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

IA-5074 Dec. 13, 2018 Yucaipa Master Manager, LLC
See also: Administrative Summary
34-84815 Dec. 13, 2018 Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company
34-84813 Dec. 13, 2018 Stanley P. Bates
34-84811 Dec. 13, 2018 Carlos I. Uresti
33-10584 Dec. 12, 2018 America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC and America Modern Green Residential (Houston) LLC
34-84807 Dec. 12, 2018 Landaas & Company and Robert W. Landaas
Other Release No.: IA-5072
See also: Administrative Summary
IA-5073 Dec. 12, 2018 Richard W. Kessler
34-84803 Dec. 11, 2018 Balqon Corporation, et al.
34-84802 Dec. 11, 2018 Dearborn Bancorp, Inc., et al.
34-84801 Dec. 11, 2018 Medicus Homecare Inc.
34-84798 Dec. 11, 2018 Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.), et al.
34-84794 Dec. 11, 2018 Alfred C. Teran
Other Release No.: IC-33322
34-84785 Dec. 11, 2018 Lotus Bio-Technology Development Corporation
Other Release No.: AAER-4001
34-84784 Dec. 11, 2018 Frontier Oilfield Services, Inc.
Other Release No.: AAER-4000
34-84783 Dec. 11, 2018 Eastgate Biotech Corporation
Other Release No.: AAER-3999
34-84782 Dec. 11, 2018 Auscrete Corporation
Other Release No.: AAER-3998
34-84781 Dec. 11, 2018 The Hain Celestial Group, Inc.
Other Release No.: AAER-3997
34-84779 Dec. 10, 2018 Hua Yang Investment Group, et al.
34-84764 Dec. 10, 2018 Lai Guanglin (Alan)
34-84763 Dec. 10, 2018 Agria Corporation
Other Release No.: AAER-3996
34-84760 Dec. 10, 2018 Natixis Securities Americas LLC
34-84759 Dec. 10, 2018 Citadel Securities LLC
34-84758 Dec. 10, 2018 MUFG Securities Americas Inc.
33-10582 Dec. 7, 2018 CoinAlpha Advisors LLC
34-84725 Dec. 6, 2018 Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-84718 Dec. 4, 2018 KCAP Financial, Inc.
Other Release Nos.: IC-33314, AAER-3995
See also: Administrative Summary
34-84715 Dec. 3, 2018 John C. Maccoll
Other Release No.: IA-5071
33-10581 Dec. 3, 2018 Fifth Street Management, LLC
Other Release Nos.: 34-84713, IA-5070, IC-33312
See also: Administrative Summary
34-84712 Dec. 3, 2018 Linkbrokers Derivatives LLC
34-84707 Nov. 30, 2018 Ronald Wayne Nabors
Other Release No.: IA-5069
34-84693 Nov. 29, 2018 ColorStars Group, et al.
33-10579 Nov. 29, 2018 Khaled Khaled
33-10578 Nov. 29, 2018 Floyd Mayweather Jr.
34-84675 Nov. 29, 2018 Augustine Capital Management, et al.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-84665 Nov. 27, 2018 Ricardo H. Goldman
34-84654 Nov. 26, 2018 Avant Diagnostics, Inc., et al. (Corrected)
34-84628 Nov. 20, 2018 Michael T. Gluk, CPA
34-84625 Nov. 19, 2018 eRoomSystem Technologies, Inc.
IA-5066 Nov. 19, 2018 Mark Hotton
IA-5065 Nov. 19, 2018 Retirement Capital Strategies, Inc.
See also: Administrative Summary
34-84618 Nov. 19, 2018 Robert William Myers, Jr.
34-84617 Nov. 19, 2018 Vantage Drilling International
Other Release No.: AAER-3994
See also: Administrative Summary
34-84609 Nov. 16, 2018 Apex Fund Services (Us), Inc.
See also: Amended Distribution Plan
34-84608 Nov. 16, 2018 Visium Asset Management, LP
34-84607 Nov. 16, 2018 DeVere USA, Inc.
33-10575 Nov. 16, 2018 CarrierEQ, Inc., d/b/a AirFox
33-10574 Nov. 16, 2018 Paragon Coin, Inc.
34-84606 Nov. 15, 2018 AMI James Brands, Inc., et al.
34-84605 Nov. 15, 2018 Function(x), Inc.
34-84598 Nov. 14, 2018 Solaris Power Cells, Inc., Stragenics, Inc. and Ultimate Rack Inc.
34-84596 Nov. 14, 2018 Solaris Power Cells, Inc., Stragenics, Inc. and Ultimate Rack Inc.
34-84595 Nov. 14, 2018 Nutrastar International, Inc.
34-84593 Nov. 14, 2018 America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc.
34-84579 Nov. 13, 2018 Mullan Agritech, Inc., ReliaBrand, Inc. and UBL Interactive, Inc.
34-84564 Nov. 9, 2018 Salvadore D. Palermo
34-84563 Nov. 9, 2018 Steve Qi, Esq.
34-84562 Nov. 9, 2018 Pyxus International, Inc.
Other Release No.: AAER-3993
See also: Administrative Summary
IA-5064 Nov. 9, 2018 Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies
34-84555 Nov. 8, 2018 Douglas P. Simanski
Other Release No.: IA-5063
34-84554 Nov. 8, 2018 Jeremy A. Licht d/b/a JL Capital Management
34-84553 Nov. 8, 2018 Zachary Coburn
34-84549 Nov. 7, 2018 Avant Diagnostics, Inc., et al.
33-10572 Nov. 7, 2018 ITG Inc. and AlterNet Securities, Inc.
Other Release No.: 34-84548
33-10571 Nov. 7, 2018 Citibank, N.A.
IA-5062 Nov. 6, 2018 Mark A. Elste
IA-5061 Nov. 6, 2018 Pennant Management, Inc.
See also: Administrative Summary
34-84532 Nov. 5, 2018 JPMorgan Chase & Co.
34-84531 Nov. 5, 2018 Maxwell Technologies, Inc., et al.
See also: Plan of Distribution
34-84526 Nov. 2, 2018 Brett Thomas Graham
Other Release No.: IA-5060
34-84525 Nov. 2, 2018 Mark E. Fisher, Esq.
34-84501 Oct. 30, 2018 Aric Yerusalem Swartz
34-84493 Oct. 26, 2018 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
See also: Corrected Distribution Plan
34-84492 Oct. 25, 2018 Penny Auction Solutions, Inc., Sebring Software, Inc. and Studio II Brands, Inc.
34-84491 Oct. 25, 2018 Mass Hysteria Entertainment Company, Inc., Stark Naked Bobbers and TOA Holdings, Inc.
34-84485 Oct. 25, 2018 Joseph Alborano
34-84484 Oct. 24, 2018 Swissinso Holding, Inc., SYDYS Corporation and UnifiedOnline, Inc.
34-84483 Oct. 24, 2018 Emilio Francisco
34-84482 Oct. 24, 2018 Marilyn R. Thomassen
34-84475 Oct. 23, 2018 Bahamas Concierge, Inc., Emoneco, Inc. and Titanium Healthcare, Inc.
34-84474 Oct. 23, 2018 Bitzio, Inc. and Enerpulse Technologies, Inc.
34-84468 Oct. 22, 2018 JuQun, Inc., et al.
34-84467 Oct. 22, 2018 America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc.
34-84466 Oct. 22, 2018 EMAV Holdings, Inc., et al.
IA-5059 Oct. 22, 2018 Todd Elliott Hitt
34-84461 Oct. 19, 2018 Zachary S. Berkey
34-84459 Oct. 19, 2018 Epic Stores Corp., et al.
IA-5058 Oct. 19, 2018 Michael B. Rothenberg
34-84453 Oct. 18, 2018 Americas Wind Energy Corporation, et al.
34-84452 Oct. 18, 2018 BKS Advisors LLC and Robert Denha
IA-5057 Oct. 18, 2018 John H. Rogicki
34-84446 Oct. 17, 2018 Fern Holdings Corp., et al.
34-84445 Oct. 17, 2018 Chile Mining Technologies Inc.
34-84443 Oct. 17, 2018 Mark R. Graham, Blue Capital Management, Inc. and Blue Alternative Asset Management, L.L.C.
34-84422 Oct. 12, 2018 American Sands Energy Corp., et al.
34-84421 Oct. 12, 2018 Aurios Inc., et al.
34-84419 Oct. 12, 2018 Richard J. Bertuglia, CPA, John W. Green, CPA and Lev Nagdimov, CPA
Other Release No.: AAER-3992
See also: Administrative Summary
34-84416 Oct. 12, 2018 Daniel Joseph Touizer
34-84415 Oct. 12, 2018 Apex Fund Services (US), Inc.
See also: Amended Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
34-84414 Oct. 12, 2018 Saul Daniel Suster
34-84413 Oct. 11, 2018 Americas Wind Energy Corporation, et al.
34-84408 Oct. 11, 2018 John Kevin Reech
34-84407 Oct. 11, 2018 Linkbrokers Derivatives, LLC
34-84390 Oct. 10, 2018 Ross B. Shapiro
Other Release No.: IA-5056
34-84372 Oct. 4, 2018 Scrap China Corp., et al.
34-84371 Oct. 4, 2018 Petron Energy II, Inc., et al.
34-84359 Oct. 4, 2018 Paul T. Rampoldi
Other Release No.: IA-5055
34-84347 Oct. 2, 2018 Golden Global Corp. and Power Efficiency Corporation
34-84346 Oct. 2, 2018 AMI James Brands, Inc., et al.
34-84345 Oct. 2, 2018 First Liberty Power Corp., et al.
34-84342 Oct. 2, 2018 Patrick Lanier
34-84333 Oct. 1, 2018 Radiant Oil & Gas, Inc., Tungsten Corp. and Well Power, Inc.
34-84332 Oct. 1, 2018 Ampal-American Israel Corporation, Robertson Global Health Solutions Corporation and Sanguine Corporation
34-84331 Oct. 1, 2018 ARX Gold Corporation
34-84329 Oct. 1, 2018 Taberna Capital Management, LLC, Michael Fralin and Raphael Licht

Third Quarter

34-84318 Sep. 28, 2018 Stephen Romo
34-84315 Sep. 28, 2018 Unal Patel and Amish Patel
33-10565 Sep. 28, 2018 Credit Suisse Securities (USA) LLC
Other Release No.: 34-84314
34-84316 Sep. 28, 2018 John Wolle
IA-5054 Sep. 28, 2018 LendingClub Asset Management, LLC, et al.
Other Release No.: IC-33259
33-10564 Sep. 28, 2018 Mota Group, Inc. and Mota "Michael" Faro
Other Release No.: AAER-3991
See also: Administrative Summary
IA-5053 Sep. 28, 2018 Lawrence Allen Deshetler
34-84310 Sep. 28, 2018 John Montague
34-84309 Sep. 28, 2018 COR Clearing, LLC
34-84308 Sep. 28, 2018 Stryker Corporation
33-10562 Sep. 28, 2018 Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon
34-84306 Sep. 28, 2018 Paul Katsaros
34-84303 Sep. 27, 2018 Fuel Performance Solutions, Inc., et al.
34-84301 Sep. 27, 2018 Oakridge Global Energy Solutions, Inc.
34-84305 Sep. 27, 2018 Gary Bernard Ross
Other Release No.: IA-5052
34-84304 Sep. 27, 2018 Thomas Earl Hayden, et al.
See also: Administrative Summary
IA-5050 Sep. 27, 2018 Putnam Investment Management, LLC and Zachary Harrison
Other Release No.: IC-33257
See also: Administrative Summary
34-84300 Sep. 27, 2018 Ismail Elmas
Other Release No.: IA-5051
33-10561 Sep. 27, 2018 Petróleo Brasileiro S.A. - Petrobras
Other Release Nos.: 34-84205, AAER-3989
34-84296 Sep. 27, 2018 Maxwell Technologies, Inc., et al.
See also: Proposed Distribution Plan
34-84292 Sep. 26, 2018 Leroy "Lee" K. Young
Other Release No.: IA-5049
34-84291 Sep. 26, 2018 Dhru Desai
Other Release No.: AAER-3988
34-84288 Sep. 26, 2018 Voya Financial Advisors, Inc.
Other Release No.: IA-5048
IA-5046 Sep. 25, 2018 Thomas J. Caufield
34-84280 Sep. 25, 2018 Patricio Contesse González
IA-5047 Sep. 25, 2018 Hudson Housing Capital LLC
See also: Administrative Summary
34-84281 Sep. 25, 2018 Lichter, Yu and Associates, Inc., et al.
Other Release No.: AAER-3987
IA-5045 Sep. 25, 2018 Todd Wortman
IA-5044 Sep. 25, 2018 Dawn Roberts
33-10560 Sep. 25, 2018 SG Americas Securities, LLC as successor entity to Newedge USA, LLC
Other Release No.: 34-84277
34-84273 Sep. 24, 2018 United Development Funding III, LP, United Development Funding IV and United Development Funding Income Fund V
34-84272 Sep. 24, 2018 Shawn K. Dicken
34-84271 Sep. 24, 2018 Mary A. Faher
Other Release No.: IA-5043
34-84268 Sep. 24, 2018 Cory Ryan Williams
Other Release No.: IA-5042
34-84269 Sep. 24, 2018 TD Ameritrade, Inc.
34-84267 Sep. 21, 2018 MaryJane Group, Inc., Omega Commercial Finance Corp. and Redpoint Bio Corp.
34-84265 Sep. 21, 2018 Golden Claw Ventures, Inc., et al.
34-84263 Sep. 21, 2018 Infrax Systems, Inc.
Other Release No.: AAER-3985
34-84262 Sep. 21, 2018 First Hartford Corporation
Other Release No.: AAER-3984
34-84261 Sep. 21, 2018 Dasan Zhone Solutions, Inc.
Other Release No.: AAER-3983
34-84260 Sep. 21, 2018 Cool Technologies, Inc.
Other Release No.: AAER-3982
33-10559 Sep. 21, 2018 CMB Export, et al.
Other Release No.: 34-84264
34-84258 Sep. 21, 2018 Cardiff Lexington Corporation (f/k/a Cardiff International, Inc.)
Other Release No.: AAER-3981
34-84253 Sep. 21, 2018 Scrap China Corp., et al.
33-10558 Sep. 21, 2018 Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr
Other Release No.: AAER-3980
See also: Administrative Summary
34-84252 Sep. 21, 2018 Dennis W. Hamilton, CPA
Other Release No.: AAER-3979
IA-5041 Sep. 21, 2018 Ophrys, LLC
34-84251 Sep. 21, 2018 Primoris Services Corporation
Other Release No.: AAER-3978
See also: Administrative Summary
34-84228 Sep. 20, 2018 Appian, Inc., et al.
34-84250 Sep. 20, 2018 Be Industries, Inc., et al.
34-84249 Sep. 20, 2018 Cybergy Holdings, Inc., et al.
34-84245 Sep. 20, 2018 Anpulo Food Development, Inc., et al.
34-84243 Sep. 20, 2018 Ceelox, Inc., et al.
34-84242 Sep. 20, 2018 GeneSYS ID, et al.
34-84240 Sep. 20, 2018 Petrosonic Energy, Inc., PSM Holdings, Inc. and Rackwise, Inc.
34-84235 Sep. 20, 2018 Marc Jay Bryant (a/k/a Marc Jay Welch)
34-84234 Sep. 20, 2018 David Howard Welch (a/k/a David Howard Bryant)
34-84232 Sep. 20, 2018 Banc of America Capital Management, LLC, BACAP Distributors, LLC and Banc of America Securities, LLC
33-10557 Sep. 20, 2018 Barrett Business Services, Inc. and Mark Cannon, CPA
Other Release Nos.: 34-84233, AAER-3977
34-84230 Sep. 20, 2018 BKS Advisors, LLC and Robert T. Denha
34-84226 Sep. 20, 2018 Joel N. Burstein
Other Release No.: IA-5040
34-84224 Sep. 20, 2018 Eric Hall & Associates, LLC and Eric Hall
Other Release No.: IC-33241
See also: Administrative Summary
34-84223 Sep. 19, 2018 Coupon Express, Inc., et al.
34-84220 Sep. 19, 2018 Colorado Goldfields, Inc., LYFE Communications, Inc. and Revolutions Medical Corporation
34-84218 Sep. 19, 2018 American Petro-Hunter, Inc. and Prospect Global Resources Inc.
34-84216 Sep. 19, 2018 American Sands Energy Corp., et al.
34-84212 Sep. 19, 2018 Bahamas Concierge, Inc., eMONEco, Inc. and Titanium Healthcare, Inc.
34-84211 Sep. 19, 2018 GSM Group, Inc. (f/k/a Northam Acquisition Corp.)
33-10555 Sep. 19, 2018 Sientra, Inc.
Other Release No.: 34-84208
33-10554 Sep. 19, 2018 Phillip R. Grogan, Esq.
Other Release No.: 34-84197
33-10553 Sep. 19, 2018 Michael L. LaPenna
Other Release No.: 34-84196
34-84207 Sep. 19, 2018 Bronson L. Quon, CPA
Other Release No.: AAER-3976
34-84206 Sep. 19, 2018 Robert Torino
Other Release No.: AAER-3975
34-84205 Sep. 19, 2018 Nasir Shakouri
Other Release No.: AAER-3974
34-84201 Sep. 19, 2018 Allan Michael Roth
IA-5038 Sep. 19, 2018 Karen Bruton, CPA and Hope Advisors, LLC
34-84199 Sep. 19, 2018 Travis A. Branch
Other Release No.: IA-5039
34-84198 Sep. 19, 2018 Karen Bruton, CPA
Other Release No.: AAER-3973
34-84193 Sep. 18, 2018 Entourage Mining Ltd., et al.
34-84190 Sep. 18, 2018 China Ginseng Holdings, Inc., Hongli Clean Energy Technologies Corp. and Tianyin Pharmaceuticals Co., Inc.
34-84188 Sep. 18, 2018 Avant Diagnostics, Inc., et al.
34-84186 Sep. 18, 2018 Epic Stores Corp., et al.
34-84184 Sep. 18, 2018 Swissinso Holding, Inc., SYDYS Corporation and UnifiedOnline, Inc.
34-84182 Sep. 18, 2018 Susan E. Walker
Other Release No.: IA-5037
34-84181 Sep. 18, 2018 Jennifer R. Johnson
Other Release No.: IA-5036
IA-5035 Sep. 18, 2018 Creative Planning, Inc. and Peter A. Mallouk
See also: Administrative Summary
34-84178 Sep. 17, 2018 Ampal-American Israel Corporation, Robertson Global Health Solutions Corporation and Sanguine Corporation
34-84173 Sep. 17, 2018 AMI James Brands, Inc., et al.
34-84171 Sep. 17, 2018 Colorstars Group, et al.
34-84169 Sep. 17, 2018 First Liberty Power Corp., et al.
33-10552 Sep. 17, 2018 Lane J. Castleton
Other Release No.: 34-84162
See also: Administrative Summary
33-10551 Sep. 17, 2018 Glenn R. Rink
Other Release No.: 34-84161
See also: Administrative Summary
33-10550 Sep. 17, 2018 Abtech Holdings, Inc.
Other Release No.: 34-84160
See also: Administrative Summary
34-84164 Sep. 17, 2018 Heidi Wivolin
Other Release No.: IA-5034
34-84163 Sep. 17, 2018 John L. Gathright, Jr.
Other Release No.: IA-5033
34-84131 Sep. 14, 2018 Jennifer F. Wolf, CPA
Other Release No.: AAER-3972
IC-33226 Sep. 14, 2018 Cushing Asset Management, LP
33-10546 Sep. 14, 2018 Cecil Gregory Earls and Thomas R. Caggiano
Other Release Nos.: 34-84126, IA-5010, IC-33227
See also: Administrative Summary
33-10545 Sep. 14, 2018 Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC
Other Release No.: 34-84124
IA-5009 Sep. 14, 2018 Capital Analysts, LLC
34-84121 Sep. 13, 2018 MedPro Safety Products, Inc., et al.
34-84119 Sep. 13, 2018 Ournett Holdings, Inc., Unigene Laboratories, Inc. and Vicon Fiber Optics Corp.
34-84118 Sep. 13, 2018 Holthouse Carlin & Van Trigt LLP
Other Release Nos.: IA-5008, AAER-3970
See also: Administrative Summary
34-84116 Sep. 13, 2018 Convergex Execution Solutions, LLC and Now Known as Cowen Execution Services LLC
Other Release No.: IA-5007
34-84115 Sep. 13, 2018 Harbour Investments, Inc.
Other Release No.: IA-5006
34-84112 Sep. 13, 2018 Montbriar, Inc., Soul Delicious3 Corp. and Universal Holdings & Consulting, Inc.
34-84111 Sep. 13, 2018 Geo Reserve Corp., I Sites, Inc. and T.A.G. Acquisitions, Ltd.
34-84110 Sep. 13, 2018 AFS Holdings, Inc. and Midas Real Estate Ventures, Inc.
34-84109 Sep. 13, 2018 Position Inc., Test Case Acquisition, Inc. and Tidal Wave Holding, Inc.
34-84104 Sep. 12, 2018 Munro Developments, Inc., Stallion Synergies, Inc. (n/k/a World Wind Holding Group, Inc.), and Sunergy, Inc.
34-84102 Sep. 12, 2018 Aquarius Cannabis, et al.
34-84101 Sep. 12, 2018 Stonewall Financial, Ltd., et al.
34-84096 Sep. 12, 2018 American Natural Energy Corp., CenturyTouch Ltd. and Kaeland Resources Corporation
34-84095 Sep. 12, 2018 AFH Acquisition VI, Inc., et al.
34-84094 Sep. 12, 2018 Eco-Trade Corp., LTWC Corporation and Onyx Service & Solutions, Inc.
34-84088 Sep. 12, 2018 Royal B.Y. Investment Management LLC, et al.
34-84092 Sep. 12, 2018 Golden Pig Ventures, Inc., et al.
34-84091 Sep. 12, 2018 FalconTarget, Inc., Grand Monarch Holdings, Inc. and OICCO Acquisition III, Inc.
34-84090 Sep. 12, 2018 CPI Corp., et al.
34-84087 Sep. 12, 2018 United Technologies Corporation
34-84086 Sep. 11, 2018 Crailar Technologies, Inc., Midwest Oil & Gas, Inc. and Preston Corp.
34-84084 Sep. 11, 2018 Golden Global Corp. and Power Efficiency Corporation
34-84082 Sep. 11, 2018 Fastfunds Financial Corporation, First Asia Holdings Ltd. and Zap
34-84080 Sep. 11, 2018 Endeavor IP, Inc. (n/k/a Nanolife Health, Inc.), WITH, Inc.
33-10544 Sep. 11, 2018 Crypto Asset Management, LP and Timothy Enneking
Other Release Nos.: IA-5004, IC-33222
33-10543 Sep. 11, 2018 TokenLot, LLC, Lenny Kugel and Eli L. Lewitt
Other Release Nos.: 34-84075, IC-33221
33-10542 Sep. 11, 2018 Cadaret, Grant & Co., Inc., et al.
Other Release Nos.: 34-84074, IA-5003
34-84072 Sep. 10, 2018 EMAV Holdings, Inc., et al.
34-84070 Sep. 10, 2018 Bitzio, Inc. and Enerpulse Technologies, Inc.
34-84067 Sep. 7, 2018 CrossClick Media, Inc., Kabe Exploration, Inc. and Swingplane Ventures, Inc.
34-84066 Sep. 7, 2018 The Buck A Day Co., Inc., et al.
34-84064 Sep. 7, 2018 American Locker Group, Inc., INTREorg Systems, Inc. and Pegasi Energy Resources Corp.
34-84061 Sep. 7, 2018 Fuel Performance Solutions, Inc., et al.
34-84059 Sep. 7, 2018 China Health Resource, Inc. and China Logistics Group, Inc.
34-84058 Sep. 7, 2018 BNY Mellon Securities, LLC and Mark Shaw
IA-5002 Sep. 7, 2018 BB&T Securities, LLC, as successor entity to BB&T Investment Services, Inc.
See also: Administrative Summary
IA-5001 Sep. 7, 2018 VSS Fund Management LLC and Jeffrey T. Stevenson
34-84055 Sep. 7, 2018 Sarah E. Adams, CPA
34-84054 Sep. 6, 2018 Joohyun Bahn and a/k/a Dennis Bahn
Other Release No.: AAER-3968
34-84052 Sep. 6, 2018 Petron Energy II, Inc., et al.
34-84050 Sep. 6, 2018 Nutrastar International, Inc.
34-84048 Sep. 6, 2018 ScanSys, Inc. and Voz Mobile Cloud LTD
34-84044 Sep. 6, 2018 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-84043 Sep. 6, 2018 Mark R. Graham, Blue Capital Management, Inc. and Blue Alternative Asset Management, L.L.C.
IA-5000 Sep. 6, 2018 Mark R. Graham, Blue Capital Management, Inc. and Blue Alternative Asset Management, L.L.C.
Other Release No.: IC-33218
34-84042 Sep. 5, 2018 Mark Morrow
34-84041 Sep. 5, 2018 American First Financial, Inc., et al.
34-84040 Sep. 5, 2018 Alterrus Systems, Inc., Corgreen Technologies Holdings Corp. and PC Group, Inc.
34-84039 Sep. 5, 2018 Allied American Steel Corp., et al.
34-84030 Sep. 4, 2018 David R. Frost
34-84029 Sep. 4, 2018 Ralph M. Riccardi
34-84028 Sep. 4, 2018 RMR Asset Management Company
34-84027 Sep. 4, 2018 Dewey T. Tran
34-84026 Sep. 4, 2018 Timothy J. McAloon
34-84025 Sep. 4, 2018 Douglas J. Derryberry
34-84024 Sep. 4, 2018 John Pierrard
Other Release No.: AAER-3967
34-84023 Sep. 4, 2018 Joanne K. Viard, CPA
Other Release No.: AAER-3966
34-84022 Sep. 4, 2018 Michael J. Kipp
Other Release No.: AAER-3965
34-84019 Sep. 4, 2018 Philip A. Weiner
34-84018 Sep. 4, 2018 David S. Luttbeg
34-84017 Sep. 4, 2018 Sanofi
Other Release No.: AAER-3964
34-84016 Aug. 31, 2018 Neil P. Kelly
34-84015 Aug. 31, 2018 John M. Kirschenbaum
34-84014 Aug. 31, 2018 Bruce A. Broekhuizen
IA-4999 Aug. 31, 2018 Massachusetts Financial Services Company
34-84010 Aug. 30, 2018 Philip R. Jacoby, Jr.
Other Release No.: AAER-3963
34-84008 Aug. 30, 2018 Americas Wind Energy Corporation, et al.
34-84007 Aug. 30, 2018 Everyday Assembly Productions, Inc., Forgotten Investments Co., Inc. and Market Integrity, Inc.
34-84006 Aug. 30, 2018 Amonra Omnia, et al.
34-84005 Aug. 30, 2018 AlphaMetrix Managed Futures LLC, et al.
34-84004 Aug. 30, 2018 Visium Asset Management, LP
34-83999 Aug. 30, 2018 Credit Suisse Securities (USA) LLC and Sanford Michael Katz
See also: Distribution Plan
34-83998 Aug. 30, 2018 Visium Asset Management, LP
34-83997 Aug. 30, 2018 Huntington Bancshares, Inc., et al.
34-83996 Aug. 30, 2018 Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim
34-83993 Aug. 29, 2018 David Michael Naylor, CPA
Other Release No.: AAER-3962
34-83991 Aug. 29, 2018 Rotoblock Corporation and U.S. China Mining Group, Inc.
34-83989 Aug. 29, 2018 Makism 3D Corp. and Safebrain Systems, Inc.
33-10541 Aug. 29, 2018 Delaney Equity Group LLC, David C. Delaney and Ian C. Kass
Other Release No.: 34-83987
33-10540 Aug. 29, 2018 Delaney Equity Group LLC, David C. Delaney and Ian C. Kass
Other Release No.: 34-83986
34-83985 Aug. 29, 2018 Manna Capital, Inc., MCA Holdings Corp. and QMI Seismic, Inc.
34-83984 Aug. 29, 2018 Gaming Ventures PLC, GeeWhiz, Inc. (a/k/a GeeWiz.Com, Inc.), and Grace 3, Inc.
34-83981 Aug. 29, 2018 Chad Anthony Lewis
34-83980 Aug. 28, 2018 Great Wall Builders Ltd., PuraMed BioScience, Inc. and TagLikeMe Corp.
34-83978 Aug. 28, 2018 Equilar Capital Corp. and Neuro-Biotech Corporation
34-83977 Aug. 28, 2018 IDO Security, Inc., Redify Group, Inc. and Spartan Gold Ltd.
34-83966 Aug. 28, 2018 Moody's Investors Service, Inc.
34-83965 Aug. 28, 2018 Moody's Investors Service, Inc.
34-83963 Aug. 27, 2018 Rio Bravo Oil, Inc. and UAN Cultural & Creative Co., Ltd.
34-83962 Aug. 27, 2018 Micra Soundcards Inc., Mirex, Inc. and Myotec, Inc.
34-83957 Aug. 27, 2018 Lynette M. Robbins
34-83956 Aug. 27, 2018 David Gray
34-83948 Aug. 27, 2018 Legg Mason, Inc.
Other Release No.: AAER-3961
IA-4998 Aug. 27, 2018 Kevin A. Giles
IA-4997 Aug. 27, 2018 Bradley J. Beman
33-10539 Aug. 27, 2018 AEGON USA Investment Management, LLC, et al.
Other Release Nos.: 34-83947, IA-4996, IC-33215
34-83946 Aug. 24, 2018 Central Park Acquisition I, Inc., Genitope Corporation and Meridian Acquisition Corporation
34-83945 Aug. 24, 2018 Middle Kingdom Resources Ltd., Multimod Investments, Inc. and New Generation Films, Inc.
34-83944 Aug. 24, 2018 Media Group 2000 Inc. a/k/a Urban Resorts International Inc. and New Pacific, Inc.
34-83943 Aug. 24, 2018 EBHI Holdings, Inc., New Venture Holdings, Inc. and Progressive Gaming International Corp.
34-83942 Aug. 24, 2018 Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc.
34-83939 Aug. 24, 2018 Fig Run Acquisition Corporation, SLM Technologies, Inc. and Trail Run Acquisition Corporation
34-83934 Aug. 24, 2018 First Western Advisors
Other Release No.: IA-4995
34-83933 Aug. 24, 2018 RS Soda Holdings, Inc., SGREP, Inc. and Surface Coatings, Inc.
34-83932 Aug. 24, 2018 Lightstone Technologies, Inc., Madison & 51St, Inc. and Three Shades for Everybody, Inc.
34-83931 Aug. 24, 2018 Forum Acquisitions I, Inc., et al.
34-83930 Aug. 23, 2018 James J. O'Neil
34-83924 Aug. 23, 2018 Kvintess F&DI Holdings Corp., Teletronics International, Inc. and TOA Carbon Fiber, Inc.
34-83922 Aug. 23, 2018 American Standard Energy Corp., Elm Valley Acquisition Corporation and LVFAR Green Technology Corp.
34-83921 Aug. 23, 2018 Inner Systems, Inc. and Toga Capital Limited
34-83920 Aug. 23, 2018 Gepco, Ltd., et al.
34-83915 Aug. 23, 2018 Fred Alger Management, Inc. and Fred Alger & Company, Incorporated
34-83914 Aug. 23, 2018 Train and Babcock Advisors LLC
34-83906 Aug. 22, 2018 Deborah B. Dora
34-83905 Aug. 22, 2018 Sharlene F. Mesite
34-83903 Aug. 22, 2018 Anadel R. Pinzon
34-83902 Aug. 22, 2018 Core Performance Management, LLC
34-83901 Aug. 22, 2018 James P. Scherr
34-83899 Aug. 22, 2018 Jeffrey Scott Davis
Other Release No.: IA-4992
33-10535 Aug. 22, 2018 James T. Lentz
IA-4991 Aug. 22, 2018 Aria Partners GP, LLC
IA-4990 Aug. 21, 2018 Biltmore Wealth Management, LLC and Caleb R. Overton
Other Release No.: IC-33208
34-83897 Aug. 21, 2018 David Lubin
34-83896 Aug. 21, 2018 Ismail Lila
See also: Administrative Summary
33-10534 Aug. 21, 2018 Waruna Tivanka Ellawala
Other Release No.: 34-83894
33-10533 Aug. 21, 2018 Hari K. Ravichandran
Other Release No.: 34-83893
34-83889 Aug. 20, 2018 Joseph Jennings, CPA
Other Release No.: AAER-3960
See also: Administrative Summary
34-83886 Aug. 20, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release No.: IA-4989
34-83883 Aug. 17, 2018 Daniel H. Glick, CPA
Other Release No.: AAER-3959
IA-4987 Aug. 17, 2018 BKS Advisors LLC
34-83873 Aug. 17, 2018 Roger T. Denha
Other Release Nos.: IA-4988, IC-33202
34-83857 Aug. 16, 2018 Honglan Wang
34-83859 Aug. 16, 2018 Citigroup Global Markets Inc. and Citigroup Inc.
Other Release No.: IA-4986
34-83858 Aug. 16, 2018 Citigroup Inc.
Other Release No.: AAER-3958
34-83854 Aug. 15, 2018 Lauren Zarsky, CPA
Other Release No.: AAER-3957
34-83851 Aug. 15, 2018 William E. Dawn
34-83848 Aug. 15, 2018 Ameriprise Financial Services, Inc.
Other Release No.: IA-4985
34-83840 Aug. 14, 2018 NW Capital Markets Inc. and James A. Fagan
33-10529 Aug. 14, 2018 Charles Kerry Morris
Other Release No.: 34-83838
33-10530 Aug. 14, 2018 Tomahawk Exploration LLC and David Thompson Laurance
Other Release No.: 34-83839
IA-4984 Aug. 14, 2018 Lockwood Advisors, Incorporated
See also: Administrative Summary
IA-4983 Aug. 10, 2018 Hamlin Capital Management, LLC
See also: Administrative Summary
34-83817 Aug. 9, 2018 Jinesh P. Brahmbhatt
Other Release Nos.: IA-4982, IC-33199
34-83816 Aug. 9, 2018 Ramnik S. Aulakh
Other Release Nos.: IA-4981, IC-33198
IA-4980 Aug. 9, 2018 Knowledge Leaders Capital, LLC
IA-4979 Aug. 9, 2018 Melvin Leonard Wimmer, Jr.
34-83807 Aug. 8, 2018 Robert J. Brehl, CPA
Other Release No.: AAER-3956
34-83806 Aug. 8, 2018 Daniel M. Fitzpatrick, CPA
Other Release No.: AAER-3955
34-83805 Aug. 8, 2018 Kevin M. Modany, CPA
Other Release No.: AAER-3954
34-83804 Aug. 8, 2018 Dennis Swerdlen
34-83803 Aug. 8, 2018 Paula Saccomanno
34-83802 Aug. 8, 2018 William Paul Hamilton
34-83801 Aug. 8, 2018 Steve Bailen
33-10528 Aug. 7, 2018 Ribbon Communications Inc., Mark Greenquist and Michael Swade
Other Release No.: 34-83791
34-83795 Aug. 7, 2018 Aaron R. Smith
See also: Administrative Summary
34-83779 Aug. 6, 2018 Gregory G. Young
Other Release No.: IC-33190
34-83772 Aug. 3, 2018 Kurt J. Bordian, CPA
Other Release No.: AAER-3953
34-83777 Aug. 3, 2018 Steven J. Dykes
34-83773 Aug. 3, 2018 William Z. Mcfarland
34-83769 Aug. 3, 2018 deVere USA, Inc.
34-83766 Aug. 2, 2018 Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
34-83764 Aug. 2, 2018 Voya Investments, LLC and Directed Services, LLC
IA-4977 Aug. 2, 2018 Gilbert Fluetsch
34-83754 Jul. 31, 2018 Brandon T. Neff
Other Release No.: IC-33188
34-83742 Jul. 31, 2018 Fred Tinker
See also: Administrative Summary
34-83727 Jul. 27, 2018 Maxwell Technologies, Inc., et al.
34-83697 Jul. 24, 2018 Jack Jarrell
Other Release No.: IA-4976
33-10524 Jul. 24, 2018 Melanie Ryan
33-10525 Jul. 24, 2018 Yao Li
Other Release No.: 34-83693
34-83688 Jul. 23, 2018 Richard T. Cunniffe
34-83686 Jul. 23, 2018 Sycamore Lane Partners LLC
34-83685 Jul. 23, 2018 Mizuho Securities USA LLC
34-83684 Jul. 20, 2018 Jefferey A. Gordon
34-83683 Jul. 20, 2018 COPsync, Inc., et al.
IA-4975 Jul. 20, 2018 Beverly Hills Wealth Management, LLC and Margaret Mulligan Black (aka Margaret Mulligan Scott)
See also: Administrative Summary
34-83677 Jul. 20, 2018 Deutsche Bank Securities Inc.
33-10523 Jul. 20, 2018 Deutsche Bank Trust Company Americas
IA-4973 Jul. 19, 2018 Michael Devlin
Other Release No.: IC-33162
34-83669 Jul. 19, 2018 Middlecove Capital, LLC and Noah L. Myers
See also: Distribution Plan
34-83657 Jul. 17, 2018 Koorosh "Danny" Rahimi
33-10519 Jul. 17, 2018 Jay C. Lake, CPA
Other Release Nos.: 34-83655, AAER-3952
IA-4972 Jul. 17, 2018 Joseph Pinkney Davis III
34-83649 Jul. 17, 2018 Cornelius Peterson
Other Release No.: IA-4969
34-83652 Jul. 17, 2018 James M. Unger
Other Release No.: IA-4971
IA-4970 Jul. 17, 2018 New Silk Route Advisors, L.P.
See also: Administrative Summary
34-83650 Jul. 17, 2018 BGC Financial, L.P.
34-83637 Jul. 16, 2018 Norman M.K. Louie and Mount Kellett Capital Management LP
Other Release No.: IA-4968
34-83636 Jul. 16, 2018 Houston American Energy Corp., et al.
34-83627 Jul. 13, 2018 Genesis Associates Limited Partnership
34-83626 Jul. 13, 2018 FP Resources USA Inc. and Lobster Point Holdings Limited
34-83622 Jul. 12, 2018 Anton & Chia, LLP, et al.
Other Release No.: AAER-3951
IA-4967 Jul. 12, 2018 John B. Engebretson
34-83621 Jul. 12, 2018 Credit Suisse Securities (USA) LLC; Sanford Michael Katz
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-83620 Jul. 12, 2018 Patrick J. Gray
Other Release No.: AAER-3950
34-83615 Jul. 10, 2018 Ralph Willard Savoie
Other Release No.: IA-4966
IA-4964 Jul. 10, 2018 Leonard S. Schwartz
See also: Administrative Summary
IA-4963 Jul. 10, 2018 HBA Advisors, LLC and Jaime Enrique Biel
See also: Administrative Summary
IA-4962 Jul. 10, 2018 Brian S. Eyster
See also: Administrative Summary
IA-4961 Jul. 10, 2018 William M. Greenfield
See also: Administrative Summary
IA-4960 Jul. 10, 2018 Oaktree Capital Management, L.P.
IA-4959 Jul. 10, 2018 EnCap Investments L.P.
IA-4958 Jul. 10, 2018 Sofinnova Ventures, Inc.
34-83613 Jul. 10, 2018 Romano Brothers & Company
Other Release No.: IA-4965
See also: Administrative Summary
34-83611 Jul. 10, 2018 Matthew C. Woodard
Other Release No.: IA-4957
33-10517 Jul. 10, 2018 Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA
Other Release Nos.: 34-83612, AAER-3949
See also: Administrative Summary
34-83610 Jul. 9, 2018 Egan-Jones Ratings Company
34-83608 Jul. 9, 2018 Porter B. Bingham
34-83607 Jul. 9, 2018 Malachi Financial Products, Inc.
34-83606 Jul. 9, 2018 Andrew B Calhoun Jr.
34-83605 Jul. 9, 2018 Andrew B Calhoun IV
34-83604 Jul. 6, 2018 Eugene Terracciano
Other Release Nos.: IA-4956, IC-33151
34-83603 Jul. 6, 2018 Roger S. Zullo
Other Release No.: IA-4955
34-83602 Jul. 6, 2018 Michael Johnson
Other Release Nos.: IA-4954, IC-33150
34-83598 Jul. 6, 2018 Daniel Burgess
34-83593 Jul. 5, 2018 Credit Suisse Group AG
Other Release No.: AAER-3948
34-83581 Jul. 2, 2018 The Dow Chemical Company
Other Release No.: AAER-3947
See also: Administrative Summary
33-10516 Jul. 2, 2018 KBR, Inc.
Other Release Nos.: 34-83578, AAER-3946
34-83575 Jul. 2, 2018 Beam Inc., n/k/a Beam Suntory Inc.
Other Release No.: AAER-3944
See also: Administrative Summary
34-83574 Jun. 29, 2018 Green Parts International, Inc., et al.

Second Quarter

IA-4952 Jun. 29, 2018 THL Managers V, LLC and THL Managers VI, LLC
IA-4951 Jun. 29, 2018 Aisling Capital LLC
See also: Administrative Summary
IA-4950 Jun. 29, 2018 Bruce A. Hauptman and Grand Teton Capital Management, LLC
Other Release No.: IC-33143
See also: Administrative Summary
34-83571 Jun. 29, 2018 Morgan Stanley Smith Barney LLC
Other Release No.: IA-4953
34-83565 Jun. 29, 2018 Cantor Fitzgerald & Co.
34-83564 Jun. 29, 2018 Barry T. Eisenberg
34-83563 Jun. 29, 2018 Philip A. Noto II
34-83562 Jun. 29, 2018 Alexander Capital, L.P.
34-83556 Jun. 28, 2018 Bayes Capital, LLC
34-83552 Jun. 28, 2018 Jon B. Schmidhammer
Other Release No.: IA-4949
33-10511 Jun. 25, 2018 Wells Fargo Advisors, LLC
Other Release Nos.: 34-83508, IA-4947
34-83503 Jun. 25, 2018 Derik J. Todd, et al.
34-83502 Jun. 25, 2018 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
34-83497 Jun. 22, 2018 Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan
See also: Distribution Plan
34-83496 Jun. 22, 2018 Apex Fund Services (US), Inc.
34-83488 Jun. 20, 2018 Development Capital Group, Inc., et al.
34-83487 Jun. 20, 2018 FuelNation, Inc. and 3D Total Solutions, Inc.
34-83473 Jun. 19, 2018 California Mines Corp., Cindisue Mining Corp. and Dune Energy, Inc.
34-83472 Jun. 19, 2018 Canwealth Minerals Corp., Cubed, Inc. and Enviro Cleanse, Inc.
34-83470 Jun. 19, 2018 Escalera Resources Co. and Force Minerals Corp.
34-83469 Jun. 19, 2018 Radiant Oil & Gas, Inc., Tungsten Corp. and Well Power, Inc.
34-83461 Jun. 19, 2018 Pasquale Rubbo
34-83460 Jun. 19, 2018 Nicholas Rubbo
33-10507 Jun. 19, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release Nos.: 34-83462, IA-4944
34-83434 Jun. 19, 2018 Ronald A. Fossum Jr.
Other Release No.: IA-4943
34-83459 Jun. 18, 2018 Bryan Lee Addington
Other Release No.: IA-4942
34-83448 Jun. 14, 2018 Joseph Mangiapane, Jr.
34-83443 Jun. 14, 2018 DeVere USA, Inc.
34-83437 Jun. 14, 2018 MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
34-83436 Jun. 14, 2018 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
See also: Distribution Plan
34-83428 Jun. 14, 2018 RSM US LLP
Other Release No.: AAER-3943
See also: Administrative Summary
34-83433 Jun. 14, 2018 MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
IA-4941 Jun. 14, 2018 William Jordan
34-83427 Jun. 13, 2018 America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc.
IA-4940 Jun. 13, 2018 Eric Erb
34-83420 Jun. 12, 2018 Solo International, Inc., Urban Hydroponics, Inc. and Your Event, Inc.
34-83408 Jun. 12, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated
IA-4939 Jun. 8, 2018 Larry Werbel (Corrected)
34-83399 Jun. 8, 2018 Nachman Aaron Troodler, Esq.
IA-4938 Jun. 7, 2018 Richard W. Kessler
34-83394 Jun. 7, 2018 Jason A. Halek
34-83391 Jun. 6, 2018 Michael J. Mona, Jr.
Other Release No.: AAER-3942
34-83382 Jun. 5, 2018 Gary W. Freeman
Other Release Nos.: IA-4935, IC-33116
33-10504 Jun. 5, 2018 Constant Contact, Inc. and Endurance International Group Holdings, Inc.
Other Release No.: 34-83377
See also: Administrative Summary
34-83375 Jun. 4, 2018 China Education Alliance, Inc., DoMark International, Inc. and East Coast Diversified Corp.
34-83374 Jun. 4, 2018 Altona Resources, Inc., Apex 10, Inc. and Clone Algo, Inc.
34-83373 Jun. 4, 2018 Fern Holdings Corp., et al.
34-83371 Jun. 4, 2018 Christopher C. Burtraw
Other Release No.: IA-4936
34-83364 Jun. 4, 2018 MiddleCove Capital, LLC and Noah L. Myers
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
IA-4934 Jun. 4, 2018 Barbara A. Endres
IA-4933 Jun. 4, 2018 deVere USA, Inc.
IA-4932 Jun. 4, 2018 Lyxor Asset Management, Inc.
See also: Administrative Summary
IA-4931 Jun. 1, 2018 Veteri Place Corporation
IA-4930 Jun. 1, 2018 Rose Park Advisors, LLC
IA-4929 Jun. 1, 2018 RLJ Equity Partners, LLC
IA-4928 Jun. 1, 2018 Prescott General Partners LLC
IA-4927 Jun. 1, 2018 HEP Management Corporation
IA-4926 Jun. 1, 2018 Elm Partners Management LLC
IA-4925 Jun. 1, 2018 Ecosystem Investment Partners LLC
IA-4924 Jun. 1, 2018 Cherokee Investment Partners LLC
IA-4923 Jun. 1, 2018 CAI Managers & Co., L.P.
IA-4922 Jun. 1, 2018 Bristol Group, Inc.
IA-4921 Jun. 1, 2018 Brahma Management, Ltd.
IA-4920 Jun. 1, 2018 Biglari Capital LLC
IA-4919 Jun. 1, 2018 Bachrach Asset Management Inc.
34-83358 May 31, 2018 George Doumanis
34-83354 May 31, 2018 Earnest H. (Woody) Delong, Esq.
34-83348 May 30, 2018 Emanuel Pantelakis
IA-4916 May 29, 2018 Gregory M. Bercowy
33-10501 May 29, 2018 Alexander Kon
Other Release No.: 34-83336
34-83335 May 29, 2018 Content Checked Holdings, Inc., e.Digital Corp. and Liberty Coal Energy Corp.
34-83334 May 25, 2018 Mullan Agritech, Inc., ReliaBrand, Inc. and UBL Interactive, Inc.
34-83333 May 25, 2018 Maxwell Technologies, Inc., et al.
34-83331 May 25, 2018 Tobin J. Senefeld
IA-4915 May 24, 2018 Perry A. Gruss
34-83329 May 24, 2018 Radiant Oil & Gas, Inc., Tungsten Corp. and Well Power, Inc.
34-83327 May 24, 2018 Mass Hysteria Entertainment Company, Inc., Stark Naked Bobbers and TOA Holdings, Inc.
IA-4914 May 24, 2018 Aberon Capital Management, LLC and Joseph Krigsfeld
Other Release No.: IC-33107
33-10500 May 24, 2018 Arthur Kaplan
34-83316 May 24, 2018 John C. Knight
34-83314 May 23, 2018 Mullan Agritech, Inc., ReliaBrand, Inc. and UBL Interactive, Inc.
34-83312 May 23, 2018 Solo International, Inc., Urban Hydroponics, Inc. and Your Event, Inc.
34-83304 May 23, 2018 Adam S. Tracy, Esq.
IA-4913 May 22, 2018 Tibor Klein
34-83301 May 21, 2018 Baltia Air Lines, Inc., et al.
34-83299 May 21, 2018 Green Parts International, Inc., et al.
34-83297 May 21, 2018 COPsync, Inc., et al.
34-83291 May 21, 2018 Lisa A. Esposito
34-83283 May 17, 2018 American Nano Silicon Technologies, Inc.
34-83288 May 17, 2018 Prospect Ventures, Inc., Starnet Pacific Co. Ltd. and Sunburst Acquisitions VI, Inc.
34-83287 May 17, 2018 Arrow Cars International, Inc., CDEX, Inc. and EFactor Group Corp.
34-83285 May 17, 2018 Apptigo International, Inc., et al.
34-83281 May 17, 2018 Play La Inc. and Titan Trading Analytics, Inc.
33-10497 May 17, 2018 Manhattan Transfer Registrar Company and John C. Ahearn
Other Release No.: 34-83267
See also: Administrative Summary
34-83266 May 16, 2018 Abakan, Inc., Car Monkeys Group and Western Graphite, Inc.
34-83264 May 16, 2018 America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc.
34-83262 May 16, 2018 Solaris Power Cells, Inc., Stragenics, Inc. and Ultimate Rack Inc.
34-83261 May 16, 2018 CN Dragon Corp.
34-83260 May 16, 2018 China Precision Steel, Inc.
34-83253 May 16, 2018 Industrial and Commercial Bank of China Financial Services, LLC
34-83252 May 16, 2018 Jerard Basmagy
34-83251 May 16, 2018 Chardan Capital Markets, LLC
34-83249 May 15, 2018 Sonora Resources Corp.
34-83245 May 15, 2018 Hedgebrook, JayHawk Energy, Inc. and Rubicon Financial, Inc.
34-83234 May 15, 2018 Angela Rubbo Beckcom Monaco
33-10496 May 15, 2018 Timothy C. Scarpino
Other Release Nos.: 33-83236, IC-33097
33-10495 May 15, 2018 Mark A. Karow and Legend Securities, Inc.
Other Release Nos.: 33-83235, IC-33096
34-83232 May 14, 2018 Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.), Green Innovations Ltd. and Red Giant Entertainment, Inc.
34-83215 May 11, 2018 Steven J. Dykes
34-83213 May 10, 2018 Longwei Petroleum Investment Holding Limited
34-83212 May 10, 2018 Jason J. Lee and Law Offices of Jason J. Lee & Associates
IA-4911 May 10, 2018 Yasuna Murakami
34-83191 May 9, 2018 Barcelona Strategies, LLC and Mario Hinojosa
Other Release No.: IC-33093
34-83189 May 8, 2018 Content Checked Holdings, Inc., e.Digital Corp. and Liberty Coal Energy Corp.
IA-4910 May 8, 2018 Steven Ku
33-10494 May 8, 2018 Visium Asset Management, LP
Other Release Nos.: 34-83186, IA-4909
34-83184 May 7, 2018 Baltia Air Lines, Inc., et al.
34-83180 May 7, 2018 Keith Houlihan
34-83179 May 7, 2018 Anthony Coronati and Bidtoask, LLC
34-83178 May 7, 2018 Paul W. Smith
Other Release No.: IA-4908
34-83176 May 4, 2018 Joseph A. Rubbo
34-83173 May 4, 2018 Daniel H. Glick, CPA
Other Release No.: IA-4907
34-83172 May 4, 2018 Gray Financial Group, Inc., et al.
33-10492 May 4, 2018 Shae Yatta Harper, Esq.
Other Release No.: 34-83171
34-83170 May 4, 2018 David T. Leboe, CPA
Other Release No.: AAER-3941
34-83169 May 4, 2018 Kevin W. McAleer, CPA
Other Release No.: AAER-3940 
34-83168 May 4, 2018 Winter, Kloman, Moter & Repp, S.C., et al.
Other Release Nos.: IA-4906, AAER-3939
34-83164 May 3, 2018 Gary Yin
Other Release No.: IA-4905
34-83162 May 3, 2018 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
IA-4903 May 2, 2018 Lauramarie Colangelo
34-83151 May 2, 2018 Douglas A. McClain, Jr.
34-83140 May 1, 2018 Kevin Hamilton
Other Release No.: IA-4901
34-83136 Apr. 30, 2018 Revolutionary Concepts, Inc.
34-83135 Apr. 30, 2018 Universal Bioenergy, Inc.
34-83133 Apr. 30, 2018 Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-83131 Apr. 30, 2018 Apex Fund Services (US), Inc.
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-83128 Apr. 30, 2018 Panasonic Corporation
Other Release No.: AAER-3938
34-83130 Apr. 30, 2018 David Alcorn
IA-4900 Apr. 27, 2018 Howard B. Present
34-83123 Apr. 27, 2018 Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
See also: Distribution Plan
34-83121 Apr. 26, 2018 Tobin J. Senefeld
IC-33087 Apr. 26, 2018 SEI Investments Global Funds Services
34-83111 Apr. 26, 2018 Ikenna Ikokwu
Other Release No.: IA-4899
34-83110 Apr. 26, 2018 Winning the Money Game with Ike, Inc.
IA-4898 Apr. 26, 2018 Christopher M. Lee, aka Rashid K. Khalfani
33-10489 Apr. 25, 2018 ChinAmerica Andy Movie Entertainment Media Company
Other Release No.: 34-83109
33-10488 Apr. 25, 2018 AF Ocean Investment Management Company
Other Release No.: 34-83108
33-10487 Apr. 25, 2018 Andy Z. Fan
Other Release No.: 34-83107
34-83099 Apr. 25, 2018 Oriental Dragon Corp.
IA-4896 Apr. 24, 2018 WCAS Management Corporation
See also: Administrative Summary
33-10485 Apr. 24, 2018 Altaba Inc. and f/d/b/a Yahoo! Inc.
Other Release Nos.: 34-83096, AAER-3937
34-83095 Apr. 23, 2018 Ambicom Holdings, Inc., et al.
IA-4895 Apr. 23, 2018 Martin Shkreli
34-83090 Apr. 23, 2018 Gregory John Tuthill
IA-4894 Apr. 23, 2018 Jeremy R. Lundin
34-83088 Apr. 23, 2018 The Dun & Bradstreet Corporation
Other Release No.: AAER-3936
See also: Administrative Summary
34-83087 Apr. 23, 2018 Marilynjean Interactive Inc.
34-83078 Apr. 20, 2018 Mark P. French
Other Release No.: IA-4892
IA-4890 Apr. 20, 2018 Steven M. Simmons
34-83070 Apr. 19, 2018 Gemini Fund Services, LLC
34-83069 Apr. 19, 2018 Gemini Fund Services, LLC
34-83068 Apr. 19, 2018 Jeremy A. Licht d/b/a JL Capital Management
34-83067 Apr. 19, 2018 Medifirst Solutions, Inc. and Bruce J. Schoengood
Other Release No.: AAER-3935
See also: Administrative Summary
34-83056 Apr. 17, 2018 Scott Newsholme
Other Release No.: IA-4886
34-83052 Apr. 16, 2018 Jason A. Wallace
34-83053 Apr. 16, 2018 Douglas Nelson
IA-4885 Apr. 16, 2018 Arlington Capital Management, Inc. and Joseph F. LoPresti
IA-4884 Apr. 12, 2018 Michael S. Moses
33-10482 Apr. 12, 2018 Li, Company, PC and Tony Zhicong Li, CPA
Other Release Nos.: 34-83036, AAER-3934
33-10481 Apr. 12, 2018 Wellness Center USA, Inc.
Other Release No.: 34-83035
33-10480 Apr. 12, 2018 Matthew T. Mushlin
Other Release Nos.: 34-83034, IC-33072
34-83030 Apr. 10, 2018 Laura Pendergest-Holt
Other Release No.: IA-4883
34-83023 Apr. 9, 2018 Guardian 8 Holdings, et al.
34-83013 Apr. 9, 2018 Troy C. Baldridge
Other Release No.: IA-4882
33-10478 Apr. 9, 2018 Philip John James, CA and Kevin Silverwood, CA
Other Release Nos.: 34-83017, AAER-3933
34-83011 Apr. 9, 2018 Daryl G. Bank and Bobby D. Jones
IA-4880 Apr. 6, 2018 Charles G. Preston
IA-4879 Apr. 6, 2018 Tobias J. Preston
IA-4876 Apr. 6, 2018 Securities America Advisors, Inc.
34-83009 Apr. 6, 2018 Caleb J. Preston
Other Release No.: IA-4881
34-83004 Apr. 6, 2018 PNC Investments LLC
Other Release No.: IA-4878
34-83003 Apr. 6, 2018 Geneos Wealth Management, Inc.
Other Release No.: IA-4877
34-82998 Apr. 5, 2018 Joshua D. Mosshart
Other Release No.: IA-4874
IA-4875 Apr. 5, 2018 Clayborne Group, LLC and Dean A. Heinemann
Other Release No.: IC-33067
See also: Administrative Summary
34-82987 Apr. 4, 2018 Gregory John Tuthill
34-82986 Apr. 3, 2018 NextGlass Technologies Corporation
34-82977 Apr. 2, 2018 James Moodhe

First Quarter

34-82972 Mar. 30, 2018 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
IA-4870 Mar. 29, 2018 Howard B. Present
34-82963 Mar. 29, 2018 Kent Maerki
34-82958 Mar. 28, 2018 Eugene Terracciano
34-82957 Mar. 28, 2018 Kevin Mckenna and Robert Eide
34-82956 Mar. 28, 2018 Aegis Capital Corporation
34-82954 Mar. 27, 2018 Wedbush Securities, Inc. (Corrected)
34-82953 Mar. 27, 2018 Timary Delorme
34-82951 Mar. 27, 2018 JH Darbie & Co., Inc. and Robert Y. Rabinowitz
See also: Administrative Summary
33-10472 Mar. 27, 2018 Maxwell Technologies, Inc., et al.
Other Release Nos.: 34-82950, AAER-3932
34-82946 Mar. 26, 2018 Kinross Gold Corporation
Other Release No.: AAER-3930
34-82933 Mar. 22, 2018 Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan
33-10471 Mar. 22, 2018 Robert L. Baker, et al.
Other Release Nos.: 34-82929, IC-33050
34-82902 Mar. 19, 2018 Howard Richards; James Goodland, and Securus Wealth Management, LLC
34-82898 Mar. 19, 2018 Electronic Transaction Clearing, Inc.
34-82893 Mar. 16, 2018 New Global Energy, Inc.
34-82882 Mar. 15, 2018 John W. Adams and AIP, LLC
34-82880 Mar. 15, 2018 David Gray
34-82877 Mar. 14, 2018 Edmund W. Bailey
34-82862 Mar. 13, 2018 KPMG
Other Release No.: AAER-3929
34-82861 Mar. 13, 2018 Deloitte & Touche Chartered Accountants
Other Release No.: AAER-3928
34-82860 Mar. 13, 2018 KPMG Inc.
Other Release No.: AAER-3927
34-82859 Mar. 13, 2018 BDO Canada LLP (f/k/a BDO Dunwoody LLP)
Other Release No.: AAER-3926
33-10469 Mar. 12, 2018 Credit Karma, Inc.
See also: Administrative Summary
34-82849 Mar. 9, 2018 Elbit Imaging Ltd.
Other Release No.: AAER-3925
See also: Administrative Summary
34-82839 Mar. 9, 2018 Gregg Z. Schonhorn
34-82838 Mar. 9, 2018 Deborah D. Kelley
34-82840 Mar. 9, 2018 Robert Joseph Ritch
34-82837 Mar. 8, 2018 Voya Investments, LLC and Directed Services LLC
Other Release No.: IA-4868
34-82835 Mar. 8, 2018 Howard Richards; James Goodland and Securus Wealth Management, LLC
33-10465 Mar. 8, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release No.: 34-82826
See also: Waiver, Release No. 33-10466
IA-4866 Mar. 7, 2018 DMS Advisors, Inc.
34-82818 Mar. 7, 2018 Peter R. Kohli
Other Release No.: IA-4865
34-82821 Mar. 7, 2018 Eric Lovy f/k/a Eric Beltran
34-82816 Mar. 6, 2018 Valor Capital Asset Management, LLC and Robert Mark Magee
Other Release Nos.: IA-4864, IC-33039
33-10463 Mar. 6, 2018 New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc.
Other Release No.: 34-82808
34-82806 Mar. 5, 2018 Jacob W. L. Stocking
IA-4863 Mar. 5, 2018 Financial Fiduciaries, LLC and Thomas Batterman
34-82805 Mar. 5, 2018 Edwin Shaw, LLC
33-10462 Feb. 28, 2018 Ameriprise Financial Services, Inc.
Other Release Nos.: 34-82792, IA-4862
IA-4861 Feb. 28, 2018 Stefan Lumiere
34-82783 Feb. 27, 2018 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
33-10461 Feb. 26, 2018 Steven Zoernack and Equitystar Capital Management, LLC
Other Release Nos.: 34-82773, IA-4859, IC-33034
34-82768 Feb. 23, 2018 Derik J. Todd, et al.
34-82767 Feb. 23, 2018 Stephen M. Hicks
Other Release No.: IA-4858
34-82764 Feb. 22, 2018 Blacksands Petroleum, Inc., et al.
34-82762 Feb. 22, 2018 Affirmative Insurance Holdings, Inc., et al.
See also: Chinese Version
IA-4857 Feb. 22, 2018 Commonwealth Advisors, Inc. and Walter A. Morales
34-82745 Feb. 21, 2018 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
34-82744 Feb. 21, 2018 Alan Weinberg, CPA and Weinberg & Baer LLC
Other Release No.: AAER-3924
34-82743 Feb. 21, 2018 Jonathan Strum, Esq.
34-82742 Feb. 20, 2018 American Nano Silicon Technologies, Inc., et al.
33-10458 Feb. 16, 2018 Barry Mcknight Skinner and Dynamic Intelligence, Inc.
34-82736 Feb. 16, 2018 Simcha Baer, CPA
Other Release No.: AAER-3922
34-82722 Feb. 15, 2018 Credit Suisse Securities (USA) LLC; Sanford Michael Katz
34-82718 Feb. 14, 2018 China Precision Steel, Inc. and Golden River Resources Corp.
34-82717 Feb. 14, 2018 Canwealth Minerals Corp., et al.
34-82711 Feb. 14, 2018 Daryl G. Bank and Bobby D. Jones
34-82710 Feb. 14, 2018 Brian S. Block, CPA
Other Release No.: AAER-3920
34-82707 Feb. 13, 2018 Ambicom Holdings, Inc., et al.
34-82703 Feb. 13, 2018 James R.J. Scheltema
34-82695 Feb. 13, 2018 Altona Resources, Inc., et al.
34-82694 Feb. 12, 2018 Ara Chackerian
34-82691 Feb. 12, 2018 Jay Mac Rust, Esq.
34-82688 Feb. 12, 2018 Jay Mac Rust, Esq.
34-82686 Feb. 12, 2018 Deutsche Bank Securities Inc. and Benjamin Solomon
34-82681 Feb. 9, 2018 Thomas J. Buck
Other Release No.: IA-4856
34-82680 Feb. 9, 2018 Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
34-82677 Feb. 9, 2018 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
See also: Distribution Plan
34-82668 Feb. 8, 2018 Victor M. Dandridge, III
Other Release No.: IA-4855
34-82651 Feb. 7, 2018 Thomas Osmonde Russell, III Esq.
IA-4854 Feb. 7, 2018 Banc One Investment Advisors Corporation and Mark A. Beeson
Other Release No.: IC-33004
IA-4853 Feb. 7, 2018 Michael S. Moses
34-82639 Feb. 6, 2018 California Mines Corp., Cindisue Mining Corp. and Dune Energy, Inc.
34-82634 Feb. 6, 2018 John T. Lynch, Jr.
Other Release No.: IC-33001
See also: Administrative Summary
34-82632 Feb. 5, 2018 Andrew H. Wilson, Esq.
34-82630 Feb. 5, 2018 Wedbush Securities Inc.
Other Release No.: IA-4852
See also: Administrative Summary and Waiver Order
34-82624 Feb. 2, 2018 Craig Karlis
34-82621 Feb. 1, 2018 Scott Walter Christensen
34-82619 Feb. 1, 2018 Thomas Edward Andrews
34-82610 Feb. 1, 2018 Canwealth Minerals Corp., et al.
IA-4851 Jan. 31, 2018 Mohlman Asset Management, LLC and Louis G. Mohlman, Jr.
34-82605 Jan. 30, 2018 American Nano Silicon Technologies, Inc., et al.
34-82603 Jan. 30, 2018 Daniel T. Fischer
34-82595 Jan. 29, 2018 Credit Suisse Securities (USA) LLC; Sanford Michael Katz
34-82590 Jan. 26, 2018 Augustine Capital Management, et al.
33-10454 Jan. 23, 2018 Americafirst Capital Management, LLC, Rick A. Gonsalves and Robert L. Clark
Other Release No.: IA-4848
See also: Administrative Summary
IA-4847 Jan. 22, 2018 Gemini Fund Services, LLC
34-82557 Jan. 22, 2018 Brian Sweet, CPA
Other Release No.: AAER-3919
34-82556 Jan. 22, 2018 Cynthia Holder, CPA, et al.
Other Release No.: AAER-3918
34-82554 Jan. 19, 2018 Justin Samuel Cary, CPA
Other Release No.: AAER-3917
34-82539 Jan. 19, 2018 John V. Bivona
Other Release No.: IA-4846
34-82536 Jan. 18, 2018 EMRISE Corp.
34-82535 Jan. 18, 2018 Bankrate, Inc.; Hyunjin Lerner, CPA
34-82533 Jan. 18, 2018 Industrial and Commercial Bank of China Financial Services LLC
See also: Administrative Summary
34-82528 Jan. 18, 2018 Frank G. Mazzola
Other Release No.: IA-4845
34-82527 Jan. 18, 2018 Altona Resources, Inc., et al.
34-82525 Jan. 17, 2018 American Nano Silicon Technologies, Inc., et al.
34-82511 Jan. 17, 2018 David B. Kaplan, Esq.
34-82510 Jan. 17, 2018 David B. Kaplan, Esq.
34-82509 Jan. 17, 2018 John Tarpinian
Other Release No.: IA-4844
34-82507 Jan. 17, 2018 Ambicom Holdings, Inc., et al.
34-82485 Jan. 11, 2018 Anthony P. Chiera and Jeffrey R. Belfiore
Other Release No.: IA-4843
See also: Administrative Summary
33-10452 Jan. 9, 2018 Punch TV Studios, Inc.
34-82463 Jan. 8, 2018 Blacksands Petroleum, Inc., et al.
34-82454 Jan. 8, 2018 James C. Tao
Other Release No.: IA-4841
34-82453 Jan. 8, 2018 Donna Boyd (f/k/a Donna Chen)
Other Release No.: IA-4840
34-82443 Jan. 5, 2018 Anthony A. Stovall
34-82438 Jan. 3, 2018 Khaled "Kal" Bassily
Other Release No.: IA-4837
IA-4836 Jan. 3, 2018 LKL Investment Counsel LLC (a/k/a LKL Investments, LLC) and Mark H. Love
Other Release No.: IC-32958
See also: Administrative Summary