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-5404 Oct. 22, 2019 Thomas D. Conrad, Jr.
34-87333 Oct. 17, 2019 Gyrotron Technology, Inc. and Nation Energy, Inc.
34-87332 Oct. 17, 2019 Blockchain Solutions, Inc. and Universal Resources (f/k/a Global Immune Technologies Inc.)
34-87334 Oct. 17, 2019 Richard Andrew Mallion
34-87326 Oct. 17, 2019 Donald Toomer, Jr.
34-87324 Oct. 16, 2019 Green Ballast, Inc. and Lithium Exploration Group, Inc.
34-87323 Oct. 16, 2019 Apollo Solar Energy, Inc.
34-87307 Oct. 15, 2019 Hengyi International Industries Group, Inc., Jacobs Financial Group, Inc. and Ranger Gold Corp.
34-87302 Oct. 15, 2019 Domenick Migliorato
33-10719 Oct. 11, 2019 UQM Technologies, Inc.
Other Release No.: 34-87289
See also: Administrative Summary
33-10718 Oct. 11, 2019 John Busshaus, CPA
Other Release No.: AAER-4100
34-87285 Oct. 10, 2019 Bakken Resources, Inc., Ireland Inc. and Worlds Mall, Inc.
34-87284 Oct. 10, 2019 Gray Financial Group, Inc., et al.
See also: Distribution Plan
34-87283 Oct. 10, 2019 Jeremy A. Licht d/b/a Jl Capital Management
See also: Distribution Plan
34-87281 Oct. 10, 2019 Northwest Biotherapeutics, Inc.
Other Release No.: AAER-4099
See also: Administrative Summary
34-87268 Oct. 10, 2019 Lek Securities Corporation and Samuel Lek
34-87269 Oct. 10, 2019 IFS Securities
34-87263 Oct. 9, 2019 American Patriot Brands, Inc. a/k/a The Grilled Cheese Truck, Inc. and Big Tree Group, Inc.
34-87259 Oct. 9, 2019 Harold Wasserman
34-87253 Oct. 8, 2019 Golden Rush, Inc., LeGall Holdings, Inc. and My Healthy Access, Inc.
34-87252 Oct. 8, 2019 Hengyi International Industries Group, Inc., Jacobs Financial Group, Inc. and Ranger Gold Corp.
34-87245 Oct. 8, 2019 Michael Siva
Other Release No.: IA-5401
34-87242 Oct. 7, 2019 Blockchain Solutions, Inc. and Universal Resources (f/k/a Global Immune Technologies Inc.)
34-87241 Oct. 7, 2019 Shenzhen-ZhongRong Morgan Investment Holding Group Co., Ltd. and Solar Wind Energy Tower, Inc.
34-87240 Oct. 7, 2019 Kerri L. Wasserman
34-87239 Oct. 7, 2019 Howard J. Allen, III
34-87238 Oct. 7, 2019 Portfolio Advisors Alliance, Inc.
34-87220 Oct. 3, 2019 Atlas Technology International, Inc., Centenary International Corporation and Dynacq Healthcare, Inc.
34-87218 Oct. 3, 2019 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
34-87217 Oct. 3, 2019 Medisun Precision Medicine, Ltd., Next Graphite, Inc. and Omni Shrimp, Inc.
34-87196 Oct. 2, 2019 Fact Corporation and Tandy Brands Accessories Inc.
34-87195 Oct. 1, 2019 Moez Ben Mohamed Hedri

Third Quarter

34-87176 Sep. 30, 2019 ASN Satellites, Inc., et al.
34-87178 Sep. 30, 2019 Woojae "Steve" Jung
Other Release No.: IA-5398
34-87177 Sep. 30, 2019 Founders Financial Securities, LLC
Other Release No.: IA-5397
See also: Administrative Summary
34-87175 Sep. 30, 2019 IFS Securities
34-87173 Sep. 30, 2019 Sarkauskas, Associates, Inc. and James M. Sarkauskas
34-87159 Sep. 30, 2019 Marla P. Manowitz, CPA, Thomas R. Vreeland, CPA and Kenneth J. Gralak, CPA
Other Release No.: AAER-4098
34-87158 Sep. 30, 2019 Outset Global LLP
See also: Administrative Summary
34-87157 Sep. 30, 2019 Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP
Other Release No.: AAER-4097
34-87155 Sep. 30, 2019 Virtu Americas LLC (f/k/a KCG Americas LLC)
See also: Administrative Summary
33-10715 Sep. 30, 2019 Nebulous, Inc.
See also: Administrative Summary
33-10714 Sep. 30, 2019 Block.One
IA-5396 Sep. 30, 2019 Bruce J. Fixelle
IA-5395 Sep. 30, 2019 Michigan Advisors, Inc.
IA-5394 Sep. 30, 2019 Investment Partners, Ltd
IA-5393 Sep. 30, 2019 Hilltop Securities, Inc. and Hilltop Securities Independent Network, Inc.
IA-5392 Sep. 30, 2019 Essex Financial Services, Inc.
IA-5391 Sep. 30, 2019 Folger Nolan Fleming Douglas Capital Management, Inc.
IA-5390 Sep. 30, 2019 Equity Services, Inc.
IA-5389 Sep. 30, 2019 Cargile Investment Management, Inc.
IA-5388 Sep. 30, 2019 Bill Few Associates, Inc.
IA-5387 Sep. 30, 2019 Mid Atlantic Financial Management, Inc.
IA-5386 Sep. 30, 2019 Wedbush Securities, Inc.
IA-5385 Sep. 30, 2019 Saxony Capital Management, LLC
IA-5384 Sep. 30, 2019 IPG Investment Advisors, LLC
IA-5383 Sep. 30, 2019 Independent Financial Group, LLC
IA-5382 Sep. 30, 2019 IC Advisory Services, Inc.
IA-5381 Sep. 30, 2019 Henley & Company Wealth Management, LLC
IA-5380 Sep. 30, 2019 Comprehensive Capital Management, Inc.
34-87141 Sep. 27, 2019 Adama Technologies Corp., Geobio Energy, Inc. and Powerdyne International, Inc.
34-87145 Sep. 27, 2019 BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp.
Other Release No.: IA-5377
34-87138 Sep. 27, 2019 Westport Fuel Systems, Inc. and Nancy Gougarty
34-87137 Sep. 26, 2019 Jonathan E. Shoucair
34-87136 Sep. 27, 2019 Omgeo Matching Services US, LLC (n/k/a DTCC ITP Matching (US) LLC)
See also: Administrative Summary
34-87132 Sep. 27, 2019 Barclays PLC
See also: Administrative Summary
33-10710 Sep. 27, 2019 GFI Securities LLC
Other Release No.: 34-87152
See also: Administrative Summary
33-10707 Sep. 27, 2019 iQuantifi, Inc. and Thomas F. White
See also: Administrative Summary
33-10706 Sep. 27, 2019 FCA US LLC and Fiat Chrysler Automobiles N.V.
Other Release No.: 34-87134
33-10705 Sep. 27, 2019 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-5376, IC-33649
33-10704 Sep. 27, 2019 Gary F. Pryor and the Pinnacle Companies, LLC
Other Release No.: 34-87133
See also: Administrative Summary
33-10703 Sep. 27, 2019 Herbalife Nutrition Ltd.
Other Release No.: 34-87131
IA-5375 Sep. 27, 2019 Three Bridge Wealth Advisors, LLC
See also: Administrative Summary
IA-5374 Sep. 27, 2019 Amadeus Wealth Advisors, LLC
See also: Administrative Summary
IA-5373 Sep. 27, 2019 ECP Manager LP
IA-5372 Sep. 27, 2019 Gonzalo Ortiz
34-87124 Sep. 26, 2019 Lans Holdings, Inc. and Momentous Entertainment Group, Inc.
33-10702 Sep. 26, 2019 BrixInvest, LLC (f/k/a Rich Uncles, LLC and Nexregen, LLC)
Other Release No.: 34-87130
See also: Administrative Summary
34-87128 Sep. 26, 2019 Quad/Graphics, Inc.
IA-5371 Sep. 26, 2019 Cetera Investment Advisers LLC
33-10701 Sep. 26, 2019 PPG Industries, Inc.
Other Release Nos.: 34-87129, AAER-4094
See also: Administrative Summary
34-87127 Sep. 26, 2019 Mahesh Agarwal
Other Release Nos.: IA-5370, IC-33648
See also: Administrative Summary
34-87123 Sep. 26, 2019 G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC
34-87122 Sep. 26, 2019 Matthew Leaverton
34-87121 Sep. 26, 2019 Robert Gilliam
34-87120 Sep. 26, 2019 Rodney L. Pope
IA-5367 Sep. 26, 2019 Nicholas Lattanzio
See also: Administrative Summary
34-87119 Sep. 26, 2019 Clifton E. Stanley
34-87118 Sep. 26, 2019 William R. Fort
34-87116 Sep. 25, 2019 Thomas A. Lewis
34-87114 Sep. 25, 2019 BTHC X, Inc., Eco Building Products, Inc. and Kama Resources Inc.
34-87106 Sep. 25, 2019 James Vanblaricum
34-87105 Sep. 25, 2019 Erik Rhodes
34-87104 Sep. 25, 2019 Chet Inglis
34-87103 Sep. 25, 2019 Green Endeavors, Inc. and Sputnik Enterprises, Inc.
34-87102 Sep. 25, 2019 Michael P. Toups
Other Release No.: AAER-4093
34-87101 Sep. 25, 2019 Patrick S. Carter
34-87100 Sep. 25, 2019 Hefren-Tillotson, Inc.
Other Release No.: IA-5369
See also: Administrative Summary
33-10698 Sep. 25, 2019 Chip Hackley
Other Release No.: 34-87113
33-10697 Sep. 25, 2019 George Matin
Other Release No.: 34-87112
33-10696 Sep. 25, 2019 Harold Minsky
Other Release No.: 34-87111
IA-5368 Sep. 25, 2019 Joseph B. Bronson
See also: Administrative Summary
IA-5366 Sep. 25, 2019 Leonardo Cornide and Jorge Falcon
See also: Administrative Summary
34-87087 Sep. 24, 2019 FlikMedia, Inc.
34-87085 Sep. 24, 2019 Seen On Screen TV, Inc. and The Pulse Network, Inc.
34-87083 Sep. 24, 2019 Green Ballast, Inc. and Lithium Exploration Group, Inc.
34-87082 Sep. 24, 2019 RARAN Corporation, Refco Public Commodity Pool, L.P. and Rent USA, Inc.
34-87081 Sep. 24, 2019 Pro Squared, Inc. and Protech Global Holdings Corp.
34-87080 Sep. 24, 2019 Nexus Resources Corporation and Private Access, Inc.
34-87076 Sep. 24, 2019 Roman Sledziejowski
34-87074 Sep. 24, 2019 TMC Bonds, LLC
33-10694 Sep. 24, 2019 Scott G. Huish
Other Release Nos.: 34-87089, IA-5364, IC-33633
See also: Administrative Summary
33-10693 Sep. 24, 2019 Serge Matta
Other Release Nos.: 34-87070, AAER-4092
33-10692 Sep. 24, 2019 Comscore, Inc.
Other Release Nos.: 34-87069, AAER-4091
IA-5365 Sep. 24, 2019 Albert K. Hu
IA-5363 Sep. 24, 2019 Strategic Planning Group, Inc., David A. Rourke and Jarrod A. Sherman
See also: Administrative Summary
IA-5362 Sep. 24, 2019 Anthony Vassallo
34-87068 Sep. 23, 2019 Subramanian Krishnan, CPA
Other Release No.: AAER-4090
34-87066 Sep. 23, 2019 China Gerui Advanced Materials Group Limited
34-87064 Sep. 23, 2019 Changing Technologies, Inc.
34-87063 Sep. 23, 2019 Jason Griffith, CPA
Other Release No.: AAER-4089
34-87055 Sep. 23, 2019 TechnipFMC plc.
Other Release No.: AAER-4087
See also: Administrative Summary
34-87054 Sep. 23, 2019 Nissan Motor Co., Ltd.
Other Release No.: AAER-4086
34-87053 Sep. 23, 2019 Brandon Sprankle, CPA
Other Release No.: AAER-4085
34-87052 Sep. 23, 2019 PricewaterhouseCoopers LLP
Other Release No.: AAER-4084
34-87051 Sep. 23, 2019 Tryon Alpha, Inc. and Tundra Resources, Inc.
34-87050 Sep. 23, 2019 Sea Breeze Power Corp. and 1701 Productions, Inc.
34-87049 Sep. 23, 2019 R-Tec Holding, Inc., RTR, Inc. and SCAPPLE Inc.
34-87048 Sep. 23, 2019 Hawk Street Acquisition Corp. and Mobad Service Corporation
34-87047 Sep. 23, 2019 EMTA Corp. a/k/a Wiltex A, Fuzzy Logic Software Corp. a/k/a China Global Solar Corporation Limited and Granite Futures Fund Limited Partnership
34-87046 Sep. 23, 2019 Presidion Corporation
34-87045 Sep. 23, 2019 Ezagoo Inc.
34-87044 Sep. 23, 2019 Raymond J. Pirrello, Jr.
IA-5361 Sep. 23, 2019 HCR Wealth Advisors
See also: Administrative Summary
34-87043 Sep. 20, 2019 Ronald P. Haller
34-87038 Sep. 20, 2019 Donald F. Mcgraw, Jr.
Other Release No.: AAER-4083
See also: Administrative Summary
34-87037 Sep. 20, 2019 James David Hilty
Other Release No.: AAER-4082
See also: Administrative Summary
34-87036 Sep. 20, 2019 The Bancorp, Inc.
Other Release No.: AAER-4081
See also: Administrative Summary
34-87035 Sep. 20, 2019 Sonya D. Camarco
Other Release No.: IA-5359
IA-5358 Sep. 20, 2019 Marcos Tamayo and Bored At Work Retirement Services, LLC
Other Release No.: IC-33629
See also: Administrative Summary
34-87034 Sep. 20, 2019 Darcy L. Rose
34-87033 Sep. 20, 2019 Anton & Chia, LLP, et al.
Other Release No.: AAER-4080
34-87032 Sep. 19, 2019 David R. Gibson
Other Release Nos.: IA-5357, AAER-4079
34-87029 Sep. 19, 2019 Sigma Planning Corp.
Other Release No.: IA-5356
See also: Administrative Summary
34-87020 Sep. 19, 2019 Empire Energy Corporation International, Moller International, Inc. and Rangeford Resources, Inc.
34-87011 Sep. 19, 2019 Jay Daniel Seinfeld
Other Release No.: IA-5355
34-87007 Sep. 19, 2019 Kevyn N. Rakowski, CPA
Other Release No.: AAER-4078
33-10691 Sep. 19, 2019 Montebello Unified School District and Anthony James Martinez
Other Release No.: 34-87006
34-87004 Sep. 19, 2019 Jayat P. Kanetkar
34-87002 Sep. 18, 2019 Agritech Worldwide, Inc., Consolidated Gems, Inc. and Dominovas Energy Corporation
34-87000 Sep. 18, 2019 Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.
34-86992 Sep. 17, 2019 Fact Corporation and Tandy Brands Accessories Inc.
34-86990 Sep. 17, 2019 China Longyi Group International Holdings Ltd., Leo Motors, Inc. and LNPR Group, Inc.
34-86988 Sep. 17, 2019 Morgan Stanley Smith Barney, LLC
Other Release No.: IA-5354
See also: Administrative Summary
34-86987 Sep. 17, 2019 Lans Holdings, Inc. and Momentous Entertainment Group, Inc.
33-10689 Sep. 17, 2019 Raymond James & Associates, Inc., Raymond James Financial Services, Inc. and Raymond James Financial Services Advisors, Inc.
Other Release Nos.: 34-86985, IA-5352
33-10687 Sep. 17, 2019 Tyler T. Tysdal, et al.
Other Release Nos.: 34-86983, IA-5351, IC-33627
See also: Administrative Summary
IA-5350 Sep. 17, 2019 Michael A. Dejager
See also: Administrative Summary
33-10686 Sep. 17, 2019 Britt J. Haugland
See also: Administrative Summary
34-86978 Sep. 16, 2019 Stifel and Nicolaus & Company, Incorporated
Other Release No.: IA-5349
34-86977 Sep. 16, 2019 Cirque Energy, Inc. and Millennium Healthcare Inc.
34-86976 Sep. 16, 2019 BMO Capital Markets Corp.
Other Release No.: IA-5348
34-86975 Sep. 16, 2019 Apollo Solar Energy, Inc.
34-86972 Sep. 16, 2019 Shenzhen-ZhongRong Morgan Investment Holding Group Co., Ltd. and Solar Wind Energy Tower, Inc.
IA-5346 Sep. 16, 2019 AST Investment Services, Inc. and PGIM Investments LCC
33-10684 Sep. 16, 2019 Marvell Technology Group, Ltd.
Other Release Nos.: 34-86971, AAER-4076
34-86970 Sep. 16, 2019 Vandham Securities Corp.
See also: Administrative Summary
IA-5345 Sep. 13, 2019 Garrison Investment Group LP and Garrison Capital Advisers LLC
See also: Administrative Summary
34-86967 Sep. 13, 2019 American Retirement Villas Properties and Mcy.Com, Inc.
34-86966 Sep. 13, 2019 Physician Healthcare Plan of New Jersey, Inc., Teda Technologies International, Inc. and Ucellit.Com, Inc.
34-86965 Sep. 13, 2019 New Environmental Solutions Inc.
34-86964 Sep. 13, 2019 Mitchell T. Yanow
Other Release No.: IA-5343
34-86963 Sep. 13, 2019 Sridhar Thiruvengadam
Other Release No.: AAER-4074
See also: Administrative Summary
34-86962 Sep. 13, 2019 Daniel T. Levine
Other Release No.: IA-5342
IA-5344 Sep. 13, 2019 ED Capital Management, LLC d/b/a Daniloff Capital Management, LLC and Elliot Daniloff a/k/a Ilya Olegovich Danilov
Other Release No.: AAER-4075
See also: Administrative Summary
34-86954 Sep. 12, 2019 Aurum, Inc. and Ecosphere Technologies, Inc.
34-86952 Sep. 12, 2019 Innocom Technology Holdings, Inc., The Pulse Beverage Corporation and Ystrategies Corp.
34-86950 Sep. 12, 2019 Gyrotron Technology, Inc. and Nation Energy Inc.
34-86957 Sep. 12, 2019 Dennis Gibb and Sweetwater Investments, Inc.
See also: Distribution Plan
34-86942 Sep. 12, 2019 Performance Capital Management, LLC and Silicon Mountain Holdings, Inc.
34-86941 Sep. 12, 2019 Oceanus Acquisition Corp., Pinkbrick Holdings Inc. and Puravita Corporation
34-86940 Sep. 12, 2019 Dynamic Enviro Inc. and United Restaurant Group International, Inc.
34-86935 Sep. 11, 2019 Green Endeavors, Inc. and Sputnik Enterprises, Inc.
34-86933 Sep. 11, 2019 Blockchain Solutions, Inc. and Universal Resources (f/k/a Global Immune Technologies Inc.)
34-86932 Sep. 11, 2019 William M. Apostelos
Other Release No.: IA-5341
34-86925 Sep. 11, 2019 Scott P. Strochak
34-86924 Sep. 11, 2019 Robert D. Hesselgesser, CPA
Other Release No.: AAER-4073
34-86921 Sep. 10, 2019 Empire Energy Corporation International, Moller International, Inc. and Rangeford Resources, Inc.
34-86918 Sep. 10, 2019 American Patriot Brands, Inc. a/k/a the Grilled Cheese Truck, Inc. and Big Tree Group, Inc.
34-86913 Sep. 10, 2019 Universal Detection Technology and Vincompass Corp.
34-86911 Sep. 10, 2019 Tn-K Energy Group Inc. and Total Sports Media, Inc.
IA-5340 Sep. 10, 2019 Carol Ann Pedersen
34-86908 Sep. 9, 2019 NXChain, Inc. f/k/a Agrivest Americas, Inc,. et al.
34-86906 Sep. 9, 2019 Nexus Enterprise Solutions, Inc. and N-Viro International Corporation
34-86905 Sep. 9, 2019 Greenwood Hall, Inc., PMX Communities, Inc. and SurePure, Inc.
34-86903 Sep. 9, 2019 Adrian D. Beamish, CPA
Other Release No.: AAER-4072
33-10682 Sep. 9, 2019 Kenneth Wruk
Other Release No.: 34-86904
33-10681 Sep. 6, 2019 Abner Silva
Other Release Nos.: 34-86900, AAER-4071
See also: Administrative Summary
34-86895 Sep. 6, 2019 ATNA Resources, Ltd. and Orckit Communications Ltd.
34-86894 Sep. 6, 2019 Activecare, et al.
34-86893 Sep. 6, 2019 Atlas Technology International, Inc., Centenary International Corporation and Dynacq Healthcare, Inc.
34-86887 Sep. 5, 2019 Brendan Pollitz
34-86886 Sep. 5, 2019 Alfred C. Teran
Other Release No.: IC-33617
34-86885 Sep. 5, 2019 Empire Energy Corporation International, Moller International, Inc. and Rangeford Resources, Inc.
34-86882 Sep. 5, 2019 Lans Holdings, Inc. and Momentous Entertainment Group, Inc.
34-86880 Sep. 5, 2019 ERHC Energy, Inc. and IDdriven, Inc.
34-86877 Sep. 5, 2019 Terry Wayne Kelly and Kelly Management LLC
33-10680 Sep. 5, 2019 Daniel Khesin
Other Release Nos.: 34-86889, AAER-4070
See also: Administrative Summary
34-86872 Sep. 4, 2019 Comarco, Inc. and Eco-Shift Power Corp.
34-86871 Sep. 4, 2019 The Options Clearing Corporation
34-86862 Sep. 4, 2019 Black Stallion Oil & Gas, Inc. n/k/a Arize Therapeutics, Inc. and Cannabis Science, Inc.
34-86860 Sep. 4, 2019 Eric Larson Sampson
Other Release No.: IA-5339
IA-5338 Sep. 4, 2019 Mitchell J. Friedman
Other Release No.: IC-33615
See also: Administrative Summary
34-86856 Sep. 3, 2019 Karen McKinley
Other Release No.: IA-5337
34-86852 Sep. 3, 2019 Tongli Pharmaceuticals (USA), Inc. and Vansen Pharma, Inc.
34-86850 Sep. 3, 2019 Hengyi International Industries Group, Inc., Jacobs Financial Group, Inc. and Ranger Gold Corp.
34-86848 Sep. 3, 2019 Thomas C. Muldoon
Other Release Nos.: IA-5335, IC-33614
See also: Administrative Summary
IA-5336 Sep. 3, 2019 Lefavi Wealth Management, Inc.
See also: Administrative Summary
34-86831 Aug. 30, 2019 Wayne Scott Simpson
34-86830 Aug. 30, 2019 Donald Braxton
34-86828 Aug. 30, 2019 Medical Safetec, Inc., et al.
34-86827 Aug. 30, 2019 Crescent Airways Corp., Electronic Manufacturing Services Group Inc. and M&M Financial Corp.
34-86826 Aug. 30, 2019 Aztech International Ltd., Bev-Tyme, Inc. and Concord Energy Incorporated
34-86825 Aug. 30, 2019 Advanced Voice Technologies, Inc., American Pharmaceutical Company and Apollo Eye Group, Inc.
34-86821 Aug. 29, 2019 5BARz International, Inc., Eagle Mountain Corporation and EFT Holdings, Inc.
34-86817 Aug. 29, 2019 Arabella Exploration, Inc., Scivanta Medical Corp. and Westmountain Distressed Debt, Inc.
34-86815 Aug. 29, 2019 Cardinal Energy Group, Inc.
34-86814 Aug. 29, 2019 Africa Growth Corporation and Gold Dynamics Corp.
34-86812 Aug. 29, 2019 Juniper Networks, Inc.
Other Release No.: AAER-4069
See also: Administrative Summary
34-86810 Aug. 29, 2019 Fantastic Financial Corporation, et al.
34-86808 Aug. 29, 2019 Briarwood Holdings Group, Inc., Heyu Leisure Holidays Corporation and TJ Roasters Inc.
34-86807 Aug. 29, 2019 Enumeral Biomedical Holdings, Inc., International Cigar Holdings, Inc. and Lepora Holdings, Inc.
33-10679 Aug. 29, 2019 Omega Protein Corporation
Other Release No.: 34-86822
See also: Administrative Summary
33-10677 Aug. 29, 2019 Wendy Katz
Other Release No.: 34-86809
See also: Administrative Summary
34-86805 Aug. 29, 2019 Howard C. Burns
Other Release No.: IC-33611
34-86804 Aug. 29, 2019 Robin Smyth
Other Release No.: AAER-4068
34-86802 Aug. 29, 2019 Anthony Massaro
34-86801 Aug. 28, 2019 QuantumSphere, Inc. and Shenzhen Yidian Double Way of Innovation Culture Media Corp.
34-86797 Aug. 28, 2019 Competitive Companies, Inc., Unilava Corporation and Uplift Nutrition, Inc.
34-86796 Aug. 28, 2019 Christopher E. Curran
34-86793 Aug. 28, 2019 A La Carte Charts Corp., Iron Sands Corp. and TOPAW, Inc.
34-86791 Aug. 28, 2019 SiVault Systems, Inc., SVC Financial Services Inc. and The Heritage Organization, Inc.
34-86790 Aug. 28, 2019 Veris Gold Corp.
34-86781 Aug. 27, 2019 EMS Capital LP
Other Release No.: IA-5333
34-86779 Aug. 27, 2019 LD Holdings, Inc., Mansfield-Martin Exploration Mining, Inc. and RadTek, Inc.
34-86777 Aug. 27, 2019 Bakken Resources, Inc., Ireland Inc. and Worlds Mall, Inc.
34-86775 Aug. 27, 2019 China Xingbang Industry Group Inc. and Kingsmen Capital Group, Ltd.
34-86771 Aug. 27, 2019 Alan G. Heide, CPA
Other Release No.: AAER-4067
34-86770 Aug. 27, 2019 RSM US LLP (f/k/a McGladrey LLP)
Other Release No.: IA-5331, AAER-4066
IA-5332 Aug. 27, 2019 Stephen C. Browere
34-86768 Aug. 26, 2019 Biolog, Inc., Bozki, Inc. and China Gewang Biotechnology, Inc.
34-86764 Aug. 26, 2019 Kendall J. Groom, CPA
34-86763 Aug. 26, 2019 MMRGlobal, Inc., Silver Hill Mines, Inc. and Sterling Group Ventures, Inc.
34-86762 Aug. 26, 2019 5BARz International, Inc., Eagle Mountain Corporation and EFT Holdings, Inc.
34-86761 Aug. 26, 2019 Joseph C. Buchanan
Other Release Nos.: IA-5329, IC-33608
See also: Administrative Summary
34-86758 Aug. 26, 2019 Diadexus, Inc., Mustang Alliances, Inc. and Protea Biosciences Group, Inc.
34-86756 Aug. 26, 2019 Adama Technologies Corp., GeoBio Energy, Inc. and Powerdyne International, Inc.
34-86755 Aug. 26, 2019 Jonathan Paltiel Flom
IA-5330 Aug. 26, 2019 Laurel Wealth Advisors, Inc.
See also: Administrative Summary
34-86740 Aug. 22, 2019 Deutsche Bank AG
Other Release No.: AAER-4065
See also: Administrative Summary
34-86739 Aug. 22, 2019 Brian J. Polito
34-86738 Aug. 22, 2019 Gray Financial Group, Inc., et al.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-86726 Aug. 22, 2019 William Hill
IA-5326 Aug. 22, 2019 Yehuda Belsky, aka "Jay Bell"
See also: Administrative Summary
IA-5327 Aug. 22, 2019 Patrick L. O'Connor
34-86733 Aug. 22, 2019 Jeremy A. Licht d/b/a Jl Capital Management
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-86727 Aug. 22, 2019 JP Morgan Chase & Co.
34-86720 Aug. 21, 2019 Michael Filkoski, CPA and Scott Magnuson, CPA
Other Release No.: AAER-4064
See also: Administrative Summary
34-86717 Aug. 20, 2019 American Business Services, Inc., Iris Biotechnologies, Inc. and Soul & Vibe Interactive Inc.
34-86716 Aug. 20, 2019 Hybrid Coating Technologies, Inc., Infrastructure Developments Corp. and Oro East Mining, Inc.
34-86715 Aug. 20, 2019 Joseph L. Pittera, Esq.
34-86712 Aug. 20, 2019 Mosaic Capital, LLC and f/k/a Aoc Securities, LLC
34-86711 Aug. 20, 2019 Ronaldo Gonzalez
34-86710 Aug. 20, 2019 Financial Sherpa, Inc. and James L. Beyersdorf
Other Release Nos.: IA-5324, IC-33591
See also: Administrative Summary
34-86708 Aug. 20, 2019 TherapeuticsMD, Inc.
See also: Administrative Summary
33-10673 Aug. 20, 2019 ICO Rating
34-86707 Aug. 19, 2019 Richard Targett-Adams
34-86704 Aug. 19, 2019 5BARz International, Inc., Eagle Mountain Corporation and EFT Holdings, Inc.
34-86703 Aug. 19, 2019 chatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc.
34-86702 Aug. 16, 2019 Carl Ruderman
34-86701 Aug. 16, 2019 Thomas Gillons
Other Release No.: IA-5323
34-86693 Aug. 16, 2019 BMO Capital Markets Corporation
33-10672 Aug. 16, 2019 Cantor Fitzgerald & Co.
Other Release No.: 34-86694
34-86690 Aug. 15, 2019 Lorenz Erne
See also: Administrative Summary
IA-5322 Aug. 15, 2019 Christopher D. Dougherty
34-86680 Aug. 14, 2019 SPIRE Corporation and The Staffing Group, Ltd.
34-86677 Aug. 14, 2019 Robert William Myers, Jr.
34-86675 Aug. 14, 2019 Samdrew IV, Inc. and Southland Health Services, Inc.
34-86674 Aug. 14, 2019 Stirling Acquisition Corporation and ThinkEngine Networks, Inc.
34-86673 Aug. 14, 2019 NWT Uranium Corp.
34-86672 Aug. 14, 2019 Oakridge Holdings, Inc., et al.
34-86668 Aug. 14, 2019 Monarch America, Inc. and VW Win Century, Inc.
34-86665 Aug. 14, 2019 Greenhouse Solutions, Inc. and Latitude 360, Inc.
34-86658 Aug. 14, 2019 Canaccord Genuity LLC
34-86656 Aug. 14, 2019 Chris Kubiak
Other Release No.: IA-5321
34-86655 Aug. 14, 2019 IMC Holdings, Inc., Microphase Corporation and Wintahenderson International, Inc.
34-86654 Aug. 14, 2019 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd.
34-86653 Aug. 14, 2019 Golden Rush, Inc., LeGall Holdings, Inc. and My Healthy Access, Inc.
34-86652 Aug. 14, 2019 Pacific Telcom, Inc., Peopleline Telecom Inc. and Spectrum Meditech Inc. n/k/a Resilient Energy, Inc.
34-86650 Aug. 13, 2019 Carol J. Wayland
34-86648 Aug. 13, 2019 Greenwood Hall, Inc., PMX Communities, Inc. and SurePure, Inc.
34-86646 Aug. 13, 2019 Medisun Precision Medicine, Ltd., Next Graphite, Inc. and Omni Shrimp, Inc.
34-86645 Aug. 13, 2019 Arabella Exploration, Inc., Scivanta Medical Corp. and Westmountain Distressed Debt, Inc.
IA-5319 Aug. 13, 2019 MVP Manager LLC
See also: Administrative Summary
34-86641 Aug. 13, 2019 Michael J. Frew
Other Release No.: IA-5320
34-86640 Aug. 13, 2019 Steve G. Blasko
34-86639 Aug. 13, 2019 Mitchell B. Dow
34-86638 Aug. 13, 2019 Barry Liss
34-86633 Aug. 12, 2019 China Xingbang Industry Group Inc. and Kingsmen Capital Group, Ltd.
34-86632 Aug. 12, 2019 China Tongzilian Group Share Limited, Inc.
IA-5318 Aug. 12, 2019 Jeremy Joseph Drake
33-10671 Aug. 12, 2019 SimplyVital Health, Inc.
See also: Administrative Summary
33-10669 Aug. 9, 2019 Corix Bioscience, Inc. and Michael L. Ogburn
Other Release No.: 34-86622
See also: Administrative Summary
34-86613 Aug. 8, 2019 Scio Diamond Technology Corp.
34-86602 Aug. 8, 2019 Morgan Asset Management Inc., et al.
34-86601 Aug. 8, 2019 Dennis Gibb and Sweetwater Investments, Inc.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-86600 Aug. 8, 2019 Elizabeth Oharriz
34-86598 Aug. 7, 2019 Oriental Magic Soup, Inc., et al.
34-86596 Aug. 7, 2019 Ceetop Inc. n/k/a S.Q Hydrogen Power, Inc., China Internet Cafe Holdings Group, Inc. and Starlight Supply Chain Management Company
34-86595 Aug. 7, 2019 Sean Kelly
Other Release No.: IA-5316
34-86594 Aug. 7, 2019 Thomas W. Avent, Jr., CPA, Esq.
Other Release No.: AAER-4063
See also: Litigation Release
34-86593 Aug. 7, 2019 Sweetwater Investing, Inc. and Thunor International, Inc.
34-86592 Aug. 7, 2019 Fighton Succession Corporation and Grand Enterprises, Inc.
34-86591 Aug. 7, 2019 Rolling Pin Kitchen Emporium, Inc. and Speed of Thought, Inc.
34-86584 Aug. 6, 2019 BCI Holding Inc., Bulova Technologies Group, Inc. and Omni Bio Pharmaceutical, Inc.
34-86582 Aug. 6, 2019 BTHC X, Inc., Eco Building Products, Inc. and Kama Resources Inc.
34-86581 Aug. 6, 2019 Aramex International Limited
34-86580 Aug. 6, 2019 ASN Satellites, Inc., et al.
34-86579 Aug. 6, 2019 Aroga Holding Corp., Global Sources Limited and United States Properties, Inc.
34-86578 Aug. 6, 2019 Alife Corporation, et al.
34-86577 Aug. 6, 2019 Gregg Evan Jaclin, Esq.
See also: Administrative Summary
34-86573 Aug. 5, 2019 Sito Mobile, Ltd.
34-86570 Aug. 5, 2019 Dutch Gold Resources, Inc. and Paracap Corporation
34-86568 Aug. 5, 2019 American Rare Earths, et al.
34-86565 Aug. 5, 2019 Artisanal Brands, Inc. and Daleco Resources Corporation
34-86564 Aug. 5, 2019 Nandu Thondavadi
Other Release No.: AAER-4062
34-86561 Aug. 2, 2019 Empire Energy Corporation International, Moller International, Inc. and Rangeford Resources, Inc.
34-86559 Aug. 2, 2019 Agritech Worldwide, Inc., Consolidated Gems, Inc. and Dominovas Energy Corporation
34-86555 Aug. 2, 2019 Jason Dwayne Watson
34-86551 Aug. 1, 2019 Fifth Street Management, LLC
See also: Distribution Plan
34-86544 Aug. 1, 2019 Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation
34-86543 Aug. 1, 2019 Alan Shinderman
34-86541 Aug. 1, 2019 Kendall J. Groom, CPA
See also: Administrative Summary
34-86540 Aug. 1, 2019 Kendall J. Groom, CPA
Other Release Nos.: IA-5313, IC-33582
See also: Administrative Summary
34-86538 Aug. 1, 2019 Brixmor Property Group Inc.
Other Release No.: AAER-4061
34-86528 Jul. 31, 2019 Arabella Exploration, Inc., Scivanta Medical Corp. and Westmountain Distressed Debt, Inc.
34-86526 Jul. 31, 2019 American Business Services, Inc., Iris Biotechnologies, Inc. and Soul & Vibe Interactive Inc.
34-86524 Jul. 31, 2019 Axiom Corp., et al.
34-86531 Jul. 31, 2019 Paul G. Kirk, Esq.
34-86530 Jul. 31, 2019 John P. Kirk
34-86521 Jul. 31, 2019 James W. Holden
34-86522 Jul. 31, 2019 Jonathan Brosk
Other Release Nos.: IA-5312, IC-33581
34-86519 Jul. 30, 2019 Electronic Cigarettes International Group, Ltd., Seaniemac International, Ltd. and Ziwira, Inc.
34-86517 Jul. 30, 2019 Cornerworld Corp. and DMH International, Inc.
34-86515 Jul. 30, 2019 Bioshaft Water Technology, Inc., MeeMee Media Inc. and Zeecol International, Inc.
34-86513 Jul. 30, 2019 Blackcraft Cult, Inc. and Unified Signal, Inc.
34-86506 Jul. 29, 2019 MMRGlobal, Inc., Silver Hill Mines, Inc. and Sterling Group Ventures, Inc.
34-86503 Jul. 29, 2019 Hybrid Coating Technologies, Inc., Infrastructure Developments Corp. and Oro East Mining, Inc.
34-86500 Jul. 29, 2019 chatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc.
IA-5311 Jul. 29, 2019 Christopher Plaford
See also: Administrative Summary
34-86495 Jul. 26, 2019 Nevanna Sacks, CPA
Other Release No.: AAER-4060
34-86489 Jul. 26, 2019 Timothy M. Rooney, Sr.
Other Release Nos.: IA-5310, IC-33577
34-86487 Jul. 26, 2019 Mariposa Health, Inc. and STL Marketing Group, Inc.
34-86486 Jul. 26, 2019 House of BODS Fitness, Inc., Reef Oil & Gas Income & Development Fund III LP and Techlabs, Inc.
34-86485 Jul. 26, 2019 Bingo Nation, Inc., Sino-American Net Media Corp. and Wussler Worldwide Media Co.
34-86483 Jul. 26, 2019 William Harper Minor, Jr.
Other Release No.: IA-5308
34-86481 Jul. 26, 2019 Chua Seong Seng, aka Robbie Chua
34-86474 Jul. 25, 2019 Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
34-86472 Jul. 25, 2019 BKS Advisors, LLC
See also: Distribution Plan
34-86467 Jul. 25, 2019 5BARz International, Inc., Eagle Mountain Corporation and EFT Holdings, Inc.
34-86466 Jul. 25, 2019 Sohin S. Shah
34-86456 Jul. 24, 2019 Diversified Corporate Resources, Inc., NetWolves Corporation and Samdrew VIII, Inc.
34-86455 Jul. 24, 2019 Biscayne Acquisition Group Inc. and Teleplus World, Corp.
34-86454 Jul. 24, 2019 Capital Trust Holdings, Inc., Florida Gaming Corporation and Go Public, Inc.
34-86453 Jul. 24, 2019 Biolog, Inc., Bozki, Inc. and China Gewang Biotechnology, Inc.
34-86452 Jul. 24, 2019 Armco Metals Holdings, Inc., Global Future City Holding, Inc. and TraceGuard Technologies, Inc.
33-10665 Jul. 24, 2019 Robert L. Baker, et al.
Other Release Nos.: 34-86462, IC-33575
33-10664 Jul. 24, 2019 Robert L. Baker, et al.
Other Release Nos.: 34-86461, IC-33574
33-10663 Jul. 24, 2019 Robert L. Baker, et al.
Other Release Nos.: 34-86459, IC-33567
34-86451 Jul. 24, 2019 Enhanced Services Company, Inc. and Ingenex, Inc.
34-86450 Jul. 24, 2019 Knowledgebroker, Inc., et al.
34-86449 Jul. 24, 2019 Neco Energy Corporation, Neighborhood Investment, Ltd. and New Dawn Entertainment Inc.
34-86448 Jul. 24, 2019 Equality Investments, Inc., Freedom Financial Corporation and Mustang Resources Inc.
IA-5307 Jul. 24, 2019 N. Gary Price
See also: Administrative Summary
34-86446 Jul. 24, 2019 Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel
Other Release No.: IA-5306
See also: Administrative Summary
34-86445 Jul. 23, 2019 American Smooth Wave Ventures, Inc.
34-86441 Jul. 23, 2019 QuantumSphere, Inc. and Shenzhen Yidian Double Way of Innovation Culture Media Corp.
34-86439 Jul. 23, 2019 Gold Lakes Corp. and Novagen Ingenium Inc.
34-86438 Jul. 23, 2019 Africa Growth Corporation and Gold Dynamics Corp.
34-86435 Jul. 23, 2019 Balaji Sundarraj and David O'brien
See also: Administrative Summary
34-86421 Jul. 22, 2019 Microsoft Corporation
See also: Administrative Summary
IA-5305 Jul. 19, 2019 Account Management LLC, Christopher de Roetth and Peter de Roetth
34-86409 Jul. 18, 2019 Henry J. Wieniewitz, III
Other Release No.: IA-5304
IA-5303 Jul. 18, 2019 Swapnil Rege
Other Release No.: IC-33561
IA-5302 Jul. 17, 2019 Salus, LP, et al.
Other Release No.: IC-33560
See also: Administrative Summary
34-86397 Jul. 16, 2019 Spring Hill Capital Markets, LLC, et al.
Other Release No.: IC-33559
34-86396 Jul. 16, 2019 School Services of California, Inc.
See also: Administrative Summary
34-86395 Jul. 16, 2019 G. Wayne Oetken
See also: Administrative Summary
34-86393 Jul. 16, 2019 Dale Scott & Company, Inc.
See also: Administrative Summary
IA-5301 Jul. 16, 2019 Hana Woosuk Byun and a/k/a Hana Kevin Byun
Other Release No.: IC-33557
34-86385 Jul. 16, 2019 Dov Weinstein, CPA and Dov Weinstein & Co., CPA
Other Release No.: AAER-4059
See also: Administrative Summary
34-86382 Jul. 15, 2019 Alexander Capital, L.P.
34-86373 Jul. 15, 2019 Nomura Securities International, Inc.
34-86372 Jul. 15, 2019 Nomura Securities International, Inc.
34-86369 Jul. 12, 2019 Kwen Y. Chun
Other Release No.: IA-5299
34-86357 Jul. 11, 2019 Jehu Hand, Esq.
IA-5295 Jul. 11, 2019 Kimm C. Hannan
34-86350 Jul. 10, 2019 Thomas H. Laws, CPA
Other Release No.: AAER-4058
34-86347 Jul. 10, 2019 Fidelity Transfer Services, Inc. and Ruben Sanchez
Other Release No.: IC-33550
See also: Administrative Summary
34-86331 Jul. 9, 2019 Paul Douglas Vandivier
34-86330 Jul. 8, 2019 Visium Asset Management, LP
See also: Distribution Plan
34-86317 Jul. 5, 2019 Pedro L. Gonzalez-Seijo
Other Release No.: IA-5289
34-86294 Jul. 3, 2019 Alexander Charles White
34-86273 Jul. 2, 2019 James B. Catledge
IA-5270 Jul. 2, 2019 The Parrish Group, LLC and Daryl M. Davis
Other Release No.: IC-33540
34-86268 Jul. 1, 2019 Tory J. R. Schalkle
34-86267 Jul. 1, 2019 Jonathan E. Shoucair
34-86266 Jul. 1, 2019 Kenneth S. Gross
34-86265 Jul. 1, 2019 Edward Dean Goss
34-86254 Jul. 1, 2019 Laverne C. Moter
Other Release No.: IA-5264
34-86252 Jul. 1, 2019 Thomas Chang, CPA
Other Release No.: AAER-4057
33-10656 Jul. 1, 2019 GT Media, Inc.
33-10655 Jul. 1, 2019 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
Other Release Nos.: 34-86251, IA-5263, IC-33538

Second Quarter

IA-5262 Jun. 28, 2019 Avi Chiat, Esq.
34-86243 Jun. 28, 2019 CellCyte Genetics Corp. and China Pediatric Pharmaceuticals, Inc.
34-86240 Jun. 28, 2019 S. Jeffrey Jones, CPA
Other Release No.: AAER-4056
34-86239 Jun. 28, 2019 R. Gordon Jones, CPA
Other Release No.: AAER-4055
34-86215 Jun. 27, 2019 Nicholi Mandracken
IC-33534 Jun. 27, 2019 State Street Bank and Trust Company
34-86210 Jun. 27, 2019 IFS Securities
34-86196 Jun. 26, 2019 Gregory T. Dean
IA-5261 Jun. 25, 2019 Amrit J. S. Chahal
34-86190 Jun. 24, 2019 Fifth Street Management, LLC
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-86185 Jun. 24, 2019 Suzanne Aileen Gagnier
34-86181 Jun. 24, 2019 Anastasios P. "Tommy" Belesis
34-86180 Jun. 21, 2019 Daryl M. Payton
Other Release No.: IA-5260
IA-5259 Jun. 21, 2019 Edward Lee Moody, Jr.
IA-5258 Jun. 20, 2019 Javier Rios
34-86171 Jun. 20, 2019 Michael D. Keryc
33-10651 Jun. 20, 2019 Benjamin H. Gordon
Other Release Nos.: 34-86164, IC-33514
See also: Administrative Summary
34-86160 Jun. 20, 2019 Richard Mccall Bohnsack
34-86159 Jun. 20, 2019 Walmart Inc.
Other Release No.: AAER-4054
33-10650 Jun. 18, 2019 Wedbush Securities, Inc.
Other Release No.: 34-86133
IA-5254 Jun. 17, 2019 Jaswant Gill
34-86125 Jun. 17, 2019 Maxwell Technologies, Inc., et al.
34-86124 Jun. 17, 2019 Michael Santicchia, CPA
Other Release No.: AAER-4053
34-86123 Jun. 17, 2019 Stephen D. Cheaney, CPA
Other Release No.: AAER-4052
34-86118 Jun. 17, 2019 KPMG LLP
Other Release No.: AAER-4051
33-10647 Jun. 14, 2019 Industrial and Commercial Bank of China Financial Services LLC
Other Release No.: 34-86108
34-86107 Jun. 14, 2019 David Vogel, CPA
Other Release No.: AAER-4050
34-86105 Jun. 13, 2019 Hugh Dunkerley
Other Release No.: IA-5252
34-86100 Jun. 13, 2019 Orthofix International N.V.
34-86102 Jun. 13, 2019 Maxwell Technologies, Inc., et al.
34-86098 Jun. 13, 2019 Jovannie Aquino
34-86093 Jun. 12, 2019 Anthony G. Blumberg
See also: Administrative Summary
34-86090 Jun. 11, 2019 Changda International Holdings, Inc.
34-86088 Jun. 11, 2019 Infrastructure International, Inc.
34-86075 Jun. 10, 2019 Andy Altahawi
IA-5251 Jun. 10, 2019 David S. Goulding
34-86058 Jun. 6, 2019 Yanglin Soybean, Inc.
34-86057 Jun. 6, 2019 Bluforest, Inc.
34-86056 Jun. 6, 2019 Fern Holdings Corp., et al.
34-86055 Jun. 6, 2019 Jose G. Ramirez, Jr.
34-86052 Jun. 6, 2019 Evergreen Investment Management Company, LLC, et al.
34-86050 Jun. 6, 2019 Quantek Asset Management, LLC, et al.
See also: Distribution Plan
34-86046 Jun. 6, 2019 Computer Sciences Corporation, et al.
34-86045 Jun. 6, 2019 Kimberly Pine Kitts
Other Release No.: IA-5250
34-86034 Jun. 5, 2019 Pinnacle Accountancy Group, PLLC and Douglas W. Child, CPA
Other Release No.: AAER-4049
34-86028 Jun. 4, 2019 Michael T. Rand, CPA
Other Release No.: AAER-4048
IA-5245 Jun. 4, 2019 Deer Park Road Management Company, LP and Scott E. Burg
33-10643 Jun. 3, 2019 Joseph Palermo
See also: Administrative Summary
33-10642 Jun. 3, 2019 Anthony Savino
Other Release Nos.: 34-86020, IA-5244
See also: Administrative Summary
34-85998 May 31, 2019 Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc; and Morgan Stanley Mortgage Capital Holdings LLC
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-85997 May 31, 2019 BKS Advisors LLC and Roger T. Denha
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-85968 May 30, 2019 Clayborne Group, LLC and Dean A. Heinemann
34-85965 May 30, 2019 Jeffrey Spanier
34-85956 May 29, 2019 David A. Altom and Gabriel V. Graven
34-85947 May 28, 2019 Sean D. Premock
Other Release No.: IA-5243
IA-5242 May 28, 2019 Stephen Brandon Anderson
34-85943 May 24, 2019 William James Roth
34-85942 May 24, 2019 Charles Cary Davis
34-85941 May 24, 2019 Alexander Bevil
34-85939 May 24, 2019 Robert Kenneth Lindell, Jr.
Other Release No.: IA-5241
34-85918 May 22, 2019 Icon Vapor, Inc., et al.
34-85917 May 22, 2019 Kenneth Edward Shelton
34-85916 May 22, 2019 Mark Christopher Parman
34-85915 May 22, 2019 Martin Delaine Lewis
34-85914 May 22, 2019 Michael Allen Duke
34-85905 May 21, 2019 Marcus Bradford Bray
34-85904 May 21, 2019 Claude Steven Mosley
34-85902 May 21, 2019 Andrew G. Costa
34-85901 May 21, 2019 Randy T. Rondberg
34-85898 May 21, 2019 E-Waste Systems, Inc.
34-85897 May 20, 2019 Paul B. Powers, Esq.
34-85891 May 20, 2019 UBS Financial Services Incorporated of Puerto Rico and Ramiro L. Colon, III
33-10639 May 16, 2019 J.S. Oliver Capital Management, L.P. and Ian O. Mausner
Other Release Nos.: 34-85880, IA-5236, IC-33476
34-85878 May 16, 2019 Robert M. Schulman, Esq.
34-85867 May 15, 2019 Wilson-Davis & Co., Inc.
See also: Administrative Summary
34-85858 May 14, 2019 Cadaret and Grant & Co., Inc.
IA-5234 May 14, 2019 Oscar Ferrer Rivera
34-85853 May 14, 2019 Jonathan A. Rivera-Padilla
Other Release No.: IA-5233
33-10638 May 14, 2019 NextBlock Global Ltd. and Alex Tapscott
See also: Administrative Summary
34-85847 May 13, 2019 Bryan B. Long, CPA
Other Release No.: AAER-4047
34-85832 May 10, 2019 MMR Investment Bankers, et al.
34-85827 May 10, 2019 Visium Asset Management, LP
34-85821 May 9, 2019 Avant Diagnostics, Inc., et al.
34-85819 May 9, 2019 TelefĂ´nica Brasil S.A.
Other Release No.: AAER-4046
See also: Administrative Summary
34-85818 May 9, 2019 Bohai Pharmaceuticals Group Inc.
34-85816 May 9, 2019 China Domestica Bio-Technology Holdings, Inc.
34-85815 May 9, 2019 Oriental Dragon Corp.
IA-5232 May 9, 2019 Jeffrey Francis Thompson
34-85809 May 8, 2019 Meridian Co., Ltd.
34-85805 May 8, 2019 Chang-On International, Inc. and Computer Graphics International Inc.
34-85787 May 6, 2019 Next Galaxy Corp. and Novamex Energy, Inc.
34-85786 May 6, 2019 Ibex Advanced Mortgage Technology, Inc.
34-85785 May 6, 2019 ANV Security Group, Inc.
34-85784 May 6, 2019 Solo International, Inc. and Your Event, Inc.
34-85791 May 6, 2019 Fred Alger Management, Inc. and Fred Alger & Company, Incorporated
34-85780 May 6, 2019 Rocco Roveccio
IA-5229 May 6, 2019 Corinthian Capital Group, LLC, Peter B. Van Raalte and David G. Tahan
34-85769 May 3, 2019 Play La Inc. and Titan Trading Analytics, Inc.
IA-5228 May 3, 2019 Paul Peter Gierten
33-10637 May 3, 2019 Thomas Gutierrez
Other Release No.: 34-85768
33-10636 May 3, 2019 GT Advanced Technologies Inc.
Other Release Nos.: 34-85767, AAER-4045
34-85762 May 2, 2019 Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
See also: Modified Distribution Plan
34-85753 Apr. 30, 2019 Ominto, Inc.
34-85742 Apr. 29, 2019 Fifth Street Management, LLC
34-85736 Apr. 26, 2019 Sebring Software, Inc. and Studio II Brands, Inc.
34-85735 Apr. 26, 2019 Neurologix, Inc., Organic Alliance, Inc. and Zinco Do Brasil, Inc.
34-85733 Apr. 26, 2019 China Greenstar Corporation, et al.
34-85720 Apr. 25, 2019 KollagenX Corp., et al.
34-85719 Apr. 25, 2019 GO EZ Corporation, et al.
34-85718 Apr. 25, 2019 Falconridge Oil Technologies Corp., FLASR, Inc. and Fonon Corp.
33-10633 Apr. 25, 2019 Deutsche Bank Trust Company Americas
34-85712 Apr. 23, 2019 Hall Tees, Inc., et al.
34-85709 Apr. 23, 2019 Michael F. Cronin, CPA
Other Release No.: AAER-4043
34-85708 Apr. 23, 2019 Universal Bioenergy, Inc.
IA-5226 Apr. 23, 2019 Charter Capital Management, LLC and Steven Morris Bruce
34-85704 Apr. 22, 2019 Charles Myrick Winstead
Other Release No.: IA-5225
33-10632 Apr. 22, 2019 Dov Zaidman, CPA, and ZBS Group LLP
Other Release Nos.: 34-85702, AAER-4041
34-85703 Apr. 22, 2019 David M. Martin, CPA
Other Release No.: AAER-4042
33-10630 Apr. 19, 2019 Prosper Funding LLC
34-85694 Apr. 19, 2019 Harvey Paul Tabb
34-85684 Apr. 18, 2019 Fifth Street Management, LLC
34-85680 Apr. 17, 2019 BioPharma Manufacturing Solutions Inc., CLTC Ventures Corporation (n/k/a Dreamfly Productions Corporation) and Crane Global Energy Company
34-85679 Apr. 17, 2019 China Hefeng Rescue Equipment, Inc., et al.
34-85677 Apr. 17, 2019 Tintic Gold Mining Company
34-85675 Apr. 17, 2019 Green Innovations Ltd.
33-10628 Apr. 17, 2019 Matthew R. Rossi and SJL Capital, LLC
Other Release Nos.: 34-85683, IA-5224
34-85661 Apr. 16, 2019 Infinity Real Estate Holdings Corporation, et al.
34-85659 Apr. 16, 2019 dELiA*S Inc. and Global Energy, Inc.
34-85648 Apr. 15, 2019 IMK Group, Inc., MobileBits Holdings Corporation and National Energy Services, Inc.
34-85645 Apr. 15, 2019 CNK Global, Inc. (a/k/a American Life Holding Co., Inc.)
34-85641 Apr. 15, 2019 American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.)
34-85633 Apr. 12, 2019 Stanley S. Bae
Other Release Nos.: IA-5223, IC-33445
34-85621 Apr. 11, 2019 Creator Capital Ltd.
34-85619 Apr. 11, 2019 China Du Kang Co., Ltd.
34-85618 Apr. 11, 2019 Clear Scope Advisors, Inc.
34-85615 Apr. 11, 2019 GeoGlobal Resources, Inc. and USA Synthetic Fuel Corp.
34-85607 Apr. 11, 2019 Jeremy S. Wagers, Esq.
34-85598 Apr. 10, 2019 Montalvo Spirits, Inc., et al.
34-85595 Apr. 10, 2019 Engage Eco Solutions, Inc., et al.
34-85594 Apr. 10, 2019 Axiom Oil & Gas Corp., Ironwood Gold Corp. and Surge Global Energy, Inc.
34-85583 Apr. 10, 2019 James M. Schneider, Esq.
34-85581 Apr. 10, 2019 Martin R. Stancik
Other Release No.: IA-5221
33-10627 Apr. 10, 2019 Adam C. Derbyshire
Other Release Nos.: 34-85582, AAER-4039
34-85580 Apr. 9, 2019 Aervision Holdings, Inc., et al.
34-85575 Apr. 9, 2019 Jay Lapine, Esq.
34-85574 Apr. 9, 2019 Albert J. Rasch, Jr., Esq.
34-85570 Apr. 9, 2019 Immunoclin Corp., et al.
34-85562 Apr. 9, 2019 FuelNation, Inc. and 3D Total Solutions, Inc.
34-85558 Apr. 9, 2019 James K. Mckillop
34-85556 Apr. 8, 2019 Petrosonic Energy, Inc., et al.
34-85550 Apr. 8, 2019 China Fruits Corp. and Skystar Bio-Pharmaceutical Co.
34-85549 Apr. 8, 2019 Vortronnix Technologies, Inc.
34-85548 Apr. 8, 2019 Escalera Resources Co. and Force Minerals Corp.
34-85536 Apr. 5, 2019 William B. Fretz, Jr., et al. (Corrected)
34-85530 Apr. 5, 2019 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
34-85528 Apr. 5, 2019 Apex Fund Services (US), Inc.
34-85525 Apr. 5, 2019 Tai-Cheng Yang
34-85524 Apr. 5, 2019 Alonzo R. Cahoon
Other Release No.: IA-5218
34-85518 Apr. 5, 2019 KLJ & Associates, LLP, Kent L. Jensen, CPA and Ronald A. Burgmeier, CPA
Other Release No.: AAER-4037
See also: Administrative Summary
34-85516 Apr. 4, 2019 Lisa C. Berry, Esq.
34-85514 Apr. 4, 2019 Joseph Mario Genzone
34-85496 Apr. 3, 2019 Evan R. Kita, CPA
Other Release No.: AAER-4036
33-10626 Apr. 2, 2019 Chad Starkey
34-85483 Apr. 2, 2019 Kevin E. Brooks, CPA
Other Release No.: AAER-4035
34-85478 Apr. 1, 2019 Jennifer F. Wolf, CPA
Other Release No.: AAER-4034
33-10625 Apr. 1, 2019 Omar Zaki
Other Release Nos.: 34-85477, IA-5217, IC-33435
See also: Administrative Summary
33-10624 Apr. 1, 2019 Mutual Coin Fund LLC and Usman Majeed

First Quarter

34-85476 Mar. 29, 2019 Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.), Green Innovations, Ltd. and Red Giant Entertainment, Inc.
IA-5216 Mar. 29, 2019 Gregory M. Bercowy
34-85473 Mar. 29, 2019 Quantek Asset Management, LLC, et al.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-85468 Mar. 29, 2019 Fresenius Medical Care AG & Co. KGaA
Other Release No.: AAER-4033
34-85460 Mar. 29, 2019 Vision Financial Markets LLC
See also: Administrative Summary
34-85445 Mar. 28, 2019 Hua Yang Investment Group, et al.
34-85444 Mar. 28, 2019 Coupon Express, Inc., et al.
33-10623 Mar. 28, 2019 Dennis Gibb and Sweetwater Investments, Inc.
Other Release Nos.: 34-85443, IA-5215, IC-33432
34-85433 Mar. 28, 2019 First Southwest Company, LLC
34-85432 Mar. 27, 2019 Golden Global Corp. and Power Efficiency Corporation
34-85428 Mar. 26, 2019 Mackenzie Taylor Minerals, Inc., et al.
34-85427 Mar. 26, 2019 Hedgebrook, Jayhawk Energy, Inc. and Rubicon Financial, Inc.
34-85421 Mar. 26, 2019 Cibolan Gold Corporation
34-85416 Mar. 26, 2019 Gamzio Mobile, Inc.
34-85424 Mar. 26, 2019 Jason A. Wallace
34-85418 Mar. 26, 2019 Howard M. Appel, Esq.
34-85415 Mar. 26, 2019 Oscar Francis
Other Release No.: IA-5212
34-85411 Mar. 26, 2019 Tiber Creek Corp. and James M. Cassidy
34-85410 Mar. 25, 2019 Juqun, Inc., Nevada Gold Corp. and Nexus Data Technologies Corporation
34-85409 Mar. 25, 2019 Development Capital Group, Inc., et al.
34-85405 Mar. 25, 2019 Mullan Agritech, Inc. and Reliabrand, Inc.
34-85404 Mar. 25, 2019 Boldface Group, Inc., et al.
IA-5211 Mar. 25, 2019 Neil Maxwell
IA-5210 Mar. 25, 2019 Charles G. Stivers
34-85408 Mar. 25, 2019 Karl R. Dierman
Other Release No.: IA-5209
34-85407 Mar. 25, 2019 Kevin D. Wanner
Other Release No.: IA-5208
34-85403 Mar. 25, 2019 Visium Asset Management, LP
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-85398 Mar. 22, 2019 Judson F. "Rick" Hoover, CPA
Other Release No.: AAER-4031
34-85395 Mar. 22, 2019 Merrill Lynch, Pierce and Fenner & Smith Incorporated
34-85394 Mar. 21, 2019 First Liberty Power Corp., et al.
34-85384 Mar. 21, 2019 Wells Fargo Brokerage Services, LLC, n/k/a Wells Fargo Securities, LLC and Shawn Patrick Mcmurtry
34-85380 Mar. 20, 2019 e.Digital Corp. and Liberty Coal Energy Corp.
34-85378 Mar. 20, 2019 AFN, Inc., et al.
34-85377 Mar. 20, 2019 New York Sub Co.
34-85369 Mar. 20, 2019 Cono Italiano, Inc., Plures Technologies, Inc. and Secured Technology Innovations Corp.
34-85361 Mar. 19, 2019 Inergetics, Inc.
34-85360 Mar. 19, 2019 Tungsten Corp.
34-85359 Mar. 19, 2019 New Media Insight Group, Inc. and Pacific Sands, Inc.
34-85358 Mar. 19, 2019 American Magna Corp., et al.
34-85355 Mar. 19, 2019 Richard G. Cody
Other Release No.: IA-5203
34-85353 Mar. 18, 2019 Cardinal Energy Group, Inc.
34-85340 Mar. 18, 2019 Augustine Capital Management, et al.
See also: Distribution Plan
34-85343 Mar. 18, 2019 Gregg A. Lerman
34-85342 Mar. 18, 2019 Joshua B. Gladtke
34-85341 Mar. 18, 2019 Robert P. DePalo
34-85338 Mar. 15, 2019 Hydrogen Future Corporation, Omega Brands, Inc. and Optionable Inc.
34-85337 Mar. 15, 2019 Stragenics, Inc.
IA-5200 Mar. 15, 2019 Craig Arsenault
34-85330 Mar. 15, 2019 Jared Jeffrey Davis
IA-5202 Mar. 15, 2019 Talimco, LLC
IA-5201 Mar. 15, 2019 Grant Gardner Rogers
Other Release No.: IC-33400
34-85309 Mar. 13, 2019 Wedbush Securities, Inc.
34-85291 Mar. 12, 2019 Lumber Liquidators Holdings, Inc.
33-10614 Mar. 12, 2019 Kiarash (Kia) Jam
Other Release Nos.: 34-85290, IC-33396
See also: Administrative Summary
34-85289 Mar. 11, 2019 Kung Fu Dragon Group Limited
34-85286 Mar. 11, 2019 Guardian 8 Holdings and Idaho North Resources Corporation
34-85285 Mar. 11, 2019 Aquilarts, Inc., et al.
IA-5199 Mar. 11, 2019 Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
IA-5198 Mar. 11, 2019 RBC Capital Markets, LLC
IA-5197 Mar. 11, 2019 Deutsche Bank Securities Inc.
IA-5196 Mar. 11, 2019 Stephens Inc.
IA-5195 Mar. 11, 2019 Select Money Management, Inc.
IA-5194 Mar. 11, 2019 Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors)
IA-5193 Mar. 11, 2019 M Holdings Securities, Inc.
IA-5192 Mar. 11, 2019 First Republic Investment Management, Inc.
IA-5191 Mar. 11, 2019 D.A. Davidson & Co.
IA-5190 Mar. 11, 2019 Trustcore Financial Services, LLC
IA-5189 Mar. 11, 2019 Stifel and Nicolaus & Company, Incorporated
IA-5188 Mar. 11, 2019 Spire Wealth Mangement, LLC
IA-5187 Mar. 11, 2019 Lockwood Advisors, Inc.
IA-5186 Mar. 11, 2019 Kestra Private Wealth Services, LLC
IA-5185 Mar. 11, 2019 Kestra Advisory Services, LLC
IA-5184 Mar. 11, 2019 Janney Montgomery Scott LLC
IA-5183 Mar. 11, 2019 Hazlett and Burt & Watson, Inc.
IA-5182 Mar. 11, 2019 Coastal Investment Advisors, Inc.
IA-5181 Mar. 11, 2019 Syndicated Capital, Inc.
IA-5180 Mar. 11, 2019 Sorrento Pacific Financial, LLC
IA-5179 Mar. 11, 2019 Silversage Advisors
IA-5178 Mar. 11, 2019 Private Portfolio, Inc.
IA-5177 Mar. 11, 2019 PlanMember Securities Corporation
IA-5176 Mar. 11, 2019 CUSO Financial Services, L.P.
IA-5175 Mar. 11, 2019 AXA Advisors, LLC
IA-5174 Mar. 11, 2019 Woodbury Financial Services, Inc.
IA-5173 Mar. 11, 2019 Popular Securities, LLC
IA-5172 Mar. 11, 2019 NBC Securities, Inc.
IA-5171 Mar. 11, 2019 Kovack Advisors, Inc.
IA-5170 Mar. 11, 2019 Calton & Associates, Inc.
IA-5169 Mar. 11, 2019 Benchmark Capital Advisors LLC
IA-5168 Mar. 11, 2019 Summit Financial Group, Inc.
IA-5167 Mar. 11, 2019 Northeast Asset Management, LLC
IA-5166 Mar. 11, 2019 EFG Asset Management (Americas) Corp.
IA-5165 Mar. 11, 2019 BB&T Securities, LLC
IA-5164 Mar. 11, 2019 Provise Management Group, LLC
IA-5163 Mar. 11, 2019 Next Financial Group, Inc.
IA-5162 Mar. 11, 2019 MIAI, Inc.
IA-5161 Mar. 11, 2019 First Kentucky Securities Corporation
IA-5160 Mar. 11, 2019 Bok Financial Securities, Inc.
IA-5159 Mar. 11, 2019 Client One Securities, LLC
IA-5158 Mar. 11, 2019 National Asset Management, Inc.
IA-5157 Mar. 11, 2019 Investment Research Corp
IA-5156 Mar. 11, 2019 First National Capital Markets, Inc.
IA-5155 Mar. 11, 2019 Ameritas Investment Corp.
IA-5154 Mar. 11, 2019 Principal Securities, Inc.
IA-5153 Mar. 11, 2019 Lasalle St. Investment Advisors, L.L.C.
IA-5152 Mar. 11, 2019 L.M. Kohn & Company
IA-5151 Mar. 11, 2019 Benjamin F. Edwards & Co., Inc.
IA-5150 Mar. 11, 2019 Transamerica Financial Advisors, Inc.
IA-5149 Mar. 11, 2019 The Huntington Investment Company
IA-5148 Mar. 11, 2019 Robert W. Baird & Co. Incorporated
IA-5147 Mar. 11, 2019 Questar Asset Management, Inc.
IA-5146 Mar. 11, 2019 J.J.B. Hilliard and W.L. Lyons, LLC
IA-5145 Mar. 11, 2019 Hefren-Tilotson, Inc.
IA-5144 Mar. 11, 2019 Financial Management Strategies, Inc.
IA-5143 Mar. 11, 2019 Comerica Securities, Inc.
IA-5142 Mar. 11, 2019 Cambridge Investment Research Advisors, Inc.
IA-5141 Mar. 11, 2019 Blyth & Associates, Inc.
IA-5140 Mar. 11, 2019 Santander Securities LLC
IA-5139 Mar. 11, 2019 Ryan Financial Advisors, Inc.
IA-5138 Mar. 11, 2019 Park Avenue Securities LLC
IA-5137 Mar. 11, 2019 Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.
IA-5136 Mar. 11, 2019 LPL Financial LLC
IA-5135 Mar. 11, 2019 Investmark Advisory Group LLC
IA-5134 Mar. 11, 2019 Investacorp Advisory Services, Inc.
IA-5133 Mar. 11, 2019 Infinex Investments, Inc.
IA-5132 Mar. 11, 2019 Commonwealth Equity Services, LLC
IA-5131 Mar. 11, 2019 Cantella & Co., Inc.
IA-5130 Mar. 11, 2019 Beacon Investment Management LLC
IA-5129 Mar. 11, 2019 TIAA-CREF Individual & Institutional Services, LLC
IA-5128 Mar. 11, 2019 SSN Advisory, Inc.
IA-5127 Mar. 11, 2019 SA Stone Investment Advisors Inc.
IA-5126 Mar. 11, 2019 Raymond James Financial Services Advisors, Inc.
IA-5125 Mar. 11, 2019 ProEquities, Inc.
IA-5124 Mar. 11, 2019 First Citizens Investor Services, Inc.
IA-5123 Mar. 11, 2019 First Citizens Asset Management, Inc.
34-85280 Mar. 8, 2019 Altovida Inc., et al.
34-85279 Mar. 8, 2019 HydroPhi Technologies Group, Inc., et al.
34-85276 Mar. 8, 2019 Sonora Resources Corp.
34-85275 Mar. 8, 2019 Baltia Air Lines, Inc., et al.
34-85277 Mar. 8, 2019 John Gregory Schmidt
Other Release No.: IA-5122
IA-5121 Mar. 7, 2019 Ascension Asset Management, LLC and Grenville M. Gooder, Jr.
Other Release No.: IC-33391
IA-5120 Mar. 7, 2019 Lewis Dean Mcbride
34-85261 Mar. 6, 2019 Mobile TeleSystems PJSC
Other Release No.: AAER-4028
34-85249 Mar. 5, 2019 BB&T Securities, LLC
Other Release No.: IA-5119
IA-5118 Mar. 5, 2019 Raymond K. Montoya
34-85246 Mar. 4, 2019 William C. Gennity
34-85242 Mar. 1, 2019 Energy Edge Technologies Corp. and Focus Gold Corp. .
34-85241 Mar. 1, 2019 Hampshire Group and Limited .
34-85240 Mar. 1, 2019 Accelerated Acquisition XVII, et al. (Corrected)
34-85239 Mar. 1, 2019 Century Acquisition Corp. and Eastern Acquisition Corp.
34-85232 Mar. 1, 2019 Fifth Street Management, LLC
34-85234 Mar. 1, 2019 Arthur Viola
Other Release No.: AAER-4025
See also: Administrative Summary
34-85233 Mar. 1, 2019 DLL CPAS, LLC and Debra Lee Lindaman, CPA
Other Release No.: AAER-4024
See also: Administrative Summary
33-10610 Mar. 1, 2019 Mark E. Kuchenrither
Other Release No.: 34-85226
See also: Administrative Summary
IA-5117 Feb. 28, 2019 Michael Scronic
34-85217 Feb. 27, 2019 Apptigo International, Inc., XLI Technologies Inc. and Zentric, Inc.
34-85215 Feb. 27, 2019 Stark Naked Bobbers and TOA Holdings, Inc.
34-85204 Feb. 27, 2019 MarilynJean Interactive Inc.
34-85193 Feb. 25, 2019 Paul Katsaros
34-85185 Feb. 25, 2019 Houston American Energy Corp., et al.
34-85174 Feb. 22, 2019 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
34-85175 Feb. 22, 2019 Derik J. Todd, et al.
34-85177 Feb. 22, 2019 Ernest J. Romer, III
34-85173 Feb. 22, 2019 Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich
IA-5115 Feb. 20, 2019 Vishal Savla
33-10608 Feb. 20, 2019 Gladius Network LLC
34-85165 Feb. 19, 2019 Trudy R. Gilmond
34-85161 Feb. 15, 2019 Brian Hirsch
Other Release No.: IA-5114
34-85159 Feb. 15, 2019 Jeffrey M. Mattich
Other Release No.: AAER-4022
34-85149 Feb. 15, 2019 Cognizant Technology Solutions Corporation
Other Release No.: AAER-4021
34-85134 Feb. 14, 2019 Hector A. May
Other Release No.: IA-5112
34-85115 Feb. 13, 2019 Deloitte Touche Tohmatsu LLC, Futomichi Amano and Yuji Itagaki
Other Release No.: AAER-4020
IA-5109 Feb. 11, 2019 Timothy S. Batchelor
34-85092 Feb. 11, 2019 Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
34-85091 Feb. 11, 2019 Gray Financial Group, Inc., et al.
34-85089 Feb. 11, 2019 Pennant Management, Inc.
34-85079 Feb. 8, 2019 Daniel J. Callahan
See also: Administrative Summary
34-85081 Feb. 8, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA
Other Release No.: AAER-4019
34-85077 Feb. 8, 2019 Christopher Eikenberry
34-85076 Feb. 7, 2019 Affirmative Insurance Holdings, Inc., Armada Oil, Inc. and Chuma Holdings, Inc.
34-85075 Feb. 7, 2019 Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.) and Heavy Earth Resources, Inc.
34-85074 Feb. 7, 2019 Ronald W. Nichter
Other Release No.: IA-5108
34-85057 Feb. 5, 2019 Onstream Media Corp.
34-85056 Feb. 5, 2019 Bio-AMD, Inc.
34-85053 Feb. 5, 2019 Frank Dinucci, Jr.
IA-5107 Feb. 4, 2019 Andrew B. Scherr
34-85044 Feb. 4, 2019 GLG Partners, Inc. and GLG Partners, L.P.
IA-5106 Feb. 1, 2019 Kenneth Grace
34-85032 Feb. 1, 2019 Yolanda C. Velazquez
34-85028 Feb. 1, 2019 Vanessa Puleo
34-85027 Feb. 1, 2019 Credit Suisse Securities (USA) LLC (Corrected)
34-85017 Jan. 31, 2019 Canadian Imperial Holdings, Inc. and CIBC World Market Corp.
34-85014 Jan. 31, 2019 John L. Gathright, Jr.
Other Release No.: IA-5105
34-85011 Jan. 31, 2019 Ferne Kornfeld
34-85010 Jan. 31, 2019 Barry M. Kornfeld
34-85009 Jan. 31, 2019 Albert D. Klager
34-85008 Jan. 31, 2019 Jordan E. Goodman
34-85013 Jan. 31, 2019 John Austin Gibson, Jr.
Other Release No.: IA-5104
34-85012 Jan. 31, 2019 Evan Louis Greebel, Esq.
34-85004 Jan. 30, 2019 Robert H. Shapiro
34-85002 Jan. 29, 2019 Biovest International, Inc., et al.
34-84998 Jan. 29, 2019 Digital Turbine, Inc.
Other Release No.: AAER-4018
34-84996 Jan. 29, 2019 Grupo Simec S.A.B. de C.V.
Other Release No.: AAER-4017
34-84995 Jan. 29, 2019 Lifeway Foods, Inc.
Other Release No.: AAER-4016
34-84994 Jan. 29, 2019 CytoDyn Inc.
Other Release No.: AAER-4015
34-84993 Jan. 29, 2019 Perry Douglas West, Esq.
34-84983 Jan. 14, 2019 LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: AAER-4014
See also: Administrative Summary
34-84980 Jan. 9, 2019 Katz, Sapper & Miller, LLP and Scott C. Price, CPA
Other Release Nos.: IA-5100, AAER-4013