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

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: 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.
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