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

Third Quarter | Second Quarter | First Quarter

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Release No. Date Respondents

Third Quarter

IA-4517 Aug. 31, 2016 David Kayatta
IA-4516 Aug. 31, 2016 Mario Pincheira
34-78736 Aug. 31, 2016 Paul Mata
Other Release No.: IA-4518
34-78735 Aug. 31, 2016 RBC Capital Markets, LLC
34-78734 Aug. 31, 2016 Grace Development, Inc., Luxeyard, Inc. and SuperDirectories, Inc.
34-78732 Aug. 31, 2016 Multi-Corp. International, Inc., Pan American Goldfields Ltd. and Sky Harvest Energy Corp.
34-78730 Aug. 30, 2016 AstraZeneca PLC
Other Release No.: AAER-3798
See also: Administrative Summary
34-78725 Aug. 30, 2016 Angelique De Maison
34-78723 Aug. 30, 2016 Ilio, Inc., Industrial Imaging Corporation and JackRay Corporation
34-78722 Aug. 30, 2016 Fairfield Minerals, Ltd. and Metal Storm Limited
34-78717 Aug. 29, 2016 Pamella B. Watson
Other Release No.: IA-4515
34-78711 Aug. 29, 2016 Thomas Dulek, CPA
Other Release No.: AAER-3797
See also: Administrative Summary
34-78709 Aug. 29, 2016 Dominion Minerals Corp., et al.
34-78708 Aug. 26, 2016 Michael Ralph Casey, Esq.
34-78707 Aug. 26, 2016 Michael Ralph Casey, Esq.
34-78699 Aug. 26, 2016 Joseph L. Pittera, Esq.
34-78690 Aug. 26, 2016 JinZangHuang Tibet Pharmaceuticals, Inc.
34-78689 Aug. 26, 2016 China VantagePoint Acquisition Co., Citizens Community Bancorp, Inc. and Solis Pharma US, Inc.
34-78688 Aug. 26, 2016 Bodisen Biotech, Inc., et al.
IA-4513 Aug. 25, 2016 Orinda Asset Management, LLC
Other Release No.: IC-32238
See also: Administrative Summary
34-78682 Aug. 25, 2016 Kieran T. Kuhn
IA-4508 Aug. 25, 2016 AssetMark, Inc. (f/k/a Genworth Financial Wealth Management, Inc.)
IA-4507 Aug. 25, 2016 Congress Wealth Management LLC
IA-4506 Aug. 25, 2016 BB&T Securities, LLC
IA-4505 Aug. 25, 2016 Constellation Wealth Advisors LLC
IA-4504 Aug. 25, 2016 Risk Paradigm Group, LLC
IA-4503 Aug. 25, 2016 Executive Monetary Management, LLC
IA-4502 Aug. 25, 2016 J.J.B. Hilliard and W.L. Lyons, LLC
IA-4501 Aug. 25, 2016 Ladenburg Thalmann Asset Management Inc.
IA-4500 Aug. 25, 2016 HT Partners LLC
IA-4499 Aug. 25, 2016 Banyan Partners, LLC
IA-4498 Aug. 25, 2016 Prospera Financial Services, Inc.
IA-4497 Aug. 25, 2016 Schneider Downs Wealth Management Advisors, LP
IA-4496 Aug. 25, 2016 Shamrock Asset Management LLC
IA-4494 Aug. 24, 2016 WL Ross & Co. LLC
See also: Administrative Summary
34-78659 Aug. 24, 2016 Credit Suisse Alternative, et al.
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-78658 Aug. 24, 2016 Martin J. Lawler
34-78657 Aug. 24, 2016 Mark A. Ivener and Ivener & Fullmer, LLP
34-78656 Aug. 24, 2016 Thomas T. M. Ho
33-10197 Aug. 24, 2016 Yukon Municipal Authority, Yukon, Oklahoma
33-10196 Aug. 24, 2016 Wyoming Community Development Authority
33-10195 Aug. 24, 2016 Westchester County Health Care Corporation
33-10194 Aug. 24, 2016 Unified School District No. 418, McPherson County, Kansas
33-10193 Aug. 24, 2016 Township of East Brunswick, New Jersey
33-10192 Aug. 24, 2016 Town of York, Maine
33-10191 Aug. 24, 2016 Town of Hilton Head Island, South Carolina
33-10190 Aug. 24, 2016 Town of Fairfield, Connecticut
33-10189 Aug. 24, 2016 Thompson School District No. R2-J
33-10188 Aug. 24, 2016 The Ohio State University
33-10187 Aug. 24, 2016 The Municipal Authority of the City of McKeesport
33-10186 Aug. 24, 2016 The County Commission of Ohio County, West Virginia
33-10185 Aug. 24, 2016 Tea Area School District 41-5, South Dakota
33-10184 Aug. 24, 2016 Syracuse University
33-10183 Aug. 24, 2016 State of Montana Department of Transportation
33-10182 Aug. 24, 2016 State of Minnesota
33-10181 Aug. 24, 2016 State of Hawaii
33-10180 Aug. 24, 2016 Southern New Hampshire University
33-10179 Aug. 24, 2016 Sanitary District of the City of Gary, Indiana
33-10178 Aug. 24, 2016 Public Utility District No. 1 of Whatcom County, Washington
33-10177 Aug. 24, 2016 Pecos County, Texas
33-10176 Aug. 24, 2016 Palatine Park District, Cook County, Illinois
33-10175 Aug. 24, 2016 Oklahoma Housing Finance Agency
33-10174 Aug. 24, 2016 North Slope Borough, Alaska
33-10173 Aug. 24, 2016 North Carolina Eastern Municipal Power Agency
33-10172 Aug. 24, 2016 Montgomery College
33-10171 Aug. 24, 2016 Montgomery College Foundation, Inc.
33-10170 Aug. 24, 2016 Metropolitan Airport Authority of Peoria, Peoria County, Illinois
33-10169 Aug. 24, 2016 Lawrence & Memorial Hospital, Inc. and Lawrence & Memorial Corp.
33-10168 Aug. 24, 2016 Lauderdale County, Mississippi
33-10167 Aug. 24, 2016 Kentucky Housing Corporation
33-10166 Aug. 24, 2016 Idaho Housing and Finance Association
33-10165 Aug. 24, 2016 Hazleton Area School District
33-10164 Aug. 24, 2016 Heber Light & Power Company, Utah
33-10163 Aug. 24, 2016 Fulton County, Georgia
33-10162 Aug. 24, 2016 Electric and Water Plant Board of the City of Frankfort, Kentucky
33-10161 Aug. 24, 2016 El Castillo Retirement Residences
33-10160 Aug. 24, 2016 East Ouachita Parish School District of the Parish of Ouachita, State of Louisiana
33-10159 Aug. 24, 2016 Delaware Transportation Authority
33-10158 Aug. 24, 2016 The County of Franklin, New York
33-10157 Aug. 24, 2016 County of Berrien, Michigan
33-10156 Aug. 24, 2016 County of Adams, Pennsylvania
33-10155 Aug. 24, 2016 Community Unit School District Number 18 (Blue Ridge)
33-10154 Aug. 24, 2016 Colorado Department of the Treasury and State Treasurer On Behalf of the Colorado Department of Transportation
33-10153 Aug. 24, 2016 Collegium Charter School
33-10152 Aug. 24, 2016 City of West Des Moines, Iowa
33-10151 Aug. 24, 2016 City of Vestavia Hills, Alabama
33-10150 Aug. 24, 2016 City of South Bend, Indiana
33-10149 Aug. 24, 2016 The City of Oconomowoc, Wisconsin
33-10148 Aug. 24, 2016 City of Nichols Hills, Oklahoma
33-10147 Aug. 24, 2016 City of Memphis, Tennessee
33-10146 Aug. 24, 2016 City of Ithaca, New York
33-10145 Aug. 24, 2016 City of Gary, Indiana
33-10144 Aug. 24, 2016 City of Devils Lake, North Dakota
33-10143 Aug. 24, 2016 City of Columbia, South Carolina
33-10142 Aug. 24, 2016 City of Chelsea, Massachusetts
33-10141 Aug. 24, 2016 City of Cedar Rapids, Iowa
33-10140 Aug. 24, 2016 City of Bainbridge Island, Washington
33-10139 Aug. 24, 2016 City of Andover, Kansas
33-10138 Aug. 24, 2016 City of Alliance, Nebraska
33-10137 Aug. 24, 2016 Casella Waste Systems, Inc.
33-10136 Aug. 24, 2016 Carilion Clinic
33-10135 Aug. 24, 2016 Boulder County, Colorado
33-10134 Aug. 24, 2016 Borough of Roselle Park in the County of Union, New Jersey
33-10133 Aug. 24, 2016 Board of Trustees of Arkansas Tech University
33-10132 Aug. 24, 2016 Board of Education of Madison County, Alabama
33-10131 Aug. 24, 2016 Blair Oaks R-II School District, Missouri
33-10130 Aug. 24, 2016 Black Jack Fire Protection District of St. Louis County, Missouri
33-10129 Aug. 24, 2016 Ascension Health Alliance
33-10128 Aug. 24, 2016 City of Alameda
34-78655 Aug. 23, 2016 Douglas Kuber
34-78651 Aug. 23, 2016 Christopher J. Borgo
34-78650 Aug. 23, 2016 Michael T. Angeletti
34-78649 Aug. 23, 2016 Michael J. Calash
34-78648 Aug. 23, 2016 Chazon Stein
34-78647 Aug. 23, 2016 Gary X. Schultz
34-78646 Aug. 23, 2016 Alan D. Messina
34-78645 Aug. 23, 2016 David Anthony Eratostene
34-78639 Aug. 23, 2016 Curtis A. Peterson
IA-4493 Aug. 23, 2016 Apollo Management V, L.P., et al.
34-78625 Aug. 22, 2016 Li-Lin Hsu
34-78624 Aug. 22, 2016 Global Earth Energy, Inc.
34-78623 Aug. 22, 2016 John W.R. Miller
34-78608 Aug. 18, 2016 Bay City Transfer Agency and Registrar, Inc. and Nitin M. Amersey
34-78607 Aug. 17, 2016 Jason Maiher
Other Release No.: AAER-3795
See also: Administrative Summary
34-78606 Aug. 17, 2016 Justin Esposito
34-78603 Aug. 17, 2016 Delaney Equity Group LLC
IA-4490 Aug. 17, 2016 Paul J. Jackson
34-78599 Aug. 17, 2016 Gregory Goldstein
34-78591 Aug. 16, 2016 Michael J. Oppenheim
Other Release No.: IA-4489
33-10122 Aug. 16, 2016 Delaney Equity Group LLC, David C. Delaney and Ian C. Kass
Other Release No.: 34-78594
34-78590 Aug. 16, 2016 Health Net, Inc.
IA-4488 Aug. 16, 2016 Anthony Tyrone Jones, Jr.
34-78585 Aug. 16, 2016 Edwin K. Chin
Other Release Nos.: IA-4487, IC-32217
34-78583 Aug. 16, 2016 Joshua M. Beauregard and Jennifer M. Beauregard
34-78582 Aug. 16, 2016 John L. Shipley
34-78581 Aug. 16, 2016 Daniel J. Bean
34-78580 Aug. 16, 2016 Jeremy D. Barnes
34-78579 Aug. 16, 2016 Damon M. Barnes and Cathy S. Barnes
34-78577 Aug. 15, 2016 Linkbrokers Derivatives LLC
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-78574 Aug. 15, 2016 Barry B. Clare
Other Release No.: IC-32215
See also: Administrative Summary
34-78571 Aug. 15, 2016 Tianyu Zhou
Other Release Nos.: IA-4484, IC-32213
See also: Administrative Summary
33-10120 Aug. 15, 2016 Donald F. ("Jay") Lathen, et al.
Other Release Nos.: 34-78572, IA-4485, IC-32214
IA-4483 Aug. 15, 2016 Fortius Financial Advisors, LLC, Jeff M. Bollinger and Gary E. Oliver
Other Release No.: IC-32212
See also: Administrative Summary
34-78569 Aug. 12, 2016 Izak Zirk De Maison (f/k/a) Izak Zirk Engelbrecht
34-78563 Aug. 12, 2016 Dynamic Ventures Corp.
34-78562 Aug. 12, 2016 Triumph Ventures Corp.
34-78561 Aug. 12, 2016 Safecode Drug Technologies Corp.
34-78559 Aug. 11, 2016 Stephen Wilshinsky
Other Release No.: IA-4481
34-78558 Aug. 11, 2016 Key Energy Services, Inc.
Other Release No.: AAER-3794
See also: Administrative Summary
34-78551 Aug. 11, 2016 Ricky T. Meyer
Other Release No.: IA-4480
IA-4479 Aug. 11, 2016 Randall W. McKee
34-78541 Aug. 11, 2016 Morgan Asset Management, Inc., et al.
34-78540 Aug. 10, 2016 Eastland Financial Corp., Granite Cliffs, Incorporated and Greater Asia Realty Holdings, Ltd.
IA-4478 Aug. 10, 2016 Brad R. Hawkins
34-78539 Aug. 10, 2016 Ameralink, Inc., et al.
34-78538 Aug. 10, 2016 Dominion Minerals Corp., et al.
34-78537 Aug. 10, 2016 Island Trader LLC and Richard H. Nickles
Other Release No.: IA-4477
34-78528 Aug. 10, 2016 BlueLinx Holdings Inc.
34-78518 Aug. 9, 2016 Merle G. Walter
Other Release No.: IA-4475
34-78516 Aug. 9, 2016 David R. Gray, II
Other Release No.: IA-4474
34-78515 Aug. 9, 2016 Terry Pickering Lobelsky
IA-4473 Aug. 9, 2016 Perry S. Sawano
34-78507 Aug. 9, 2016 Capitol City Bancshares, Inc., et al.
IA-4472 Aug. 8, 2016 Alan H. Gold
34-78496 Aug. 8, 2016 China Unistone Acquisition Corp. and Ideal Restaurant Group, Inc.
34-78495 Aug. 8, 2016 Eqco2, Inc., Hondo Minerals Corp. and Liberty Gold Corp.
34-78494 Aug. 8, 2016 Li-Ion Motors Corp. (a/k/a Terra Inventions Corp.), Petrohunter Energy Corp. and Shrink Nanotechnologies, Inc.
34-78493 Aug. 8, 2016 Greenpower International Group Ltd. and Hauge Technology, Inc.
34-78492 Aug. 8, 2016 Groveware Technologies Ltd., Luve Sports, Inc. and Northcore Technologies, Inc.
34-78491 Aug. 8, 2016 Giant Resources, Inc. and Rush Exploration, Inc.
34-78476 Aug. 3, 2016 Greg Ruehle
34-78471 Aug. 2, 2016 Eric David Wanger
34-78457 Aug. 2, 2016 Alison, LLC and Stephen D. Alison
Other Release Nos.: IA-4468, IC-32202, IA-4468, IC-32202
See also: Administrative Summary
33-10117 Jul. 29, 2016 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4467, IC-32200
34-78439 Jul. 29, 2016 Dragon Bright Mintai Botanical Technology Cayman Ltd., Jinzanghuang Tibet Pharmaceuticals, Inc. and Macau Resources Group Ltd.
IA-4465 Jul. 28, 2016 Louis Martin Blazer III
34-78430 Jul. 27, 2016 Sand International, Inc.
34-78418 Jul. 26, 2016 Nathan Schleifer
34-78413 Jul. 26, 2016 Yi Chen, CPA
Other Release No.: AAER-3793
See also: Administrative Summary
34-78411 Jul. 25, 2016 Timothy A. Nemeckay
34-78410 Jul. 25, 2016 Samuel Braslau
34-78409 Jul. 25, 2016 Samuel Braslau
34-78402 Jul. 25, 2016 LAN Airlines S.A.
Other Release No.: AAER-3792
34-78401 Jul. 25, 2016 Pioneer Exploration, Inc., Premier Brands, Inc. and Private Media Group, Inc.
34-78400 Jul. 25, 2016 Coyote Resources, Inc., et al.
34-78399 Jul. 25, 2016 Gold Hills Mining, Ltd., et al.
34-78398 Jul. 22, 2016 John Steven Blount
Other Release No.: IA-4462
34-78395 Jul. 22, 2016 James M. Schneider, CPA
Other Release No.: AAER-3791
34-78393 Jul. 22, 2016 EFP Rotenberg, LLP and Nicholas Bottini, CPA
Other Release No.: AAER-3790
33-10114 Jul. 21, 2016 Dennis Navarra
Other Release No.: IA-4460
See also: Administrative Summary
33-10113 Jul. 21, 2016 Concert Global Group Limited, Concert Wealth Management, Inc. and Felipe Luna
Other Release No.: IA-4459
See also: Administrative Summary
34-78370 Jul. 20, 2016 CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc.
34-78366 Jul. 20, 2016 Scanner Technologies Corp., et al.
IA-4457 Jul. 19, 2016 Saving2Retire, LLC and Marian P. Young
See also: Administrative Summary
34-78363 Jul. 19, 2016 Great Basin Gold Limited
34-78362 Jul. 19, 2016 Algorex Corporation, et al.
IA-4456 Jul. 18, 2016 Washington Wealth Management, LLC
See also: Administrative Summary
IA-4455 Jul. 18, 2016 Advantage Investment Management, LLC
See also: Administrative Summary
34-78351 Jul. 15, 2016 Hewlett-Packard Company
34-78350 Jul. 15, 2016 James Anthony Catipay, Esq.
34-78349 Jul. 15, 2016 Franklin Bank Corporation
34-78341 Jul. 15, 2016 The Phoenix Companies, Inc.
Other Release No.: AAER-3789
See also: Administrative Summary
34-78337 Jul. 15, 2016 Mondeo Investments, Inc., MPEG Super Site, Inc. and Myriad International, Inc.
34-78336 Jul. 15, 2016 Dot VN, Inc. and Global Health Voyager, Inc.
34-78335 Jul. 15, 2016 MIT Holding, Inc.
IA-4453 Jul. 14, 2016 Riverfront Investment Group, LLC
34-78322 Jul. 14, 2016 Gavin L. Hamels
Other Release No.: IA-4451
33-10111 Jul. 14, 2016 RD Legal Capital, LLC and Roni Dersovitz
Other Release Nos.: 34-78325, IA-4452, IC-32176
See also: Administrative Summary
34-78320 Jul. 14, 2016 Cascade Technologies Corp., Echo Automotive, Inc. and Vision Industries Corp.
34-78318 Jul. 13, 2016 Jeffrey E. Gallagher
34-78307 Jul. 13, 2016 HII Technologies, Inc.
34-78296 Jul. 12, 2016 Mitchell H. Fillet
34-78291 Jul. 12, 2016 Citigroup Global Markets, Inc.
34-78288 Jul. 11, 2016 Breitling Energy Corporation
34-78287 Jul. 11, 2016 Johnson Controls, Inc.
See also: Administrative Summary
34-78275 Jul. 11, 2016 Jason Bo-Alan Beckman
Other Release No.: IA-4450
34-78282 Jul. 11, 2016 Bitcoin Investment Trust and Secondmarket, Inc.
See also: Administrative Summary
IA-4449 Jul. 11, 2016 William Emery Matthews
34-78274 Jul. 11, 2016 Alicia M. Diaz, Esq.
Other Release No.: IA-4448
34-78273 Jul. 11, 2016 Blair D. Ackman, CPA
Other Release Nos.: IA-4447, AAER-3788
34-78270 Jul. 8, 2016 Toni Tong Chen, CPA
Other Release No.: AAER-3787
34-78269 Jul. 8, 2016 Toni Tong Chen, CPA (Corrected)
34-78268 Jul. 8, 2016 Cheongwha "Heywood" Chang (Corrected)
34-78258 Jul. 8, 2016 Easy Health Technologies Ltd., Neptune Acquisition Corp. and Segway IV Corp.
34-78257 Jul. 8, 2016 Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.)
34-78256 Jul. 8, 2016 Numida, Inc.
34-78255 Jul. 8, 2016 Rings to Dine For, Inc.
34-78254 Jul. 8, 2016 Essential Telecommunications, Inc., et al.
34-78231 Jul. 6, 2016 Dragon Bright Mintai Botanical Technology Cayman Ltd., Jinzanghuang Tibet Pharmaceuticals, Inc. and Macau Resources Group Ltd.
34-78230 Jul. 5, 2016 Charles L. Rizzo and Gina M. Hornbogen
34-78229 Jul. 5, 2016 Eric David Wanger
34-78224 Jul. 1, 2016 Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
34-78217 Jul. 1, 2016 Eric B. Global Ventures, Inc., Parallax Diagnostics, Inc. and Secure Digital, Inc.

Second Quarter

34-78214 Jun. 30, 2016 Brady J. Speers
34-78213 Jun. 30, 2016 Christopher A. Novinger
34-78212 Jun. 30, 2016 Speers Financial Group, LLC
34-78211 Jun. 30, 2016 NFS Group, LLC d/b/a Novers Financial a/k/a Safe Retirement Experts
34-78210 Jun. 30, 2016 ICAN Investment Group, LLC
34-78197 Jun. 29, 2016 Lee D. Weiss
Other Release No.: IA-4442
34-78190 Jun. 29, 2016 Clubhouse Videos, Inc., et al.
34-78189 Jun. 28, 2016 WFG Advisors, L.P.
Other Release No.: IA-4441
33-10108 Jun. 28, 2016 Jan E. Helen
Other Release Nos.: 34-78185, IA-4440, IC-32165
See also: Administrative Summary
34-78173 Jun. 28, 2016 North East Capital, LLC and Anthony T. Vicidomine
34-78170 Jun. 28, 2016 Patrick G. Mackaronis
Other Release No.: IA-4438
33-10106 Jun. 27, 2016 Allen Perres
Other Release No.: 34-78166
34-78160 Jun. 27, 2016 James Anthony Catipay
34-78159 Jun. 27, 2016 Longwei Petroleum Investment Holding Limited
34-78147 Jun. 23, 2016 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
Other Release Nos.: IA-4435, IC-32160
34-78145 Jun. 23, 2016 Timothy Quintanilla, CPA
Other Release No.: AAER-3785
34-78142 Jun. 23, 2016 William Tirrell
Other Release Nos.: IA-4434, IC-32159
34-78141 Jun. 23, 2016 Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp.
33-10103 Jun. 23, 2016 Merrill Lynch, Pierce and Fenner & Smith Incorporated
34-78140 Jun. 23, 2016 Rebornne (USA) Inc.
34-78138 Jun. 23, 2016 Caspian International Oil Corporation, et al.
34-78136 Jun. 23, 2016 Coastal Pacific Mining Corp. and Petaquilla Minerals Ltd.
34-78133 Jun. 22, 2016 Computer Sciences Corporation, et al.
34-78128 Jun. 22, 2016 Simpson Hughes Financial, LLC and Mark C. Simpson
Other Release Nos.: IA-4433, IC-32158
34-78118 Jun. 21, 2016 Steven J. Muehler, et al.
34-78115 Jun. 21, 2016 Galileo Petroleum Ltd., Hyperion Acquisition Corp. and Satori Beverages International, Ltd.
34-78114 Jun. 21, 2016 Feltl & Company, Inc.
34-78113 Jun. 21, 2016 Analogic Corporation and Lars Frost
Other Release No.: AAER-3784
34-78100 Jun. 17, 2016 North East Capital, LLC and Anthony T. Vicidomine
See also: Amended Plan of Distribution
33-10101 Jun. 17, 2016 Larry C. Grossman
Other Release Nos.: 34-78099, IA-4432, IC-32153
34-78097 Jun. 17, 2016 Gregory G. Jones
34-78096 Jun. 17, 2016 Gregory G. Jones
34-78095 Jun. 17, 2016 Eric David Wanger
34-78092 Jun. 16, 2016 Essential Telecommunications, Inc., et al.
34-78087 Jun. 16, 2016 Rohit Bansal
Other Release No.: IA-4430
IA-4429 Jun. 16, 2016 Apex Fund Services (US), Inc.
IA-4428 Jun. 16, 2016 Apex Fund Services (US), Inc.
IA-4423 Jun. 15, 2016 Richard W. Davis Jr.
34-78085 Jun. 15, 2016 Clark S. Gardner
Other Release No.: IA-4426
34-78084 Jun. 15, 2016 Jonathan E. Rosenberg
Other Release No.: IA-4425
34-78083 Jun. 15, 2016 David L. Post
33-10097 Jun. 15, 2016 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4427, IC-32150
33-10096 Jun. 15, 2016 Thomas C. Gonnella
Other Release Nos.: 34-78082, IA-4424, IC-32149
34-78073 Jun. 15, 2016 Advanced Life Sciences Holdings, Inc., et al.
34-78072 Jun. 15, 2016 CONCERTSBYU.COM, INC., Freedom Bancshares, Inc. and MetaMorphix Inc.
34-78071 Jun. 15, 2016 Efim Aksanov
34-78070 Jun. 15, 2016 Cascade Technologies Corp., Echo Automotive, Inc. and Vision Industries Corp.
34-78068 Jun. 15, 2016 MIT Holding, Inc.
IA-4422 Jun. 14, 2016 Alan H. Gold
34-78077 Jun. 14, 2016 2 West, Inc., et al.
34-78054 Jun. 13, 2016 School Business Consulting, Inc. and Terrance Bradley
Other Release No.: IC-32147
34-78053 Jun. 13, 2016 Keygent LLC, Anthony Hsieh and Chet Wang
IC-32151 Jun. 13, 2016 The Bank of New York Mellon (Corrected Release Number)
See also: Administrative Summary
34-78042 Jun. 13, 2016 American Life, Inc. and Henry G. Liebman
33-10094 Jun. 13, 2016 Behruz Afshar, et al.
Other Release Nos.: IC-32144, 34-78043
See also: Administrative Summary
IA-4419 Jun. 10, 2016 Daniel Thibeault
34-78033 Jun. 10, 2016 Alliance Capital Management, LP
34-78030 Jun. 10, 2016 ICON Capital LLC f/k/a ICON Capital Corporation
Other Release No.: AAER-3783
See also: Administrative Summary
34-78028 Jun. 9, 2016 Focus Media Holding Limited and Jason Jiang
33-10093 Jun. 8, 2016 Ethiopian Electric Power
34-78022 Jun. 8, 2016 Eric B. Global Ventures, Inc., Parallax Diagnostics, Inc. and Secure Digital, Inc.
34-78021 Jun. 8, 2016 Morgan Stanley Smith Barney LLC
Other Release No.: IA-4415
34-78020 Jun. 8, 2016 Galen J. Marsh
Other Release No.: IA-4414
34-78017 Jun. 8, 2016 IEC Electronics Corp., Ronald J. Years, CPA and Donald S. Doody
Other Release No.: AAER-3782
33-10092 Jun. 7, 2016 Frazer Frost, et al.
Other Release Nos.: 34-78010, AAER-3781
33-10091 Jun. 7, 2016 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78009, AAER-3780
33-10090 Jun. 7, 2016 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78008, AAER-3779
33-10089 Jun. 7, 2016 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78007, AAER-3778
34-78006 Jun. 7, 2016 Focus Media Holding Limited and Jason Jiang
34-78002 Jun. 7, 2016 UBS Financial Services Incorporated of Puerto Rico
34-77999 Jun. 7, 2016 Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc.
34-77997 Jun. 6, 2016 Silberstein Ungar PLLC, et al.
Other Release No.: AAER-3777
See also: Administrative Summary
34-77987 Jun. 3, 2016 Joseph Denard Reid (a/k/a Reid Joseph Denard), et al.
34-77986 Jun. 3, 2016 Market Data Consultants, Inc., et al.
IA-4413 Jun. 2, 2016 James Caird Asset Management LLP and Timothy G. Leslie
See also: Administrative Summary
34-77985 Jun. 2, 2016 Computer Sciences Corporation, et al.
34-77981 Jun. 2, 2016 Steve Koifman
34-77980 Jun. 2, 2016 Sandra Dyche
33-10087 Jun. 2, 2016 Donald J. Stoecklein, Esq.
Other Release No.: 34-77979
See also: Administrative Summary
34-77972 Jun. 1, 2016 Jack H. Halperin
34-77971 Jun. 1, 2016 Albert Fried & Company, LLC
34-77968 Jun. 1, 2016 Craig Medoff
33-10085 Jun. 1, 2016 Jane E. Starrett, CPA
Other Release Nos.: 34-77967, AAER-3776
34-77959 Jun. 1, 2016 Blackstreet Capital Management, LLC and Murry N. Gunty
Other Release No.: IA-4411
34-77953 May 31, 2016 China VantagePoint Acquisition Co., Citizens Community Bancorp, Inc. and Solis Pharma US, Inc.
IA-4406 May 31, 2016 Steven R. Markusen and Jay C. Cope
IA-4401 May 27, 2016 Federated Global Investment Management Corp.
See also: Administrative Summary
IA-4399 May 27, 2016 Biscayne Capital International, LLC, et al.
Other Release No.: IC-32130
See also: Administrative Summary
34-77940 May 27, 2016 Elsinore Capital II, Ltd., EPS Solutions Corp., and Free DA Connection Systems, Inc. (a/k/a Free DA Connection Services, Inc., a/k/a Earthshine International Ltd.)
34-77939 May 27, 2016 Disaster Preparedness Systems, Inc., Electric Moto Corp. and EMO Corp.
33-10083 May 26, 2016 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4395, IC-32128
IA-4394 May 26, 2016 Jacqueline J. Stanfill
34-77924 May 26, 2016 Bankrate, Inc.
33-10082 May 25, 2016 American Registrar & Transfer Company and Christopher Day
Other Release Nos.: 34-77922, IC-32126
34-77900 May 25, 2016 DE Acquisition 5, Inc., DE Acquisition 11, Inc., and GimmeaBid.Com, Inc.(a/k/a Gimmeabid Com Inc.)
34-77894 May 24, 2016 Greenpower International Group Ltd. and Hauge Technology, Inc.
34-77893 May 24, 2016 China Unistone Acquisition Corp. and Ideal Restaurant Group, Inc.
33-10081 May 24, 2016 Swisher Hygiene Inc.
Other Release Nos.: 34-77887, AAER-3775
34-77882 May 20, 2016 John J. Aesoph, CPA and Darren M. Bennett, CPA
Other Release No.: AAER-3774
34-77868 May 20, 2016 Dragon Bright Mintai Botanical Technology Cayman Ltd., JinZangHuang Tibet Pharmaceuticals, Inc. and Macau Resources Group Ltd.
34-77866 May 20, 2016 Bodisen Biotech, Inc., et al.
34-77865 May 20, 2016 China Rongxin Chemical Holding Group, Inc., and Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.)
34-77864 May 20, 2016 Chardan China Acquisition Corp. and Garden Bay International, Ltd.
IA-4391 May 19, 2016 Brian J. Ourand
Other Release No.: IC-32119
33-10080 May 19, 2016 James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC
Other Release Nos.: 34-77862, IA-4389, IC-32118
See also: Administrative Summary
34-77852 May 18, 2016 Salvatore Renaldi
34-77851 May 18, 2016 Mark A. Lopez
See also: Administrative Summary
34-77842 May 16, 2016 Eric David Wanger
34-77834 May 16, 2016 Digiblue Media, Inc., et al.
34-77832 May 13, 2016 Stephan Von Hase
Other Release No.: IA-4387
34-77828 May 13, 2016 Shearson Financial Network, Inc., et al.
34-77827 May 13, 2016 Easylink Information Technology Co., Ltd.
34-77826 May 12, 2016 John Steven Blount
Other Release No.: IA-4386
34-77816 May 12, 2016 American Express Financial Corporation (now known as Ameriprise Financial, Inc.)
34-77806 May 11, 2016 GroveWare Technologies Ltd., Luve Sports, Inc. and Northcore Technologies, Inc.
34-77805 May 11, 2016 Li-ion Motors Corp. (a/k/a Terra Inventions Corp.), PetroHunter Energy Corp. and Shrink Nanotechnologies, Inc.
34-77802 May 10, 2016 Greg Ruehle
34-77788 May 10, 2016 Texstar Oil Corporation and Bonamour, Inc.
IA-4384 May 9, 2016 David Brochu
34-77768 May 5, 2016 Stalin Antonio Asenjo
34-77767 May 5, 2016 Wentworth IV, Inc., et al.
34-77764 May 4, 2016 CelLynx Group, Inc., Dot VN, Inc. and Global Health Voyager, Inc.
34-77763 May 4, 2016 RSL Communications Ltd., et al.
34-77762 May 4, 2016 Giant Resources, Inc. and Rush Exploration, Inc.
34-77760 May 4, 2016 EQCO2, Inc., Hondo Minerals Corp. and Liberty Gold Corp.
34-77755 May 2, 2016 MaloneBailey, LLP and Jay Phillip Norris, CPA
Other Release No.: AAER-3773
See also: Administrative Summary
34-77753 May 2, 2016 Janice D. Rey
34-77747 Apr. 29, 2016 Stanley D. Parrish
34-77745 Apr. 29, 2016 Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA
Other Release Nos.: IA-4380, AAER-3772
34-77741 Apr. 29, 2016 Coyote Resources, Inc., et al.
34-77739 Apr. 29, 2016 Pioneer Exploration, Inc., Premier Brands, Inc. and Private Media Group, Inc.
IA-4379 Apr. 27, 2016 Roger S. Bliss
IA-4378 Apr. 27, 2016 Professional Investment Management, Inc. (Corrected)
34-77730 Apr. 27, 2016 Ernesto Lujan
34-77729 Apr. 27, 2016 Jose Alejandro Hurtado
34-77728 Apr. 27, 2016 Joseph Flores Demeneses, Jr.
34-77727 Apr. 27, 2016 Tomas Alberto Clarke Bethancourt
34-77725 Apr. 27, 2016 Benito Chinea
34-77718 Apr. 26, 2016 David S. Hall, P.C. d/b/a the Hall Group CPAs, et al.
Other Release No.: AAER-3771
34-77717 Apr. 26, 2016 Cabela's Incorporated and Ralph W. Castner, CPA
Other Release No.: AAER-3770
See also: Administrative Summary
34-77713 Apr. 26, 2016 Burrill Capital Management, et al.
34-77712 Apr. 26, 2016 North East Capital, LLC and Anthony T. Vicidomine
See also: Proposed Amended Plan of Distribution
34-77702 Apr. 25, 2016 Malcolm Segal
Other Release No.: IA-4377
34-77700 Apr. 25, 2016 CBC Acquisition Corp. 1, China Renewable Construction Materials, Inc. and Whoopass Poker Corp.
34-77696 Apr. 22, 2016 Levi D. Lindemann
34-77689 Apr. 22, 2016 Caleb J. White
34-77686 Apr. 22, 2016 Bailey Frances Corp., Kingly Chateau Corp. and Lucy's Water World, Inc.
34-77685 Apr. 22, 2016 DCI Telecommunications, Inc., et al.
34-77684 Apr. 22, 2016 99 Cent Stuff, Inc., et al.
34-77672 Apr. 21, 2016 Gold Hills Mining, Ltd., et al.
34-77670 Apr. 21, 2016 CelLynx Group, Inc., Dot VN, Inc. and Global Health Voyager, Inc.
34-77668 Apr. 21, 2016 China Ticket Center, Inc., et al.
34-77667 Apr. 21, 2016 Oldwebsites.com, Inc., et al.
34-77666 Apr. 21, 2016 Eight-Eight Acquisition Corp. I, Eight-Eight Acquisition Corp. II and Eight-Eight Acquisition Corp. III
34-77665 Apr. 20, 2016 Gerry G. Zobrist, Esq.
IA-4374 Apr. 20, 2016 Daniel N. Ginsparg
Other Release No.: IC-32089
34-77663 Apr. 20, 2016 Joann Jackson
Other Release No.: IA-4373
34-77657 Apr. 20, 2016 Laura P. Messenbaugh, CPA
Other Release No.: AAER-3768
34-77656 Apr. 20, 2016 Diversified Health & Fitness, Inc., et al.
34-77653 Apr. 19, 2016 Daniel Christian Stanley Powell
34-77649 Apr. 19, 2016 TPG Advisors LLC d/b/a The Phillips Group Advisors and Larry M. Phillips
Other Release Nos.: IA-4372, IC-32076
See also: Administrative Summary
34-77648 Apr. 19, 2016 Bruce A. Hartshorn
Other Release Nos.: IA-4371, IC-32075
See also: Administrative Summary
34-77646 Apr. 19, 2016 Robert D. Hesselgesser, CPA
Other Release No.: AAER-3767
34-77644 Apr. 19, 2016 Logitech International, et al.
Other Release No.: AAER-3765
33-10068 Apr. 19, 2016 Ener1, Inc., et al.
Other Release Nos.: 34-77645, AAER-3766
IA-4370 Apr. 15, 2016 Hudson Capital Partners Corporation
34-77630 Apr. 15, 2016 Paul Leon White, II
Other Release No.: IA-4369
34-77627 Apr. 15, 2016 Daytona Systems, Inc. and Equitel, Inc.
34-77626 Apr. 14, 2016 Devon C. McLean
34-77625 Apr. 14, 2016 Reid S. Johnson
Other Release Nos.: IA-4368, IC-32073
See also: Administrative Summary
34-77624 Apr. 14, 2016 Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
34-77622 Apr. 14, 2016 Mondeo Investments, Inc., MPEG Super Site, Inc. and Myriad International, Inc.
34-77618 Apr. 14, 2016 Arthur F. Jacob, CPA and Innovative Business Solutions, LLC
Other Release Nos.: IA-4367, IC-32072
34-77616 Apr. 14, 2016 DC Brands International, Inc.
34-77615 Apr. 14, 2016 China Holdings Group, Inc., et al.
34-77598 Apr. 13, 2016 Gregory L. Merrick
Other Release No.: IA-4366
34-77597 Apr. 13, 2016 Map IV Acquisition, Inc., Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc.
34-77596 Apr. 12, 2016 INTL FCStone Inc.
Other Release No.: AAER-3764
34-77595 Apr. 12, 2016 Craig Scott Capital, LLC, Craig S. Taddonio and Brent M. Porges
See also: Administrative Summary
34-77566 Apr. 8, 2016 Jabari W. Ragas
Other Release No.: IA-4364
34-77563 Apr. 8, 2016 Go Green Smokeless Oil International, Inc., et al.
34-77562 Apr. 8, 2016 USA Graphite, Inc.
34-77560 Apr. 8, 2016 Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.), et al.
34-77559 Apr. 7, 2016 Morgan Stanley & Co. Incorporated
34-77555 Apr. 7, 2016 Las Vegas Sands Corp.
34-77546 Apr. 6, 2016 Thomas E. Skypeck
34-77544 Apr. 6, 2016 Expleo Solutions, Inc. and Numida, Inc.
34-77542 Apr. 6, 2016 Thakkar CPA, PLLC, et al.
Other Release No.: AAER-3763
34-77541 Apr. 6, 2016 Levi D. Lindemann
34-77534 Apr. 6, 2016 Downer's Gap, Inc. (a/k/a Downers Gap, Inc.), and DST Media, Inc.
34-77533 Apr. 6, 2016 Yayi International, Inc.
IA-4363 Apr. 5, 2016 Daniel Rivera
See also: Administrative Summary
34-77532 Apr. 5, 2016 James A. White
Other Release No.: AAER-3762
34-77531 Apr. 5, 2016 William H. Caughran, Esq.
34-77528 Apr. 5, 2016 Alexander R. Bastron
Other Release No.: IA-4362
See also: Administrative Summary
IA-4361 Apr. 5, 2016 Cambridge Investment Research Advisors, Inc.
See also: Administrative Summary
34-77525 Apr. 5, 2016 Steve Pappas
34-77519 Apr. 5, 2016 Raymon G. Chadwick, Jr.
34-77517 Apr. 5, 2016 Terry W. Johnson
34-77515 Apr. 5, 2016 Bioject Medical Technologies, Inc., et al.
34-77514 Apr. 5, 2016 Bravo Resource Partners, Ltd., et al.
34-77513 Apr. 4, 2016 The Application of Kenny Akindemowo for Review of Disciplinary Action Taken by FINRA
34-77498 Apr. 1, 2016 American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.)
34-77497 Apr. 1, 2016 American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.)
See Also:  Proposed Plan of Distribution

First Quarter

34-77496 Mar. 31, 2016 Clubhouse Videos, Inc., et al.
33-10061 Mar. 31, 2016 Navistar International Corporation
Other Release No.: 34-77490
See Also: Litigation Release
34-77486 Mar. 31, 2016 James E. Neilsen
34-77485 Mar. 31, 2016 Kevin I. Zinn
34-77482 Mar. 31, 2016 Lenco Mobile, Inc.
34-77473 Mar. 30, 2016 Burrill Capital Management, et al.
Other Release Nos.: AAER-3761, IA-4360, IC-32060
34-77472 Mar. 30, 2016 Sino Oil & Gas Pipe Holdings Ltd.
34-77471 Mar. 30, 2016 Buncombe, Inc., Cotton Bay Holdings, Inc. and Middlesex, Inc.
34-77467 Mar. 29, 2016 Rings to Dine For, Inc.
34-77466 Mar. 29, 2016 Christopher M. Gibson
Other Release Nos.: IA-4359, IC-32059
34-77462 Mar. 28, 2016 William Maxwell, Esq.
34-77459 Mar. 28, 2016 Linda Yoo
34-77453 Mar. 25, 2016 Yue Han
34-77447 Mar. 25, 2016 Elliot R. Berman, et al.
Other Release No.: AAER-3760
See Also: Administrative Summary
34-77439 Mar. 24, 2016 Philip Akel
33-10059 Mar. 24, 2016 Canaccord Genuity Inc.
Other Release No.: 34-77436
See Also: Administrative Summary
34-77431 Mar. 23, 2016 Novartis AG
Other Release No.: AAER-3759
See also: Administrative Summary
IA-4357 Mar. 23, 2016 Moazzam "Mark" Malik
34-77423 Mar. 23, 2016 Fox Energy Corp.
34-77422 Mar. 23, 2016 Zhong Wen International Holding Co., Ltd.
34-77421 Mar. 23, 2016 USChina Venture I, Inc. and USChina Venture II, Inc.
34-77397 Mar. 17, 2016 Concertsbyu.Com, Inc., Freedom Bancshares, Inc. and Metamorphix Inc.
34-77393 Mar. 17, 2016 Kevin L. Dowd
Other Release No.: IA-4353
34-77383 Mar. 16, 2016 Eric J. Wolff
34-77377 Mar. 16, 2016 RKO Resources, Inc. (a/k/a Shamika 2 Gold, Inc.)
34-77376 Mar. 16, 2016 Cadan Resources Corp. Consolidated Global Minerals Ltd., Doreal Energy Corp. and Geocan Energy Inc. (a/k/a Arsenal Energy Inc.)
34-77373 Mar. 15, 2016 Barry B. Clare
Other Release No.: IC-32028
See also: Administrative Summary
33-10055 Mar. 15, 2016 ModusLink Global Solutions, et al.
Other Release Nos.: 34-77372, AAER-3758
See also: Administrative Summary
34-77369 Mar. 15, 2016 Central States Capital Markets, LLC; Mark R. Detter; David K. Malone; and John D. Stepp
Other Release Nos.: IA-4352, IC-32027
34-77362 Mar. 14, 2016 Royal Alliance Associates, Inc., Sagepoint Financial, Inc. and Fsc Securities Corporation
Other Release No.: IA-4351
34-77346 Mar. 10, 2016 Ronald D. Ormand
Other Release Nos.: AAER-3757
34-77345 Mar. 10, 2016 Magnum Hunter Resources Corporation
Other Release No.: AAER-3756
34-77344 Mar. 10, 2016 David S. Krueger, CPA
Other Release No.: AAER-3755
34-77343 Mar. 10, 2016 Wayne Gray, CPA
Other Release No.: AAER-3754
34-77342 Mar. 10, 2016 Joseph R. Allred, CPA
Other Release No.: AAER-3753
33-10053 Mar. 9, 2016 Westlands Water District, Thomas W. Birmingham and Louie David Ciapponi
Other Release No.: AAER-3752
34-77327 Mar. 9, 2016 Banc de Binary Ltd, et al.
34-77326 Mar. 8, 2016 Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.)
See also: Chinese version
34-77325 Mar. 8, 2016 Steven H. Davis, Esq.
33-10051 Mar. 8, 2016 Steven Zoernack and Equitystar Capital Management, LLC
Other Release Nos.: 34-77318, IA-4349, IC-32024
34-77317 Mar. 8, 2016 Frederick J. Birks
34-77315 Mar. 8, 2016 Dome Holding Corp., et al.
34-77314 Mar. 8, 2016 Dewpoint Environmental, Inc., et al.
34-77313 Mar. 8, 2016 eCareer Holdings, Inc.
33-10050 Mar. 7, 2016 Francis Parisi
Other Release No.: 34-77312
34-77300 Mar. 7, 2016 First Southwest Company, LLC
34-77290 Mar. 3, 2016 Nordion (Canada) Inc.
See also: Administrative Summary
34-77288 Mar. 3, 2016 Mikhail Gourevitch
See also: Administrative Summary
34-77278 Mar. 3, 2016 Joseph Denard Reid (a/k/a Reid Joseph Denard), et al.
IA-4348 Mar. 2, 2016 Marco Investment Management, LLC and Steven S. Marco
34-77273 Mar. 2, 2016 Elsinore Capital II, Ltd., et al.
34-77272 Mar. 2, 2016 Natural Resources Corporation
34-77271 Mar. 1, 2016 Devon C. Mclean
34-77270 Mar. 1, 2016 Janice D. Rey
33-10049 Mar. 1, 2016 J.S. Oliver Capital Management, L.P., and Mausner, Ian O.
Other Release Nos.: 34-77263, IA-4347, IC-32016
34-77262 Mar. 1, 2016 Peter Kuperman and QED Benchmark Management, L.L.C.
34-77261 Mar. 1, 2016 Qualcomm Incorporated
Other Release No.: AAER-3751
34-77260 Mar. 1, 2016 Map IV Acquisition, Inc., Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc.
34-77259 Mar. 1, 2016 Craig N. Salamone
See also: Administrative Summary
34-77258 Mar. 1, 2016 Lawrence M. Gincel
See also: Administrative Summary
34-77257 Mar. 1, 2016 Patricia Zajick Metzler, Daniel P. Metzler and Donald C. Zajick
See also: Administrative Summary
34-77255 Mar. 1, 2016 Downer's Gap, Inc. (a/k/a Downers Gap, Inc.), et al.
34-77254 Feb. 29, 2016 Keybanc Capital Markets Inc.
Other Release No.: AAER-3750
34-77253 Feb. 29, 2016 Maximillian Santos
Other Release Nos.: IA-4346, IC-32012
34-77250 Feb. 29, 2016 Ben Franklin Financial, Inc. (a/k/a Franklin Ben Financial, Inc.), et al.
34-77244 Feb. 26, 2016 Joseph A. Giordano
34-77238 Feb. 25, 2016 Chardan China Acquisition Corp. and Garden Bay International, Ltd.
34-77237 Feb. 25, 2016 De Acquisition 5, Inc., et al.
34-77231 Feb. 25, 2016 Timothy Quintanilla, CPA
Other Release No.: AAER-3748
34-77228 Feb. 24, 2016 Texstar Oil Corporation and Bonamour, Inc.
34-77227 Feb. 24, 2016 Infrastructure International, Inc.
34-77225 Feb. 24, 2016 Mark A. Lopez
34-77224 Feb. 24, 2016 David S. Lee, Esq., CPA
Other Release Nos.: IA-4344, AAER-3747
IA-4343 Feb. 24, 2016 Emanuel L. Sarris, Sr.
34-77223 Feb. 24, 2016 Computer Sciences Corporation, et al.
34-77220 Feb. 24, 2016 CBC Acquisition Corp. 1, et al.
34-77219 Feb. 24, 2016 Equity Ventures Group, Inc., Games On Demand International, Inc. (a/k/a Firmware Technologies Inc.)
34-77207 Feb. 23, 2016 Jason Maiher
Other Release No.: AAER-3746
IA-4338 Feb. 23, 2016 Cantella & Co.
See also: Administrative Summary
34-77208 Feb. 23, 2016 Sandra Dyche
34-77206 Feb. 23, 2016 UBS Financial Services Incorporated of Puerto Rico
33-10042 Feb. 19, 2016 IBC Funds, LLC
Other Release No.: 34-77195
34-77185 Feb. 19, 2016 Nicholas A. Prezioso
34-77176 Feb. 18, 2016 Crucible Capital Group, Inc. and Charles Moore
Other Release No.: IC-31998
34-77167 Feb. 17, 2016 Ceyoniq AG (n/k/a CEYONIQ, Inc.), et al.
See Also:  German Version
34-77166 Feb. 17, 2016 Digiblue Media, Inc., et al.
34-77162 Feb. 17, 2016 Julieta Favela Barcenas
Other Release No.: AAER-3745
34-77161 Feb. 17, 2016 Donald J. Glidewell, CPA
Other Release No.: AAER-3744
34-77151 Feb. 17, 2016 Inelco Corp. and Teliphone Corp.
34-77150 Feb. 17, 2016 Charles P. Grom
Other Release Nos.: IA-4335, IC-31997
34-77145 Feb. 16, 2016 PTC Inc.
Other Release No.: AAER-3743
See Also:  Deferred Prosecution Agreement for Yu Kai Yuan
34-77139 Feb. 16, 2016 Riverdale Mining Inc. and Tresoro Mining Corp.
34-77138 Feb. 16, 2016 African Copper Corp. and Genmed Holding Corp.
34-77136 Feb. 12, 2016 Gregory L. Merrick
Other Release No.: IA-4334
34-77135 Feb. 12, 2016 China Rongxin Chemical Holding Group, Inc. and Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.)
34-77134 Feb. 12, 2016 Louis V. Schooler
34-77133 Feb. 12, 2016 Shearson Financial Network, Inc., et al.
34-77132 Feb. 12, 2016 Wentworth IV, Inc., et al.
34-77131 Feb. 12, 2016 Sandra Dyche
34-77130 Feb. 12, 2016 UBS Financial Services Incorporated of Puerto Rico
34-77115 Feb. 11, 2016 Aegis Capital, LLC, et al.
Other Release Nos.: IA-4333, IC-31994
33-10039 Feb. 11, 2016 Frazer Frost, et al.
Other Release Nos.: 34-77114, AAER-3742
See Also:  Administrative Summary
34-77109 Feb. 10, 2016 Abdallah Fadel
34-77108 Feb. 10, 2016 Spring Hill Capital Markets, LLC, et al.
34-77102 Feb. 10, 2016 Disaster Preparedness Systems, Inc., Electric Moto Corp. and EMO Corp.
34-77101 Feb. 10, 2016 DE Acquisition 7, Inc., et al.
34-77100 Feb. 10, 2016 Echelon Acquisition Corp. and FirstChina Capital, Inc.
34-77099 Feb. 9, 2016 Phillip Cory Roberts and Bay Peak, LLC
Other Release No.: IC-31991
IA-4332A Feb. 9, 2016 Nicholas Rowe (Corrected)
See Also:  Administrative Summary
34-77094 Feb. 9, 2016 Jarrod L. Spector
33-10037 Feb. 9, 2016 Monsanto Company, et al.
Other Release Nos.: 34-77087, AAER-3741
34-77083 Feb. 8, 2016 Tyson D. Williams
IA-4331 Feb. 5, 2016 Edgar R. Page and Pageone Financial, Inc.
Other Release No.: IC-31987
34-77075 Feb. 5, 2016 Joseph Stilwell and Stilwell Value LLC
33-10036 Feb. 5, 2016 Bioelectronics Corp., et al.
Other Release Nos.: 34-77073, AAER-3740
34-77063 Feb. 4, 2016 Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
34-77061 Feb. 4, 2016 CBC Acquisition Corp. 1, et al.
34-77060 Feb. 4, 2016 Bailey Frances Corp., Kingly Chateau Corp. and Lucy's Water World, Inc.
34-77059 Feb. 4, 2016 Mohammed Riad and Kevin Timothy Swanson
Other Release Nos.: IA-4328, IC-31984
34-77058 Feb. 4, 2016 SciClone Pharmaceuticals, Inc.
Other Release No.: AAER-3739
See Also:  Administrative Summary
34-77057 Feb. 4, 2016 Ignacio Cueto Plaza
Other Release No.: AAER-3738
See Also:  Administrative Summary
34-77056 Feb. 4, 2016 E.S. Financial Services, Inc. n/k/a Brickell Global Markets, Inc.
34-77052 Feb. 4, 2016 Michael Donnelly
Other Release No.: IA-4327
34-77048 Feb. 3, 2016 Sarkauskas, Associates, Inc. and James M. Sarkauskas
Other Release Nos.: IA-4326, IC-31983
See Also:  Plan of Distribution
34-77046 Feb. 3, 2016 Credit Suisse Alternative Capital, et al.
33-10033 Feb. 3, 2016 George N. Krinos, Krisnos Holdings, Inc. and Fordgate Acquisition Corp.
Other Release Nos.: 34-77040, IA-4325, IC-31979
34-77017 Feb. 2, 2016 Jason Bo-Alan Beckman
Other Release No.: IA-4324
34-77016 Feb. 2, 2016 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
33-10029 Feb. 2, 2016 United Bankers' Bank
Other Release No.: 34-77031
See Also: Waiver Release No.: 33-10030
33-10028 Feb. 2, 2016 Wells Fargo Bank and N.A. Municipal Products Group
Other Release No.: 34-77030
See Also: Waiver Release No.: 33-10030
33-10027 Feb. 2, 2016 Roosevelt & Cross, Incorporated
Other Release No.: 34-77029
See Also: Waiver Release No.: 33-10030
33-10026 Feb. 2, 2016 Mitsubishi UFJ Securities (USA), Inc.
Other Release No.: 34-77028
See Also: Waiver Release No.: 33-10030
33-10025 Feb. 2, 2016 Municipal Capital Markets Group, Inc.
Other Release Nos.: 34-77026, 34-77027
See Also: Waiver Release No.: 33-10030
33-10024 Feb. 2, 2016 TD Securities (USA) LLC
Other Release No.: 34-77026
See Also: Waiver Release No.: 33-10030
33-10023 Feb. 2, 2016 Hilltop Securities Inc.
Other Release No.: 34-77025
See Also: Waiver Release No.: 33-10030
33-10022 Feb. 2, 2016 Janney Montgomery Scott LLC
Other Release No.: 34-77024
See Also: Waiver Release No.: 33-10030
33-10021 Feb. 2, 2016 Keybanc Capital Markets Inc.
Other Release No.: 34-77023
See Also: Waiver Release No.: 33-10030
33-10020 Feb. 2, 2016 Jefferies LLC
Other Release No.: 34-77022
See Also: Waiver Release No.: 33-10030
33-10019 Feb. 2, 2016 D.A. Davidson & Co.
Other Release No.: 34-77021
See Also: Waiver Release No.: 33-10030
33-10018 Feb. 2, 2016 Boenning & Scattergood, Inc.
Other Release No.: 34-77020
See Also: Waiver Release No.: 33-10030
33-10017 Feb. 2, 2016 First Midstate Incorporated
Other Release No.: 34-77019
See Also: Waiver Release No.: 33-10030
33-10016 Feb. 2, 2016 Barclays Capital Inc.
Other Release No.: 34-77018
See Also: Waiver Release No.: 33-10030
34-77013 Feb. 2, 2016 American Power Corp. and Locan, Inc.
34-77012 Feb. 2, 2016 CodeSmart Holdings, Inc.
34-77011 Feb. 1, 2016 DCI Telecommunications, Inc., et al.
34-77010 Feb. 1, 2016 RSL Communications Ltd., et al.
34-77005 Feb. 1, 2016 SAP SE
Other Release No.: AAER-3736
34-77004 Feb. 1, 2016 Bravo Resource Partners, Ltd., et al.
33-10014 Jan. 31, 2016 Credit Suisse Securities (USA) LLC
Other Release No.: 34-77003
33-10013 Jan. 31, 2016 Credit Suisse Securities (USA) LLC
Other Release No.: 34-77002
33-10010 Jan. 31, 2016 Barclays Capital Inc.
Other Release No.: 34-77001
See Also: Waiver Release Nos.: 33-10011 and 33-10012
33-10009 Jan. 28, 2016 Peter Kuperman and QED Benchmark Management, L.L.C.
Other Release Nos.: 34-76991, IA-4323, IC-31973
34-76988 Jan. 28, 2016 Eight-Eight Acquisition Corp. I, Eight-Eight Acquisition Corp. II and Eight-Eight Acquisition Corp. III
34-76987 Jan. 28, 2016 Diversified Health & Fitness, Inc., et al.
34-76986 Jan. 28, 2016 Kevin A. Boyles (corrected)
34-76985 Jan. 28, 2016 Philip A. Dressner (corrected)
34-76980 Jan. 27, 2016 Diane D. Dalmy, Esq.
34-76979 Jan. 27, 2016 3C Advisors & Associates, Inc., Stephen Jones and David Prolman
IA-4321 Jan. 27, 2016 Moazzam "Mark" Malik
33-10008 Jan. 27, 2016 J.S. Oliver Capital Management, L.P. and Mausner, Ian O.
Other Release Nos.: 34-76976, IA-4322, IC-31972
34-76978 Jan. 27, 2016 Justin Moongyu Lee, Esq., CPA
Other Release No.: AAER-3735
34-76977 Jan. 27, 2016 Salvatore Renaldi
34-76964 Jan. 22, 2016 Oldwebsites.Com, Inc., et al.
34-76962 Jan. 22, 2016 99 Cent Stuff, Inc., et al.
34-76951 Jan. 21, 2016 Daytona Systems, Inc. and Equitel, Inc.
33-10007 Jan. 21, 2016 Edward H. Spiegel and ARRG Corp.
Other Release No.: 34-76949
33-10006 Jan. 21, 2016 Bernerd E. Young
Other Release Nos.: 34-76948, IA-4320, IC-31971
34-76943 Jan. 21, 2016 Modern City Entertainment, Inc.
34-76942 Jan. 21, 2016 Orgral Technologies Corp., Professional Services Network, Inc. and UBX Technologies, Inc.
34-76941 Jan. 21, 2016 Oriental Nonferrous Metals Technology Co., Ltd., et al.
34-76940 Jan. 21, 2016 China Ticket Center, Inc., et al.
34-76938 Jan. 20, 2016 Ocwen Financial Corp.
Other Release No.: AAER-3733
34-76932 Jan. 19, 2016 Michael T. Snedeker
Other Release No.: IA-4317
34-76930 Jan. 19, 2016 Success Trade Securities, Inc. and Fuad Ahmed
33-10004 Jan. 19, 2016 Equinox Fund Management, LLC
Other Release Nos.: 34-76927, IA-4315
34-76926 Jan. 19, 2016 Pan Asia Mining Corp., Petro Horizon Energy Corp. and Powerhouse Energy Corp.
34-76925 Jan. 19, 2016 Friendly Energy Exploration, Public Media Works, Inc. and Zoro Mining Corp.
34-76924 Jan. 19, 2016 China Printing & Packaging, Inc. and Silvan Industries, Inc.
34-76919 Jan. 15, 2016 Accentia Biopharmaceuticals, Inc. and Biostem U.S. Corp.
34-76918 Jan. 15, 2016 New Leaf Brands, Inc.
34-76917 Jan. 15, 2016 Arrin Corporation, et al.
34-76916 Jan. 14, 2016 Invent Ventures, Inc. and Bryce M. Knight
Other Release No.: IC-31957
34-76905 Jan. 14, 2016 State Street Bank and Trust Company
See also: Litigation Release
34-76904 Jan. 14, 2016 Vincent J. Debaggis
See also: Litigation Release
34-76899 Jan. 14, 2016 Goldman and Sachs & Co.
34-76898 Jan. 14, 2016 Andain, Inc.
34-76897 Jan. 14, 2016 Everhart Financial Group, Inc., Richard Scott Everhart and Matthew James Romeo
Other Release No.: IA-4314
34-76896 Jan. 13, 2016 Jonathan Warren Brooks
Other Release No.: IA-4313
IA-4312 Jan. 13, 2016 Hudson Capital Partners Corporation
34-76885 Jan. 13, 2016 Rahfco Management Group, LLC
Other Release No.: IA-4311
34-76882 Jan. 13, 2016 Champion Enterprises, Inc. (a/k/a CEI Liquidation Estate)
34-76879 Jan. 12, 2016 Reid A. Hackney, CPA
Other Release No.: AAER-3732
34-76878 Jan. 12, 2016 Richard M. Higgins
Other Release No.: IA-4310
34-76877 Jan. 12, 2016 VCAP Securities, LLC and Brett Thomas Graham
See also: Plan of Distribution
33-10002 Jan. 12, 2016 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-76876, AAER-3731
IA-4309 Jan. 11, 2016 Aubrey Lee Price
34-76873 Jan. 11, 2016 NHS Financial, Inc.
34-76872 Jan. 11, 2016 Go Green Smokeless Oil International, Inc., et al.
34-76866 Jan. 11, 2016 Paul D. Crawford
34-76861 Jan. 11, 2016 DC Brands International Inc.
34-76859 Jan. 8, 2016 John Olivia (corrected)
IA-4307 Jan. 8, 2016 Steven A. Cohen
34-76847 Jan. 7, 2016 Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.), et al.
34-76846 Jan. 7, 2016 China Holdings Group, Inc., et al.
34-76843 Jan. 6, 2016 Wayne L. Palmer
33-10001 Jan. 6, 2016 J.P. Morgan Securities LLC
Other Release Nos.: 34-76839, IA-4306
34-76838 Jan. 5, 2016 Shreyans Desai
Other Release No.: IA-4305
34-76837 Jan. 5, 2016 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
Comments due: 30 days from publication of this Notice
See also: Proposed Amended Plan of Distribution
34-76827 Jan. 5, 2016 Jeffrey A. King
34-76818 Jan. 4, 2016 Vivian S. Shields