Administrative Proceedings

The links below direct you to the individual case pages for litigated administrative proceedings adjudicated by the Commission, including its consideration of appeals from initial decisions issued by administrative law judges or from SRO or PCAOB action. The case pages contain the Commission opinions and orders as well as significant filings in such matters. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

Below is a chronological list of links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, pursuant to delegated authority. The orders and other issuances in litigated administrative proceedings below also may be found on the individual case pages linked on the Open Litigated Administrative Proceedings and Closed Litigated Administrative Proceedings pages, together with filings made in the proceedings. The issuances pertaining to distribution proceedings may also be found in the individual case charts on the Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds page.

E-mail Updates

To sign up for updates, please enter your e-mail address below.

Administrative Proceedings RSS Feed


Date Sort descending	Respondents
Dec. 29, 2005	Huntington Bancshares, Inc.; Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA Release No. 34-53035 See Also: Proposed Distribution Plan File Number: 3-11940
Dec. 29, 2005	Putnam Investment Management LLC Release No. 34-53041 File Number: 3-11868
Dec. 29, 2005	Putnam Investment Management LLC Release No. 34-53042 File Number: 3-11868
Dec. 28, 2005	Air Packaging Technologies, Inc., Apparel Technologies, Inc., Chantal Pharmaceutical Corp., Crown Laboratories, Inc., DBS Industries, Inc., Dental Medical Diagnostic Systems, Inc. and iPrint Technologies, Inc. Release No. 34-53028
Dec. 28, 2005	Schultz Investment Advisors, Inc. and Scott Schultz Release No. 33-8650, 34-53029, IA-2470
Dec. 28, 2005	Philip D. Phillips Release No. 34-53033
Dec. 27, 2005	J.P. Morgan Securities Inc. Release No. 33-8649
Dec. 27, 2005	Bradford C. Bleidt Release No. 34-53023, IA-2468
Dec. 27, 2005	Bear Wagner Specialists LLC, Release No. 34-53025 See Also: Proposed Fair Fund Distribution Plan Comments received are available: https://www.sec.gov/litigation/admin/311445.shtml File Number: 3-11445
Dec. 23, 2005	International Equity Advisors, LLC and Richard Roger Lund Release No. 33-8648, 34-53019, IA-2467, IC-27198
Dec. 22, 2005	Michael S. deVegter Release No. 33-8645, 34-53009, IA-2465, IC-27196
Dec. 22, 2005	Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R. McBride Release No. 33-8646, 34-53011, IA-2466, IC-27197
Dec. 22, 2005	Kenneth R. Lecrone, CPA Release No. 33-8647, 34-53012, AAER-2358
Dec. 22, 2005	Robert Breed Release No. 34-53010 See Also: Order
Dec. 21, 2005	Oretech, Inc. Release No. 34-52988
Dec. 21, 2005	E Trade Systems, Inc. Release No. 34-52996
Dec. 16, 2005	John S. Peffer Release No. 34-52962, IA-2461
Dec. 16, 2005	Martin J. Druffner Release No. 34-52963, IA-2462 See Also: Order
Dec. 16, 2005	Skifter Ajro Release No. 34-52964, IA-2463 See Also: Order File Number: 3-12129
Dec. 16, 2005	Nathan A. Chapman, Jr. Release No. 34-52973, IA-2464
Dec. 15, 2005	Enamelon, Inc., et al.; Semiconductor Laser International Corp. Release No. 34-52956
Dec. 15, 2005	Gilbert Bergsman, CPA, and Lee Levinson, CPA Release No. 34-52959, AAER-2354
Dec. 13, 2005	Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn Release No. 33-8643, 34-52945, IA-2460 See Also: Inc. File Number: 3-11246
Dec. 13, 2005	MicroAge, Inc., Network Computing Devices, Inc., Pacific Systems Control Technology, Inc., Pharmaprint, Inc., Pinnacle Micro, Inc., Sunrise Technologies International, Inc., and Thehealthchannel.com, Inc. Release No. 34-52946
Dec. 12, 2005	Robert J. Dentice Release No. 34-52944
Dec. 12, 2005	Paul D. Rogers Release No. 34-52941 File Number: 3-12122
Dec. 12, 2005	CIBC World Markets Corporation Release No. 34-52942 File Number: 3-12123
Dec. 12, 2005	Peter J. Crowley Release No. 34-52943 File Number: 3-12124
Dec. 9, 2005	MicroAge, Inc., Network Computing Devices, Inc., Pacific Systems Control Technology, Inc., Pharmaprint, Inc., Pinnacle Micro, Inc., Sunrise Technologies International, Inc., and Thehealthchannel.com, Inc. Release No. 34-52933
Dec. 7, 2005	Pilgrim Baxter & Associates, Ltd. Release No. IA-2458, IC-27181 File Number: 3-11524
Dec. 5, 2005	Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet Release No. 34-52884
Dec. 2, 2005	Finantra Capital, Inc., Hayes Corp., Hollywood Trenz, Inc., and Visionamerica, Inc. Release No. 34-52877
Dec. 2, 2005	Joseph T. Boyle, CPA Release No. 34-52878, AAER-2350
Dec. 2, 2005	Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company Release No. 34-52879, IA-2456, IC-27175
Dec. 2, 2005	Gerson Asset Management, Inc. and Seth Gerson Release No. 34-52880, IA-2457, IC-27176
Dec. 1, 2005	American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.) Release No. 33-8638, 34-52862
Dec. 1, 2005	Millennium Partners, L.P. Millennium Management, L.L.C. Millennium International Management, L.L.C. Englander, Israel Feeney, Terence Stone, Fred Pillai, Kovan Release No. 33-8639, 34-52863, IA-2453, IC- 27172 File Number: 3-12116
Dec. 1, 2005	James P. Brown Release No. 34-52864, AAER-2348
Dec. 1, 2005	Peter Goodfellow and Stamatis Molaris Release No. 34-52865
Dec. 1, 2005	Renn Capital Group, Inc. Release No. IA-2454, IC-27174 File Number: 3-12118
Dec. 1, 2005	Maxwell Investments, LLC, Gary J. Maxwell, and Bart D. Coon Release No. 33-8640, 34-52873, IA-2455
Dec. 1, 2005	American Express Financial Corporation (now known as AmeripriseFinancial, Inc.) Release No. IA-2451, IC-27170 File Number: 3-12114
Dec. 1, 2005	American Express Financial Corporation (now known as AmeripriseFinancial, Inc.) Release No. IA-2452, IC-27171 File Number: 3-12114
Dec. 1, 2005	American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.) Release No. 33-8637, 34-52861
Nov. 29, 2005	James A. Franklin, Jr. Release No. 34-52847, IA-2449
Nov. 29, 2005	Joseph W. Daniel Release No. IA-2450 File Number: 3-12113
Nov. 28, 2005	Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company Release No. 34-52839, IA-2448, IC-27167
Nov. 28, 2005	Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman, Vincent Barone, and Bruce Biddick Release No. 34-52841
Nov. 25, 2005	Joseph A. Ferona, Jr. Release No. IA-2447 See Also: the Order in this matter File Number: 3-12109
Nov. 23, 2005	Neil Formisano Release No. 34-52828 See Also: the Order in this matter
Nov. 23, 2005	Steven Mastrosimone Release No. 34-52829 See Also: the Order in this matter
Nov. 23, 2005	Robert Henricks Release No. 34-52833
Nov. 22, 2005	Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman,Vincent Barone, and Bruce Biddick Release No. 34-52819
Nov. 21, 2005	Raymond James Financial Services, Inc. and J. Stephen Putnam Release No. 33-8636, 34-52810 File Number: 3-11692
Nov. 21, 2005	Donald C. Yount, Jr., CPA Release No. 34-52813, AAER-2347
Nov. 18, 2005	American Plastics & Chemicals, Inc., First Scientific, Inc., Migratec, Inc., Tristar Corp., and Vianet Technologies, Inc. Release No. 34-52791
Nov. 18, 2005	John D. Parson, CPA and Brendon P. McDonald, CPA Release No. 34-52792, AAER-2346
Nov. 18, 2005	Neil D. Silver and Robert Kenneth Davis Release No. 34-52793
Nov. 17, 2005	Michael Garbo Release No. 34-52788
Nov. 16, 2005	Enamelon, Inc., Paracelsian, Inc., Semiconductor Laser International Corp., Socrates Technologies Corp., Star Technologies, Inc., Telemonde, Inc., andVDC Communications, Inc. Release No. 34-52778
Nov. 16, 2005	American Machine, Inc., Asia4sale.Com, Inc., Pacific Vision Group, Inc., Preferred Investments, Inc., Deerwood, Inc., Nascent Technology, Inc., Profits Emporium, Inc., Ring Of Fire Marketing, Ltd., Seminar Strategies & Marketing, Inc., Social Engagements International, Inc., Passover Management International, Ltd., Endeavors, Inc., Idoleyez Corporation, Sun Asset Holdings, Inc., Sino Pharmaceuticals Corp., Premium Financial Services & Leasing, Inc., Arcadia Investments Corp., Easy Living Investments, Inc., Vinex Wines, Inc., and Western Financial Corporation Release No. 34-52776
Nov. 14, 2005	American Group, Inc. Release No. 34-52771
Nov. 14, 2005	Danbury Financial, Inc. Release No. 34-52773
Nov. 10, 2005	Enamelon, Inc., Paracelsian, Inc., Semiconductor Laser International Corp., Socrates Technologies Corp., Star Technologies, Inc., Telemonde, Inc., and VDC Communications, Inc. Release No. 34-52759
Nov. 10, 2005	Ralph D. Casbarro Release No. 34-52762
Nov. 10, 2005	Salvatore Censoprano, CPA Release No. 34-52763, AAER-2344
Nov. 8, 2005	Air Packaging Technologies, Inc., Apparel Technologies, Inc., Chantal Pharmaceutical Corp., Crown Laboratories, Inc., DBS Industries, Inc., Dental Medical Diagnostic Systems, Inc., Hybrid Networks, Inc., and iPrint Technologies, Inc., Microage, Inc., Network Computing Devices, Inc., Pacific Systems Control Technology, Inc., Pharmaprint, Inc., Pinnacle Micro, Inc., Sunrise Technologies International, Inc., and thehealthchannel.com, inc. Release No. 34-52751 See Also: Chart , Chart , the Order in this matter , the Order in this matter
Nov. 7, 2005	NexPub, Inc. Release No. 34-52742
Nov. 7, 2005	Van D. Greenfield and Blue River Capital LLC Release No. 34-52744
Nov. 4, 2005	Team Communications Group, Inc. Release No. 34-52737
Nov. 4, 2005	Morgan Stanley DW, Inc. Release No. 33-8634, 34-52735
Nov. 4, 2005	T. Gene Gilman Release No. 34-52734, IA-2446
Nov. 3, 2005	Eric Tyra, CPA Release No. 34-52726, AAER-2343
Nov. 3, 2005	Kraig L. Kibble Release No. 34-52728
Oct. 31, 2005	Advanced Media, Inc., American Film Technologies, Inc., Ameriquest Technologies, Inc., BPI Packaging Technologies Inc., CML Group, Inc., Compositech, Ltd., Dispatch Management Services Corp., and eGlobe, Inc. Release No. 34-52702
Oct. 31, 2005	Bill Laron Stapleton Release No. 34-52703
Oct. 31, 2005	Robert Henricks Release No. 34-52704 See Also: the Order in this matter
Oct. 27, 2005	Advanced Media, Inc., American Film Technologies, Inc., Ameriquest Technologies, Inc., BPI Packaging Technologies Inc., CML Group, Inc., Compositech, Ltd., Dispatch Management Services Corp., and eGlobe, Inc. Release No. 34-52687
Oct. 26, 2005	Charles W. Crouse and Norman R. Hess Release No. 34-52678
Oct. 26, 2005	Edward D. Jones & Co., L.P. Release No. 33-8631
Oct. 26, 2005	Edward D. Jones & Co., L.P. Release No. 33-8632, 34-52677
Oct. 26, 2005	Susana P. Longo Release No. IA-2445 File Number: 3-12028
Oct. 25, 2005	Western United Holding Company Release No. 34-52661
Oct. 25, 2005	Hunter Adams, et al. Release No. 33-8630, 34-52662
Oct. 20, 2005	American Machine, Inc., et al. Release No. 34-52644
Oct. 20, 2005	Axess Media Group, Ltd., and Michael Dale Grandon Release No. 33-8629
Oct. 19, 2005	Frank J. Furino Release No. 34-52636
Oct. 19, 2005	Intercallnet, Inc. Release No. 34-52641 See Also: the Order in this matter
Oct. 18, 2005	Brandmakers, Inc. Release No. 34-52622
Oct. 18, 2005	Instinet, LLC and INET ATS, Inc. Release No. 34-52623
Oct. 18, 2005	Barry Alan Bingham Release No. 34-52626, IA-2444
Oct. 18, 2005	American Machine, Inc., et al. Release No. 34-52627
Oct. 17, 2005	Russ R. Luciano Release No. 34-52616, IA-2443
Oct. 17, 2005	Kermit Silva Release No. 34-52617
Oct. 14, 2005	Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch,Jonathan D. Winston, John J. Gremmo, III, James L. Bila,Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano,Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J. Winston Release No. 33-8625, 34-52608
Oct. 14, 2005	Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila,Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano,Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J. Winston Release No. 33-8626, 34-52609
Oct. 14, 2005	Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila,Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano,Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J. Winston Release No. 33-8627, 34-52610
Oct. 13, 2005	Thomas Hauke, CPA Release No. 34-52597, AAER-2335
Oct. 13, 2005	Transmedia Asia Pacific, Inc. Release No. 34-52599
Oct. 12, 2005	Diagnostic International, Inc. Release No. 34-52584

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in this Section

Administrative Proceedings

E-mail Updates