other Release No.: AAER-3888
34-81395 Aug. 14, 2017 Aquentium, Inc., et al.
34-81394 Aug. 14, 2017 Aquentium, Inc., et al.
IA-4743 Aug. 14, 2017 Coachman Energy Partners LLC and Randall D. Kenworthy
34-81385 Aug. 14, 2017 Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich
34-81383 Aug. 11, 2017 JP Morgan Chase & Co.
34-81380 Aug. 11, 2017 Bryan Wayne Anderson
Other Release No.: IA-4742
34-81378 Aug. 10, 2017 AV Therapeutics, Inc., et al.
34-81377 Aug. 10, 2017 Aquentium, Inc., et al.
34-81375 Aug. 10, 2017 E-Waste Systems, Inc.
34-81356 Aug. 8, 2017 China Du Kang Co., Ltd.
34-81335 Aug. 7, 2017 American Magna Corp., et al.
34-81333 Aug. 7, 2017 Altovida Inc., et al.
34-81331 Aug. 7, 2017 BOLDFACE Group, Inc., et al.
34-81330 Aug. 7, 2017 Donald J. Lester
Other Release No.: IA-4741
34-81329 Aug. 7, 2017 Steven V. McClatchey
Other Release No.: IA-4740
34-81319 Aug. 4, 2017 Valdor Technology International, Inc.
IA-4739 Aug. 4, 2017 Black Diamond Asset Management LLC and Robert Wilson
Other Release No.: IC-32776
34-81313 Aug. 3, 2017 Cibolan Gold Corporation, et al.
34-81308 Aug. 3, 2017 Alfred C. Teran
Other Release No.: IC-32773
34-81307 Aug. 3, 2017 Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA
34-81300 Aug. 2, 2017 China Greenstar Corporation, et al.
34-81298 Aug. 2, 2017 Axiom Oil & Gas Corp., et al.
34-81297 Aug. 2, 2017 Cardinal Resources, Inc., et al.
34-81295 Aug. 2, 2017 AV Therapeutics, Inc., et al.
34-81287 Aug. 2, 2017 Middlecove Capital, LLC and Noah L. Myers
33-10397 Aug. 2, 2017 Joe Yiu Cheung (a/k/a Dylon De Lu Zhang)
Other Release No.: 34-81285
34-81283 Aug. 1, 2017 Aurios Inc., et al.
34-81281 Aug. 1, 2017 Kung Fu Dragon Group Limited
33-10396 Aug. 1, 2017 Michael S. Shore
Other Release Nos.: 34-81277, AAER-3886
33-10395 Aug. 1, 2017 Anastasios P. "Tommy" Belesis
Other Release Nos.: 34-81276, IC-32772
34-81279 Aug. 1, 2017 Bradley T. Smegal
Other Release No.: IA-4737
34-81274 Aug. 1, 2017 Cadaret and Grant & Co., Inc.
Other Release No.: IA-4736
See also: Administrative Summary
34-81273 Jul. 31, 2017 Kenneth Mack and Bryan McMillan
34-81272 Jul. 31, 2017 Brian McCollum
34-81271 Jul. 31, 2017 Jeffrey Hammel, CPA
34-81257 Jul. 31, 2017 Orthofix International N.V.
33-10394 Jul. 31, 2017 Sterling Craig Barton
Other Release No.: 34-81259
33-10393 Jul. 31, 2017 Karen F. Aalders
Other Release No.: 34-81258
IA-4734 Jul. 28, 2017 Columbia River Advisors, LLC, Benjamin J. Addink and Donald A. Foy
See also: Administrative Summary
33-10392 Jul. 28, 2017 Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) and John David Telfer
Other Release No.: 34-81254
See also: Administrative Summary
34-81244 Jul. 27, 2017 Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
34-81243 Jul. 27, 2017 Shallbetter Industries, Inc., et al.
34-81242 Jul. 27, 2017 GCA I Acquisition Corp., et al.
34-81241 Jul. 27, 2017 Resource Services, Inc., et al.
34-81239 Jul. 27, 2017 Aquentium, Inc., et al.
34-81237 Jul. 27, 2017 CNK Global, Inc. (a/k/a American Life Holding Co., Inc.)
34-81235 Jul. 27, 2017 Medicus Homecare Inc.
34-81222 Jul. 27, 2017 Halliburton Company and Jeannot Lorenz
Other Release No.: AAER-3884
34-81219 Jul. 26, 2017 Attitude Drinks Incorporated, et al.
34-81217 Jul. 26, 2017 Aja Cannafacturing, Inc., et al.
34-81216 Jul. 26, 2017 Cibolan Gold Corporation, et al.
34-81221 Jul. 26, 2017 Tilden Loucks & Woodnorth, LLC, Lasalle St. Securities, LLC and Ralph B. Loucks
34-81214 Jul. 26, 2017 Dwight Shane Baldwin
34-81210 Jul. 26, 2017 Wade D. Huettel, Esq.
34-81209 Jul. 26, 2017 Luis J. Carrillo
IA-4733 Jul. 25, 2017 Brian Kimball Case, Bradway Financial, LLC and Bradway Capital Management, LLC
Other Release No.: IC-32741
33-10391 Jul. 25, 2017 Joey Giamichael and Umbrella Research, LLC
Other Release No.: 34-81202
See also: Administrative Summary
34-81173 Jul. 19, 2017 Enviso Capital, LLC, Ryan Bowers and Jeffrey Laberge, CPA
Other Release Nos.: IA-4731, IC-32737, AAER-3883
See also: Administrative Summary
34-81172 Jul. 19, 2017 David Lubin
34-81169 Jul. 19, 2017 KMS Financial Services, Inc.
Other Release No.: IA-4730
See also: Administrative Summary
34-81160 Jul. 18, 2017 John F. Stimpson
See also: Administrative Summary
34-81154 Jul. 17, 2017 Scott A. Doak
IA-4729 Jul. 14, 2017 Vincent Puma
34-81141 Jul. 13, 2017 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
34-81135 Jul. 13, 2017 ABN AMRO Clearing Chicago LLC
34-81127 Jul. 11, 2017 China Biopharma, Inc., et al.
34-81126 Jul. 11, 2017 Sidewinder Explorations Inc.
34-81125 Jul. 11, 2017 Ross Technology, Inc., et al.
34-81124 Jul. 11, 2017 Double Crown Resources, Inc. and GMCI Corp.
34-81111 Jul. 10, 2017 Eric David Wanger
Other Release No.: IA-4728
IA-4727 Jul. 10, 2017 Charles A. Banks, IV
34-81101 Jul. 7, 2017 Diana P. Lovera
34-81100 Jul. 7, 2017 UBS Financial Services Incorporated of Puerto Rico
See also: Plan of Distribution
34-81082 Jul. 6, 2017 Ronald S. Hunt
33-10388 Jul. 6, 2017 Ronald Howard Wills
Other Release No.: 34-81089
See also: Administrative Summary
33-10387 Jul. 6, 2017 Randal Wallis
Other Release No.: 34-81088
See also: Administrative Summary
33-10386 Jul. 6, 2017 Retirement Surety LLC, et al.
Other Release Nos.: 34-81087, IC-32728
See also: Administrative Summary
34-81086 Jul. 6, 2017 Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown
IA-4726 Jul. 6, 2017 Paramount Group Real Estate Advisor LLC
See also: Administrative Summary
IA-4725 Jul. 6, 2017 Landwin Management, LLC and Martin Landis

Second Quarter

33-10384 Jun. 30, 2017 Bantry Bay Capital, LLC and Timothy F. Sexton, Jr.
Other Release Nos.: 34-81071, IA-4724, IC-32721
See also: Administrative Summary
34-81064 June 30, 2017 In the Matter of Certain Disgorgement and Fair Funds in Administrative Proceedings: Notice of Name Change of Appointed Tax Administrator
File Nos.: 3-11292, 3-11359, 3-11393, 3-11450, 3-11498, 3-11514, 3-11515, 3-11538, 3-11578, 3-11645, 3-11676, 3-11793, 3-11814, 3-11818, 3-11914, 3-11915, 3-11916, 3-11935, 3-11940, 3-11987, 3-12114, 3-12115, 3-12116, 3-12238, 3-12372, 3-12400, 3-12540, 3-12554, 3-12678, 3-12737, 3-12805, 3-12868, 3-13199, 3-13675, 3-13847, 3-14191, 3-14192, 3-14594, 3-14641, 3-14854, 3-14863, 3-14899, 3-14909, 3-14950, 3-14982, 3-15014, 3-15098, 3-15134, 3-15135, 3-15211, 3-15429, 3-15471, 3-15507, 3-15526, 3-15641, 3-15982, 3-16014, 3-16017, 3-16163, 3-16175, 3-16203, 3-16389, 3-16398, 3-16575, 3-16755, 3-16757, 3-16786, 3-16829, 3-16846, 3-16852, 3-16955, 3-17075, and 3-17186
34-81057 Jun. 30, 2017 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
IA-4721 Jun. 29, 2017 Resilience Management, LLC, Bassem Mansour and George Ammar
Other Release No.: IC-32716
33-10381 Jun. 29, 2017 Marilyn Stark
Other Release No.: 34-81050
33-10380 Jun. 29, 2017 Nigel G. Lindsay
Other Release No.: 34-81049
33-10379 Jun. 29, 2017 Sarah E. Keck
Other Release No.: 34-81048
33-10378 Jun. 29, 2017 Andrew S. Keck
Other Release No.: 34-81047
33-10377 Jun. 29, 2017 Matthew L. Egna
Other Release No.: 34-81046
33-10376 Jun. 29, 2017 Christopher A. Conley
Other Release No.: 34-81045
34-81042 Jun. 28, 2017 Double Crown Resources, Inc. and GMCI Corp.
34-81033 Jun. 27, 2017 Michael L. Hudson
34-81026 Jun. 26, 2017 Ibex Advanced Mortgage Technology, Inc.
34-81025 Jun. 26, 2017 Wm Smith & Co. and William S. Smith
See also: Administrative Summary
34-81006 Jun. 22, 2017 Conolog Corp. and World Surveillance Group, Inc.
34-81005 Jun. 22, 2017 Myriad Entertainment & Resorts, Inc., National Real Estate Limited Partnership VI and Paradise Communications Services, Inc.
34-81004 Jun. 22, 2017 Hydrocarb Energy Corp.
34-81003 Jun. 22, 2017 Norrell L. Walker
IA-4718 Jun. 22, 2017 Serofim Muroff
34-80996 Jun. 22, 2017 Anthony Portelli
34-80995 Jun. 21, 2017 A.C. Simmonds, et al.
34-80993 Jun. 21, 2017 Bonwick Capital Partners, LLC and Devin Wicker
34-80992 Jun. 21, 2017 New York REIT, Inc. and New York Recovery Advisors, LLC
34-80991 Jun. 21, 2017 Christopher K. Brenner, Esq. (CPA)
Other Release No.: AAER-3880
See also: Litigation Release
34-80984 Jun. 20, 2017 Energy Edge Technologies Corp., Focus Gold Corp. and New York Sub Co.
34-80981 Jun. 20, 2017 dELiA*s Inc. and Global Energy, Inc.
34-80980 Jun. 20, 2017 International Building Concepts Ltd. (n/k/a Home Builders International, Inc.), et al.
IA-4716 Jun. 19, 2017 Mark C. Northrop
33-10371 Jun. 19, 2017 Mark C. Northrop, CPA
Other Release Nos.: 34-80963, IA-4717, AAER-3879
34-80962 Jun. 19, 2017 Ann M. Hiskey
34-80961 Jun. 19, 2017 Harold Bailey "B.J." Gallison, II (a.k.a. Bart Williams)
34-80960 Jun. 19, 2017 Michael J. Randles
34-80959 Jun. 19, 2017 Jurojin, Inc.
34-80958 Jun. 19, 2017 Club Consultants, Inc.
34-80957 Jun. 19, 2017 Bastille Advisors, Inc.
34-80956 Jun. 19, 2017 Vanilla Sky, S.A.
34-80955 Jun. 19, 2017 Sandias Azucaradas CR, S.A.
34-80954 Jun. 19, 2017 Moneyline Brokers
34-80951 Jun. 15, 2017 AVT, Inc., et al.
34-80947 Jun. 15, 2017 Eric W. Kirchner and Richard G. Rodick
Other Release No.: AAER-3877
See also: Administrative Summary
34-80943 Jun. 15, 2017 T3 Holdings, Inc. and Vortronnix Technologies, Inc.
34-80932 Jun. 15, 2017 James R. Trolice
34-80918 Jun. 14, 2017 Edward Richardson Jr., CPA and Edward Richardson Jr.
Other Release No.: AAER-3876
See also: Administrative Summary
34-80910 Jun. 12, 2017 George Joseph Palathinkal, CPA
34-80908 Jun. 12, 2017 Windsor Street Capital, et al. (Corrected)
See also: Administrative Summary
34-80904 Jun. 12, 2017 Lisa Hanmer, CPA
Other Release No.: AAER-3875
34-80896 Jun. 9, 2017 Stephanie Lee
33-10369 Jun. 9, 2017 Michael B. Hayford, et al.
Other Release Nos.: 34-80901, AAER-3874
34-80894 Jun. 9, 2017 Fredrick J. Todd
34-80892 Jun. 8, 2017 Can-Cal Resources Ltd., China Fruits Corp. and Skystar Bio-Pharmaceutical Co.
34-80889 Jun. 8, 2017 Abida Khan
Other Release No.: IA-4713
34-80887 Jun. 8, 2017 Sanford Michael Katz
34-80886 Jun. 8, 2017 Credit Suisse Securities (USA) LLC
34-80884 Jun. 8, 2017 Christopher David Scott
Other Release No.: IC-32674
34-80880 Jun. 7, 2017 Evolucia, Inc., Legend International Holdings, Inc. and OSL Holdings, Inc.
34-80872 Jun. 7, 2017 Dan (“Alice”) Zhang, CPA,
Other Release No.: AAER-3873
See also: Administrative Summary
34-80863 Jun. 5, 2017 Integrated Freight Corporation
34-80855 Jun. 5, 2017 Bret H. Gardner
34-80846 Jun. 1, 2017 New Western Energy Corp., Preferred Restaurant Brands, Inc. and Primco Management, Inc.
IA-4712 Jun. 1, 2017 Marc D. Broidy
IA-4711 Jun. 1, 2017 Ronald J. Fernandes
33-10368 Jun. 1, 2017 David R. Humphrey, CPA
Other Release Nos.: 34-80839, AAER-3872
34-80842 Jun. 1, 2017 Howard Richards; James Goodland and Securus Wealth Management, LLC
34-80829 May 31, 2017 Cardinal Resources, Inc. and StationDigital Corp.
34-80817 May 31, 2017 Harrison Katzen
33-10367 May 26, 2017 Laurence I. Balter d/b/a Oracle Investment Research
34-80778 May 25, 2017 Ciralight Global, Inc., et al.
34-80776 May 25, 2017 Christopher Cervino
34-80775 May 25, 2017 Gregory Scott Weisman
34-80774 May 25, 2017 Everette L. Scott, Jr.
34-80765 May 24, 2017 A.C. Simmonds and Sons, Inc. et al.
34-80764 May 24, 2017 Double Crown Resources, Inc. and GMCI Corp.
34-80750 May 23, 2017 Lisa Hanmer, CPA
Other Release No.: AAER-3871
34-80749 May 23, 2017 Daniel Millmann, CPA
Other Release No.: AAER-3870
34-80742 May 22, 2017 Aladdin Capital Management LLC and Aladdin Capital LLC
33-10365 May 22, 2017 In re: Pending Administrative Proceedings
Other Release No.: 34-80741, IA-4708, IC-32643
34-80739 May 22, 2017 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
34-80733 May 19, 2017 Corey J. Brinson, Esq.
34-80732 May 19, 2017 Kee Chan
34-80712 May 18, 2017 William J. Wells
Other Release No.: IA-4707
34-80711 May 18, 2017 William B. Fretz, Jr., et al.
See also: Plan of Distribution
34-80703 May 16, 2017 Atomic Paintball, Inc., North American Oil & Gas Corp. and VelaTel Global Communications, Inc.
34-80701 May 16, 2017 Digital Brand Media & Marketing Group, Inc. and Intellicell Biosciences, Inc.
33-10363 May 12, 2017 Lion Print Corp.
33-10362 May 12, 2017 Formous Corp.
33-10361 May 12, 2017 Lorilay Corp.
33-10360 May 12, 2017 Universal Movers Corp.
33-10359 May 12, 2017 Privoz
33-10358 May 12, 2017 Canso Enterprises Ltd.
33-10356 May 12, 2017 Emerald Isle Exploration, Ltd., Samuell Eads and Lloyd C. Brewer
Other Release No.: 34-80668
See also: Administrative Summary
34-80652 May 11, 2017 Miles S. Nadal
34-80643 May 10, 2017 Robert B. Crowe, Esq.
33-10355 May 10, 2017 Barclays Capital Inc.
Other Release Nos.: 34-80639, IA-4705
34-80633 May 9, 2017 Ciralight Global, Inc., et al.
34-80628 May 8, 2017 Frederick Eugene Monroe, Jr.
Other Release No.: IA-4704
34-80626 May 8, 2017 Bankrate, Inc.
34-80625 May 8, 2017 Steven H. Sharaf
34-80624 May 8, 2017 Edward R. Sachs
34-80623 May 8, 2017 Frank Penaloza
34-80622 May 8, 2017 Victor Lovera
34-80621 May 8, 2017 Joseph Loish
34-80620 May 8, 2017 Steven L. Goldstein
34-80617 May 5, 2017 Real Hip-Hop Network, Inc., et al.
IA-4702 May 5, 2017 Source Financial Advisors, LLC and Michelle M. Smith
IA-4701 May 5, 2017 Tellone Management Group, Inc. and Dean C. Tellone
34-80604 May 5, 2017 PA Fund Management LLC, Pea Capital LLC and PA Distributors LLC
Other Release Nos.: IA-4700, IC-32626
34-80603 May 5, 2017 PA Fund Management LLC f/k/a Pimco Advisors Fund Management LLC, Pea Capital LLC f/k/a Pimco Equity Advisors LLC and PA Distributors LLC f/k/a Pimco Advisors Distributors LLC
Other Release Nos.: IA-4699, IC-32625
34-80602 May 4, 2017 Yasuo Oda
34-80601 May 4, 2017 Griffith Thomas Ellis
34-80589 May 3, 2017 Portus Corporation
34-80588 May 3, 2017 Fibercorp International, Inc., Hygenics Pharmaceuticals, Inc. and Investors Trust, Inc.
34-80587 May 3, 2017 Delverton Resorts International Inc.
34-80582 May 3, 2017 AlphaBridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino
34-80578 May 2, 2017 Sanomedics, Inc.
IA-4696 May 2, 2017 Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.
Other Release No.: IC-32624
See also: Administrative Summary
34-80575 May 2, 2017 Lu Zhang
Other Release No.: IC-32623
34-80572 May 2, 2017 David Michael Burke
IA-4695 May 1, 2017 William Blair & Company, L.L.C.
See also: Administrative Summary
34-80568 May 1, 2017 Gregory Reyftmann
33-10352 May 1, 2017 MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
Other Release Nos.: 34-80564, AAER-3869
34-80565 May 1, 2017 Michael Andre Jones
34-80562 May 1, 2017 David F. Wong
Other Release No.: IC-32618
See also: Administrative Summary
34-80561 May 1, 2017 Yoon Seok Lee
Other Release No.: IC-32617
See also: Administrative Summary
34-80560 May 1, 2017 Barclays Capital Inc.
See also: Administrative Summary
34-80559 Apr. 28, 2017 Computer Sciences Corporation, et al.
See also: Plan of Distribution
34-80557 Apr. 28, 2017 Lebenthal & Co., LLC
34-80548 Apr. 28, 2017 David Pruitt, CPA
Other Release No.: AAER-3868
34-80547 Apr. 28, 2017 Mark Wentlent
Other Release No.: AAER-3867
34-80544 Apr. 27, 2017 Focus Media Holding Limited and Jason Jiang
34-80543 Apr. 27, 2017 Bear, Stearns & Co. and Bear, Stearns Securities Corp.
34-80539 Apr. 27, 2017 Abida Khan
Other Release No.: IA-4694
34-80538 Apr. 27, 2017 Christopher Cervino
IA-4693 Apr. 27, 2017 Yul L. Pinto Ayala
34-80535 Apr. 27, 2017 UBS Financial Services Incorporated of Puerto Rico
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-80533 Apr. 26, 2017 Wilson-Davis & Company, Inc.
See also: Administrative Summary
34-80532 Apr. 26, 2017 Prospect Ventures, Inc., et al.
IC-32613 Apr. 25, 2017 Blackrock Fund Advisors
See also: Administrative Summary
34-80528 Apr. 25, 2017 Alliance Capital Management, L.P.
34-80527 Apr. 25, 2017 Harold Ray Smith
34-80519 Apr. 24, 2017 Axesstel, Inc.
34-80513 Apr. 24, 2017 Jared M. Galanis
34-80507 Apr. 21, 2017 Mark McKinnies, CPA
Other Release No.: AAER-3866
34-80493 Apr. 20, 2017 Biovest International, Inc., et al.
34-80492 Apr. 19, 2017 6D Global Technologies, Inc. the NASDAQ Stock Market LLC
34-80488 Apr. 19, 2017 ABN AMRO Clearing Chicago LLC
IA-4688 Apr. 19, 2017 Mark J. Varacchi
34-80480 Apr. 18, 2017 Michael D. Shumway
34-80476 Apr. 18, 2017 Jeffory Churchfield
34-80469 Apr. 17, 2017 Anthony Coronati and Bidtoask LLC
See also: Distribution Plan
34-80464 Apr. 14, 2017 Prestige Financial Corp., et al.
34-80463 Apr. 14, 2017 Paul Leon White, II
Other Release No.: IA-4687
34-80460 Apr. 14, 2017 Joseph J. Fox
34-80459 Apr. 13, 2017 Mark D. Holt and (a/k/a Mark D. Holthusen)
Other Release No.: IA-4686
34-80452 Apr. 13, 2017 CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc.
34-80446 Apr. 13, 2017 Solar Shore One, Inc., et al.
34-80444 Apr. 12, 2017 Anthony G. Sciarra
Other Release No.: IA-4685
34-80442 Apr. 12, 2017 Travis A. Wetzel
Other Release No.: IA-4684
34-80436 Apr. 11, 2017 Focus Media Holding Limited and Jason Jiang
IA-4683 Apr. 11, 2017 Clayton A. Cohn
34-80426 Apr. 11, 2017 Andrew C. Powell
34-80424 Apr. 10, 2017 Robert N. Tricarico
Other Release No.: IA-4682
33-10347 Apr. 10, 2017 Christopher French
Other Release No.: 34-80413
33-10346 Apr. 10, 2017 Manish Singh and Lavos, LLC
Other Release No.: 34-80412
33-10345 Apr. 10, 2017 Cytrx Corporation
33-10344 Apr. 10, 2017 Ciaran Thornton
Other Release No.: 34-80414
33-10343 Apr. 10, 2017 Michael A. McCarthy, et al.
33-10342 Apr. 10, 2017 Stephen Ramey
Other Release No.: 34-80411
33-10341 Apr. 10, 2017 Edward Borrelli and Dunedin, Inc.
33-10340 Apr. 10, 2017 Lion Biotechnologies, Inc.
Other Release No.: 34-80410
33-10339 Apr. 10, 2017 Craig Keolanui
Other Release No.: 34-80409
33-10338 Apr. 10, 2017 ImmunoCellular Therapeutics, Ltd.
Other Release No.: 34-80408
33-10337 Apr. 10, 2017 Galena Biopharma, Inc. and Mark J. Ahn
Other Release Nos.: 34-80407, AAER-3865
33-10336 Apr. 10, 2017 Joel Corenman
Other Release No.: 34-80406
34-80402 Apr. 7, 2017 Anthony C. Zufelt
34-80392 Apr. 6, 2017 William B. Fretz, Jr., et al.
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-80390 Apr. 6, 2017 Dustin S. Smith
34-80389 Apr. 6, 2017 Ashif Jiwa
33-10335 Apr. 5, 2017 John T. Lynch, Jr.
Other Release Nos.: 34-80377, IC-32592
33-10334 Apr. 5, 2017 Lawson Financial Corporation and Robert Lawson
Other Release Nos.: 34-80376, IC-32591
IA-4679 Apr. 4, 2017 Sanford Michael Katz
See also: Administrative Summary
34-80373 Apr. 4, 2017 Credit Suisse Securities (USA) LLC
See also: Administrative Summary
34-80370 Apr. 4, 2017 William Joseph Kouser Jr., CPA and Ryan James Dougherty, CPA
Other Release No.: AAER-3864
34-80365 Apr. 3, 2017 International Building Concepts Ltd. (n/k/a Home Builders International, Inc.), et al.

First Quarter

34-80356 Mar. 31, 2017 Cygs, LLC
34-80354 Mar. 31, 2017 Kenneth Mack and Bryan McMillan
34-80353 Mar. 31, 2017 Orthofix International N.V.
34-80352 Mar. 31, 2017 Brian McCollum
34-80351 Mar. 31, 2017 Jeffrey Hammel, CPA
34-80344 Mar. 30, 2017 Real Hip-Hop Network, Inc., et al.
34-80343 Mar. 30, 2017 Thomas H. Caniford
Other Release No.: IA-4675
34-80342 Mar. 30, 2017 Paul L. Gomez
34-80345 Mar. 30, 2017 Vincent Mehdizadeh
IA-4672 Mar. 29, 2017 Covenant Financial Services, LLC and Stephen Shafer
34-80332 Mar. 29, 2017 Louis Capital Markets, LP
See also: Administrative Summary
34-80335 Mar. 29, 2017 Alison, LLC and Stephen D. Alison
Other Release Nos.: IA-4673, IC-32582
33-10329 Mar. 29, 2017 Advanced Emissions Solutions, Inc.
Other Release No.: 34-80333
34-80317 Mar. 27, 2017 CirTran Corp., et al.
33-10327 Mar. 24, 2017 William Quigley
Other Release No.: 34-80307
34-80302 Mar. 23, 2017 Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
See also: Plan of Distribution
33-10325 Mar. 23, 2017 Sheldon Rose and MKJJ Consulting LLC
Other Release No.: 34-80301
34-80299 Mar. 22, 2017 William D. Bucci
Other Release No.: IA-4670
34-80294 Mar. 21, 2017 Sen Yu International Holdings, Inc.
34-80293 Mar. 21, 2017 China Biopharma, Inc., et al.
34-80291 Mar. 21, 2017 Vampt America, Inc. and Westport Energy Holdings, Inc.
34-80290 Mar. 21, 2017 Aquanatural Co., Bullet Sports International, Inc. and Pearce Systems International, Inc.
34-80289 Mar. 21, 2017 PAB Bankshares, Inc. and USABG Corp.
34-80288 Mar. 21, 2017 Ben Franklin Retail Stores, Inc., Enrotek Corp. and Spectre Gaming, Inc.
34-80278 Mar. 20, 2017 David P. Hobson
Other Release No.: IA-4669
34-80276 Mar. 20, 2017 Ubiquity, Inc.
34-80273 Mar. 17, 2017 Ernst & Young LLP, et al.
34-80263 Mar. 16, 2017 Warren D. Nadel
Other Release No.: IA-4668
34-80261 Mar. 16, 2017 Shallbetter Industries, Inc., et al.
34-80238 Mar. 14, 2017 Nima Hedayati
Other Release No.: AAER-3863
IA-4665 Mar. 13, 2017 Stifel and Nicolaus & Company, Incorporated
34-80233 Mar. 13, 2017 Computer Sciences Corporation, et al.
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-80232 Mar. 13, 2017 G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC
34-80231 Mar. 13, 2017 Jeremy S. Hixson
Other Release No.: IA-4666
34-80221 Mar. 13, 2017 Aaron R. Parthemer
Other Release Nos.: IA-4664, IC-32531
IA-4663 Mar. 13, 2017 Michael J. Breton
34-80198 Mar. 10, 2017 Victor Alfaya
34-80197 Mar. 10, 2017 Talman Harris
34-80196 Mar. 10, 2017 Ronald Loshin
34-80195 Mar. 9, 2017 Mark M. George
34-80183 Mar. 9, 2017 Patrick Churchville
Other Release No.: IA-4662
34-80177 Mar. 8, 2017 Voya Financial Advisors, Inc.
Other Release No.: IA-4661
See also: Administrative Summary
34-80176 Mar. 8, 2017 Adam L. Plumer
34-80174 Mar. 8, 2017 GCA I Acquisition Corp., et al.
34-80170 Mar. 7, 2017 Harrison W. Schumacher, II
34-80160 Mar. 6, 2017 Naveed A. (a/k/a Nick) Khan
34-80159 Mar. 6, 2017 Lustros, Inc. and Med-X Systems, Inc.
34-80158 Mar. 6, 2017 All-Pro Products, Inc., et al.
34-80157 Mar. 6, 2017 Cala Corporation, China Huaren Organic Products, Inc. and Daystar Technologies, Inc.
34-80156 Mar. 6, 2017 Mars Acquisitions, Inc. and Softnet Technology Corp.
34-80145 Mar. 3, 2017 CirTran Corp., et al.
33-10319 Feb. 28, 2017 Walter V. Gerasimowicz
Other Release Nos.: 34-80127, IA-4655, IC-32517
33-10317 Feb. 28, 2017 Eric David Wanger
Other Release Nos.: 34-80124, IC-32516
33-10316 Feb. 28, 2017 Web Debt Solutions, LLC
See also: Notice from the Division of Enforcement, Administrative Summary, and Order
33-10315 Feb. 27, 2017 Nova Smart Solutions Inc.
33-10314 Feb. 27, 2017 Arc Lifestyle Group Inc.
33-10313 Feb. 27, 2017 Go EZ Corporation
34-80113 Feb. 24, 2017 Myriad Entertainment & Resorts, Inc., National Real Estate Limited Partnership VI and Paradise Communications Services, Inc.
34-80112 Feb. 24, 2017 Prestige Financial Corp., et al.
34-80111 Feb. 24, 2017 Sidewinder Explorations Inc.
34-80103 Feb. 24, 2017 Edward Richardson Jr., CPA and Edward Richardson Jr.
Other Release No.: AAER-3860
34-80095 Feb. 23, 2017 John Austin Gibson, Jr.
Other Release No.: IA-4654
34-80092 Feb. 23, 2017 Lee P. Vaccaro
Other Release No.: IA-4653
34-80091 Feb. 23, 2017 Brian S. Hudnall
34-80087 Feb. 22, 2017 Anthony Coronati and Bidtoask LLC
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-80083 Feb. 22, 2017 Gregory J. Smith
Other Release No.: IC-32505
34-80078 Feb. 22, 2017 G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC
34-80070 Feb. 21, 2017 UBS Financial Services Inc. of Puerto Rico
See also: Plan of Distribution; Exhibit A; Exhibit B
34-80069 Feb. 21, 2017 Kalex Corp.
34-80068 Feb. 21, 2017 BioNovo, Inc. InterAamerican Gaming, Inc. and Spot Mobile International Ltd.
34-80067 Feb. 21, 2017 Accel Brands, Inc.
34-80066 Feb. 21, 2017 MFN Technologies, Inc.
34-80065 Feb. 17, 2017 Christopher M. Cunningham
Other Release No.: IA-4652
34-80063 Feb. 17, 2017 Joseph L. Pittera, Esq.
34-80058 Feb. 17, 2017 Hydrocarb Energy Corp.
33-10310 Feb. 17, 2017 Edward M. Daspin and a/k/a "Edward (Ed) Michael"
Other Release No.: 34-80057
33-10309 Feb. 17, 2017 Jay T. Comeaux
Other Release Nos.: 34-80056, IA-4651, IC-32482
34-80054 Feb. 16, 2017 James P. Griffin
34-80053 Feb. 16, 2017 Angel Oak Capital Partners, LLC, et al.
See also: Administrative Summary
34-80048 Feb. 15, 2017 Morgan Asset Management, Inc., et al.
34-80039 Feb. 14, 2017 CVR Energy, Inc.
34-80038 Feb. 14, 2017 Jeffrey E. Eberwein; Lone Star Value Management, et al.
IA-4649 Feb. 14, 2017 Morgan Stanley Smith Barney, LLC
33-10307 Feb. 13, 2017 Thomas R. Stanley, II
Other Release Nos.: 34-80033, IC-32476
See also: Administrative Summary
34-80027 Feb. 13, 2017 Sidoti & Company, LLC
34-80026 Feb. 13, 2017 Joseph A. Nelson
34-80016 Feb. 10, 2017 Columbia Management Investment Services Corp.
See also: Administrative Summary
34-80006 Feb. 10, 2017 Sylvester King Jr.
Other Release Nos.: IA-4648, IC-32475
34-80005 Feb. 9, 2017 Jaypee International, Inc. and Sorabh Arora
34-80001 Feb. 9, 2017 William G. Goode
34-80000 Feb. 9, 2017 Raymond H. Barton
34-79997 Feb. 9, 2017 Credit Suisse Alternative Capital, et al.
See also: Plan of Distribution
34-79991 Feb. 8, 2017 Ash Narayan
34-79990 Feb. 8, 2017 Darren Goodrich
IA-4647 Feb. 8, 2017 Jeffrey Slocum & Associates, Inc. and Jeffrey C. Slocum
See also: Administrative Summary
IA-4645 Feb. 8, 2017 Thomas A. Guerriero
34-79986 Feb. 8, 2017 Oxford City Football Club, Inc.
33-10304 Feb. 8, 2017 Oxford City Football Club, Inc.
IA-4644 Feb. 7, 2017 Gregg D. Caplitz
IA-4643 Feb. 7, 2017 Rosalind Herman
33-10303 Feb. 7, 2017 Olde Monmouth Stock Transfer Co., Inc. and Matthew J. Troster
Other Release No.: 34-79985
IA-4641 Feb. 7, 2017 SLRA Inc. as Successor Entity to Liquid Realty Advisors III, LLC and Scott M. Landress
Other Release No.: IC-32470
34-79980 Feb. 7, 2017 Robert S. McGregor
34-79977 Feb. 6, 2017 Aaron Nash Kazinec
Other Release No.: IA-4640
34-79973 Feb. 6, 2017 Dynamic Response Group, Inc., Eagle Telephonics, Inc. and Far East Energy Corporation
34-79972 Feb. 6, 2017 Questrust Ventures, Inc. and Zaring Homes, Inc.
33-10302 Feb. 3, 2017 Ixia and Victor Alston
Other Release Nos.: 34-79971, AAER-3858
34-79969 Feb. 3, 2017 Karl E. Hahn
Other Release No.: IA-4639
34-79968 Feb. 3, 2017 Kirk D. Porter
34-79952 Feb. 2, 2017 Thomas H. Caniford
Other Release No.: IA-4638
34-79943 Feb. 2, 2017 Fibercorp International, Inc., Hygenics Pharmaceuticals, Inc. and Investors Trust, Inc.
34-79941 Feb. 2, 2017 AVT, Inc., et al.
34-79939 Feb. 2, 2017 Delverton Resorts International Inc.
34-79903 Jan. 31, 2017 David A. Aronson, CPA
Other Release No.: AAER-3857
34-79893 Jan. 30, 2017 Bill the Butcher, Inc.
IA-4630 Jan. 30, 2017 GL Investment Services, LLC
IA-4629 Jan. 30, 2017 GL Capital Partners, LLC
IA-4627 Jan. 27, 2017 Harvey Altholtz
34-79888 Jan. 27, 2017 Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
See also: Proposed Plan of Distribution
34-79882 Jan. 26, 2017 Citigroup Global Markets, Inc.
Other Release No.: IA-4626
34-79881 Jan. 26, 2017 Sandra Dyche
34-79880 Jan. 26, 2017 Anderson Bradshaw PLLC, et al.
Other Release No.: AAER-3856
34-79879 Jan. 26, 2017 Palestra Capital Management LLC
Other Release No.: IA-4625
34-79875 Jan. 25, 2017 Richard Medina, Jr.
33-10294 Jan. 25, 2017 Infeed Medica Corp.
33-10293 Jan. 25, 2017 Windsor Street Capital, et al.
Other Release Nos.: 34-79877, IC-32451
IA-4624 Jan. 24, 2017 Hans Peter Black and Interinvest Corporation, Inc.
33-10291 Jan. 24, 2017 Jan E. Helen
Other Release Nos.: 34-79870, IA-4623, IC-32434
34-79867 Jan. 24, 2017 Geoffrey J. Block
Other Release Nos.: IA-4622, IC-32430
34-79866 Jan. 24, 2017 Sandra Dyche
See also: Plan of Distribution
33-10290 Jan. 24, 2017 Morgan Stanley Smith Barney LLC
33-10288 Jan. 24, 2017 Citigroup Global Markets, Inc.
34-79856 Jan. 23, 2017 Donald P. Jones, CPA
Other Release No.: AAER-3854
34-79855 Jan. 23, 2017 Shelly R. McGuire, CPA
Other Release No.: AAER-3853
34-79854 Jan. 23, 2017 Ane Plate
Other Release No.: IA-4621
33-10286 Jan. 23, 2017 Overseas Shipholding Group, Inc. and Myles Robert Itkin
Other Release Nos.: 34-79857, AAER-3855
IA-4620 Jan. 19, 2017 Bob Brakeman Enterprises, LLC and Robert D. Brakeman
Other Release No.: IC-32429
34-79850 Jan. 19, 2017 VCAP Securities, LLC and Brett Thomas Graham
34-79848 Jan. 19, 2017 Susan M. Diamond
Other Release Nos.: IA-4619, IC-32428
See also: Administrative Summary
34-79847 Jan. 19, 2017 Andrew Scott Jensen
34-79844 Jan. 19, 2017 HomeStreet, Inc. and Darrell Van Amen
Other Release No.: AAER-3852
33-10285 Jan. 18, 2017 Mer Telemanagement Solutions Ltd.
Other Release No.: 34-79827
See also: Administrative Summary
33-10284 Jan. 18, 2017 Eytan Bar
Other Release No.: 34-79826
See also: Administrative Summary
34-79828 Jan. 18, 2017 Orthofix International N.V.
Other Release No.: AAER-3851
34-79825 Jan. 18, 2017 General Motors Company
Other Release Nos.: AAER-3850
34-79820 Jan. 18, 2017 Kenneth Mack and Bryan McMillan
Other Release No.: AAER-3848
34-79819 Jan. 18, 2017 Brian McCollum
Other Release No.: AAER-3847
33-10283 Jan. 18, 2017 MDC Partners Inc.
Other Release Nos.: 34-79823, AAER-3849
33-10282 Jan. 18, 2017 Jeffrey Hammel, CPA
Other Release Nos.: 34-79817, AAER-3846
33-10281 Jan. 18, 2017 Orthofix International N.V.
Other Release Nos.: 34-79815, AAER-3845
34-79824 Jan. 18, 2017 Charles A. Bennett
34-79814 Jan. 17, 2017 Allergan, Inc.
34-79813 Jan. 17, 2017 Abraham M. Fisch, Esq.
34-79804 Jan. 17, 2017 BlackRock, Inc.
IA-4618 Jan. 17, 2017 Gregory W. Gray, Jr.
IA-4617 Jan. 17, 2017 Adams Capital Management, Inc.
IA-4616 Jan. 17, 2017 Aisling Capital LLC
IA-4615 Jan. 17, 2017 Commonwealth Venture Management Corp.
IA-4614 Jan. 17, 2017 Alta Communications, Inc.
IA-4613 Jan. 17, 2017 Cypress Advisors, Inc.
IA-4612 Jan. 17, 2017 NGN Capital LLC
IA-4611 Jan. 17, 2017 Lime Rock Management LP
IA-4610 Jan. 17, 2017 FFL Partners, LLC
IA-4609 Jan. 17, 2017 The Banc Funds Company, L.L.C.
IA-4608 Jan. 17, 2017 Pershing Square Capital Management, L.P.
34-79803 Jan. 13, 2017 Haidar Capital Management, LLC, Haidar Capital Advisors, LLC and Said N. Haidar
34-79799 Jan. 13, 2017 Gregg R. Mulholland
34-79795 Jan. 13, 2017 Sociedad Quimica Y Minera De Chile and S.A.
34-79794 Jan. 13, 2017 Morgan Stanley Smith Barney, LLC
Other Release No.: IA-4607
33-10280 Jan. 13, 2017 Citadel Securities LLC
Other Release No.: 34-79790
34-79789 Jan. 13, 2017 Q Lotus Holdings, Inc. and Spare Backup, Inc.
34-79788 Jan. 13, 2017 AIC International Resources Corp. and Stellar Metals, Inc.
34-79787 Jan. 13, 2017 Cantab Pharmaceuticals PLC, et al.
34-79786 Jan. 13, 2017 Sierra Resource Group, Inc.
34-79785 Jan. 13, 2017 Global Earth Energy, Inc.
34-79777 Jan. 12, 2017 The Bank of New York Mellon Corporation
34-79780 Jan. 12, 2017 Biomet, Inc.
Other Release No.: AAER-3843
33-10279 Jan. 12, 2017 ITG Inc.
Other Release No.: 34-79776
34-79772 Jan. 11, 2017 L3 Technologies, Inc.
Other Release No.: AAER-3844
IA-4604 Jan. 10, 2017 Centre Partners Management, LLC
See also: Administrative Summary
33-10278 Jan. 10, 2017 The Port Authority of New York, New Jersey
34-79765 Jan. 10, 2017 Larry Lee Crawford, CPA
Other Release No.: AAER-3842
34-79757 Jan. 9, 2017 Essex Financial Services, Inc.
Other Release No.: IA-4603
34-79756 Jan. 9, 2017 Peter Hershman, Esq.
Other Release Nos.: IA-4602, IC-32417
34-79755 Jan. 9, 2017 John W. Rafal
Other Release Nos.: IA-4601, IC-32416
34-79754 Jan. 6, 2017 UBS Financial Services Inc. of Puerto Rico
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-79753 Jan. 6, 2017 Cadbury Limited and Mondelez International, Inc.
Other Release No.: AAER-3841
See also: Administrative Summary
34-79727 Jan. 4, 2017 Capital Preferred Yield Fund-III, LP, Clearly Canadian Beverage Corp. and Diversinet Corp.
34-79723 Jan. 3, 2017 Elliot R. Berman, CPA and Berman & Company, P.A.
See also: Administrative Summary