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Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
Additional Archives
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SEC Administrative Proceedings RSS Feed
| Release No. |
Date |
Respondents |
| Fourth Quarter |
|
34-71207 |
Dec. 30, 2013 |
Peter B. Madoff, Esq.
|
|
34-71191 |
Dec. 26, 2013 |
Instinet, LLC
Other Release No.: IA-3748
|
|
34-71185 |
Dec. 24, 2013 |
Kevin Brennan, CPA
Other Release No.: AAER-3523
|
|
IA-3747 |
Dec. 24, 2013 |
Jim Poe and Associates, Inc. and James Emory Poe
|
|
33-9501 |
Dec. 23, 2013 |
West Coast Asset Management, Inc. and Lance W. Helfert
Other Release No.: IA-3746
|
|
34-71174 |
Dec. 23, 2013 |
Clinton Ronald Greenman, CPA
Other Release No.: AAER-3522
|
|
34-71170 |
Dec. 20, 2013 |
Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim |
|
33-9500 |
Dec. 20, 2013 |
Multri-Precision, LLC
|
|
34-71161 |
Dec. 20, 2013 |
Thomas D. Melvin, CPA
Other Release No.: AAER-3521
|
|
34-71154 |
Dec. 20, 2013 |
John Kinross-Kennedy, CPA
Other Release No.: AAER-3520
|
|
34-71151 |
Dec. 20, 2013 |
CompuSonics Video Corporation
|
|
34-71136 |
Dec. 19, 2013 |
Bank of Florida Corp., et al.
|
|
34-71135 |
Dec. 19, 2013 |
China Dongfang Healthcare Group, Inc., et al.
|
|
34-71128 |
Dec. 18, 2013 |
G-Trade Services LLC, Convergex Global Markets Limited, and Convergex Execution Solutions LLC
Other Release No.: IA-3744
|
|
34-71127 |
Dec. 18, 2013 |
Thomas Lekargeren
Other Release No.: IC-30839
|
|
34-71126 |
Dec. 18, 2013 |
Jonathan Samuel Daspin
Other Release No.: IC-30838
|
|
34-71119 |
Dec. 18, 2013 |
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
Note: See also
Proposed Plan of Distribution
|
|
34-71118 |
Dec. 18, 2013 |
Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, Mark W. Wells
|
|
34-71117 |
Dec. 18, 2013 |
James Vincent Poti, CPA
Other Release No.: AAER-3519
|
|
34-71115 |
Dec. 18, 2013 |
The Enlightened Gourmet, Inc., et al.
|
|
34-71113 |
Dec. 18, 2013 |
Golden Elephant Glass Technology, Inc., and Pacific Alliance Corp.
|
|
34-71112 |
Dec. 18, 2013 |
Home Systems Group
|
|
34-71111 |
Dec. 18, 2013 |
Patch International, Inc., et al.
|
|
34-71110 |
Dec. 18, 2013 |
A.G. Volney Center (f/k/a Buddha Steel, Inc.), et al.
|
|
34-71109 |
Dec. 17, 2013 |
Ronald Gene Anglin
Other Release No.: IA-3741
|
|
IA-3740 |
Dec. 17, 2013 |
Frank Dappah
|
|
34-71097 |
Dec. 17, 2013 |
Alex Halimi
Other Release No.: IC-30834
|
|
33-9495 |
Dec. 13, 2013 |
Craig Berkman, d/b/a Ventures Trust LLC, et al.
Other Release Nos.: 34-71075, IA-3739, IC-30831
|
|
34-71072 |
Dec. 13, 2013 |
Heritage Worldwide, Inc., et al.
|
|
34-71070 |
Dec. 12, 2013 |
Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA
Other Release Nos.: IA-3738, AAER-3518
|
|
34-71069 |
Dec. 12, 2013 |
Mark M. Wayne
Other Release Nos.: IA-3737, IC-30829
|
|
34-71065 |
Dec. 12, 2013 |
Darlene A. Bishop
|
|
IA-3735 |
Dec. 12, 2013 |
Joseph G. Parish III and Scott H. Shannon
Other Release No.: IC-30828
|
|
33-9493 |
Dec. 12, 2013 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Other Release No.: 34-71051
|
|
34-71050 |
Dec. 12, 2013 |
GLG Partners, Inc. and GLG Partners, L.P.
Other Release No.: AAER-3516
|
|
34-71049 |
Dec. 11, 2013 |
A.L. Waters Capital, LLC
|
|
34-71043 |
Dec. 11, 2013 |
Matthew K. Lazar
Other Release No.: IA-3734
|
|
34-71031 |
Dec. 11, 2013 |
Craig Toll, CPA,
Other Release No.: AAER-3515
|
|
34-71026 |
Dec. 9, 2013 |
AcuNetx, Inc.
|
|
34-71012 |
Dec. 6, 2013 |
Michael Anthony Gonzalez
|
|
34-70989 |
Dec. 5, 2013 |
John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, et al.
Other Release Nos.: IA-3732, IC-30818
|
|
34-70987 |
Dec. 5, 2013 |
ICC Worldwide, Inc., et al.
|
|
33-9490 |
Dec. 4, 2013 |
Fifth Third Bancorp and Daniel Poston
Other Release Nos.: 34-70983, AAER-3514
|
|
34-70980 |
Dec. 4, 2013 |
Nicholas J. Polito, Jr.
Other Release No.: IA-3731 |
|
34-70975 |
Dec. 4, 2013 |
Catch by Gene, Inc., et al.
|
|
34-70973 |
Dec. 4, 2013 |
Community Alliance, Inc., et al.
|
|
IA-3730 |
Dec. 3, 2013 |
Corey Ribotsky
|
|
34-70965 |
Dec. 3, 2013 |
Charles L. Rizzo and Gina M. Hornbogen
Other Release No.: 34-70573
Note: See also
Proposed Distribution Plan |
|
IA-3729 |
Dec. 2, 2013 |
Charles J. Dushek, and Charles S. Dushek, |
|
33-9488 |
Nov. 27, 2013 |
Marie L. Huber And
Jess E. Jones
Other Release Nos.: IA-3728, IC-30814
|
|
34-70959 |
Nov. 27, 2013 |
Daniel Imperato
|
|
IA-3725 |
Nov. 26, 2013 |
Ambassador Capital Management, LLC and Derek H. Oglesby
Other Release No.: IC-30809
|
|
IA-3727 |
Nov. 26, 2013 |
Tri-Star Advisors, Inc., William T. Payne, and Jon C. Vaughan
|
|
34-70944 |
Nov. 26, 2013 |
Parallax Investments, LLC, John P. Bott, II, and F. Robert Falkenberg
Other Release Nos.: IA-3726, IC-30810
|
|
IA-3723 |
Nov. 25, 2013 |
Paul Anthony Mozicato
|
|
34-70939 |
Nov. 25, 2013 |
John B. Guyette
|
|
34-70938 |
Nov. 25, 2013 |
John R. Graves
Other Release No.: IA-3724
|
|
33-9485 |
Nov. 25, 2013 |
Curt Kramer, Mazuma Corporation, Mazuma Funding Corporation, and Mazuma Holding Corporation
|
|
33-9484 |
Nov. 25, 2013 |
Daniel Bogar, Bernerd E. Young, and Jason T. Green
Other Release Nos.: 34-70934, IA-3722, IC-30805
|
|
34-70931 |
Nov. 22, 2013 |
Byrnee K. Baylor, Esq.
|
|
34-70921 |
Nov. 22, 2013 |
Southern USA Resources, Inc.
|
|
34-70920 |
Nov. 22, 2013 |
Carbiz, Inc., et al.
|
|
33-9482 |
Nov. 22, 2013 |
Joseph P. Doxey and William J. Daniels
Other Release No.: 34-70923 |
|
33-9481 |
Nov. 20, 2013 |
Larry C. Grossman
and Gregory J. Adams
Other Release Nos.: 34-70908, IA-3720, IC-30802
|
|
33-9480 |
Nov. 20, 2013 |
Gregg C. Lorenzo, et al.
Other Release No.: 34-70904
|
|
IA-3719 |
Nov. 19, 2013 |
Agamas Capital Management, LP,
|
|
34-70896 |
Nov. 19, 2013 |
Houseraising, Inc., et al.
|
|
IA-3718 |
Nov. 15, 2013 |
Carlene B. Veara
|
|
34-70870 |
Nov. 14, 2013 |
Acunetx, Inc., Alliance Pharmaceutical Corp., BBV Vietnam S.E.A. Acquisition Corp., Cash Technologies, Inc., Conspiracy Entertainment Holdings, Inc., Dematco, Inc., and Interactive Systems Worldwide, Inc.
|
|
34-70867 |
Nov. 13, 2013 |
Jonathan C. Gilchrist
|
|
33-9477 |
Nov. 13, 2013 |
Julieann Palmer Martin
Other Release Nos.: 34-70868, IC-30783
|
|
IA-3714 |
Nov. 7, 2013 |
Prestige Capital Advisors, LLC |
|
IA-3713 |
Nov. 7, 2013 |
Victoria A. Hunt |
|
34-70825 |
Nov. 6, 2013 |
Invesco Funds Group, Inc.
|
|
34-70823 |
Nov. 6, 2013 |
Sherb & Co., LLP, et al.
Other Release No.: AAER-3512
|
|
IA-3712 |
Nov. 6, 2013 |
Anthony J. Klatch, II
|
|
34-70815 |
Nov. 5, 2013 |
Steven Markowitz
|
|
34-70814 |
Nov. 5, 2013 |
Joseph Sorbara
|
|
34-70813 |
Nov. 5, 2013 |
Charles M. Raspa
|
|
IA-3710 |
Nov. 5, 2013 |
Resources Planning Group, Inc.
|
|
33-9472 |
Nov. 5, 2013 |
Piper Jaffray & Co. and Jane Towery
Other Release No.: 34-70804
|
|
33-9471 |
Nov. 5, 2013 |
The Greater Wenatchee Regional Events Center Public Facilities District, et al.
|
|
IA-3709 |
Nov. 1, 2013 |
John Hagener
|
|
34-70796 |
Nov. 1, 2013 |
AcuNetx, Inc., et al.
|
|
34-70790 |
Oct. 31, 2013 |
Robert Grabowski
|
|
34-70786 |
Oct. 31, 2013 |
Jeremy S. Fisher
|
|
34-70785 |
Oct. 31, 2013 |
Acies Corporation, et al.
|
|
34-70783 |
Oct. 31, 2013 |
Heritage Worldwide, Inc., et al.
|
|
34-70780 |
Oct. 30, 2013 |
JPMorgan Chase & Co.
|
|
34-70779 |
Oct. 30, 2013 |
Terry Paul Ogden
|
|
34-70778 |
Oct. 30, 2013 |
Wayne Reed Ogden
|
|
34-70777 |
Oct. 30, 2013 |
Fry Hensley and Company and Nicholas L. Fry, II
Other Release Nos.: IA-3708; IC-30772
|
|
34-70770 |
Oct. 29, 2013 |
Scott Tierney
|
|
34-70768 |
Oct. 29, 2013 |
Joseph M. Mancuso
|
|
34-70767 |
Oct. 29, 2013 |
Ronald Baldwin, Jr. CPA
Other Release No.: AAER-3511
|
|
34-70759 |
Oct. 28, 2013 |
Further Lane Asset Management, LLC, et al.
Other Release Nos.: IA-3707, IC-30767
|
|
IA-3706 |
Oct. 28, 2013 |
GW & Wade, LLC
|
|
IA-3705 |
Oct. 28, 2013 |
Knelman Asset Management Group, LLC and Irving P. Knelman
Other Release No.: IC-30766
|
|
34-70751 |
Oct. 24, 2013 |
Stryker Corporation
|
|
34-70750 |
Oct. 24, 2013 |
Skyview Holdings Corp., et al.
|
|
34-70749 |
Oct. 23, 2013 |
Huakang Zhou (a/k/a David Zhou), et al.
|
|
IA-3702 |
Oct. 23, 2013 |
Modern Portfolio Management, Inc., G. Thomas Damasco Ii, and Bryan F. Ohm
|
|
34-70743 |
Oct. 23, 2013 |
Equitas Capital Advisors, LLC, et al.
Other Release No.: IA-3704
|
|
34-70742 |
Oct. 23, 2013 |
Stephen Derby Gisclair
Other Release No.: IA-3703
|
|
34-70740 |
Oct. 22, 2013 |
Ox Trading, LLC, et al.
Other Release No.: IC-30753
|
|
34-70739 |
Oct. 22, 2013 |
Ox Trading, LLC, et al.
|
|
34-70737 |
Oct. 22, 2013 |
Aleksey P. Koval a/k/a Alexei P. Koval
Other Release No.: IA-3701
|
|
34-70729 |
Oct. 22, 2013 |
China Ritar Power Corp.
|
|
IA-3699 |
Oct. 21, 2013 |
Todd Newman
|
|
IA-3698 |
Oct. 21, 2013 |
Anthony Chiasson
|
|
IA-3697 |
Oct. 21, 2013 |
Stephen E. Gagnon
|
|
34-70727 |
Oct. 21, 2013 |
Peter C. Orthos
|
|
34-70724 |
Oct. 21, 2013 |
High End Ventures, Inc.
|
|
34-70722 |
Oct. 21, 2013 |
Newtech Resources Ltd.
|
|
34-70716 |
Oct. 18, 2013 |
James A. Philbrook
|
|
33-9468 |
Oct. 18, 2013 |
Daniel J. Gallagher
Other Release No.: 34-70712
|
|
33-9467 |
Oct. 18, 2013 |
Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-3696, IC-30746
|
|
34-70710 |
Oct. 18, 2013 |
AcuNetx, Inc., et al.
|
|
IA-3695 |
Oct. 17, 2013 |
Edwin V. Gaw
|
|
IA-3694 |
Oct. 17, 2013 |
Gignesh Movalia
|
|
34-70700 |
Oct. 17, 2013 |
American Energy Production, Inc., et al.
|
|
34-70699 |
Oct. 17, 2013 |
Anhui Taiyang Poultry Co., Inc., a/k/a The Parkview Group, Inc., et al.
|
|
IA-3692 |
Oct. 16, 2013 |
Michael J. Fulcher
|
|
34-70695 |
Oct. 16, 2013 |
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
|
|
34-70694 |
Oct. 16, 2013 |
Knight Capital Americas LLC
|
|
34-70690 |
Oct. 16, 2013 |
Bonanza One, Inc., et al.
|
|
34-70686 |
Oct. 15, 2013 |
John Micciola
|
|
34-70680 |
Oct. 11, 2013 |
Thomas S. Mulholland
|
|
34-70679 |
Oct. 11, 2013 |
James C. Mulholland, Jr.
|
|
34-70678 |
Oct. 11, 2013 |
Jonathan Fraiman
Other Release No.: IA-3691
|
|
IA-3690 |
Oct. 11, 2013 |
Burton Douglas Morriss
|
|
34-70661 |
Oct. 11, 2013 |
Crescent Moon, Inc., et al.
|
|
34-70660 |
Oct. 11, 2013 |
Anasazi Capital Corp., et al.
|
|
34-70659 |
Oct. 10, 2013 |
Mark S. Cupo (CPA)
Other Release No.: AAER-3507
|
|
34-70658 |
Oct. 10, 2013 |
John Lazorchak (CPA)
Other Release No.: AAER-3506
|
|
34-70656 |
Oct. 10, 2013 |
Mark Gasarch
|
|
34-70651 |
Oct. 9, 2013 |
Stuart M. Rubens
|
|
34-70650 |
Oct. 9, 2013 |
Shawn H. Moore
|
|
34-70649 |
Oct. 9, 2013 |
Peter D. Kirschner
|
|
34-70648 |
Oct. 9, 2013 |
Morgan Stanley & Co. Incorporated
|
|
34-70646 |
Oct. 9, 2013 |
Corbin Jones
|
|
34-70645 |
Oct. 9, 2013 |
Robert Petrozzo
|
|
34-70642 |
Oct. 9, 2013 |
Timothy J. Geidel
Other Release No.: IA-3689
|
|
34-70641 |
Oct. 9, 2013 |
Martin E. Weisberg
|
|
34-70640 |
Oct. 9, 2013 |
Mark Steven Berg
|
|
34-70635 |
Oct. 9, 2013 |
Anasazi Capital Corp., et al.
|
|
34-70634 |
Oct. 9, 2013 |
HydroGen Corp., et al.
|
|
IA-3688 |
Oct. 8, 2013 |
Richard Lee
|
|
34-70633 |
Oct. 8, 2013 |
Arn Wilson
|
|
34-70622 |
Oct. 8, 2013 |
American Energy Production, Inc., et al.
|
|
34-70616 |
Oct. 7, 2013 |
Municipal Mortgage & Equity LLC, et al.
|
|
34-70615 |
Oct. 4, 2013 |
JPMorgan Chase & Co.
|
|
34-70610 |
Oct. 4, 2013 |
China Ritar Power Corp.
|
|
34-70604 |
Oct. 3, 2013 |
Anasazi Capital Corp., et al.
|
|
33-9462 |
Oct. 2, 2013 |
Manarin Investment Counsel, Ltd., et al.
Other Release Nos.: 34-70595, IA-3686, IC-30740
|
|
34-70602 |
Oct. 2, 2013 |
Jing Xie
Other Release No.: AAER-3505
|
|
34-70594 |
Oct. 2, 2013 |
GBS Com-Tech Corp., et al.
|
|
IA-3684 |
Oct. 1, 2013 |
Brewer Investment Advisor, LLC (Corrected) |
|
34-70592 |
Oct. 1, 2013 |
Philip Mark Cain
Other Release No.: IA-3685 |
|
34-70591 |
Oct. 1, 2013 |
GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran
Other Release Nos.: 34-68869, 34-68774, 33-9315
|
|
34-70587 |
Oct. 1, 2013 |
Altus Pharmaceuticals, Inc., et al.
|
|
34-70586 |
Oct. 1, 2013 |
Big Bear Mining Corp., et al.
|
|
34-70585 |
Oct. 1, 2013 |
K’s Media
|
|
34-70584 |
Oct. 1, 2013 |
G-Cats Acquisition Corp., et al.
|
|
34-70583 |
Oct. 1, 2013 |
Big Bear Mining Corp., et al.
|
|
34-70582 |
Oct. 1, 2013 |
Axcess International, Inc., et al.
|
| Third Quarter |
|
34-70581 |
Sep. 30, 2013 |
James L. Brandolino
|
|
34-70580 |
Sep. 30, 2013 |
China Ruitai International Holdings Co., LTD. |
|
34-70579 |
Sep. 30, 2013 |
China Ruitai International Holdings Co., Ltd., et al.
Other Release No.: AAER-3504
|
|
34-70573 |
Sep. 30, 2013 |
Charles L. Rizzo and Gina M. Hornbogen
Note: See also
Proposed Distribution Plan
Comments received
are available
for this notice.
|
|
34-70577 |
Sep. 30, 2013 |
Craig Shapiro
|
|
34-70576 |
Sep. 30, 2013 |
Steven Scarcella
|
|
33-9461 |
Sep. 30, 2013 |
Robert Patrick Stephens
Other Release No.: 34-70578
|
|
33-9460 |
Sep. 30, 2013 |
Adam Troy Dooly
|
|
34-70572 |
Sep. 30, 2013 |
Geoffrey H. Lunn
|
|
34-70571 |
Sep. 30, 2013 |
Lawrence Maxwell McCoy
Other Release No.: IA-3683
|
|
34-70567 |
Sep. 30, 2013 |
Wilfred W. Hanson, CPA
Other Release No.: AAER-3503
|
|
34-70566 |
Sep. 30, 2013 |
John Kinross-Kennedy, CPA
Other Release No.: AAER-3502
|
|
34-70564 |
Sep. 30, 2013 |
Malcolm L. Pollard, CPA and Malcolm L. Pollard, Inc.
Other Release No.: AAER-3501
|
|
34-70563 |
Sep. 30, 2013 |
Massimo L. Martinucci
|
|
34-70562 |
Sep. 30, 2013 |
Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA
Other Release No.: AAER-3500
|
|
34-70561 |
Sep. 30, 2013 |
Michael McGrath, CPA
Other Release No.: AAER-3499
|
|
34-70557 |
Sep. 30, 2013 |
John W. Jacobsen, CPA
Other Release No.: AAER-3498
|
|
34-70556 |
Sep. 30, 2013 |
Brian D. Fox
|
|
34-70553 |
Sep. 30, 2013 |
Rick D. Snow, CPA
Other Release No.: AAER-3497
|
|
34-70551 |
Sep. 30, 2013 |
Municipal Mortgage & Equity LLC, et al.
|
|
34-70550 |
Sep. 30, 2013 |
Colorado 2001B Limited Partnership, et al.
|
|
34-70549 |
Sep. 27, 2013 |
Scott London, CPA
Other Release No.: AAER-3496
|
|
33-9459 |
Sep. 27, 2013 |
Commonwealth Income & Growth Fund, Inc. and Kimberly
Springsteen-Abbott
Other Release No.: 34-70547
|
|
34-70537 |
Sep. 27, 2013 |
Axcess International, Inc., et al.
|
|
34-70536 |
Sep. 27, 2013 |
Universal Travel Group
|
|
34-70534 |
Sep. 26, 2013 |
Alan Ferraro
|
|
34-70533 |
Sep. 26, 2013 |
George B. Franz III and Ruby Corporation
Other Release Nos.: IA-3682, IC-30736
|
|
34-70527 |
Sep. 26, 2013 |
Brian G. Elrod
Other Release No.: IA-3681
|
|
34-70526 |
Sep. 26, 2013 |
Nova Dean Pack, Esq.
|
|
34-70507 |
Sep. 26, 2013 |
Colorado 2001B Limited Partnership, et al.
|
|
34-70506 |
Sep. 26, 2013 |
Camelot Entertainment Group, Inc., et al.
|
|
IA-3680 |
Sep. 25, 2013 |
Yusaf Jawed
|
|
34-70494 |
Sep. 25, 2013 |
Left Behind Games, Inc.
|
|
34-70493 |
Sep. 25, 2013 |
Axius, Inc.
|
|
34-70492 |
Sep. 24, 2013 |
Owen Mark Williams, CPA
Other Release No.: AAER-3491
|
|
34-70490 |
Sep. 24, 2013 |
Philip David Horn
Other Release No.: IA-3679
|
|
IA-3678 |
Sep. 24, 2013 |
Timbervest, LLC, et al.
Other Release No.: IC-30697
|
|
33-9455 |
Sep. 24, 2013 |
Diego F. Hernandez, et al.
Other Release Nos.: 34-70485, IA-3677, IC-30696
|
|
34-70481 |
Sep. 24, 2013 |
AcuNetx, Inc., et al.
|
|
34-70479 |
Sep. 24, 2013 |
Redfin Network, Inc.
|
|
34-70475 |
Sep. 23, 2013 |
Bonanza One, Inc.,
China Century Dragon Media, Inc.,
Farrallon, Inc.,
Ora Electronics, Inc.,
Tia I, Inc., and
Tia II, Inc.,
|
|
34-70474 |
Sep. 23, 2013 |
Skyview Holdings Corp., Stonecrest One, Inc., Sunstates Corp., Tetragenex Pharmaceuticals, Inc., Tia III, Inc. (n/k/a PTL Energy, Inc.), Tia IV, Inc., Ultimate Indoor Football League, Inc., and United States Oil and Gas Corp.
|
|
34-70471 |
Sep. 23, 2013 |
James R. Lanier
Other Release No.: IA-3673
|
|
33-9454 |
Sep. 23, 2013 |
Donald J. Anthony, Jr., Frank H. Chiappone, Richard D. Feldmann, William P. Gamello, Andrew G. Guzzetti, William F. Lex, Thomas E. Livingston, Brian T. Mayer, Philip S. Rabinovich, and Ryan C. Rogers
Other Release Nos.: 34-70473, IA-3674, IC-30694
|
|
33-9453 |
Sep. 23, 2013 |
TD Bank, N.A.
|
|
34-70469 |
Sep. 23, 2013 |
Advantage Technologies, Inc., et al.
|
|
34-70466 |
Sep. 20, 2013 |
David Blech
|
|
34-70461 |
Sep. 20, 2013 |
China Lithium Technologies, Inc., and China Wi-Max Communications, Inc.
|
|
IA-3672 |
Sep. 19, 2013 |
Stephen C. Bond
|
|
34-70458 |
Sep. 19, 2013 |
JPMorgan Chase & Co.
Other Release No.: AAER-3490
|
|
34-70456 |
Sep. 19, 2013 |
Home System Group
|
|
34-70455 |
Sep. 19, 2013 |
American Asset Development, Inc., et al.
|
|
34-70453 |
Sep. 19, 2013 |
Altus Pharmaceuticals, Inc., et al.
|
|
34-70452 |
Sep. 19, 2013 |
John Moraitis
|
|
34-70450 |
Sep. 18, 2013 |
Brendan N. Connors, CPA
Other Release No.: AAER-3489
|
|
34-70449 |
Sep. 18, 2013 |
Marc G. Nochimson, CPA
Other Release No.: AAER-3488
|
|
34-70448 |
Sep. 18, 2013 |
Medifast, Inc.
Other Release No.: AAER-3487
|
|
34-70447 |
Sep. 18, 2013 |
Edmund E. Wilson
|
|
IA-3671 |
Sep. 18, 2013 |
Shadron L. Stastney
Other Release No.: IC-30689
|
|
34-70438 |
Sep. 18, 2013 |
Patch International, Inc., et al.
|
|
34-70436 |
Sep. 18, 2013 |
Municipal Mortgage & Equity LLC, et al.
|
|
34-70434 |
Sep. 18, 2013 |
A.G. Volney Center, Inc. (f/k/a Buddha Steel, Inc.), et al.
|
|
34-70433 |
Sep. 18, 2013 |
American Energy Production, Inc., et al.
|
|
34-70431 |
Sep. 18, 2013 |
AIMS Worldwide, Inc., et al.
|
|
34-70422 |
Sep. 17, 2013 |
GBS Com-Tech Corp., et al.
|
|
34-70415 |
Sep. 16, 2013 |
JGP Global Gestão de Recursos Ltda.
|
|
34-70414 |
Sep. 16, 2013 |
G-2 Trading LLC
|
|
34-70413 |
Sep. 16, 2013 |
Western Standard, LLC
|
|
34-70412 |
Sep. 16, 2013 |
Philadelphia Financial Management of San Francisco, LLC
|
|
34-70411 |
Sep. 16, 2013 |
War Chest Capital Partners LLC
|
|
34-70410 |
Sep. 16, 2013 |
PEAK6 Capital Management LLC
|
|
34-70409 |
Sep. 16, 2013 |
Pan Capital AB
|
|
34-70408 |
Sep. 16, 2013 |
Vollero Beach Capital Partners LLC
|
|
34-70407 |
Sep. 16, 2013 |
Ontario Teachers’ Pension Plan Board
|
|
34-70406 |
Sep. 16, 2013 |
Talkot Capital LLC
|
|
34-70405 |
Sep. 16, 2013 |
Merus Capital Partners, LLC
|
|
34-70404 |
Sep. 16, 2013 |
Southpoint Capital Advisors LP
|
|
34-70403 |
Sep. 16, 2013 |
Soundpost Partners, LP
|
|
34-70402 |
Sep. 16, 2013 |
Meru Capital Group, LP
|
|
34-70401 |
Sep. 16, 2013 |
Manikay Partners LLC
|
|
34-70400 |
Sep. 16, 2013 |
M.S. Junior, Inc., et al.
|
|
34-70399 |
Sep. 16, 2013 |
Hudson Bay Capital Management LP
|
|
34-70398 |
Sep. 16, 2013 |
Deerfield Management Company, L.P.
|
|
34-70397 |
Sep. 16, 2013 |
Polo Capital International Gestão de Recursos Ltda.
|
|
34-70396 |
Sep. 16, 2013 |
D. E. Shaw & Co., L.P.
|
|
34-70394 |
Sep. 16, 2013 |
Credentia Group, LLC
|
|
34-70393 |
Sep. 16, 2013 |
Claritas Investment, Ltd.
|
|
34-70392 |
Sep. 16, 2013 |
Blackthorn Investment Group, LLC
|
|
34-70391 |
Sep. 16, 2013 |
China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc.
|
|
34-70390 |
Sep. 13, 2013 |
Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), et al.
|
|
33-9450 |
Sep. 13, 2013 |
Public Health Trust of Miami-Dade County, Florida
|
|
34-70388 |
Sep. 13, 2013 |
Sarkauskas and Associates, Inc. and James M. Sarkauskas
Other Release Nos.: IA-3669, IC-30687
|
|
34-70387 |
Sep. 13, 2013 |
iVoice, Inc., et al.
|
|
IA-3668 |
Sep. 12, 2013 |
Benjamin Daniel DeHaan
|
|
34-70380 |
Sep. 12, 2013 |
Avani International Group, Inc., et al.
|
|
34-70379 |
Sep. 12, 2013 |
Altus Pharmaceuticals, Inc., et al.
|
|
34-70378 |
Sep. 12, 2013 |
Soil Biogenics Ltd.
|
|
34-70376 |
Sep. 12, 2013 |
Axcess International, Inc., et al.
|
|
34-70374 |
Sep. 12, 2013 |
Carbiz, Inc., et al.
|
|
34-70368 |
Sep. 11, 2013 |
Eric T. Burns
Other Release No.: IA-3667
|
|
34-70367 |
Sep. 10, 2013 |
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
|
|
34-70365 |
Sep. 10, 2013 |
Colorado 2001B Limited Partnership, Fusion Golf Shafts, Inc., and
Graphics Technologies, Inc.
|
|
34-70359 |
Sep. 10, 2013 |
Laura A. Roser
|
|
34-70355 |
Sep. 10, 2013 |
Big Bear Mining Corp., et al.
|
|
34-70353 |
Sep. 10, 2013 |
HydroGen Corp., et al.
|
|
34-70351 |
Sep. 10, 2013 |
Exmocare, Inc. (n/k/a Second Solar, Inc.), et al.
|
|
34-70344 |
Sep. 6, 2013 |
John A. Picini
|
|
34-70343 |
Sep. 6, 2013 |
Victor Manuel Rivera, Jr.
Other Release No.: IA-3666
|
|
34-70341 |
Sep. 6, 2013 |
Timothy M. McGinn and David L. Smith
Other Release No.: IA-3665
|
|
34-70340 |
Sep. 6, 2013 |
David G. Bartholomew
|
|
34-70338 |
Sep. 6, 2013 |
Ralph A. Saviano
Other Release No.: IA-3664
|
|
34-70337 |
Sep. 6, 2013 |
Lawrence D. Polizzotto
|
|
34-70333 |
Sep. 6, 2013 |
North China Horticulture, Inc.
|
|
34-70332 |
Sep. 5, 2013 |
Spencer C. Barasch
|
|
34-70331 |
Sep. 5, 2013 |
Axius, Inc.
|
|
34-70330 |
Sep. 5, 2013 |
Anthony John Johnson
Other Release No.: IA-3663
|
|
34-70329 |
Sep. 5, 2013 |
Craig Kugel
Other Release No.: IA-3662
|
|
IA-3660 |
Sep. 5, 2013 |
Ronald Yee
|
|
34-70326 |
Sep. 5, 2013 |
Gaming World International, Ltd., et al.
|
|
34-70325 |
Sep. 5, 2013 |
CNC Development, Ltd., et al.
|
|
34-70323 |
Sep. 5, 2013 |
China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.)
|
|
34-70321 |
Sep. 5, 2013 |
Anhui Taiyang Poultry Co., Inc. a/k/a The Parkview Group, Inc., et al.
|
|
34-70319 |
Sep. 4, 2013 |
Ricardo Bonilla Rojas
|
|
34-70310 |
Sep. 4, 2013 |
K's Media
|
|
34-70308 |
Sep. 4, 2013 |
China Lithium Technologies, Inc. and
China Wi-Max Communications, Inc.
|
|
34-70306 |
Sep. 4, 2013 |
Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.)
|
|
34-70304 |
Sep. 3, 2013 |
Crescent Moon, Inc., et al.
|
|
34-70300 |
Sep. 3, 2013 |
Gary A. Collyard
|
|
34-70297 |
Aug. 30, 2013 |
GEI Financial Services, Inc., et al.
Other Release No.: IA-3659
|
|
33-9446 |
Aug. 30, 2013 |
J.S. Oliver Capital Management, L.P., et al.
Other Release Nos.: 34-70292, IA-3658, IC-30682
|
|
34-70280 |
Aug. 28, 2013 |
Joshua Constantin and Brian Solomon
|
|
IA-3657 |
Aug. 28, 2013 |
Hausmann-Alain Banet
|
|
34-70275 |
Aug. 28, 2013 |
First Georgia Community Corp., et al.
|
|
34-70267 |
Aug. 27, 2013 |
Alan Smith
|
|
34-70266 |
Aug. 27, 2013 |
Kiavanni Pringle
|
|
34-70265 |
Aug. 27, 2013 |
Bertram A. Hill
|
|
34-70262 |
Aug. 27, 2013 |
Geo Petroleum, Inc., et al.
|
|
34-70261 |
Aug. 27, 2013 |
Hesed Technology Co., Ltd., et al.
|
|
IA-3656 |
Aug. 27, 2013 |
William Landberg
|
|
IA-3655 |
Aug. 27, 2013 |
Carl D. Johns
Other Release No.: IC-30675
|
|
34-70254 |
Aug. 26, 2013 |
Anasazi Capital Corp., et al.
|
|
34-70252 |
Aug. 23, 2013 |
Darlene A. Bishop
|
|
IA-3654 |
Aug. 21, 2013 |
David B. Welliver
|
|
34-70244 |
Aug. 21, 2013 |
Oppenheimerfunds, Inc., and Oppenheimerfunds Distributor, Inc.
|
|
34-70243 |
Aug. 21, 2013 |
Robert A. Gist, Esq.
|
|
34-70240 |
Aug. 21, 2013 |
Advantage Technologies, Inc., et al.
|
|
34-70239 |
Aug. 21, 2013 |
Chariot Advisors, LLC and Elliott L. Shifman
Other Release Nos.: IA-3653, IC-30655
|
|
34-70238 |
Aug. 20, 2013 |
G-Cats Acquisition Corp., GalaGen, Inc., Galena Acquisition Corp., and Garment Graphics, Inc.
|
|
33-9443 |
Aug. 20, 2013 |
Brian Williamson
Other Release Nos.: 34-70234, IA-3652, IC-30652
|
|
34-70233 |
Aug. 20, 2013 |
First Georgia Community Corp., et al.
|
|
34-70226 |
Aug. 19, 2013 |
American Technologies Group, Inc., et al.
|
|
34-70222 |
Aug. 16, 2013 |
Morgan Asset Management, Inc., Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA
See also:
Modified Plan of Distribution |
|
34-70221 |
Aug. 16, 2013 |
Marcellous S. McZeal
|
|
34-70219 |
Aug. 16, 2013 |
Jonathan S. Bristol, Esq.
|
|
33-9442 |
Aug. 16, 2013 |
North East Capital, LLC
and Anthony T. Vicidomine
Other Release Nos.: 34-70223, IA-3651, IC-30651
|
|
34-70215 |
Aug. 15, 2013 |
Adam G. Erickson
Other Release No.: IA-3650
|
|
34-70214 |
Aug. 15, 2013 |
Chicago Stock Exchange, Inc.
|
|
IA-3649 |
Aug. 15, 2013 |
Karl Motey
|
|
34-70208 |
Aug. 15, 2013 |
Freedom Financial, Inc., et al.
|
|
34-70205 |
Aug. 15, 2013 |
Edward T. Stein
Other Release No.: IA-3648 |
|
34-70203 |
Aug. 15, 2013 |
Redfin Network, Inc.
|
|
34-70202 |
Aug. 15, 2013 |
Convergence Ethanol, Inc.
|
|
34-70188 |
Aug. 14, 2013 |
Laura Ann Tordy
|
|
34-70187 |
Aug. 14, 2013 |
Martin C. Hartmann III
|
|
34-70185 |
Aug. 14, 2013 |
AIMS Worldwide, Inc., et al.
|
|
34-70183 |
Aug. 14, 2013 |
Altus Pharmaceuticals, Inc., et al.
|
|
34-70181 |
Aug. 14, 2013 |
Soil Biogenics Ltd.
|
|
34-70179 |
Aug. 14, 2013 |
iVoice, Inc., et al.
|
|
34-70177 |
Aug. 14, 2013 |
CNC Development, Ltd., et al.
|
|
34-70172 |
Aug. 13, 2013 |
L.T. Lawrence & Co., Inc., et al.
|
|
34-70171 |
Aug. 13, 2013 |
Ark Asset Management Co., Inc.
|
|
34-70167 |
Aug. 13, 2013 |
Martin A. Pool
|
|
33-9440 |
Aug. 13, 2013 |
Richard D. Hicks
Other Release Nos.: 34-70165, IA-3647
|
|
34-70164 |
Aug. 12, 2013 |
Gaming World International, Ltd., et al.
|
|
34-70161 |
Aug. 12, 2013 |
Richard P. Sandru
Other Release Nos.: IA-3646, IC-30649
|
|
34-70157 |
Aug. 12, 2013 |
American Wenshen Steel Group, Inc., Case Financial, Inc., Global ePoint, Inc., and iMedia International, Inc.
|
|
34-70156 |
Aug. 12, 2013 |
Camelot Entertainment Group, Inc., Cavico Corp., Global 8 Environmental Technologies, Inc., GTC Telecom Corp., ICF Corporation, and New NRG, Inc.
|
|
34-70154 |
Aug. 9, 2013 |
Pacific Northwestern Energy, LLC
|
|
34-70153 |
Aug. 9, 2013 |
New Horizon Publishing Inc.
|
|
34-70152 |
Aug. 9, 2013 |
Joseph Hilton, a/k/a Joseph Yurkin
|
|
34-70151 |
Aug. 9, 2013 |
Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company
|
|
34-70133 |
Aug. 8, 2013 |
Camelot Entertainment Group, Inc., et al.
|
|
34-70128 |
Aug. 7, 2013 |
Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.), et al.
|
|
34-70127 |
Aug. 6, 2013 |
GBS Com-Tech Corp., et al.
|
|
34-70126 |
Aug. 6, 2013 |
Thomas Gary Cooper
Other Release Nos.: IA-3645, IC-30642
|
|
34-70125 |
Aug. 6, 2013 |
Joel I. Wilson
Other Release No.: IA-3644
|
|
33-9438 |
Aug. 6, 2013 |
UBS Securities LLC
Other Release Nos.: 34-70121, IA-3643
See also:
Waiver, Release No. 33-9439
|
|
IA-3642 |
Aug. 5, 2013 |
Benjamin Daniel Dehaan
|
|
34-70105 |
Aug. 2, 2013 |
Ronald Musich
Other Release No.: IA-3641
|
|
34-70094 |
Aug. 2, 2013 |
Convergence Ethanol, Inc.
|
|
34-70088 |
Jul. 31, 2013 |
Steven M. Ray
|
|
34-70082 |
Jul. 31, 2013 |
Banc of America Capital Management, LLC, et al.
|
|
33-9437 |
Jul. 31, 2013 |
ABN AMRO Bank, N.V.
Other Release Nos.: 34-70086, IA-3639
|
|
34-70089 |
Jul. 31, 2013 |
A.R. Schmeidler & Co., Inc.
See also:
Waiver, Release No. 33-9436 |
|
34-70083 |
Jul. 31, 2013 |
Goelzer Investment Management, Inc. and Gregory W. Goelzer
Other Release No.: IA-3638
|
|
34-70081 |
Jul. 31, 2013 |
Commonwealth Bankshares, Inc.
|
|
34-70080 |
Jul. 31, 2013 |
Heartland, Inc.
|
|
34-70079 |
Jul. 31, 2013 |
American Vantage Companies
|
|
34-70078 |
Jul. 31, 2013 |
The Great Train Store Co., et al.
|
|
34-70077 |
Jul. 31, 2013 |
Bloggerwave, Inc., et al.
|
|
IA-3640 |
Jul. 31, 2013 |
Chauncey C. Mayfield and MayfieldGentry Realty Advisors, LLC
|
|
34-70074 |
Jul. 30, 2013 |
Subramanian Krishnan (CPA)
(Corrected)
Other Release No.: AAER-3473 |
|
34-70058 |
Jul. 29, 2013 |
Ronald S. Rollins
Other Release Nos.: IA-3635, IC-30633
|
|
IA-3636 |
Jul. 29, 2013 |
Comprehensive Capital Management, Inc.
|
|
33-9435 |
Jul. 29, 2013 |
West Clark Community Schools
Other Release No.: IC-70057
|
|
33-9434 |
Jul. 29, 2013 |
City Securities Corporation and Randy G. Ruhl
Other Release Nos.: 34-70056, IC-30632
|
|
34-70054 |
Jul. 29, 2013 |
Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc.
|
|
34-70043 |
Jul. 26, 2013 |
Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim
|
|
34-70042 |
Jul. 26, 2013 |
Duoyuan Printing, Inc.
|
|
34-70035 |
Jul. 25, 2013 |
GDT Tek, Inc., et al.
|
|
34-70034 |
Jul. 24, 2013 |
Stewart A. Merkin, Esq.
|
|
34-70033 |
Jul. 24, 2013 |
Green Solutions China, Inc., et al.
|
|
34-70032 |
Jul. 24, 2013 |
iTrackr Systems, Inc.
|
|
34-70031 |
Jul. 23, 2013 |
Virginia K. Sourlis, Esq.
|
|
34-70030 |
Jul. 23, 2013 |
Geo Petroleum, Inc., Global Diamond Resources, Inc., Globalsoft Acquisition Group, Inc., and Globus Wireless, Ltd.
|
|
34-70022 |
Jul. 23, 2013 |
Camelot Entertainment Group, Inc., et al.
|
|
34-70020 |
Jul. 23, 2013 |
American Wenshen Steel Group, Inc., et al.
|
|
34-70019 |
Jul. 23, 2013 |
Securities Transfer, Inc.
|
|
34-70018 |
Jul. 23, 2013 |
Southern Scottish Inns, Inc.
|
|
34-70017 |
Jul. 22, 2013 |
China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc.
|
|
34-70016 |
Jul. 22, 2013 |
Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA
|
|
34-70015 |
Jul. 22, 2013 |
Centaur Management Co. LLC
See also:
Distribution Plan
Other Release No.: 34-69604
|
|
34-70013 |
Jul. 22, 2013 |
Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), et al.
|
|
34-70012 |
Jul. 22, 2013 |
Advanced ID Corp., et al.
|
|
IA-3634 |
Jul. 19, 2013 |
Steven A. Cohen (Corrected)
|
|
IA-3633 |
Jul. 19, 2013 |
John Hagener
|
|
IA-3632 |
Jul. 18, 2013 |
Brion G. Randall
|
|
34-70003 |
Jul. 18, 2013 |
Strong Capital Management, Inc.
|
|
IA-3630 |
Jul. 18, 2013 |
Jon Harvey Deal
|
|
34-70002 |
Jul. 18, 2013 |
American Technologies Group, Inc., Bonanza Oil & Gas, Inc., and Gulf Coast Oil & Gas, Inc.
|
|
34-70000 |
Jul. 18, 2013 |
First Georgia Community Corp., FLO Corp., Florida Community Banks, Inc., In Touch Media Group, Inc., and NHS Health Solutions, Inc.
|
|
34-69998 |
Jul. 17, 2013 |
Vincent G. Curry
|
|
34-69995 |
Jul. 16, 2013 |
Joseph I. Emas
See also:
Rel. No. 34-61386
|
|
34-69986 |
Jul. 15, 2013 |
The Great Train Store Co., et al.
|
|
34-69984 |
Jul. 12, 2013 |
Steven J. Brewer
Other Release No.: IA-3629
|
|
34-69978 |
Jul. 12, 2013 |
Greate Bay Hotel & Casino, Inc., et al.
|
|
34-69973 |
Jul. 11, 2013 |
Enrica Cotellessa-Pitz
Other Release No.: IA-3627
|
|
34-69971 |
Jul. 11, 2013 |
Eric Lipkin
Other Release No.: IA-3626
|
|
34-69969 |
Jul. 11, 2013 |
David Kugel
Other Release No.: IA-3625
|
|
34-69950 |
Jul. 9, 2013 |
Joseph J. Hennessy
Other Release No.: IA-3623
|
|
34-69949 |
Jul. 9, 2013 |
Matthew M. Taylor
Other Release No.: IA-3622
|
|
34-69946 |
Jul. 9, 2013 |
Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.), et al.
|
|
34-69945 |
Jul. 8, 2013 |
Aichun Li, CPA
Other Release No.: AAER-3472
|
|
34-69943 |
Jul. 8, 2013 |
Greate Bay Hotel & Casino, Inc., et al.
|
|
34-69942 |
Jul. 8, 2013 |
China Properties Developments, Inc.
|
|
34-69937 |
Jul. 3, 2013 |
Terry V. Koontz
|
|
34-69924 |
Jul. 3, 2013 |
Jiangbo Pharmaceuticals, Inc.
|
|
34-69917 |
Jul. 2, 2013 |
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
|
|
34-69906 |
Jul. 2, 2013 |
GDT Tek, Inc., et al.
|
|
34-69905 |
Jul. 2, 2013 |
SinoHub, Inc.
|
|
34-69896 |
Jul. 1, 2013 |
Jennifer E. Thoennes
|
|
34-69895 |
Jul. 1, 2013 |
Fuqi International, Inc.
|
| Second Quarter |
|
IA-3620 |
Jun. 28, 2013 |
Brion G. Randall
|
|
34-69886 |
Jun. 28, 2013 |
Brian D. Fox
Other Release No.: AAER-3469
|
|
34-69879 |
Jun. 27, 2013 |
Jerry L. Burdick, CPA
Other Release No.: 34-58441
|
|
34-69873 |
Jun. 27, 2013 |
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
Other Release Nos.: 34-69418, 34-69138, 34-67363, 33-9329, 34-67142, IA-3417, IC-30099
|
|
34-69865 |
Jun. 27, 2013 |
Benda Pharmaceutical, Inc. and China Shuangji Cement Ltd.
|
|
34-69860 |
Jun. 26, 2013 |
Bruce W. Tomlinson, CPA
Other Release No.: AAER-3465
|
|
34-69840 |
Jun. 25, 2013 |
CoreCare Systems, Inc., et al.
|
|
34-69839 |
Jun. 24, 2013 |
Green Solutions China, Inc., et al.
|
|
34-69833 |
Jun. 24, 2013 |
Enercorp, Inc., FTS Group, Inc., Games, Inc. (n/k/a InQBate Corporation), Hartmarx Corporation (n/k/a XMH Corp. 1), and Penn Treaty American Corporation
|
|
34-69832 |
Jun. 21, 2013 |
Michael J. Stewart
|
|
34-69816 |
Jun. 21, 2013 |
Jason A. D’Amato
Other Release Nos.: IA-3618, IC-30565
|
|
34-69815 |
Jun. 21, 2013 |
The Hartcourt Companies, Inc., et al.
|
|
34-69808 |
Jun. 20, 2013 |
Dennis Ashley Bukantis
|
|
34-69804 |
Jun. 20, 2013 |
Sunrise Solar Corporation
|
|
34-69797 |
Jun. 19, 2013 |
Greenstart, Inc., et al.
|
|
34-69796 |
Jun. 19, 2013 |
China Environmental Protection, Inc.
|
|
34-69795 |
Jun. 19, 2013 |
Jupiter Enterprises, Inc.
|
|
34-69783 |
Jun. 18, 2013 |
Gerald "Jerry" D. Kegley
|
|
34-69781 |
Jun. 18, 2013 |
Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), et al.
|
|
34-69780 |
Jun. 18, 2013 |
iTrackr Systems, Inc.
|
|
34-69778 |
Jun. 18, 2013 |
Bloggerwave, Inc., et al.
|
|
34-69770 |
Jun. 17, 2013 |
Avani International Group, Inc., Birch Mountain Resources Ltd., Capital Reserve Canada Ltd., Dynasty Gaming, Inc. (n/k/a Blue Zen Memorial Parks, Inc.), IXI Mobile, Inc., Laureate Resources & Steel Industries, Inc., Millennium Energy Corp., Shannon International, Inc. and Welwind Energy International Corporation
|
|
34-69769 |
Jun. 17, 2013 |
Lunar Growth Corp.
|
|
34-69765 |
Jun. 14, 2013 |
Rosenberg Rich Baker Berman & Company and Brian Zucker, CPA
Other Release No.: AAER-3464
|
|
IC-30557 |
Jun. 13, 2013 |
J. Kenneth Alderman, CPA, et al.
|
|
34-69759 |
Jun. 13, 2013 |
Emanuel Goffer
|
|
34-69750 |
Jun. 13, 2013 |
Revlon, Inc.
|
|
34-69746 |
Jun. 12, 2013 |
David M. Tamman, Esq.
|
|
34-69738 |
Jun. 12, 2013 |
Greatmat Technology Corp., et al.
|
|
34-69730 |
Jun. 11, 2013 |
The Great Train Store Co., et al.
|
|
34-69729 |
Jun. 11, 2013 |
Robert A. Gist
|
|
34-69726 |
Jun. 11, 2013 |
Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated
|
|
34-69728 |
Jun. 11, 2013 |
Griffin Mining, Ltd., et al.
|
|
34-69727 |
Jun. 11, 2013 |
Bloggerwave, Inc., et al.
|
|
34-69720 |
Jun. 7, 2013 |
Paul Randall Fraley
|
|
34-69714 |
Jun. 7, 2013 |
Bloggerwave, Inc., et al.
|
|
34-69713 |
Jun. 7, 2013 |
Enercorp, Inc., et al.
|
|
34-69705 |
Jun. 6, 2013 |
Griffin Mining, Ltd., et al.
|
|
34-69704 |
Jun. 6, 2013 |
Greate Bay Hotel & Casino, Inc., et al.
|
|
34-69698 |
Jun. 5, 2013 |
Griffin Mining, Ltd., et al.
|
|
34-69697 |
Jun. 5, 2013 |
Actavision Ventures, Inc., et al.
|
|
34-69689 |
Jun. 4, 2013 |
Biopharm Asia, Inc.
|
|
34-69688 |
Jun. 3, 2013 |
Thomas Rubin
|
|
34-69687 |
Jun. 3, 2013 |
Christopher Scott
|
|
34-69680 |
Jun. 3, 2013 |
UBS O’Connor, LLC
Other Release No.: IA-3615
|
|
34-69679 |
Jun. 3, 2013 |
Guilin Paper, Inc.
|
|
IA-3614 |
May 31, 2013 |
Ming Siu
|
|
33-9407 |
May 30, 2013 |
Scuderi Group, Inc. and Salvatore Scuderi
|
|
33-9406 |
May 30, 2013 |
Lewis J. Hunter
Other Release No.: 34-69668
|
|
34-69667 |
May 30, 2013 |
John A. Grant
|
|
34-69665 |
May 30, 2013 |
CoreCare Systems, Inc., et al.
|
|
34-69664 |
May 30, 2013 |
CoreCare Systems, Inc., et al.
|
|
34-69663 |
May 30, 2013 |
China Organic Agriculture, Inc.
|
|
34-69662 |
May 30, 2013 |
Lanbo Financial Group, Inc.
|
|
34-69660 |
May 30, 2013 |
Advanced ID Corp., et al.
|
|
IA-3613 |
May 30, 2013 |
John A. Grant
|
|
34-69656 |
May 29, 2013 |
Greenstart, Inc., et al.
|
|
34-69655 |
May 29, 2013 |
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC
|
|
34-69654 |
May 29, 2013 |
Total, S.A.
Other Release No.: AAER-3461
|
|
34-69652 |
May 29, 2013 |
Integrity Bancshares, Inc.
|
|
34-69650 |
May 29, 2013 |
Jupiter Enterprises, Inc.
|
|
34-69648 |
May 29, 2013 |
China Properties Developments, Inc.
|
|
34-69646 |
May 29, 2013 |
China Environmental Protection, Inc.
|
|
34-69645 |
May 28, 2013 |
Stormy L. Dean
Other Release No.: AAER-3460
|
|
34-69644 |
May 28, 2013 |
Rajnish K. Das
Other Release No.: AAER-3459
|
|
34-69640 |
May 24, 2013 |
Deer Hill Financial Group, LLC
|
|
34-69637 |
May 24, 2013 |
Larry Michael Parrish
Other Release No.: IA-3612
|
|
34-69630 |
May 23, 2013 |
Joseph Hilton a/k/a Joseph Yurkin
Other Release No.: 34-69592
|
|
34-69627 |
May 23, 2013 |
Neil M.M. Morrison
Other Release No.: IC-30540
|
|
34-69623 |
May 23, 2013 |
Joshua Constantin and Brian Solomon
|
|
IA-3611 |
May 23, 2013 |
Institutional Shareholder Services Inc.
|
|
34-69626 |
May 23, 2013 |
Greatmat Technology Corp., et al.
|
|
IA-3610 |
May 22, 2013 |
George Elia
|
|
33-9404 |
May 22, 2013 |
City of South Miami, Florida
|
|
34-69624 |
May 22, 2013 |
Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt
|
|
34-69621 |
May 22, 2013 |
Patrick Merrill Brody
|
|
34-69619 |
May 22, 2013 |
CoreCare Systems, Inc., et al.
|
|
34-69618 |
May 22, 2013 |
Bloggerwave, Inc., et al.
|
|
34-69616 |
May 22, 2013 |
NewTech Brake Corp.
|
|
34-69604 |
May 17, 2013 |
Centaur Management Co. LLC
See also:
Proposed Plan of Distribution
|
|
34-69601 |
May 17, 2013 |
Noonan Capital Management, LLC and Timothy George Noonan
Other Release Nos.: IA-3609, IC-30525
|
|
34-69592 |
May 16, 2013 |
Joseph Hilton a/k/a Joseph Yurkin
Other Release No.: 34-69630
|
|
34-69600 |
May 16, 2013 |
Alexander Rekeda; Xavier Capdepon and Gwen Snorteland; and Delaware Asset Advisers and Wei (Alex) Wei
|
|
IA-3608 |
May 15, 2013 |
Wesley W. Wang |
|
34-69582 |
May 15, 2013 |
Griffin Mining, Ltd., et al.
|
|
34-69580 |
May 15, 2013 |
Benda Pharmaceutical, Inc. and China Shuangji Cement Ltd.
|
|
34-69578 |
May 15, 2013 |
Avani International Group, Inc., et al.
|
|
34-69567 |
May 14, 2013 |
Ewan 1, Inc., n/k/a AccessKey IP, Inc.
|
|
IA-3607 |
May 9, 2013 |
Sandeep Goyal
|
|
IA-3606 |
May 9, 2013 |
Jesse Tortora
|
|
IA-3605 |
May 9, 2013 |
Jon Horvath
|
|
IA-3604 |
May 9, 2013 |
Spyridon Adondakis
|
|
34-69542 |
May 9, 2013 |
The Estate Vault, Inc.
|
|
34-69533 |
May 8, 2013 |
CoreCare Systems, Inc., et al.
|
|
34-69531 |
May 8, 2013 |
Enercorp, Inc., et al.
|
|
34-69529 |
May 7, 2013 |
Frank Bluestein
Other Release No.: IA-3603
|
|
34-69526 |
May 7, 2013 |
UC Hub Group, Inc.
|
|
33-9402 |
May 7, 2013 |
Ziad K. Abdelnour
Other Release No.: IC-30508
|
|
34-69515 |
May 6, 2013 |
The City of Harrisburg, Pennsylvania
|
|
34-69514 |
May 6, 2013 |
Matthew C. Devlin
Other Release No.: IA-3602
|
|
33-9401 |
May 3, 2013 |
Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group
Other Release Nos.: 34-69506, IA-3601, IC-30505
|
|
IA-3600 |
May 3, 2013 |
Putnam Investment Management, LLC
Other Release No.: IC-30504
|
|
IA-3599 |
May 3, 2013 |
Russell K. Cannon
|
|
IC-30502 |
May 2, 2013 |
Northern Lights Compliance Services, LLC, et al.
|
|
34-69493 |
May 2, 2013 |
Advance Nanotech, Inc., et al.
|
|
34-69492 |
May 1, 2013 |
Irwin Lipkin
Other Release No.: IA-3598
|
|
34-69486 |
May 1, 2013 |
Vincent G. Curry
|
|
34-69485 |
May 1, 2013 |
Kenneth E. Mahaffy, Jr.
|
|
34-69484 |
May 1, 2013 |
Ricardo Bonilla Rojas
|
|
34-69483 |
May 1, 2013 |
Marc Duda
Other Release No.: IA-3597
|
|
34-69472 |
Apr. 30, 2013 |
Joseph Contorinis
Other Release No.: IA-3596
|
|
34-69476 |
Apr. 30, 2013 |
Advance Nanotech, Inc., et al.
|
|
34-69475 |
Apr. 30, 2013 |
Indigo Aviation AB, et al.
|
|
34-69474 |
Apr. 30, 2013 |
Allonline.com, Inc., et al.
|
|
34-69473 |
Apr. 30, 2013 |
Advance Nanotech, Inc., et al.
|
|
34-69469 |
Apr. 26, 2013 |
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson
|
|
34-69466 |
Apr. 26, 2013 |
Richard Bruce Moore
|
|
34-69463 |
Apr. 25, 2013 |
SinoHub, Inc.
|
|
34-69462 |
Apr. 25, 2013 |
Timothy R. Redpath
Other Release No.: IA-3595
|
|
34-69461 |
Apr. 25, 2013 |
Michael W. Bozora
Other Release No.: IA-3594
|
|
34-69460 |
Apr. 25, 2013 |
David Miller
|
|
34-69459 |
Apr. 25, 2013 |
Actavision Ventures, Inc., American Resources Group, Inc., Audioscience, Inc., Basset Enterprises, Inc., Cybertex Enterprises, Inc. (n/k/a Synvion Corp.), and Duct Utility Construction & Technologies, Inc.
|
|
34-69447 |
Apr. 25, 2013 |
Enercorp, Inc., et al.
|
|
IA-3592 |
Apr. 24, 2013 |
Tara Bryson
|
|
34-69442 |
Apr. 24, 2013 |
Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa
Other Release No.: AAER-3456
|
|
34-69437 |
Apr. 23, 2013 |
Waddell & Reed, Inc., et al.
See also:
Proposed Plan of Distribution
|
|
34-69432 |
Apr. 23, 2013 |
Anthony Pianelli
|
|
34-69431 |
Apr. 23, 2013 |
Charles Peterein
|
|
34-69430 |
Apr. 23, 2013 |
Alfred Varricchio
|
|
34-69426 |
Apr. 23, 2013 |
Gazoo Energy Group, Coach Industries Group, and Pacificap Entertainment
|
|
34-69425 |
Apr. 22, 2013 |
HarborLight Capital Management, LLC and Dean G. Tanella
Other Release Nos.: IA-3591, IC-30474
|
|
34-69421 |
Apr. 19, 2013 |
Jennifer E. Thoennes
|
|
IA-3590 |
Apr. 19, 2013 |
Foxhall Capital Management, Inc. and Paul G. Dietrich
|
|
34-69418 |
Apr. 19, 2013 |
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
|
|
34-69416 |
Apr. 19, 2013 |
The Estate Vault, Inc.
|
|
34-69415 |
Apr. 19, 2013 |
Ewan 1, Inc. n/k/a AccessKey IP, Inc.
|
|
34-69414 |
Apr. 19, 2013 |
UC Hub Group, Inc.
|
|
34-69410 |
Apr. 19, 2013 |
Guilin Paper, Inc.
|
|
34-69409 |
Apr. 19, 2013 |
China Organic Agriculture, Inc.
|
|
34-69408 |
Apr. 19, 2013 |
Biopharm Asia, Inc.
|
|
34-69404 |
Apr. 18, 2013 |
Joshua J. Singer
|
|
34-69390 |
Apr. 18, 2013 |
Charles T. Fee
Other Release Nos.: IA-3588, IC-30467
|
|
IA-3589 |
Apr. 18, 2013 |
Douglas F. Whitman
|
|
IA-3587 |
Apr. 18, 2013 |
Vector Wealth Management, LLC
|
|
IA-3586 |
Apr. 18, 2013 |
Umesh Tandon
Other Release No.: IC-30446
|
|
34-69386 |
Apr. 17, 2013 |
Sunrise Solar Corporation |
|
34-69385 |
Apr. 17, 2013 |
Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.)
|
|
34-69383 |
Apr. 17, 2013 |
NewTech Brake Corp.
|
|
34-69380 |
Apr. 16, 2013 |
Noble Innovations, Inc.
|
|
34-69379 |
Apr. 15, 2013 |
Scott Reiman
Other Release Nos.: IA-3585, IC-30463
|
|
34-69377 |
Apr. 15, 2013 |
David Affeldt
|
|
34-69375 |
Apr. 15, 2013 |
Invesco Funds Group, Inc.
|
|
34-69371 |
Apr. 12, 2013 |
Robert Mouallem
|
|
34-69370 |
Apr. 12, 2013 |
New Horizon Publishing Inc.
|
|
34-69367 |
Apr. 11, 2013 |
Joseph Hilton,
a/k/a Joseph Yurkin
|
|
34-69366 |
Apr. 11, 2013 |
Michael J. Turnock
|
|
IA-3584 |
Apr. 10, 2013 |
Toby G. Scammell
|
|
34-69357 |
Apr. 10, 2013 |
Largo Vista Group, Ltd., et al.
|
|
34-69355 |
Apr. 9, 2013 |
Robert David Beauchene
Other Release Nos.: IA-3581, IC-30455
|
|
34-69353 |
Apr. 9, 2013 |
James C. Fields, CPA
Other Release No.: AAER-3453
|
|
34-69352 |
Apr. 9, 2013 |
Anthony John Johnson
Other Release No.: IA-3580
|
|
34-69348 |
Apr. 8, 2013 |
Richard P. Sandru
Other Release Nos.: IA-3579, IC-30453
|
|
34-69347 |
Apr. 8, 2013 |
Timothy J. Roth
Other Release No.: IA-3578
|
|
34-69346 |
Apr. 8, 2013 |
AIM Advisors, Inc. and AIM Distributors, Inc.
|
|
34-69345 |
Apr. 8, 2013 |
Sean Nathan Healy
|
|
34-69327 |
Apr. 5, 2013 |
Koninklijke Philips Electronics N.V.
Other Release No.: AAER-3452
|
|
34-69326 |
Apr. 5, 2013 |
Eddie Douglas Austin Jr., Esq.
|
|
34-69314 |
Apr. 5, 2013 |
China North East Petroleum Holdings Limited
|
|
IA-3577 |
Apr. 4, 2013 |
David C. Lin
|
|
IA-3576 |
Apr. 4, 2013 |
Richard F. Tipton
|
|
IA-3575 |
Apr. 4, 2013 |
Edward G. Locker
|
|
IA-3574 |
Apr. 4, 2013 |
ZPR Investment Management, Inc. and Max E. Zavanelli
Other Release No.: IC-30446
|
|
34-69307 |
Apr. 4, 2013 |
Gerald "Jerry" D. Kegley
|
|
34-69306 |
Apr. 4, 2013 |
Colleen Erin Kelly Bishop (CPA)
Other Release No.: AAER-3451
|
|
34-69292 |
Apr. 4, 2013 |
Artfest International, Inc., et al.
|
|
34-69291 |
Apr. 4, 2013 |
Adzone Research, Inc., et al.
|
|
34-69290 |
Apr. 4, 2013 |
My Complete Care, Inc., et al.
|
|
34-69289 |
Apr. 4, 2013 |
Hesed Technology Co., Ltd., et al.
|
|
34-69288 |
Apr. 3, 2013 |
Morgan Asset Management, Inc., Morgan Keegan & Company, Inc.; James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA
See also:
Proposed Plan of Distribution
Comments received
are available
for this notice. |
|
IA-3573 |
Apr. 3, 2013 |
George Elia
|
|
34-69283 |
Apr. 3, 2013 |
Adzone Research, Inc., et al.
|
|
34-69282 |
Apr. 3, 2013 |
My Complete Care, Inc., et al.
|
|
34-69277 |
Apr. 2, 2013 |
Eric J. Bur, CPA
Other Release No.: AAER-3450
|
|
34-69264 |
Apr. 2, 2013 |
Digital Video Systems, Inc., Electroglas, Inc., Real Data, Inc. (a/k/a Galtech Semiconductor Materials Corporation), Geocom Resources, Inc., and Goldmountain Exploration Corp.
|
|
34-69261 |
Apr. 1, 2013 |
IGIA, Inc., et al.
|
|
34-69260 |
Apr. 1, 2013 |
IdleAire Technologies Corp., et al.
|
| First Quarter |
|
34-69252 |
Mar. 28, 2013 |
David M. Decker, Jr.
|
|
IA-3572 |
Mar. 28, 2013 |
Jorge Gomez
|
|
34-69248 |
Mar. 28, 2013 |
Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc., N.T. Properties, Inc., PrimePlayer, Inc., Skylyft Media Group, Inc., and Spectrum Acquisition Corp.
|
|
34-69242 |
Mar. 26, 2013 |
Wunderlich Securities, Inc., Tracy L. Wiswall, and Gary K. Wunderlich, Jr.
|
|
34-69224 |
Mar. 25, 2013 |
Susan Skaer, Esq.
|
|
34-69223 |
Mar. 25, 2013 |
IGIA, Inc., et al.
|
|
34-69214 |
Mar. 22, 2013 |
Edward L. Moskop
|
|
33-9396 |
Mar. 22, 2013 |
John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, George R. Jarkesy Jr., John Thomas Financial, Inc., and Anastasios "Tommy' Belesis
Other Release Nos.: 34-69208, IA-3571, IC-30435
|
|
34-69207 |
Mar. 22, 2013 |
Advance Nanotech, Inc., et al.
|
|
34-69206 |
Mar. 22, 2013 |
American United Gold Corporation, et al.
|
|
34-69228 |
Mar. 20, 2013 |
William G. Reeves, Esq.
|
|
34-69191 |
Mar. 20, 2013 |
Lunar Growth Corp.
|
|
34-69189 |
Mar. 20, 2013 |
Allonline.com, Inc., Bonded Motors, Inc., Cass M L Production Corp., Cyber Grind, Inc., Cygni Investments, Inc., Czech Connection, Inc., and Dynatec International, Inc.
|
|
34-69185 |
Mar. 20, 2013 |
Americas Energy Company-AECo
|
|
IA-3570 |
Mar. 19, 2013 |
Berton M. Hochfeld
|
|
33-9394 |
Mar. 19, 2013 |
Craig Berkman, d/b/a Ventures Trust LLC, John B. Kern, Face Off Acquisitions, LLC, Face Off Management, LLC, a/k/a Face Off Acquisitions Management, LLC, Ventures Trust II LLC, Ventures Trust III LLC, Ventures Trust IV LLC, Ventures Trust V LLC, Ventures Trust VI LLC, Ventures Trust Asset Fund LLC, Ventures Trust Management LLC, Ventures Trust Asset Management, LLC, a/k/a Ventures Trust II Asset Management, LLC, Assensus Capital, LLC and Assensus Capital Management, LLC
Other Release Nos.: 34-69171, IA-3569; IC-30428
|
|
34-69170 |
Mar. 19, 2013 |
My Complete Care, Inc., et al.
|
|
34-69169 |
Mar. 19, 2013 |
Maxsys Holdings, Inc., et al.
|
|
34-69168 |
Mar. 19, 2013 |
Law Enforcement Associates Corp., et al.
|
|
34-69165 |
Mar. 18, 2013 |
Bruce H. Haglund, Esq.
|
|
33-9393 |
Mar. 18, 2013 |
Banco Comercial Português, S.A.
Other Release Nos.: 34-69167, IA-3568
|
|
34-69150 |
Mar. 15, 2013 |
Centaur Management Co. LLC
|
|
34-69149 |
Mar. 15, 2013 |
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
|
|
34-69144 |
Mar. 15, 2013 |
Patrick Merrill Brody
|
|
34-69143 |
Mar. 15, 2013 |
Laura A. Roser
|
|
34-69138 |
Mar. 14, 2013 |
OppenheimerFunds, Inc. and OppenheimerFunds Distributor, Inc.
|
|
34-69137 |
Mar. 14, 2013 |
Cache D. Decker
|
|
34-69128 |
Mar. 13, 2013 |
Maxsys Holdings, Inc., et al.
|
|
34-69127 |
Mar. 13, 2013 |
Digital Video Systems, Inc., et al.
|
|
34-69126 |
Mar. 13, 2013 |
Digital Video Systems, Inc., et al.
|
|
34-69125 |
Mar. 13, 2013 |
Along Mobile Technologies, Inc.
|
|
34-69117 |
Mar. 12, 2013 |
Indigo Aviation AB, et al.
|
|
34-69116 |
Mar. 12, 2013 |
Adzone Research, Inc., et al.
|
|
34-69113 |
Mar. 12, 2013 |
HDL Capital Corp., et al.
|
|
34-69112 |
Mar. 12, 2013 |
New Generation Biofuels Holdings, Inc.
|
|
34-69111 |
Mar. 11, 2013 |
Kevin J. Wilcox
|
|
34-69100 |
Mar. 11, 2013 |
Christopher A. Seeley
|
|
34-69099 |
Mar. 11, 2013 |
Gazoo Energy Group, Coach Industries Group, Pacificap Entertainment
|
|
34-69097 |
Mar. 11, 2013 |
Advance Nanotech, Inc., ANTS Software, Inc., Beauty Brands Group, Inc., Chocolate Candy Creations, Inc., Crystallex International Corp., Dermaxar, Inc., e-SIM, Ltd., and EcoReady Corp.
|
|
33-9390 |
Mar. 11, 2013 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC
|
|
33-9389 |
Mar. 11, 2013 |
State of Illinois
|
|
34-69095 |
Mar. 8, 2013 |
Stephen Shea
|
|
34-69094 |
Mar. 8, 2013 |
BDO China Dahua CPA Co., LTD., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants LTD., and Pricewaterhousecoopers Zhong Tian CPAs Limited
|
|
34-69093 |
Mar. 8, 2013 |
Robert David Beauchene
Other Release Nos.: IA-3565, IC-30419
|
|
34-69092 |
Mar. 8, 2013 |
Fry Hensley and Company, And Nicholas L. Fry, II
Other Release Nos.: IA-3564, IC-30418
|
|
34-69091 |
Mar. 8, 2013 |
Ranieri Partners LLC and Donald W. Phillips
Other Release No.: IA-3563
|
|
34-69090 |
Mar. 8, 2013 |
William M. Stephens
Other Release No.: IC-30417
|
|
33-9388 |
Mar. 8, 2013 |
UBS Financial Services Inc. of Puerto Rico
Other Release No.: 34-69096
|
|
34-69074 |
Mar. 8, 2013 |
Lynx Acquisition, Inc., et al.
|
|
34-69065 |
Mar. 7, 2013 |
Billy Wayne McClintock
|
|
34-69057 |
Mar. 7, 2013 |
Cornerstone Capital Management, Inc., and Laura Jean Kent
|
|
34-69056 |
Mar. 7, 2013 |
Feltl & Company, Inc.
|
|
34-69051 |
Mar. 6, 2013 |
CYDE Liquidating Co.
|
|
34-69050 |
Mar. 6, 2013 |
Law Enforcement Associates Corp., et al.
|
|
34-69049 |
Mar. 6, 2013 |
Artfest International, Inc., et al.
|
|
34-69048 |
Mar. 6, 2013 |
Law Enforcement Associates Corp., et al.
|
|
34-69047 |
Mar. 5, 2013 |
IdleAire Technologies Corp., et al.
|
|
34-69046 |
Mar. 5, 2013 |
IGIA, Inc., et al.
|
|
34-69036 |
Mar. 5, 2013 |
Peak Wealth Opportunities, LLC, and David W. Dube, CPA
Other Release Nos.: IA-3562, IC-30414, AAER-3448
|
|
34-69035 |
Mar. 5, 2013 |
Advanced ID Corp., et al.
|
|
34-69024 |
Mar. 4, 2013 |
Atlantic Southern Financial Group, Inc.
|
|
34-69023 |
Mar. 4, 2013 |
ATI Liquidating, Inc. (n/k/a Aviza Technology, Inc.)
|
|
34-69022 |
Mar. 4, 2013 |
Maverick Oil and Gas, Inc.
|
|
34-69021 |
Mar. 4, 2013 |
Clean Power Technologies, Inc.
|
|
34-69015 |
Mar. 1, 2013 |
Allen R. Jacobson
|
|
34-69014 |
Mar. 1, 2013 |
Wendell A. Jacobson
|
|
IA-3560 |
Mar. 1, 2013 |
Nicholas Delbrocco
|
|
IA-3559 |
Mar. 1, 2013 |
Ward Onsa
|
|
34-69004 |
Feb. 28, 2013 |
China Wesen Recycling Technology, Inc., Chopin Venture Group, Inc.,Cogito Media Group, Inc., Crescendo Acquisition Corp., Crosswave Communications, Inc., Crown International, Inc. and Crysler Corp.
|
|
34-69001 |
Feb. 27, 2013 |
Douglas F. Vaughan
|
|
34-68993 |
Feb. 27, 2013 |
Oxford Investment Partners, LLC and Walter J. Clarke
|
34-68991 |
Feb. 27, 2013 |
Medis Technologies Ltd., et al.
|
|
34-68990 |
Feb. 26, 2013 |
Edward Tackaberry
|
|
34-68989 |
Feb. 26, 2013 |
Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc.,
N.T. Properties, Inc., PrimePlayer, Inc., Skylyft Media Group, Inc., and Spectrum Acquisition Corp.
|
|
34-68988 |
Feb. 26, 2013 |
Aladdin Capital Management LLC and Aladdin Capital LLC and Joseph A. Schlim
|
|
34-68986 |
Feb. 26, 2013 |
My Complete Care, Inc., New Midwest Co., LLC, NRG, Inc., Nugent Aerospace, Inc., Otter Tail Ag Enterprises, LLC,
Raines Lenders LP, and Sadhana Equity Investment, Inc.
|
|
IA-3556 |
Feb. 22, 2013 |
Sentinel Investment Management Corporation
|
|
34-68970 |
Feb. 22, 2013 |
Digital Video Systems, Inc., et al.
|
|
34-68968 |
Feb. 22, 2013 |
Advance Nanotech, Inc., et al.
|
|
34-68967 |
Feb. 22, 2013 |
Largo Vista Group, Ltd., et al.
|
|
34-68963 |
Feb. 21, 2013 |
James S. Tagliaferri
Other Release No.: IA-3555; IC-30402
|
|
34-68961 |
Feb. 20, 2013 |
Hesed Technology Co., Ltd., et al.
|
|
34-68956 |
Feb. 20, 2013 |
Lynx Acquisition, Inc., et al.
|
|
34-68952 |
Feb. 19, 2013 |
Virginia K. Sourlis, Esq.
|
|
34-68949 |
Feb. 19, 2013 |
Michael Lowther, CPA
Other Release No.: AAER-3445
|
|
34-68947 |
Feb. 19, 2013 |
Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp.
|
|
34-68946 |
Feb. 19, 2013 |
AlphaTrade.com
|
|
IA-3554 |
Feb. 15, 2013 |
Oxford Investment Partners, LLC and Walter J. Clarke
Other Release No.: IC-30385
|
|
IA-3553 |
Feb. 15, 2013 |
Oxford Investment Partners, LLC and Walter J. Clarke
Other Release No.: IC-30384
|
|
33-9385 |
Feb. 15, 2013 |
Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC
Other Release No.: 34-68943
|
|
34-68940 |
Feb. 15, 2013 |
Guy W. Gane, Jr.
|
|
34-68931 |
Feb. 14, 2013 |
Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim
|
|
34-68920 |
Feb. 13, 2013 |
Stephen M. Strauss
|
|
34-68914 |
Feb. 13, 2013 |
Eco Global Corporation, et al.
|
|
34-68903 |
Feb. 11, 2013 |
HDL Capital Corp., HMG Worldwide Corp., Homegold Financial, Inc., Hudson Hotels Corp., and Hurry, Inc.
|
|
34-68902 |
Feb. 11, 2013 |
Artfest International, Inc., China Advanced Meditech, Inc., Cynet, Inc., Durham Marketing Corp., Emissary Capital Group, Inc. (n/k/a Cavalier Holdings, Inc.), and ESP Enterprises, Inc. (n/k/a ESP Enterprises of LA, Inc.)
|
|
34-68893 |
Feb. 11, 2013 |
China Voice Holding Corp., et al.
|
|
34-68892 |
Feb. 11, 2013 |
IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc.
|
|
34-68869 |
Feb. 8, 2013 |
GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran
|
|
34-68868 |
Feb. 8, 2013 |
Changed E-Mail, Inc., et al.
|
|
34-68866 |
Feb. 7, 2013 |
Gary J. Martel
Other Release No.: IA-3552
|
|
IA-3551 |
Feb. 7, 2013 |
James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin
|
|
34-68859 |
Feb. 7, 2013 |
Law Enforcement Associates Corp., et al.
|
|
34-68858 |
Feb. 7, 2013 |
Law Enforcement Associates Corp., et al.
|
|
34-68857 |
Feb. 7, 2013 |
Imreg, Inc., et al.
|
|
34-68856 |
Feb. 7, 2013 |
HI DEF Enterprises, Inc., et al.
|
|
34-68845 |
Feb. 6, 2013 |
Joseph J. Repko, CPA
Other Release No.: AAER-3444
|
|
IA-3550 |
Feb. 6, 2013 |
Jorge Gomez
|
|
IA-3549 |
Feb. 6, 2013 |
Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez
|
|
IA-3548 |
Feb. 6, 2013 |
Howard B. Berger
|
|
34-68837 |
Feb. 6, 2013 |
Advanced ID Corp., et al.
|
|
34-68836 |
Feb. 6, 2013 |
Advance Nanotech, Inc., et al.
|
|
IA-3546 |
Feb. 5, 2013 |
Juno Mother Earth Asset Management, LLC
|
|
34-68828 |
Feb. 5, 2013 |
Ardsley Advisory Partners
Other Release No.: IA-3545
|
|
34-68827 |
Feb. 5, 2013 |
Kenneth Ira Starr
|
|
34-68826 |
Feb. 5, 2013 |
Kenneth Ira Starr, Esq., C.P.A.
Other Release No.: IA-3544
|
|
34-68825 |
Feb. 5, 2013 |
Henley Healthcare, Inc., et al.
|
|
34-68811 |
Feb. 1, 2013 |
Encore Clean Energy, Inc., et al.
|
|
34-68810 |
Feb. 1, 2013 |
Mitchell Segal, Esq.
|
|
IA-3543 |
Jan. 31, 2013 |
Jeffrey A. Quay
|
|
34-68796 |
Jan. 31, 2013 |
BNY Mellon Securities LCC and Mark Shaw
Note: See also the
Proposed Plan of Distribution |
|
34-68774 |
Jan. 30, 2013 |
GMB Capital Management LLC, et al.
|
|
34-68772 |
Jan. 30, 2013 |
William B. Mitchell
|
|
34-68764 |
Jan. 30, 2013 |
CentreInvest, Inc., et al.
|
|
34-68763 |
Jan. 30, 2013 |
ICP Solar Technologies, Inc., et al.
|
|
34-68756 |
Jan. 29, 2013 |
Lisa B. Hovan, CPA
Other Release No.: IA-3539; AAER-3443
|
|
34-68754 |
Jan. 29, 2013 |
Brian D. Fox
Other Release No.: AAER-3442
|
|
IA-3540 |
Jan. 29, 2013 |
Kurt S. Hovan
|
|
IA-3538 |
Jan. 29, 2013 |
Edward J. Hovan, Jr.
|
|
IA-3537 |
Jan. 29, 2013 |
IMC Asset Management, Inc.
|
|
34-68750 |
Jan. 29, 2013 |
IAS Energy, Inc., et al.
|
|
34-68749 |
Jan. 28, 2013 |
Stefan H. Benger
|
|
34-68739 |
Jan. 28, 2013 |
Henley Healthcare, Inc., Hightop Capital Corp., Hiko Bell Mining & Oil Co., Horizon Pharmacies, Inc., Horizon Resources Corp., and Hudson’s Grill of America, Inc.
|
|
34-68736 |
Jan. 25, 2013 |
John W. Adams and AIP, LLC
Note: See also the
Modified Plan of Distribution |
|
34-68738 |
Jan. 25, 2013 |
Nicolette D. Loisel
|
|
34-68737 |
Jan. 25, 2013 |
Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA
|
|
34-68733 |
Jan. 25, 2013 |
Gabelli Funds, LLC
|
|
34-68732 |
Jan. 25, 2013 |
Mary Beth Stevens; Paul W. Oliver, Jr.
|
|
34-68731 |
Jan. 25, 2013 |
Largo Vista Group, Ltd., et al.
|
|
34-68729 |
Jan. 25, 2013 |
Law Enforcement Associates Corp., et al.
|
|
34-68727 |
Jan. 25, 2013 |
Medis Technologies Ltd., et al.
|
|
34-68722 |
Jan. 24, 2013 |
Eric D. Rogers
|
|
34-68716 |
Jan. 24, 2013 |
HI DEF Enterprises, Inc., et al.
|
|
34-68715 |
Jan. 24, 2013 |
IAS Energy, Inc., et al.
|
|
34-68706 |
Jan. 23, 2013 |
China Wesen Recycling Technology, Inc., et al.
|
|
IA-3536 |
Jan. 22, 2013 |
Raymond Y.H. Park
|
|
IA-3535 |
Jan. 22, 2013 |
Sung Kook Hwang
|
|
34-68703 |
Jan. 22, 2013 |
Egan-Jones Ratings Company and Sean Egan
|
|
34-68688 |
Jan. 18, 2013 |
AlphaTrade.com
|
|
34-68686 |
Jan. 18, 2013 |
The Hartcourt Companies, Inc., et al.
|
|
34-68685 |
Jan. 17, 2013 |
Linda Dianne Alexander
|
|
34-68683 |
Jan. 17, 2013 |
Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
|
|
34-68681 |
Jan. 17, 2013 |
Desert Mining, Inc., et al.
|
|
34-68680 |
Jan. 17, 2013 |
IAS Energy, Inc., et al.
|
|
34-68679 |
Jan. 17, 2013 |
IBroadband, Inc., et al.
|
|
34-68673 |
Jan. 16, 2013 |
Larry Lee Adair, Esq.
|
|
34-68670 |
Jan. 16, 2013 |
Mark A. Gelazela and Steven E. Woods
|
|
34-68669 |
Jan. 16, 2013 |
MiddleCove Capital, LLC, and Noah L. Myers
Other Release Nos.: IA-3534, IC-30351
|
|
34-68664 |
Jan. 16, 2013 |
Eco Global Corporation, et al.
|
|
34-68661 |
Jan. 15, 2013 |
Kevin A. Howard, CPA
Other Release No.: AAER-3441
|
|
34-68649 |
Jan. 14, 2013 |
IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc.
|
|
34-68646 |
Jan. 14, 2013 |
Imreg, Inc., Innovative Holdings & Technologies, Inc., InnoVet, Inc., Institutional Properties 4, Interaction Media Corp., and International CRO Holdings Corp.
|
|
34-68628 |
Jan. 11, 2013 |
Eric Ashman, CPA
Other Release No.: AAER-3440
|
|
IA-3533 |
Jan. 11, 2013 |
I. Joseph Massoud
|
|
34-68623 |
Jan. 11, 2013 |
China Wesen Recycling Technology, Inc., et al.
|
|
34-68622 |
Jan. 11, 2013 |
IBroadband, Inc., et al.
|
|
IA-3532 |
Jan. 10, 2013 |
Kris Chellam
|
|
34-68614 |
Jan. 10, 2013 |
HearMe, et al.
|
|
34-68611 |
Jan. 9, 2013 |
Jimmie Dean Jones, CPA
Other Release No.: AAER-3438
|
|
34-68605 |
Jan. 9, 2013 |
John J. Aesoph, CPA, and Darren M. Bennett, CPA
Other Release No.: AAER-3436
|
|
34-68601 |
Jan. 8, 2013 |
China North East Petroleum Holdings Limited
|
|
34-68600 |
Jan. 8, 2013 |
UBS Financial Services Inc. of Puerto Rico
|
|
34-68599 |
Jan. 8, 2013 |
William J. Reilly, Esq.
|
|
34-68598 |
Jan. 7, 2013 |
HI DEF Enterprises, Inc., Hi-Rise Recycling Systems, Inc., Highline Industries, Inc., Hirel Holdings, Inc., Holiday RV Superstores, Inc. (n/k/a FreedomRoads RV, Inc.), Hooker Enterprises, Inc., Hospital Staffing Services, Inc., and Hotelworks.com, Inc.
|
|
34-68597 |
Jan. 7, 2013 |
Henley Healthcare, Inc., et al.
|
|
34-68593 |
Jan. 7, 2013 |
Credit Suisse Securities (USA) LLC, et al.
|
|
34-68592 |
Jan. 4, 2013 |
Stephen G. Bennett
|
|
34-68591 |
Jan. 4, 2013 |
Kenneth J. Abod, CPA
Other Release No.: AAER-3435
|
|
34-68586 |
Jan. 4, 2013 |
Gary J. Martel
|
|
34-68567 |
Jan. 3, 2013 |
Encore Clean Energy, Inc., et al.
|
|
34-68566 |
Jan. 3, 2013 |
China Voice Holding Corp., et al.
|
|
34-68565 |
Jan. 3, 2013 |
DIAS Holding, Inc., et al.
|
|
34-68564 |
Jan. 3, 2013 |
HealthSport, Inc., et al.
|
http://www.sec.gov/litigation/admin/adminarchive/adminarc2013.shtml
|
