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. 31, 2014	Murphy, Phillip Dennis Release No. 34-73968, IA-3992 File Number: 3-16294
Dec. 29, 2014	Vero Capital Management, LLC Geiger, Robert Barbaresi, George Downey, Steven, CPA Release No. IA-3991, IC-31402 File Number: 3-16328
Dec. 24, 2014	China Bus Group Co. (f/k/a Alpine Alpha 3, Ltd.) China Capital Finance Corp. Inc. China Complant Group Inc. China Oumei Real Estate, Inc. China Transportation International Holdings Group Ltd. ChinaCast Education Corp. Phoenix Agri Enterprises, Inc. Precise Strategy Acquisition Corp. I Release No. 34-73933 File Number: 3-16137
Dec. 24, 2014	Bio Oil National Corp. CSV International Holdings, Inc. (f/k/a Europa Acquisition VIII, Inc.) Greenpro Resources Corp. (f/k/a Lightwood Acquisition Corp.) Moxian Corp. Opera Jet International Ltd. Release No. 34-73934 File Number: 3-16059
Dec. 24, 2014	Alto Group Holdings, Inc. Gametech International, Inc. Rosewood Acquisition Corporation Sunshine State Capital Investments, Inc. Trinergy Global Inc. (f/k/a PyroTec Inc.) Voyager Two, Inc. Release No. 34-73932 File Number: 3-16043
Dec. 23, 2014	Adarna Energy Corporation Bluedata Corporation Brampton Crest International, Inc. Covenant Group of China Inc. Mobile Area Networks, Inc. Netco Investments, Inc. OneTravel Holdings, Inc. PDG Environmental, Inc. Release No. 34-73916 File Number: 3-16105
Dec. 23, 2014	Cepheus Acquisition Corp. China Aluminum Foil, Inc. China Integrated Energy, Inc. Engchow Education Corporation Pixtel Group Ltd. Release No. 34-73917 File Number: 3-15942
Dec. 23, 2014	North East Capital, LLC and Anthony T. Vicidomine Release No. 34-73921 See Also: Proposed Plan of Distribution Comments Due: 30 days from publication of this Notice Comments received are available: https://www.sec.gov/comments/3-15429/3-15429.shtml Submit Comments on: 3-15429 File Number: 3-15429
Dec. 23, 2014	Evergreen Investment Management Company, LLC, Evergreen InvestmentServices, Inc., Evergreen Service Company, LLC and Wachovia Securities,LLC Release No. 34-73923 File Number: 3-12805
Dec. 23, 2014	Eldaher, Khaled A. Release No. 34-73924, IC-31398 File Number: 3-16326
Dec. 23, 2014	Meissner, Kenneth C. Scott, James Doug Tomich, Mark S. "Mike" Release No. 34-73925, IC-31399 File Number: 3-16175
Dec. 23, 2014	Fotios Geivelis, Jr. Release No. 34-73926 File Number: 3-16327
Dec. 23, 2014	Melvin, Thomas D., CPA Release No. 34-73931, AAER-3618 File Number: 3-15659
Dec. 22, 2014	Fox Petroleum, Inc. Nedak Ethanol, LLC Neptunus Ventures, Inc. Plaster Caster, Inc. Release No. 34-73902 File Number: 3-16060
Dec. 22, 2014	Golden Elephant Glass Technology, Inc. Pacific Alliance Corp. Release No. 34-73903 File Number: 3-15649
Dec. 22, 2014	Corridor Ventures II Acquisition Corp. Dong Xin Chemical Co., Ltd. Silica Resources Corp. Sino Oil & Gas Pipe Holdings Ltd. SK Shasta Acquisition Corp. 1 SK Shasta Acquisition Corp. 2 SK Shasta Acquisition Corp. 3 SK Shasta Acquisition Corp. 4 Release No. 34-73904 File Number: 3-16136
Dec. 22, 2014	F-Squared Investments, Inc. Release No. IA-3988, IC-31393 File Number: 3-16325
Dec. 22, 2014	Thomas, Delsa U. The D. Christopher Capital Management Group, LLC Release No. IA-3989 File Number: 3-15820
Dec. 22, 2014	The Registration Statement of Esir1, Inc. Release No. 33-9695 File Number: 3-16173
Dec. 22, 2014	Steinberg, Michael S. Release No. 34-73915 File Number: 3-15925
Dec. 22, 2014	Alto Group Holdings, Inc. Gametech International, Inc. Rosewood Acquisition Corporation Sunshine State Capital Investments, Inc. Trinergy Global Inc. (f/k/a PyroTec Inc.) Voyager Two, Inc. Release No. 34-73901 File Number: 3-16043
Dec. 19, 2014	Hennessee Group LLC and Charles J. Gradante Release No. 34-73885 File Number: 3-13454
Dec. 19, 2014	Credit Suisse Securities (USA) LLC; et al. Release No. 34-73890 File Number: 3-15098
Dec. 19, 2014	Tebbs, Kenneth C. Release No. 34-73886 File Number: 3-15844
Dec. 19, 2014	Pappas, John Thomas Release No. IA-3985 File Number: 3-16057
Dec. 19, 2014	American Skandia Investment Services, Inc. Release No. 34-73896 File Number: 3-13446
Dec. 19, 2014	Franquelin, Armand R. Release No. 34-73887 File Number: 3-15848
Dec. 18, 2014	WebXU, Inc. Release No. 34-73869 File Number: 3-16193
Dec. 18, 2014	AGR Tools, Inc. Arcadia Resources, Inc. Citizens First Bancorp, Inc. First Capital International, Inc. GreenTek Corp. Metabolic Research, Inc. Release No. 34-73870 File Number: 3-16135
Dec. 18, 2014	Asian Dragon Group, Inc. Atlas Minerals, Inc. (n/k/a Atlas Corporation) Bluesky Systems Holdings, Inc. (f/k/a Bluesky Systems Corp.) CPC of America, Inc. Mezabay International, Inc. Netter Digital Entertainment, Inc. Power3 Medical Products, Inc. (a/k/a Power 3 Medical Products, Inc.) Release No. 34-73871 File Number: 3-16106
Dec. 18, 2014	Asia Cork, Inc. Biocurex, Inc. Carthew Bay Technologies Inc. Current Technology Corp. Gamecorp Ltd. (n/k/a DealNet Capital Corp.) Globetech Ventures Corp. Pepper Rock Resources Corp. Release No. 34-73872 File Number: 3-16052
Dec. 18, 2014	Bethesda C0801, Inc. Isdera North America, Inc. Kangye International Holdings, Inc. Quality Alliance Group, Inc. Quantum Assets, Inc. Remuda Investment Corp. (f/k/a Accelerated Acquisitions II, Inc.) Source Rock, Inc. UnionTown Energy Inc. Release No. 34-73873 File Number: 3-16055
Dec. 17, 2014	Baker Tilly Hong Kong Limited, et al. Release No. 34-73862, AAER-3615 File Number: 3-16324
Dec. 17, 2014	George Q. Stevens Release No. IA-3983 File Number: 3-16323
Dec. 17, 2014	G-Trade Services LLC, et al. Release No. 34-73865 File Number: 3-15654
Dec. 16, 2014	Pollack, Paul J. Montgomery Street Research, LLC Release No. 34-73844, IC-31375 File Number: 3-16316
Dec. 16, 2014	Crow, Michael W. Clug, Alexandre S. Aurum Mining, LLC Panam Terra, Inc. the Corsair Group, Inc. Release No. 33-9690, 34-73851, IC-31378 File Number: 3-16318
Dec. 16, 2014	Angel E. Lana, CPA Release No. 33-9691, 34-73852, AAER-3614 File Number: 3-16319
Dec. 16, 2014	Alexander Swanson Release No. IA-3982 File Number: 3-16322
Dec. 15, 2014	Bruker Corporation Release No. 34-73835, AAER-3611 File Number: 3-16314
Dec. 15, 2014	BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming, LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited Release No. 34-73838, AAER-3612 File Number: 3-15116
Dec. 15, 2014	Canadian Solar, Inc. and Yan Zhuang Release No. 34-73839, AAER-3613 File Number: 3-16315
Dec. 12, 2014	Bay Acquisition Corp. (a/k/a SecureLogic Corp.) (n/k/a Goozex Holdings Inc.) BTHC XV, Inc. Caleco Pharma Corp. CareAdvantage, Inc. Genta Incorporated Release No. 34-73826 File Number: 3-16053
Dec. 12, 2014	Black Hawk Exploration Composite Technology Corporation Forza Environmental Building Products, Inc. Hotcloud Mobile, Inc. ImmunoBiotics, Inc. SpatiaLight, Inc. Release No. 34-73827 File Number: 3-16016
Dec. 12, 2014	China Clean Energy Acquisition Corp. China Education Acquisition Corp. China Food & Beverage Acquisition Corp. China High Technology Acquisition Corp. China Manufacturing Acquisition III Corp. DRC Ventures, Inc. Elite Talent Consulting Corp. (f/k/a China Transportation Acquisition Corp.) Release No. 34-73828 File Number: 3-16036
Dec. 11, 2014	JPMorgan Chase & Co. Release No. 34-73824 See Also: Proposed Plan of Distribution Comments Due: 30 days from publication of this Notice Submit Comments on: 3-15507 File Number: 3-15507
Dec. 10, 2014	AJ Acquisition Corp. I, Inc. AJ Acquisition Corp. II, Inc. Alpine Alpha 1, Ltd. Deca Investments, Inc. Trident Acquisitions, Inc. VitaminSpice Release No. 34-73800 File Number: 3-16054
Dec. 10, 2014	Morgan Stanley & Co. LLC Release No. 34-73802 File Number: 3-16310
Dec. 10, 2014	Reliance Financial Advisors, LLC Dembski, Timothy S. Grenda, Walter F., Jr. Release No. 33-9686, 34-73801, IA-3976, IC-31367 File Number: 3-16311
Dec. 10, 2014	Stephan, Scott M. Release No. 33-9687, 34-73803, IA-3977, IC-31368 File Number: 3-16312
Dec. 10, 2014	The Billiard Channel, Inc. Boston Chicken, Inc. Bridgeport Capital Corp. Broadway International Development Corp. Release No. 34-73806 File Number: 3-16313
Dec. 9, 2014	Comprehensive Capital Management, Inc. Release No. 34-73792 File Number: 3-15393
Dec. 9, 2014	G-Trade Services LLC, et al. Release No. 34-73795 File Number: 3-15654
Dec. 9, 2014	Paul A. Ligor, Jr. Release No. IA-3975 File Number: 3-16308
Dec. 9, 2014	Robert A. Walker Release No. 34-73798 File Number: 3-16309
Dec. 8, 2014	BKD, LLP Release No. 34-73768, AAER-3603 File Number: 3-16299
Dec. 8, 2014	Robert Cooper, Company and CPA PC Release No. 34-73769, AAER-3604 File Number: 3-16300
Dec. 8, 2014	Joseph Yafeh CPA, Inc. Release No. 34-73770, AAER-3605 File Number: 3-16301
Dec. 8, 2014	Lally & Co., LLC Release No. 34-73771, AAER-3606 File Number: 3-16302
Dec. 8, 2014	Brace & Associates, PLLC Release No. 34-73772, AAER-3607 File Number: 3-16303
Dec. 8, 2014	Boros & Farrington Accountancy Corporation Release No. 34-73773, AAER-3608 File Number: 3-16304
Dec. 8, 2014	OUM & Co. LLP Release No. 34-73774, AAER-3609 File Number: 3-16305
Dec. 8, 2014	Lerner & Sipkin CPAs LLP Release No. 34-73775, AAER-3610 File Number: 3-16306
Dec. 8, 2014	China Wood, Inc. Release No. 34-73766 File Number: 3-16039
Dec. 8, 2014	Gold Horse International, Inc. Release No. 34-73767 File Number: 3-16041
Dec. 8, 2014	BTC Trading, Corp. and Ethan Burnside Release No. 33-9685, 34-73783, IC-31366 File Number: 3-16307
Dec. 5, 2014	Neal A. Petrovich, CPA Release No. 34-73751, AAER-3601 File Number: 3-16297
Dec. 5, 2014	Mura, David Release No. 34-73754 File Number: 3-15045
Dec. 5, 2014	Robert A. Hemm Release No. 34-73765 File Number: 3-16298
Dec. 5, 2014	Hampton Roads Bankshares, Inc. Release No. 34-73750, AAER-3600 File Number: 3-16296
Dec. 4, 2014	ATP Oil & Gas Corp. Cambridge Holdings, Ltd. FTE Networks, Inc. Raystream, Inc. Shelron Group, Inc. Release No. 34-73734 File Number: 3-16024
Dec. 3, 2014	Bebo, Laurie Buono, John, CPA Release No. 34-73722 File Number: 3-16293
Dec. 3, 2014	Murphy, Phillip Dennis Release No. 34-73724, IA-3974 File Number: 3-16294
Dec. 3, 2014	Alamosa (Delaware), Inc. Amazing Investments, Inc. American Frontiers Marketing Co. American Growth Fund I LP Americas Gaming International, Inc. Mammoth Mining Co. Release No. 34-73733 File Number: 3-16295
Nov. 26, 2014	Liberty Realty Trust Release No. 34-73695 File Number: 3-16290
Nov. 26, 2014	Bingo.Com, Inc. Biocol, Inc. Biomass Processing Technology, Inc. Biomedtex, Inc. Carnegie International Corp. Release No. 34-73696 File Number: 3-16291
Nov. 26, 2014	Bellavista Capital, Inc. Bow Valley Ventures Inc. Core Health Care Network, Inc. Desert Capital REIT, Inc. Kore Nutrition, Inc. Lakeside Ventures, Inc. Oban Industries, Inc. Release No. 34-73691 File Number: 3-16018
Nov. 26, 2014	Conquest Petroleum Inc. Nexaira Wireless Inc. Release No. 34-73692 File Number: 3-16002
Nov. 26, 2014	International Building Technologies Group, Inc. Regeneca, Inc. Retail Pro, Inc. Tri-Valley Corporation VECTRA Technologies Release No. 34-73693 File Number: 3-16023
Nov. 26, 2014	Nickolas C. Skaltsis Release No. 34-73694 File Number: 3-16289
Nov. 25, 2014	JP Turner & Company, LLC, and William L. Mello Release No. 34-73679 See Also: Final Plan of Distribution File Number: 3-15014
Nov. 25, 2014	Meuse, Joseph Release No. 34-73680 File Number: 3-16287
Nov. 25, 2014	HSBC Private Bank (Suisse) and SA Release No. 34-73681, IA-3973 File Number: 3-16288
Nov. 24, 2014	Bay Acquisition Corp. (a/k/a SecureLogic Corp.) (n/k/a Goozex Holdings Inc.) BTHC XV, Inc. Caleco Pharma Corp. CareAdvantage, Inc. Genta Incorporated Release No. 34-73673 File Number: 3-16053
Nov. 24, 2014	Xinde Technology Company Release No. 34-73674 File Number: 3-16040
Nov. 24, 2014	Clavis Technologies International Co., Ltd. Release No. 34-73675 File Number: 3-16042
Nov. 24, 2014	Alan Gavornik, Nicholas Mariniello and Lee Argush Release No. 34-73678, IA-3972, IC-31357 File Number: 3-16286
Nov. 20, 2014	Wedbush Securities Inc. Jeffrey Bell Christina Fillhart Release No. 34-73653 File Number: 3-15913
Nov. 20, 2014	Wedbush Securities Inc. Jeffrey Bell Christina Fillhart Release No. 34-73654 File Number: 3-15913
Nov. 20, 2014	Sarkauskas, Associates, Inc. and James M. Sarkauskas Release No. 34-73655 File Number: 3-15471
Nov. 20, 2014	Commonwealth Equity Services, LLP d/b/a Commonwealth FinancialNetwork, Detwiler, Mitchell, Fenton & Graves, Inc., James X. McCarty, Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; and James X. McCarty Release No. 34-73656 File Number: 3-12749, 3-12750, 3-12751
Nov. 20, 2014	Blue Moon Investments Boulder Capital Opportunities II Ltd. Cabinet Acquisition Corp. eConnect, Inc. Release No. 34-73663 File Number: 3-16284
Nov. 20, 2014	Linkbrokers Derivatives LLC Release No. 34-73651 File Number: 3-16017
Nov. 20, 2014	Wedbush Securities Inc. Jeffrey Bell Christina Fillhart Release No. 34-73652, IA-3971 File Number: 3-15913
Nov. 19, 2014	AGR Tools, Inc. Arcadia Resources, Inc. Citizens First Bancorp, Inc. First Capital International, Inc. GreenTek Corp. Metabolic Research, Inc. Release No. 34-73635 File Number: 3-16135
Nov. 19, 2014	Accredited Business Consolidators Corp. AsherXino Corp. Bakers Footwear Group, Inc. Card Activation Technologies Inc. High Plains Gas, Inc. Pacific Copper Corp. Release No. 34-73636 File Number: 3-15993
Nov. 19, 2014	Forum National Investments, Ltd. Release No. 34-73638 File Number: 3-16283
Nov. 18, 2014	IPKV Holdings, Inc. Pan Asian Corp. Seven Seas Acquisition Corp. Southern Growth Corp. Superior Growth Corp. Transatlantic Acquisition Corp. Release No. 34-73617 File Number: 3-16011
Nov. 18, 2014	All-American Care Centers, Inc. FDH, Inc. Stirrup Creek Gold Ltd. USN Communications, Inc. (n/k/a CTBB Holdings, Inc.) Release No. 34-73618 File Number: 3-16282
Nov. 17, 2014	YesDTC Holdings, Inc. Release No. 34-73612 File Number: 3-16280

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in this Section

Administrative Proceedings

E-mail Updates