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

Second Quarter | First Quarter

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Release No. Date Respondents

Second Quarter

34-85917 May 22, 2019 Kenneth Edward Shelton
34-85916 May 22, 2019 Mark Christopher Parman
34-85915 May 22, 2019 Martin Delaine Lewis
34-85914 May 22, 2019 Michael Allen Duke
34-85905 May 21, 2019 Marcus Bradford Bray
34-85904 May 21, 2019 Claude Steven Mosley
34-85902 May 21, 2019 Andrew G. Costa
34-85901 May 21, 2019 Randy T. Rondberg
34-85898 May 21, 2019 E-Waste Systems, Inc.
34-85897 May 20, 2019 Paul B. Powers, Esq.
34-85891 May 20, 2019 UBS Financial Services Incorporated of Puerto Rico and Ramiro L. Colon, III
33-10639 May 16, 2019 J.S. Oliver Capital Management, L.P. and Ian O. Mausner
Other Release Nos.: 34-85880, IA-5236, IC-33476
34-85878 May 16, 2019 Robert M. Schulman, Esq.
34-85867 May 15, 2019 Wilson-Davis & Co., Inc.
See also: Administrative Summary
34-85858 May 14, 2019 Cadaret and Grant & Co., Inc.
IA-5234 May 14, 2019 Oscar Ferrer Rivera
34-85853 May 14, 2019 Jonathan A. Rivera-Padilla
Other Release No.: IA-5233
33-10638 May 14, 2019 NextBlock Global Ltd. and Alex Tapscott
See also: Administrative Summary
34-85847 May 13, 2019 Bryan B. Long, CPA
Other Release No.: AAER-4047
34-85832 May 10, 2019 MMR Investment Bankers, et al.
34-85827 May 10, 2019 Visium Asset Management, LP
34-85821 May 9, 2019 Avant Diagnostics, Inc., et al.
34-85819 May 9, 2019 TelefĂ´nica Brasil S.A.
Other Release No.: AAER-4046
See also: Administrative Summary
34-85818 May 9, 2019 Bohai Pharmaceuticals Group Inc.
34-85816 May 9, 2019 China Domestica Bio-Technology Holdings, Inc.
34-85815 May 9, 2019 Oriental Dragon Corp.
IA-5232 May 9, 2019 Jeffrey Francis Thompson
34-85809 May 8, 2019 Meridian Co., Ltd.
34-85805 May 8, 2019 Chang-On International, Inc. and Computer Graphics International Inc.
34-85787 May 6, 2019 Next Galaxy Corp. and Novamex Energy, Inc.
34-85786 May 6, 2019 Ibex Advanced Mortgage Technology, Inc.
34-85785 May 6, 2019 ANV Security Group, Inc.
34-85784 May 6, 2019 Solo International, Inc. and Your Event, Inc.
34-85791 May 6, 2019 Fred Alger Management, Inc. and Fred Alger & Company, Incorporated
34-85780 May 6, 2019 Rocco Roveccio
IA-5229 May 6, 2019 Corinthian Capital Group, LLC, Peter B. Van Raalte and David G. Tahan
34-85769 May 3, 2019 Play La Inc. and Titan Trading Analytics, Inc.
IA-5228 May 3, 2019 Paul Peter Gierten
33-10637 May 3, 2019 Thomas Gutierrez
Other Release No.: 34-85768
33-10636 May 3, 2019 GT Advanced Technologies Inc.
Other Release Nos.: 34-85767, AAER-4045
34-85762 May 2, 2019 Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
See also: Modified Distribution Plan
34-85753 Apr. 30, 2019 Ominto, Inc.
34-85742 Apr. 29, 2019 Fifth Street Management, LLC
34-85736 Apr. 26, 2019 Sebring Software, Inc. and Studio II Brands, Inc.
34-85735 Apr. 26, 2019 Neurologix, Inc., Organic Alliance, Inc. and Zinco Do Brasil, Inc.
34-85733 Apr. 26, 2019 China Greenstar Corporation, et al.
34-85720 Apr. 25, 2019 KollagenX Corp., et al.
34-85719 Apr. 25, 2019 GO EZ Corporation, et al.
34-85718 Apr. 25, 2019 Falconridge Oil Technologies Corp., FLASR, Inc. and Fonon Corp.
33-10633 Apr. 25, 2019 Deutsche Bank Trust Company Americas
34-85712 Apr. 23, 2019 Hall Tees, Inc., et al.
34-85709 Apr. 23, 2019 Michael F. Cronin, CPA
Other Release No.: AAER-4043
34-85708 Apr. 23, 2019 Universal Bioenergy, Inc.
IA-5226 Apr. 23, 2019 Charter Capital Management, LLC and Steven Morris Bruce
34-85704 Apr. 22, 2019 Charles Myrick Winstead
Other Release No.: IA-5225
33-10632 Apr. 22, 2019 Dov Zaidman, CPA, and ZBS Group LLP
Other Release Nos.: 34-85702, AAER-4041
34-85703 Apr. 22, 2019 David M. Martin, CPA
Other Release No.: AAER-4042
33-10630 Apr. 19, 2019 Prosper Funding LLC
34-85694 Apr. 19, 2019 Harvey Paul Tabb
34-85684 Apr. 18, 2019 Fifth Street Management, LLC
34-85680 Apr. 17, 2019 BioPharma Manufacturing Solutions Inc., CLTC Ventures Corporation (n/k/a Dreamfly Productions Corporation) and Crane Global Energy Company
34-85679 Apr. 17, 2019 China Hefeng Rescue Equipment, Inc., et al.
34-85677 Apr. 17, 2019 Tintic Gold Mining Company
34-85675 Apr. 17, 2019 Green Innovations Ltd.
33-10628 Apr. 17, 2019 Matthew R. Rossi and SJL Capital, LLC
Other Release Nos.: 34-85683, IA-5224
34-85661 Apr. 16, 2019 Infinity Real Estate Holdings Corporation, et al.
34-85659 Apr. 16, 2019 dELiA*S Inc. and Global Energy, Inc.
34-85648 Apr. 15, 2019 IMK Group, Inc., MobileBits Holdings Corporation and National Energy Services, Inc.
34-85645 Apr. 15, 2019 CNK Global, Inc. (a/k/a American Life Holding Co., Inc.)
34-85641 Apr. 15, 2019 American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.)
34-85633 Apr. 12, 2019 Stanley S. Bae
Other Release Nos.: IA-5223, IC-33445
34-85621 Apr. 11, 2019 Creator Capital Ltd.
34-85619 Apr. 11, 2019 China Du Kang Co., Ltd.
34-85618 Apr. 11, 2019 Clear Scope Advisors, Inc.
34-85615 Apr. 11, 2019 GeoGlobal Resources, Inc. and USA Synthetic Fuel Corp.
34-85607 Apr. 11, 2019 Jeremy S. Wagers, Esq.
34-85598 Apr. 10, 2019 Montalvo Spirits, Inc., et al.
34-85595 Apr. 10, 2019 Engage Eco Solutions, Inc., et al.
34-85594 Apr. 10, 2019 Axiom Oil & Gas Corp., Ironwood Gold Corp. and Surge Global Energy, Inc.
34-85583 Apr. 10, 2019 James M. Schneider, Esq.
34-85581 Apr. 10, 2019 Martin R. Stancik
Other Release No.: IA-5221
33-10627 Apr. 10, 2019 Adam C. Derbyshire
Other Release Nos.: 34-85582, AAER-4039
34-85580 Apr. 9, 2019 Aervision Holdings, Inc., et al.
34-85575 Apr. 9, 2019 Jay Lapine, Esq.
34-85574 Apr. 9, 2019 Albert J. Rasch, Jr., Esq.
34-85570 Apr. 9, 2019 Immunoclin Corp., et al.
34-85562 Apr. 9, 2019 FuelNation, Inc. and 3D Total Solutions, Inc.
34-85558 Apr. 9, 2019 James K. Mckillop
34-85556 Apr. 8, 2019 Petrosonic Energy, Inc., et al.
34-85550 Apr. 8, 2019 China Fruits Corp. and Skystar Bio-Pharmaceutical Co.
34-85549 Apr. 8, 2019 Vortronnix Technologies, Inc.
34-85548 Apr. 8, 2019 Escalera Resources Co. and Force Minerals Corp.
34-85536 Apr. 5, 2019 William B. Fretz, Jr., et al. (Corrected)
34-85530 Apr. 5, 2019 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
34-85528 Apr. 5, 2019 Apex Fund Services (US), Inc.
34-85525 Apr. 5, 2019 Tai-Cheng Yang
34-85524 Apr. 5, 2019 Alonzo R. Cahoon
Other Release No.: IA-5218
34-85518 Apr. 5, 2019 KLJ & Associates, LLP, Kent L. Jensen, CPA and Ronald A. Burgmeier, CPA
Other Release No.: AAER-4037
See also: Administrative Summary
34-85516 Apr. 4, 2019 Lisa C. Berry, Esq.
34-85514 Apr. 4, 2019 Joseph Mario Genzone
34-85496 Apr. 3, 2019 Evan R. Kita, CPA
Other Release No.: AAER-4036
33-10626 Apr. 2, 2019 Chad Starkey
34-85483 Apr. 2, 2019 Kevin E. Brooks, CPA
Other Release No.: AAER-4035
34-85478 Apr. 1, 2019 Jennifer F. Wolf, CPA
Other Release No.: AAER-4034
33-10625 Apr. 1, 2019 Omar Zaki
Other Release Nos.: 34-85477, IA-5217, IC-33435
See also: Administrative Summary
33-10624 Apr. 1, 2019 Mutual Coin Fund LLC and Usman Majeed

First Quarter

34-85476 Mar. 29, 2019 Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.), Green Innovations, Ltd. and Red Giant Entertainment, Inc.
IA-5216 Mar. 29, 2019 Gregory M. Bercowy
34-85473 Mar. 29, 2019 Quantek Asset Management, LLC, et al.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-85468 Mar. 29, 2019 Fresenius Medical Care AG & Co. KGaA
Other Release No.: AAER-4033
34-85460 Mar. 29, 2019 Vision Financial Markets LLC
See also: Administrative Summary
34-85445 Mar. 28, 2019 Hua Yang Investment Group, et al.
34-85444 Mar. 28, 2019 Coupon Express, Inc., et al.
33-10623 Mar. 28, 2019 Dennis Gibb and Sweetwater Investments, Inc.
Other Release Nos.: 34-85443, IA-5215, IC-33432
34-85433 Mar. 28, 2019 First Southwest Company, LLC
34-85432 Mar. 27, 2019 Golden Global Corp. and Power Efficiency Corporation
34-85428 Mar. 26, 2019 Mackenzie Taylor Minerals, Inc., et al.
34-85427 Mar. 26, 2019 Hedgebrook, Jayhawk Energy, Inc. and Rubicon Financial, Inc.
34-85421 Mar. 26, 2019 Cibolan Gold Corporation
34-85416 Mar. 26, 2019 Gamzio Mobile, Inc.
34-85424 Mar. 26, 2019 Jason A. Wallace
34-85418 Mar. 26, 2019 Howard M. Appel, Esq.
34-85415 Mar. 26, 2019 Oscar Francis
Other Release No.: IA-5212
34-85411 Mar. 26, 2019 Tiber Creek Corp. and James M. Cassidy
34-85410 Mar. 25, 2019 Juqun, Inc., Nevada Gold Corp. and Nexus Data Technologies Corporation
34-85409 Mar. 25, 2019 Development Capital Group, Inc., et al.
34-85405 Mar. 25, 2019 Mullan Agritech, Inc. and Reliabrand, Inc.
34-85404 Mar. 25, 2019 Boldface Group, Inc., et al.
IA-5211 Mar. 25, 2019 Neil Maxwell
IA-5210 Mar. 25, 2019 Charles G. Stivers
34-85408 Mar. 25, 2019 Karl R. Dierman
Other Release No.: IA-5209
34-85407 Mar. 25, 2019 Kevin D. Wanner
Other Release No.: IA-5208
34-85403 Mar. 25, 2019 Visium Asset Management, LP
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-85398 Mar. 22, 2019 Judson F. "Rick" Hoover, CPA
Other Release No.: AAER-4031
34-85395 Mar. 22, 2019 Merrill Lynch, Pierce and Fenner & Smith Incorporated
34-85394 Mar. 21, 2019 First Liberty Power Corp., et al.
34-85384 Mar. 21, 2019 Wells Fargo Brokerage Services, LLC, n/k/a Wells Fargo Securities, LLC and Shawn Patrick Mcmurtry
34-85380 Mar. 20, 2019 e.Digital Corp. and Liberty Coal Energy Corp.
34-85378 Mar. 20, 2019 AFN, Inc., et al.
34-85377 Mar. 20, 2019 New York Sub Co.
34-85369 Mar. 20, 2019 Cono Italiano, Inc., Plures Technologies, Inc. and Secured Technology Innovations Corp.
34-85361 Mar. 19, 2019 Inergetics, Inc.
34-85360 Mar. 19, 2019 Tungsten Corp.
34-85359 Mar. 19, 2019 New Media Insight Group, Inc. and Pacific Sands, Inc.
34-85358 Mar. 19, 2019 American Magna Corp., et al.
34-85355 Mar. 19, 2019 Richard G. Cody
Other Release No.: IA-5203
34-85353 Mar. 18, 2019 Cardinal Energy Group, Inc.
34-85340 Mar. 18, 2019 Augustine Capital Management, et al.
See also: Distribution Plan
34-85343 Mar. 18, 2019 Gregg A. Lerman
34-85342 Mar. 18, 2019 Joshua B. Gladtke
34-85341 Mar. 18, 2019 Robert P. DePalo
34-85338 Mar. 15, 2019 Hydrogen Future Corporation, Omega Brands, Inc. and Optionable Inc.
34-85337 Mar. 15, 2019 Stragenics, Inc.
IA-5200 Mar. 15, 2019 Craig Arsenault
34-85330 Mar. 15, 2019 Jared Jeffrey Davis
IA-5202 Mar. 15, 2019 Talimco, LLC
IA-5201 Mar. 15, 2019 Grant Gardner Rogers
Other Release No.: IC-33400
34-85309 Mar. 13, 2019 Wedbush Securities, Inc.
34-85291 Mar. 12, 2019 Lumber Liquidators Holdings, Inc.
33-10614 Mar. 12, 2019 Kiarash (Kia) Jam
Other Release Nos.: 34-85290, IC-33396
See also: Administrative Summary
34-85289 Mar. 11, 2019 Kung Fu Dragon Group Limited
34-85286 Mar. 11, 2019 Guardian 8 Holdings and Idaho North Resources Corporation
34-85285 Mar. 11, 2019 Aquilarts, Inc., et al.
IA-5199 Mar. 11, 2019 Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
IA-5198 Mar. 11, 2019 RBC Capital Markets, LLC
IA-5197 Mar. 11, 2019 Deutsche Bank Securities Inc.
IA-5196 Mar. 11, 2019 Stephens Inc.
IA-5195 Mar. 11, 2019 Select Money Management, Inc.
IA-5194 Mar. 11, 2019 Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors)
IA-5193 Mar. 11, 2019 M Holdings Securities, Inc.
IA-5192 Mar. 11, 2019 First Republic Investment Management, Inc.
IA-5191 Mar. 11, 2019 D.A. Davidson & Co.
IA-5190 Mar. 11, 2019 Trustcore Financial Services, LLC
IA-5189 Mar. 11, 2019 Stifel and Nicolaus & Company, Incorporated
IA-5188 Mar. 11, 2019 Spire Wealth Mangement, LLC
IA-5187 Mar. 11, 2019 Lockwood Advisors, Inc.
IA-5186 Mar. 11, 2019 Kestra Private Wealth Services, LLC
IA-5185 Mar. 11, 2019 Kestra Advisory Services, LLC
IA-5184 Mar. 11, 2019 Janney Montgomery Scott LLC
IA-5183 Mar. 11, 2019 Hazlett and Burt & Watson, Inc.
IA-5182 Mar. 11, 2019 Coastal Investment Advisors, Inc.
IA-5181 Mar. 11, 2019 Syndicated Capital, Inc.
IA-5180 Mar. 11, 2019 Sorrento Pacific Financial, LLC
IA-5179 Mar. 11, 2019 Silversage Advisors
IA-5178 Mar. 11, 2019 Private Portfolio, Inc.
IA-5177 Mar. 11, 2019 PlanMember Securities Corporation
IA-5176 Mar. 11, 2019 CUSO Financial Services, L.P.
IA-5175 Mar. 11, 2019 AXA Advisors, LLC
IA-5174 Mar. 11, 2019 Woodbury Financial Services, Inc.
IA-5173 Mar. 11, 2019 Popular Securities, LLC
IA-5172 Mar. 11, 2019 NBC Securities, Inc.
IA-5171 Mar. 11, 2019 Kovack Advisors, Inc.
IA-5170 Mar. 11, 2019 Calton & Associates, Inc.
IA-5169 Mar. 11, 2019 Benchmark Capital Advisors LLC
IA-5168 Mar. 11, 2019 Summit Financial Group, Inc.
IA-5167 Mar. 11, 2019 Northeast Asset Management, LLC
IA-5166 Mar. 11, 2019 EFG Asset Management (Americas) Corp.
IA-5165 Mar. 11, 2019 BB&T Securities, LLC
IA-5164 Mar. 11, 2019 Provise Management Group, LLC
IA-5163 Mar. 11, 2019 Next Financial Group, Inc.
IA-5162 Mar. 11, 2019 MIAI, Inc.
IA-5161 Mar. 11, 2019 First Kentucky Securities Corporation
IA-5160 Mar. 11, 2019 Bok Financial Securities, Inc.
IA-5159 Mar. 11, 2019 Client One Securities, LLC
IA-5158 Mar. 11, 2019 National Asset Management, Inc.
IA-5157 Mar. 11, 2019 Investment Research Corp
IA-5156 Mar. 11, 2019 First National Capital Markets, Inc.
IA-5155 Mar. 11, 2019 Ameritas Investment Corp.
IA-5154 Mar. 11, 2019 Principal Securities, Inc.
IA-5153 Mar. 11, 2019 Lasalle St. Investment Advisors, L.L.C.
IA-5152 Mar. 11, 2019 L.M. Kohn & Company
IA-5151 Mar. 11, 2019 Benjamin F. Edwards & Co., Inc.
IA-5150 Mar. 11, 2019 Transamerica Financial Advisors, Inc.
IA-5149 Mar. 11, 2019 The Huntington Investment Company
IA-5148 Mar. 11, 2019 Robert W. Baird & Co. Incorporated
IA-5147 Mar. 11, 2019 Questar Asset Management, Inc.
IA-5146 Mar. 11, 2019 J.J.B. Hilliard and W.L. Lyons, LLC
IA-5145 Mar. 11, 2019 Hefren-Tilotson, Inc.
IA-5144 Mar. 11, 2019 Financial Management Strategies, Inc.
IA-5143 Mar. 11, 2019 Comerica Securities, Inc.
IA-5142 Mar. 11, 2019 Cambridge Investment Research Advisors, Inc.
IA-5141 Mar. 11, 2019 Blyth & Associates, Inc.
IA-5140 Mar. 11, 2019 Santander Securities LLC
IA-5139 Mar. 11, 2019 Ryan Financial Advisors, Inc.
IA-5138 Mar. 11, 2019 Park Avenue Securities LLC
IA-5137 Mar. 11, 2019 Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.
IA-5136 Mar. 11, 2019 LPL Financial LLC
IA-5135 Mar. 11, 2019 Investmark Advisory Group LLC
IA-5134 Mar. 11, 2019 Investacorp Advisory Services, Inc.
IA-5133 Mar. 11, 2019 Infinex Investments, Inc.
IA-5132 Mar. 11, 2019 Commonwealth Equity Services, LLC
IA-5131 Mar. 11, 2019 Cantella & Co., Inc.
IA-5130 Mar. 11, 2019 Beacon Investment Management LLC
IA-5129 Mar. 11, 2019 TIAA-CREF Individual & Institutional Services, LLC
IA-5128 Mar. 11, 2019 SSN Advisory, Inc.
IA-5127 Mar. 11, 2019 SA Stone Investment Advisors Inc.
IA-5126 Mar. 11, 2019 Raymond James Financial Services Advisors, Inc.
IA-5125 Mar. 11, 2019 ProEquities, Inc.
IA-5124 Mar. 11, 2019 First Citizens Investor Services, Inc.
IA-5123 Mar. 11, 2019 First Citizens Asset Management, Inc.
34-85280 Mar. 8, 2019 Altovida Inc., et al.
34-85279 Mar. 8, 2019 HydroPhi Technologies Group, Inc., et al.
34-85276 Mar. 8, 2019 Sonora Resources Corp.
34-85275 Mar. 8, 2019 Baltia Air Lines, Inc., et al.
34-85277 Mar. 8, 2019 John Gregory Schmidt
Other Release No.: IA-5122
IA-5121 Mar. 7, 2019 Ascension Asset Management, LLC and Grenville M. Gooder, Jr.
Other Release No.: IC-33391
IA-5120 Mar. 7, 2019 Lewis Dean Mcbride
34-85261 Mar. 6, 2019 Mobile TeleSystems PJSC
Other Release No.: AAER-4028
34-85249 Mar. 5, 2019 BB&T Securities, LLC
Other Release No.: IA-5119
IA-5118 Mar. 5, 2019 Raymond K. Montoya
34-85246 Mar. 4, 2019 William C. Gennity
34-85242 Mar. 1, 2019 Energy Edge Technologies Corp. and Focus Gold Corp. .
34-85241 Mar. 1, 2019 Hampshire Group and Limited .
34-85240 Mar. 1, 2019 Accelerated Acquisition XVII, et al. (Corrected)
34-85239 Mar. 1, 2019 Century Acquisition Corp. and Eastern Acquisition Corp.
34-85232 Mar. 1, 2019 Fifth Street Management, LLC
34-85234 Mar. 1, 2019 Arthur Viola
Other Release No.: AAER-4025
See also: Administrative Summary
34-85233 Mar. 1, 2019 DLL CPAS, LLC and Debra Lee Lindaman, CPA
Other Release No.: AAER-4024
See also: Administrative Summary
33-10610 Mar. 1, 2019 Mark E. Kuchenrither
Other Release No.: 34-85226
See also: Administrative Summary
IA-5117 Feb. 28, 2019 Michael Scronic
34-85217 Feb. 27, 2019 Apptigo International, Inc., XLI Technologies Inc. and Zentric, Inc.
34-85215 Feb. 27, 2019 Stark Naked Bobbers and TOA Holdings, Inc.
34-85204 Feb. 27, 2019 MarilynJean Interactive Inc.
34-85193 Feb. 25, 2019 Paul Katsaros
34-85185 Feb. 25, 2019 Houston American Energy Corp., et al.
34-85174 Feb. 22, 2019 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
34-85175 Feb. 22, 2019 Derik J. Todd, et al.
34-85177 Feb. 22, 2019 Ernest J. Romer, III
34-85173 Feb. 22, 2019 Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich
IA-5115 Feb. 20, 2019 Vishal Savla
33-10608 Feb. 20, 2019 Gladius Network LLC
34-85165 Feb. 19, 2019 Trudy R. Gilmond
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