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Administrative Proceedings

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.

The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions

Second Quarter | First Quarter

Additional Archives

RSS Feed  SEC Administrative Proceedings RSS Feed

Release No. Date Respondents
Second Quarter
IA-4065 Apr. 20, 2015 Blackrock Advisors, LLC and Bartholomew A. Battista
Other Release No.: IC-31558
34-74765 Apr. 20, 2015 Marc Sherman
34-74757 Apr. 17, 2015 Charles Duane Lewis
34-74756 Apr. 17, 2015 Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company
33-9752 Apr. 17, 2015 Joseph John Labadia
Other Release Nos.: 34-74754, IA-4064, IC-31556
33-9751 Apr. 17, 2015 Russell C. Schalk, Jr.
Other Release Nos.: 34-74753, IC-31555
IA-4063 Apr. 16, 2015 Sean C. Cooper
Other Release No.: IC-31554
IA-4062 Apr. 16, 2015 Alliance Capital Management, L.P.
Other Release No.: IC-31553
34-74752 Apr. 16, 2015 R. Scott Peden, Esq.
33-9750 Apr. 16, 2015 Kevin D. Miller
Other Release No.: 34-74751
33-9749 Apr. 16, 2015 Ronald A. Warren
Other Release No.: 34-74750
33-9748 Apr. 16, 2015 William J. Gaffney
Other Release No.: 34-74749
33-9747 Apr. 16, 2015 Edward T. Farmer
Other Release No.: 34-74748
34-74737 Apr. 16, 2015 OCZ Technology Group, Inc. (n/k/a ZCO Liquidating Corp.)
34-74736 Apr. 16, 2015 Discovery Oil, Ltd., et al.
34-74735 Apr. 15, 2015 Robert C. Weaver, Jr., Esq.
34-74731 Apr. 15, 2015 Eric W. Johnson
Other Release No.: IA-4060
34-74722 Apr. 13, 2015 Larry Dearman, Sr.
Other Release No.: IA-4059
34-74721 Apr. 13, 2015 Aryeh Acquisition Corp., et al.
34-74720 Apr. 13, 2015 A Better Way Financial Corp., et al.
34-74711 Apr. 10, 2015 William F. Fang
34-74710 Apr. 10, 2015 Aaron Black
34-74697 Apr. 9, 2015 Craig Danzig
33-9745 Apr. 9, 2015 Michael M. Cohen
Other Release Nos.: 34-74698, AAER-3651
34-74696 Apr. 9, 2015 Molex Incorporated
33-9744 Apr. 9, 2015 AirTouch Communications, Inc., Hideyuki Kanakubo and Jerome Kaiser, CPA
Other Release Nos.: 34-74691, AAER-3650
34-74686 Apr. 8, 2015 Arctos Petroleum Corp., et al.
34-74684 Apr. 8, 2015 AOB Biotech, Inc., et al.
33-9743 Apr. 8, 2015 Robert Gorgia
Other Release No.: 34-74683
34-74674 Apr. 8, 2015 Joseph J. Almazon and Spartan Capital Partners
34-74673 Apr. 8, 2015 FLIR Systems, Inc.
34-74672 Apr. 8, 2015 China Bus Group Co. (f/k/a Alpine Alpha 3, Ltd.) and China Oumei Real Estate, Inc.
34-74667 Apr. 7, 2015 Daniel R. Murphy
Other Release No.: IA-4055
34-74661 Apr. 7, 2015 AuraSound, Inc., et al.
34-74659 Apr. 7, 2015 Chatter Box Call Center Ltd., Euro Group of Companies, Inc. and Golden Century Resources Limited
34-74658 Apr. 7, 2015 China Education International, Inc., Delta Entertainment Group Inc. and Gulf United Energy, Inc.
34-74647 Apr. 6, 2015 Calypte Biomedical Corporation, EC Development, Inc. and Information Architects Corporation (n/k/a Dakota Creative Group Corporation)
34-74646 Apr. 3, 2015 Haider Zafar
34-74630 Apr. 2, 2015 Innovative Software Technologies, Inc., et al.
34-74626 Apr. 1, 2015 Timothy Edwin Scronce
Other Release No.: AAER-3649
34-74625 Apr. 1, 2015 Michael Hedrick
Other Release No.: AAER-3648
34-74624 Apr. 1, 2015 Marc J. Mize
Other Release No.: AAER-3647
34-74621 Apr. 1, 2015 Urban AG Corp.
34-74620 Apr. 1, 2015 Earth Dragon Resources, Inc.
34-74619 Apr. 1, 2015 KBR, Inc.
First Quarter
34-74615 Mar. 31, 2015 Leonard Eric Burd
34-74614 Mar. 31, 2015 G-Trade Services LLC, ConvergEx Global Markets Limited and ConvergEx Execution Solutions LLC
34-74613 Mar. 31, 2015 Polycom, Inc.
Other Release No.: AAER-3645
34-74608 Mar. 30, 2015 Aegis Capital, LLC, et al.
Other Release Nos.: IA-4054, IC-31541
34-74607 Mar. 30, 2015 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
Note: See also Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
34-74606 Mar. 30, 2015 Comprehensive Capital Management, Inc.
IA-4053 Mar. 30, 2015 Lynn Tilton, et al.
Other Release Nos.: IC-31539, AAER-3644
34-74602 Mar. 27, 2015 Joseph Meuse
34-74586 Mar. 26, 2015 Global Fixed Income, LLC, et al.
Other Release No.: IC-31537
34-74585 Mar. 26, 2015 David Boyle
34-74584 Mar. 25, 2015 Winsonic Digital Media Group, Ltd.
34-74582 Mar. 25, 2015 Craig S. Lax
34-74574 Mar. 24, 2015 Bama Biotech, Inc., et al.
34-74573 Mar. 24, 2015 Austin Acquisitions, Inc., et al.
34-74569 Mar. 24, 2015 Jeffory D. Shields
34-74566 Mar. 23, 2015 Charles L. Rizzo and Gina M. Hornbogen
34-74549 Mar. 20, 2015 Longhai Steel Inc.
34-74547 Mar. 20, 2015 First China Pharmaceutical Group, Inc.
34-74545 Mar. 20, 2015 Inova Technology, Inc.
34-74543 Mar. 19, 2015 Matthew O. Madison
34-74542 Mar. 19, 2015 Dwight D. McGhee
34-74539 Mar. 19, 2015 Keypoint Capital Management, LLC
34-74530 Mar. 19, 2015 Agent155 Media Corp., et al.
IA-4050 Mar. 18, 2015 Acamar Global Investments, LLC and Rudolph A. Martin
Other Release No.: IC-31508
34-74527 Mar. 18, 2015 Lek Securities Corp.
34-74522 Mar. 17, 2015 CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc.
33-9738 Mar. 17, 2015 Coral Reef Media, LLC and David E. Flake
Other Release Nos.: 34-74520, IC-31505
34-74517 Mar. 17, 2015 Alternate Energy Solutions, Inc., et al.
34-74516 Mar. 17, 2015 The Appletree Companies, Inc., RoomStore, Inc. and Saveene Group Corp.
34-74515 Mar. 17, 2015 Agent155 Media Corp., et al.
IA-4049 Mar. 16, 2015 Joseph Stilwell and Stilwell Value LLC
Other Release No.: IC-31504
34-74510 Mar. 13, 2015 Robert J. Andres
34-74508 Mar. 13, 2015 VCAP Securities, LLC and Brett Thomas Graham
34-74504 Mar. 13, 2015 William A. Houlihan
34-74503 Mar. 13, 2015 Brian Potiker
34-74502 Mar. 13, 2015 SMP Investments I, LLC
34-74501 Mar. 13, 2015 Jane G. Ciabattoni
34-74500 Mar. 13, 2015 Anthony J. Ciabattoni
34-74499 Mar. 13, 2015 The Ciabattoni Living Trust Dated August 17, 2000
34-74498 Mar. 13, 2015 Berjaya Lottery Management (H.K.) Ltd.
34-74497 Mar. 13, 2015 Shuipan Lin
34-74495 Mar. 12, 2015 Albert J. Scipione
34-74494 Mar. 12, 2015 John Gray
Other Release No.: IA-4047
34-74493 Mar. 12, 2015 Cynthia A. Sabol, CPA
Other Release No.: AAER-3642
33-9737 Mar. 11, 2015 Thomas C. Priore
Other Release Nos.: 34-74480, IA-4045
34-74471 Mar. 11, 2015 Global Leadership Institute, Inc.
IA-4044 Mar. 10, 2015 Edgar R. Page and Pageone Financial Inc.
Other Release No.: IC-31503
34-74469 Mar. 10, 2015 Robert J. Lunn
Other Release No.: IA-4043
34-74461 Mar. 10, 2015 Keith MacDonald Summers
34-74459 Mar. 9, 2015 Accelerated Acquisitions XIV, Inc., et al.
34-74458 Mar. 9, 2015 booktech.com, inc., et al.
33-9736 Mar. 9, 2015 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4041, IC-31500
34-74457 Mar. 6, 2015 Redonda Lawrence Russell
Other Release No.: IA-4040
34-74447 Mar. 5, 2015 Black Sea Metals, Inc., et al.
34-74445 Mar. 5, 2015 Aspire International, Inc., et al.
34-74442 Mar. 4, 2015 Joshua Wayne Lankford
34-74429 Mar. 4, 2015 H.D. Vest Investment Securities, Inc.
34-74427 Mar. 4, 2015 China Infrastructure Investment Corp.
34-74425 Mar. 4, 2015 China Valves Technology, Inc.
34-74424 Mar. 4, 2015 Discovery Oil, Ltd., et al.
33-9735 Mar. 3, 2015 Gary Eugene Patterson, Esq.
Other Release No.: 34-74421
33-9734 Mar. 3, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, and George R. Jarkesy Jr.
Other Release Nos.: 34-74419, IA-4038, IC-31497
IA-4037 Mar. 3, 2015 Keenan R. Hauke
34-74413 Mar. 3, 2015 Thomas Kevin Keough
Other Release No.: IA-4036
34-74401 Mar. 2, 2015 Robert W. Elliot
Other Release No.: AAER-3641
34-74397 Feb. 27, 2015 Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation
33-9733 Feb. 27, 2015 Hajime Sagawa
Other Release Nos.: 34-74395, IC-31489
34-74393 Feb. 27, 2015 China Pharmaceuticals, Inc., et al.
Note: See also Chinese version of this Order
34-74391 Feb. 27, 2015 Agent155 Media Corp., et al.
34-74385 Feb. 26, 2015 Thomas Edward Kent
34-74386 Feb. 26, 2015 Inova Technology, Inc.
34-74379 Feb. 26, 2015 Diane Glatfelter
34-74376 Feb. 25, 2015 William L. Walters
Other Release No.: IA-4035
IA-4034 Feb. 25, 2015 David Scott Cacchione
IA-4032 Feb. 25, 2015 Carolyn C. Howard
34-74375 Feb. 25, 2015 Charles H. Howard, III
Other Release No.: IA-4033
34-74374 Feb. 25, 2015 Dittybase Technologies, Inc.
34-74372 Feb. 25, 2015 Defense Industries International, Inc., EvCarCo, Inc. and Island Breeze International, Inc.
34-74369 Feb. 25, 2015 China Yili Petroleum Company
34-74368 Feb. 25, 2015 Bingo.Com, Inc. and Biocol, Inc.
34-74366 Feb. 25, 2015 Energiz Renewable, Inc., Iron Eagle Group, Inc. and MedClean Technologies, Inc.
34-74365 Feb. 25, 2015 The Billiard Channel, Inc., et al.
33-9732 Feb. 24, 2015 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
Other Release No.: 34-74364
34-74355 Feb. 24, 2015 North East Capital, LLC and Anthony T. Vicidomine
34-74356 Feb. 24, 2015 The Goodyear Tire & Rubber Company
Other Release No.: AAER-3640
34-74350 Feb. 23, 2015 Halpern & Associates LLC and Barbara Halpern, CPA
Other Release No.: AAER-3639
34-74346 Feb. 20, 2015 Juan Jose Alvarez De Lugo Azpurua
33-9729 Feb. 20, 2015 Sandra Dyche
Other Release Nos.: 34-74347, IC-31463
34-74333 Feb. 20, 2015 Blue Moon Investments, et al.
34-74332 Feb. 20, 2015 Biomass Processing Technology, Inc., Biomedtex, Inc. and Carnegie International Corp.
34-74331 Feb. 20, 2015 Akesis Pharmaceuticals, Inc., et al.
34-74329 Feb. 20, 2015 Revonergy Inc., et al.
34-74327 Feb. 20, 2015 Innovative Software Technologies, Inc., et al.
34-74325 Feb. 20, 2015 Calypte Biomedical Corporation, EC Development, Inc. and Information Architects Corporation (n/k/a Dakota Creative Group Corporation)
34-74316 Feb. 19, 2015 Bradley A. Holcom
34-74315 Feb. 19, 2015 Brian Williamson, Esq
IA-4027 Feb. 19, 2015 Logical Wealth Management, Inc. and Daniel J. Gopen
Other Release No.: IC-31460
34-74305 Feb. 19, 2015 VCAP Securities, LLC and Brett Thomas Graham
Other Release Nos.: IA-4026, IC-31459
34-74300 Feb. 19, 2015 Saba Software, Inc.
34-74280 Feb. 17, 2015 Alamosa (Delaware), Inc., et al.
34-74276 Feb. 13, 2015 Joseph A. Caramadre, CPA
Other Release No.: IA-4025
33-9726 Feb. 13, 2015 Shivbir S. Grewal, Esq.
Other Release No.: 34-74275
33-9725 Feb. 13, 2015 Traci J. Anderson, CPA, Timothy W. Carnahan and Cyios Corporation
Other Release Nos.: 34-74273, AAER-3638
34-74266 Feb. 12, 2015 JPMorgan Chase & Co.
Note: See also Plan of Distribution
IC-31455 Feb. 12, 2015 Water Island Capital LLC
34-74262 Feb. 11, 2015 Child, Van Wagoner & Bradshaw, PLLC, et al.
Other Release No.: AAER-3637
34-74261 Feb. 11, 2015 Nicholas Toms
34-74249 Feb. 11, 2015 Charles L. Hill Jr.
34-74248 Feb. 11, 2015 Efstratios "Elias" D. Argyropoulos
34-74243 Feb. 11, 2015 Perfectenergy International Limited
34-74240 Feb. 10, 2015 William Slater, CPA and Peter E. Williams, III
Other Release No.: AAER-3636
34-74235 Feb. 9, 2015 Kevin Morano, CPA
Other Release No.: AAER-3635
34-74234 Feb. 9, 2015 Jeffrey P. Jorissen, CPA
Other Release No.: AAER-3634
34-74233 Feb. 9, 2015 Mark V. Sever, CPA
Other Release No.: AAER-3633
34-74231 Feb. 6, 2015 Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
34-74230 Feb. 6, 2015 Marlin R. Brinsky, CPA
Other Release No.: AAER-3632
34-74229 Feb. 6, 2015 Christopher J. Kelly, ACA
Other Release No.: AAER-3631
34-74228 Feb. 6, 2015 Jordon McCarty
34-74227 Feb. 6, 2015 Lawrence Foster
34-74226 Feb. 6, 2015 Mountain Share Transfer, LLC and Erik Sterling Nelson
IA-4023 Feb. 6, 2015 GLR Advisors, LLC
IA-4022 Feb. 6, 2015 John A. Geringer
34-74217 Feb. 6, 2015 BDO China Dahua CPA Co., Ltd., et al.
Other Release No.: AAER-3627
IA-4021 Feb. 4, 2015 Matthew D. Sample
34-74208 Feb. 4, 2015 Steven Neil, CPA
Other Release No.: AAER-3626
IA-4019 Feb. 4, 2015 Michael R. Drilling
34-74207 Feb. 4, 2015 David R. Wulf
Other Release No.: IA-4020
34-74206 Feb. 4, 2015 Douglas E. Hampton
Other Release No.: IA-4018
IA-4017 Feb. 4, 2015 New Line Capital, LLC and David A. Nagler
IA-4016 Feb. 4, 2015 Brenda L. Ridley
IA-4015 Feb. 4, 2015 Arete Ltd.
IA-4014 Feb. 4, 2015 Wyoming Investment Management Services, LLC and Craig M. Scariot
IA-4013 Feb. 3, 2015 The ELIV Group, LLC and Scott Valente
34-74189 Feb. 3, 2015 QSGI Inc.
34-74188 Feb. 3, 2015 Stirrup Creek Gold Ltd.
34-74185 Feb. 2, 2015 AARX, Inc., et al.
33-9719 Jan. 30, 2015 Airtouch Communications, Inc., Hideyuki Kanakubo and Jerome Kaiser, CPA
Other Release Nos.: 34-74183, AAER-3625
33-9718 Jan. 30, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy
Other Release Nos.: 34-74181, IA-4011, IC-31439
34-74177 Jan. 29, 2015 Laurie Bebo and John Buono, CPA
Other Release No.: AAER-3624
33-9717 Jan. 29, 2015 International Capital Group, LLC, et al.
Other Release Nos.: 34-74172, IC-31437
IA-4009 Jan. 28, 2015 Marsha Bass
34-74163 Jan. 28, 2015 David L. Marion
33-9715 Jan. 28, 2015 Ryan C. King
Other Release Nos.: 34-74162, IC-31434
33-9714 Jan. 28, 2015 First National Community Bancorp Inc. and William Lance
Other Release Nos.: 34-74161, AAER-3622
34-74157 Jan. 28, 2015 Bluesky Filing Corp., et al.
34-74156 Jan. 28, 2015 Brandeis Holdings, Inc., et al.
34-74155 Jan. 28, 2015 8 by 8, Inc., et al.
34-74154 Jan. 27, 2015 Zurich Capital Markets Inc.
33-9711 Jan. 27, 2015 Oppenheimer & Co. Inc.
Other Release Nos.: AAER-3621, 34-74141
34-74140 Jan. 27, 2015 YesDTC Holdings, Inc.
34-74137 Jan. 26, 2015 Stephen Stuart
33-9709 Jan. 23, 2015 Spectrum Concepts, LLC, et al.
Other Release No.: 34-74123
34-74124 Jan. 23, 2015 Glen Allan Galemmo
Other Release No.: IA-4006
34-74123 Jan. 23, 2015 Spectrum Concepts, LLC, et al.
34-74122 Jan. 23, 2015 Stuart E. Rawitt
34-74121 Jan. 23, 2015 Michael T. Lombardo, Jr.
33-9708 Jan. 23, 2015 David B. Havanich, Jr., et al.
Other Release Nos.: 34-74120, IA-4005
34-74119 Jan. 22, 2015 Spring Hill Capital Markets, LLC, et al.
Other Release No.: IC-31426
34-74112 Jan. 22, 2015 Walid Hatoum
Other Release No.: AAER-3620
34-74108 Jan. 21, 2015 Robert A. Ramsey, CPA
IA-4004 Jan. 21, 2015 du Pasquier & Co., Inc.
34-74103 Jan. 21, 2015 Standard & Poor's Ratings Services
33-9706 Jan. 21, 2015 Barbara Duka
Other Release Nos.: 34-74105, IC-31425
33-9705 Jan. 21, 2015 Standard & Poor's Ratings Services
Other Release No.: 34-74104
33-9704 Jan. 21, 2015 Standard & Poor's Ratings Services
Other Release No.: 34-74102
34-74090 Jan. 20, 2015 Forum National Investments, Ltd.
IA-4000 Jan. 16, 2015 Consulting Services Group, LLC
34-74089 Jan. 16, 2015 Edgar Lee Giovannetti
Other Release Nos.: IA-3999, IC-31421
34-74081 Jan. 16, 2015 Steven Durrelle Williams
34-74080 Jan. 16, 2015 Alfred P. Reeves, III
34-74079 Jan. 16, 2015 Waddell & Reed, Inc., et al.
34-74071 Jan. 15, 2015 PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC
34-74070 Jan. 15, 2015 Bill C. (Billy) Crafton, Jr.
Other Release No.: IA-3998
33-9702 Jan. 15, 2015 Wayne Middleton
Other Release No.: 34-74069
33-9701 Jan. 15, 2015 Charles Irizarry
Other Release No.: 34-74068
33-9700 Jan. 15, 2015 Stuart Carnie
Other Release No.: 34-74066
33-9699 Jan. 15, 2015 John Briner, et al.
Other Release No.: 34-74065
33-9697 Jan. 15, 2015 UBS Securities LLC
Other Release No.: 34-74060
34-74056 Jan. 15, 2015 All-American Care Centers, Inc., FDH, Inc., and USN Communications, Inc. (n/k/a CTBB Holdings, Inc.)
34-74048 Jan. 14, 2015 4301, Inc., et al.
34-74047 Jan. 14, 2015 VHGI Holdings, Inc.
IA-3996 Jan. 13, 2015 Brent F. Williams
IA-3995 Jan. 13, 2015 Guy Andrew Williams
IA-3994 Jan. 13, 2015 Duane Hamblin Slade
IA-3993 Jan. 13, 2015 Shelton Financial Group, Inc. and Jeffrey Shelton
Other Release No.: 34-74044
34-74039 Jan. 13, 2015 James T. Crane, CPA
Other Release No.: AAER-3619
34-74037 Jan. 13, 2015 Global Stevia Corp.
34-74032 Jan. 12, 2015 EDGA Exchange, Inc. and EDGX Exchange, Inc.
34-74019 Jan. 9, 2015 Accredited Business Consolidators Corp., et al.
34-74014 Jan. 8, 2015 Michael S. Steinberg
34-74013 Jan. 8, 2015 Bitech Pharma, Inc., et al.
34-74005 Jan. 6, 2015 Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

 

http://www.sec.gov/litigation/admin.shtml


Modified: 04/20/2015