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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
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SEC Administrative Proceedings RSS Feed
Release No. |
Date |
Respondents |
Fourth Quarter |
34-73968 |
Dec. 31, 2014 |
Phillip Dennis Murphy
Other Release No.: IA-3992
|
IA-3991 |
Dec. 29, 2014 |
Vero Capital Management, LLC, et al.
Other Release No.: IC-31402
|
34-73934 |
Dec. 24, 2014 |
Bio Oil National Corp., et al.
|
34-73933 |
Dec. 24, 2014 |
China Transportation International Holdings Group Ltd. and Precise Strategy Acquisition Corp. I
|
34-73932 |
Dec. 24, 2014 |
Gametech International, Inc.
|
34-73931 |
Dec. 23, 2014 |
Thomas D. Melvin, CPA
Other Release No.: AAER-3618
|
34-73926 |
Dec. 23, 2014 |
Fotios Geivelis, Jr.
|
34-73925 |
Dec. 23, 2014 |
Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich
Other Release No.: IC-31399
|
34-73924 |
Dec. 23, 2014 |
Khaled A. Eldaher
Other Release No.: IC-31398
|
34-73923 |
Dec. 23, 2014 |
Evergreen Investment Management Company, LLC, et al.
|
34-73921 |
Dec. 23, 2014 |
North East Capital, LLC and Anthony T. Vicidomine
Note: See also
Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
Comments received are available for this proposed plan.
|
34-73917 |
Dec. 23, 2014 |
China Integrated Energy, Inc.
|
34-73916 |
Dec. 23, 2014 |
Adarna Energy Corporation, et al.
|
34-73915 |
Dec. 22, 2014 |
Michael S. Steinberg
|
33-9695 |
Dec. 22, 2014 |
Esir1, Inc.
|
IA-3989 |
Dec. 22, 2014 |
Delsa U. Thomas and the D. Christopher Capital Management Group, LLC
|
IA-3988 |
Dec. 22, 2014 |
F-Squared Investments, Inc.
Other Release No.: IC-31393
|
34-73904 |
Dec. 22, 2014 |
Corridor Ventures II Acquisition Corp., et al.
|
34-73903 |
Dec. 22, 2014 |
Golden Elephant Glass Technology, Inc.
|
34-73902 |
Dec. 22, 2014 |
Fox Petroleum, Inc., Nedak Ethanol, LLC and Plaster Caster, Inc.
|
34-73901 |
Dec. 22, 2014 |
Alto Group Holdings, Inc., et al.
|
34-73896 |
Dec. 19, 2014 |
American Skandia Investment Services, Inc.
|
IA-3985 |
Dec. 19, 2014 |
John Thomas Pappas
|
34-73887 |
Dec. 19, 2014 |
Armand R. Franquelin
|
34-73886 |
Dec. 19, 2014 |
Kenneth C. Tebbs
|
34-73890 |
Dec. 19, 2014 |
Credit Suisse Securities (USA) LLC; et al.
|
34-73885 |
Dec. 19, 2014 |
Hennessee Group LLC and Charles J. Gradante
|
34-73873 |
Dec. 18, 2014 |
Kangye International Holdings, Inc., et al.
|
34-73872 |
Dec. 18, 2014 |
Asia Cork, Inc., et al.
|
34-73871 |
Dec. 18, 2014 |
Asian Dragon Group, Inc., et al.
|
34-73870 |
Dec. 18, 2014 |
AGR Tools, Inc., et al.
|
34-73869 |
Dec. 18, 2014 |
WebXU, Inc.
|
34-73865 |
Dec. 17, 2014 |
G-Trade Services LLC, et al.
|
IA-3983 |
Dec. 17, 2014 |
George Q. Stevens
|
34-73862 |
Dec. 17, 2014 |
Baker Tilly Hong Kong Limited, et al.
Other Release No.: AAER-3615
|
IA-3982 |
Dec. 16, 2014 |
Alexander Swanson
|
33-9691 |
Dec. 16, 2014 |
Angel E. Lana, CPA
Other Release Nos.: 34-73852, AAER-3614
|
33-9690 |
Dec. 16, 2014 |
Michael W. Crow, et al.
Other Release Nos.: 34-73851, IC-31378
|
34-73844 |
Dec. 16, 2014 |
Paul J. Pollack and Montgomery Street Research, LLC
Other Release No.: IC-31375
|
34-73839 |
Dec. 15, 2014 |
Canadian Solar, Inc. and Yan Zhuang
Other Release No.: AAER-3613
|
34-73838 |
Dec. 15, 2014 |
BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming and LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited
Other Release No.: AAER-3612
|
34-73835 |
Dec. 15, 2014 |
Bruker Corporation
Other Release No.: AAER-3611
|
34-73828 |
Dec. 12, 2014 |
China Clean Energy Acquisition Corp., et al.
|
34-73827 |
Dec. 12, 2014 |
Black Hawk Exploration, et al.
|
34-73826 |
Dec. 12, 2014 |
BTHC XV, Inc.
|
34-73824 |
Dec. 11, 2014 |
JPMorgan Chase & Co.
Note: See also
Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
|
34-73806 |
Dec. 10, 2014 |
The Billiard Channel, Inc., et al.
|
33-9687 |
Dec. 10, 2014 |
Scott M. Stephan
Other Release Nos.: 34-73803, IA-3977, IC-31368
|
33-9686 |
Dec. 10, 2014 |
Reliance Financial Advisors, LLC, et al.
Other Release Nos.: 34-73801, IA-3976, IC-31367
|
34-73802 |
Dec. 10, 2014 |
Morgan Stanley & Co. LLC
|
34-73800 |
Dec. 10, 2014 |
AJ Acquisition Corp. I, Inc., et al.
|
34-73798 |
Dec. 9, 2014 |
Robert A. Walker
|
IA-3975 |
Dec. 9, 2014 |
Paul A. Ligor, Jr.
|
34-73795 |
Dec. 9, 2014 |
G-Trade Services LLC, ConvergEx Global Markets Limited and ConvergEx Execution Solutions LLC
|
34-73792 |
Dec. 9, 2014 |
Comprehensive Capital Management, Inc.
|
33-9685 |
Dec. 8, 2014 |
BTC Trading, Corp. and Ethan Burnside
Other Release Nos.: 34-73783, IC-31366
|
34-73775 |
Dec. 8, 2014 |
Lerner & Sipkin CPAs LLP
Other Release No.: AAER-3610
|
34-73774 |
Dec. 8, 2014 |
OUM & Co. LLP
Other Release No.: AAER-3609
|
34-73773 |
Dec. 8, 2014 |
Boros & Farrington Accountancy Corporation
Other Release No.: AAER-3608
|
34-73772 |
Dec. 8, 2014 |
Brace & Associates, PLLC
Other Release No.: AAER-3607
|
34-73771 |
Dec. 8, 2014 |
Lally & Co., LLC
Other Release No.: AAER-3606
|
34-73770 |
Dec. 8, 2014 |
Joseph Yafeh CPA, Inc.
Other Release No.: AAER-3605
|
34-73769 |
Dec. 8, 2014 |
Robert Cooper, Company and CPA PC
Other Release No.: AAER-3604
|
34-73768 |
Dec. 8, 2014 |
BKD, LLP
Other Release No.: AAER-3603
|
34-73767 |
Dec. 8, 2014 |
Gold Horse International, Inc.
|
34-73766 |
Dec. 8, 2014 |
China Wood, Inc.
|
34-73765 |
Dec. 5, 2014 |
Robert A. Hemm
|
34-73754 |
Dec. 5, 2014 |
David Mura
|
34-73751 |
Dec. 5, 2014 |
Neal A. Petrovich, CPA
Other Release No.: AAER-3601
|
34-73750 |
Dec. 5, 2014 |
Hampton Roads Bankshares, Inc.
Other Release No.: AAER-3600
|
34-73734 |
Dec. 4, 2014 |
ATP Oil & Gas Corp.
|
34-73733 |
Dec. 3, 2014 |
Alamosa (Delaware), Inc., et al.
|
34-73724 |
Dec. 3, 2014 |
Phillip Dennis Murphy
Other Release No.: IA-3974
|
34-73722 |
Dec. 3, 2014 |
Laurie Bebo and John Buono, CPA
|
34-73696 |
Nov. 26, 2014 |
Bingo.Com, Inc., et al.
|
34-73695 |
Nov. 26, 2014 |
Liberty Realty Trust
|
34-73694 |
Nov. 26, 2014 |
Nickolas C. Skaltsis
|
34-73693 |
Nov. 26, 2014 |
Regeneca, Inc., et al.
|
34-73692 |
Nov. 26, 2014 |
Nexaira Wireless Inc.
|
34-73691 |
Nov. 26, 2014 |
Bow Valley Ventures, Inc., et al.
|
34-73681 |
Nov. 25, 2014 |
HSBC Private Bank (Suisse) and SA
Other Release No.: IA-3973
|
34-73680 |
Nov. 25, 2014 |
Joseph Meuse
|
34-73679 |
Nov. 25, 2014 |
JP Turner & Company, LLC and William L. Mello
Note: See also
Final Plan of Distribution
|
34-73678 |
Nov. 24, 2014 |
Alan Gavornik, Nicholas Mariniello and Lee Argush
Other Release Nos.: IA-3972, IC-31357
|
34-73675 |
Nov. 24, 2014 |
Clavis Technologies International Co., Ltd.
|
34-73674 |
Nov. 24, 2014 |
Xinde Technology Company
|
34-73673 |
Nov. 24, 2014 |
Bay Acquisition Corp. (a/k/a SecureLogic Corp.) (n/k/a Goozex Holdings, et al.
|
34-73663 |
Nov. 20, 2014 |
Blue Moon Investments, et al.
|
34-73656 |
Nov. 20, 2014 |
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; and James X. McCarty
|
34-73655 |
Nov. 20, 2014 |
Sarkauskas, Associates, Inc. and James M. Sarkauskas
|
34-73654 |
Nov. 20, 2014 |
Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart
|
34-73653 |
Nov. 20, 2014 |
Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart
|
34-73652 |
Nov. 20, 2014 |
Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart
Other Release No.: IA-3971
|
34-73651 |
Nov. 20, 2014 |
Linkbrokers Derivatives LLC
|
34-73638 |
Nov. 19, 2014 |
Forum National Investments, Ltd.
|
34-73636 |
Nov. 19, 2014 |
AsherXino Corp., et al.
|
34-73635 |
Nov. 19, 2014 |
AGR Tools, Inc., et al.
|
34-73618 |
Nov. 18, 2014 |
All-American Care Centers, Inc., et al.
|
34-73617 |
Nov. 18, 2014 |
IPKV Holdings, Inc., et al.
|
34-73616 |
Nov. 17, 2014 |
Stephen Timms and Yasser Ramahi
|
34-73612 |
Nov. 17, 2014 |
YesDTC Holdings, Inc.
|
34-73610 |
Nov. 14, 2014 |
Mark Smith, CPA
Other Release No.: AAER-3599
|
34-73609 |
Nov. 14, 2014 |
Charles Elliot Smith, CPA
Other Release No.: AAER-3598
|
34-73606 |
Nov. 14, 2014 |
Blake Richards
Other Release No.: IA-3968
|
34-73605 |
Nov. 14, 2014 |
Douglas L. Swenson, CPA
|
34-73604 |
Nov. 14, 2014 |
Mark A. Ellison, Esq.
|
34-73603 |
Nov. 14, 2014 |
Linden Boyne
Other Release No.: AAER-3597
|
IA-3967 |
Nov. 13, 2014 |
Gregory Viola
|
34-73591 |
Nov. 13, 2014 |
Bluesky Filing Corp., et al.
|
IA-3966 |
Nov. 12, 2014 |
Aaron E. Olson
|
34-73583 |
Nov. 12, 2014 |
Pennington Capital Management LLC and Robert J. Evans
|
34-73582 |
Nov. 12, 2014 |
Dr. L.S. Smith
Other Release No.: AAER-3596
|
34-73578 |
Nov. 12, 2014 |
Robert C. Weaver, Jr., Esq.
|
33-9680 |
Nov. 12, 2014 |
Michael S. Geist and Brent E. Taylor
Other Release No.: 34-73581
|
33-9679 |
Nov. 12, 2014 |
Pankaj Kumar Srivastava and Nataraj Kavuri
|
34-73573 |
Nov. 10, 2014 |
AARX, Inc., et al.
|
33-9678 |
Nov. 10, 2014 |
Eureeca Capital SPC
Other Release No.: 34-73569
|
34-73568 |
Nov. 10, 2014 |
Balaton Power, Inc.
|
34-73567 |
Nov. 10, 2014 |
Amico Games Corp. et al.
|
34-73566 |
Nov. 10, 2014 |
Bering Growth Corp., et al.
|
34-73560 |
Nov. 7, 2014 |
Joshua Wayne Lankford
|
34-73552 |
Nov. 6, 2014 |
Bitech Pharma, Inc., et al.
|
34-73551 |
Nov. 6, 2014 |
Brandeis Holdings, Inc., et al.
|
33-9677 |
Nov. 6, 2014 |
City of Allen Park, Michigan
Other Release No.: 34-73539
|
34-73538 |
Nov. 6, 2014 |
Datascension, Inc., Here Enterprises, Inc. and Statmon Technologies Corp.
|
34-73537 |
Nov. 6, 2014 |
GeNOsys, Inc.
|
34-73536 |
Nov. 6, 2014 |
mBeach Software, Inc
|
34-73533 |
Nov. 5, 2014 |
Bernice G. Njoroge
Other Release Nos.: IA-3965, IC-31330
|
34-73532 |
Nov. 5, 2014 |
David Blain, CPA
Other Release Nos.: AAER-3595
|
34-73526 |
Nov. 5, 2014 |
Worthington Energy, Inc.
|
34-73525 |
Nov. 5, 2014 |
MineralRite Corporation
|
34-73524 |
Nov. 5, 2014 |
ERF Wireless, Inc.
|
34-73523 |
Nov. 5, 2014 |
CoroWare, Inc.
|
34-73522 |
Nov. 5, 2014 |
APT Motovox Group, Inc.
|
34-73521 |
Nov. 5, 2014 |
Green Automotive Company
|
34-73520 |
Nov. 5, 2014 |
Seaniemac International, Ltd.
|
34-73519 |
Nov. 5, 2014 |
Monster Arts, Inc.
|
34-73518 |
Nov. 5, 2014 |
Red Giant Entertainment, Inc.
|
34-73517 |
Nov. 5, 2014 |
Mondial Ventures, Inc.
|
34-73514 |
Nov. 4, 2014 |
VHGI Holdings, Inc.
|
33-9676 |
Nov. 4, 2014 |
Steven Durrelle Williams
Other Release No.: 34-73513
|
IA-3964 |
Nov. 3, 2014 |
Rajarengan (a/k/a Rengan) Rajaratnam
|
34-73510 |
Nov. 3, 2014 |
Riedl First Securities Co. of Kansas
|
34-73509 |
Nov. 3, 2014 |
Oppenheimer & Co., Inc.
|
34-73508 |
Nov. 3, 2014 |
National Securities Corp.
|
34-73507 |
Nov. 3, 2014 |
Lebenthal & Co., LLC
|
34-73506 |
Nov. 3, 2014 |
Wedbush Securities Inc.
|
34-73505 |
Nov. 3, 2014 |
UBS Financial Services Inc.
|
34-73504 |
Nov. 3, 2014 |
TD Ameritrade, Inc.
|
34-73503 |
Nov. 3, 2014 |
Stifel Nicolaus & Co., Inc.
|
34-73502 |
Nov. 3, 2014 |
J.P. Morgan Securities LLC
|
34-73501 |
Nov. 3, 2014 |
Investment Professionals Inc.
|
34-73500 |
Nov. 3, 2014 |
Interactive Brokers LLC
|
34-73499 |
Nov. 3, 2014 |
Hapoalim Securities USA, Inc.
|
34-73498 |
Nov. 3, 2014 |
Charles Schwab & Co., Inc.
|
34-73496 |
Nov. 3, 2014 |
Bio-Rad Laboratories, Inc.
Other Release No.: AAER-3594
|
34-73494 |
Nov. 3, 2014 |
New Dragon Asia Corp.
|
34-73493 |
Nov. 3, 2014 |
China Everhealth Corp.
|
33-9675 |
Oct. 31, 2014 |
Registrar and Transfer Company and Thomas L. Montrone
Other Release No.: 34-73491
|
33-9674 |
Oct. 31, 2014 |
Gregory Osborn
Other Release Nos.: 34-73486, IC-31325
|
33-9673 |
Oct. 31, 2014 |
Navagate, Inc. and Gregory Rorke
Other Release No.: 34-73485
|
33-9672 |
Oct. 31, 2014 |
Middlebury Securities, LLC
Other Release Nos.: 34-73484, IC-31324
|
34-73478 |
Oct. 30, 2014 |
Yale I. Asbell
|
34-73475 |
Oct. 30, 2014 |
Anthony Coronati and Bidtoask LLC,
|
IA-3962 |
Oct. 30, 2014 |
Marlon Quan and Stewardship Investment Advisors, LLC
|
34-73466 |
Oct. 29, 2014 |
Ehpren W. Taylor II
|
34-73467 |
Oct. 29, 2014 |
Wendy J. Connor
|
IA-3960 |
Oct. 29, 2014 |
Sands Brothers Asset Management, LLC, et al.
|
34-73456 |
Oct. 28, 2014 |
8 by 8, Inc., et al.
|
34-73455 |
Oct. 28, 2014 |
4301, Inc., et al.
|
34-73454 |
Oct. 28, 2014 |
Kenneth G. Eade, Esq.
|
33-9671 |
Oct. 28, 2014 |
Eli D. Okman
Other Release Nos.: 34-73447, IA-3959, IC-31320
|
34-73442 |
Oct. 27, 2014 |
Thrasos Tommy Petrou,
Other Release No.: IA-3958
|
34-73437 |
Oct. 27, 2014 |
Layne Christensen Company
|
34-73434 |
Oct. 27, 2014 |
Great Lakes Dredge & Dock Corporation
Other Release No.: AAER-3593
|
34-73432 |
Oct. 27, 2014 |
AISystems, et al.
|
34-73431 |
Oct. 27, 2014 |
Duoyuan Printing, Inc.
|
34-73430 |
Oct. 27, 2014 |
AGR Tools, Inc., et al.
|
33-9670 |
Oct. 24, 2014 |
James J. Dalton, Jr.
Other Release No.: 34-73429
|
33-9669 |
Oct. 24, 2014 |
David G. Derrick, Sr.
Other Release No.: 34-73428
|
34-73427 |
Oct. 24, 2014 |
Berman & Company, P.A., and Elliot Berman CPA
Other Release No.: AAER-3592
|
34-73423 |
Oct. 24, 2014 |
GLG Partners, Inc. and GLG Partners, L.P.
Note: See also
Plan of Distribution
|
34-73421 |
Oct. 23, 2014 |
Eugene F. Hovanec, CPA
Other Release No.: AAER-3591
|
34-73408 |
Oct. 22, 2014 |
BDO China Dahua CPA Co., Ltd., et al.
Other Release No.: AAER-3590
|
34-73406 |
Oct. 22, 2014 |
21st Century Telesis II, Inc., et al.
|
34-73404 |
Oct. 22, 2014 |
ORB Automotive Corp.
|
34-73403 |
Oct. 22, 2014 |
Entech Solar, Inc.
|
34-73402 |
Oct. 22, 2014 |
Asura Development Group, Inc. (f/k/a IA Global, Inc.)
|
34-73401 |
Oct. 21, 2014 |
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
|
34-73400 |
Oct. 21, 2014 |
Keith MacDonald Summers
|
33-9667 |
Oct. 17, 2014 |
Clean Energy Capital, LLC and Scott A. Brittenham
Other Release Nos.: 34-73386, IA-3955
|
33-9666 |
Oct. 17, 2014 |
Anthony Coronati and Bidtoask LLC
Other Release Nos.: 34-73381, IA-3954, IC-31293
|
33-9665 |
Oct. 16, 2014 |
George N. Krinos, Krinos Holdings, Inc. and Fordgate Acquisition Corp.
Other Release Nos.: 34-73379, IA-3953, IC-31292
|
34-73378 |
Oct. 16, 2014 |
John W. Kosolcharoen
|
34-73377 |
Oct. 16, 2014 |
Dennis F. Wright
Other Release No.: IA-3952
|
34-73369 |
Oct. 16, 2014 |
Athena Capital Research, LLC
Other Release No.: IA-3950
|
IA-3949 |
Oct. 15, 2014 |
Gaeton S. Della Penna
|
34-73361 |
Oct. 15, 2014 |
Edward L. Maggiacomo, Jr.
Other Release Nos.: IA-3948, IC-31288
|
34-73360 |
Oct. 15, 2014 |
Edward J. Hanrahan
Other Release No.: IC-31287
|
34-73350 |
Oct. 15, 2014 |
Judy K. Wolf
Other Release No.: IA-3947
|
IA-3946 |
Oct. 14, 2014 |
Paul Marshall
|
34-73345 |
Oct. 14, 2014 |
WebXU, Inc.
|
34-73337 |
Oct. 10, 2014 |
Genova Biotherapeutics, Inc., et al.
|
34-73336 |
Oct. 10, 2014 |
Cepheus Acquisition Corp., et al.
|
34-73335 |
Oct. 10, 2014 |
ErgoBilt, Inc., et al.
|
34-73334 |
Oct. 10, 2014 |
ATP Oil & Gas Corp., et al.
|
33-9662 |
Oct. 9, 2014 |
E*Trade Securities, LLC, and G1 Execution Services, LLC
Other Release No.: 34-73324
|
34-73323 |
Oct. 8, 2014 |
Sarkauskas and Associates, Inc. and James M. Sarkauskas,
|
34-73322 |
Oct. 8, 2014 |
JP Turner & Company, LLC, and William L. Mello
Note: See also
Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
|
IA-3944 |
Oct. 8, 2014 |
Michael Robert Balboa
|
34-73310 |
Oct. 7, 2014 |
Chaolei Marketing and Finance Company, et al.
|
34-73309 |
Oct. 7, 2014 |
Catalyst Group Holdings Corp., et al.
|
34-73307 |
Oct. 6, 2014 |
M. "Shi" Shailendra
|
34-73297 |
Oct. 3, 2014 |
Paul T. Mannion, Jr. and Andrew S. Reckles
Other Release Nos.: IA-3943, IC-31275
|
34-73294 |
Oct. 3, 2014 |
Peter A. Jenson, Chartered Accountant
Other Release No.: AAER-3589
|
34-73293 |
Oct. 3, 2014 |
Fox Petroleum, Inc., et al.
|
34-73273 |
Oct. 1, 2014 |
Brooklin Systems, Inc., et al.
|
34-73272 |
Oct. 1, 2014 |
Applied NeuroSolutions, Inc.
|
34-73271 |
Oct. 1, 2014 |
Bethesda C0801, Inc., et al.
|
Third Quarter |
34-73270 |
Sep. 30, 2014 |
Gloria Solomon
|
34-73263 |
Sep. 30, 2014 |
Jordan Peixoto
|
34-73262 |
Sep. 30, 2014 |
Filip Szymik
|
33-9660 |
Sep. 30, 2014 |
Paul Edward "Ed" Lloyd, Jr., CPA
Other Release Nos.: 34-73260, IA-3940, IC-31272
|
34-73254 |
Sep. 30, 2014 |
Cowlitz Bancorporation, First Place Financial Corp., and Kedem Pharmaceuticals, Inc.
|
34-73253 |
Sep. 30, 2014 |
Alaska Gold Corp., et al.
|
34-73252 |
Sep. 30, 2014 |
Linda Illumination, Inc.
|
34-73251 |
Sep. 30, 2014 |
AJ Acquisition Corp. I, Inc., et al.
|
34-73250 |
Sep. 29, 2014 |
Duncan J. MacDonald, III
|
34-73248 |
Sep. 29, 2014 |
Rothman Securities, Inc. and Theodore Rothman
|
34-73247 |
Sep. 29, 2014 |
Todd A. Duckson, Esq., CPA
|
33-9659 |
Sep. 29, 2014 |
Gregory T. Bolan, Jr. and Joseph C. Ruggieri
Other Release No.: 34-73244
|
34-73243 |
Sep. 29, 2014 |
Bank of America Corporation
Other Release No.: AAER-3588
|
34-73242 |
Sep. 29, 2014 |
China Valves Technology, Inc.,
|
34-73227 |
Sep. 26, 2014 |
Asia Cork, Inc., et al.
|
34-73226 |
Sep. 25, 2014 |
Kenneth C. Meissner, et al.
Other Release No.: IC-31266
|
34-73225 |
Sep. 25, 2014 |
David C. Sorrells
Other Release No.: IC-31265
|
IA-3939 |
Sep. 25, 2014 |
Highland Capital Management, L.P.
|
34-73224 |
Sep. 25, 2014 |
Mayer Hoffman McCann, P.C.
Other Release No.: AAER-3587
|
34-73223 |
Sep. 25, 2014 |
Eric Aronson
|
34-73222 |
Sep. 25, 2014 |
Tradebot Systems, Inc.
Other Release No.: AAER-3586
|
34-73219 |
Sep. 25, 2014 |
Colorado Financial Service Corporation
Other Release No.: IA-3938
|
34-73216 |
Sep. 25, 2014 |
Randal Kent Hansen
Other Release No.: IA-3937
|
33-9656 |
Sep. 25, 2014 |
Esir1, Inc.
|
33-9655 |
Sep. 25, 2014 |
Richard O'Leary
Other Release Nos.: 34-73213, IA-3936, IC-31263
|
IA-3935 |
Sep. 25, 2014 |
David Scott Cacchione
|
34-73209 |
Sep. 25, 2014 |
JDA Software Group, Inc.
Other Release No.: AAER-3585
|
34-73207 |
Sep. 25, 2014 |
Imaging Diagnostic Systems, Inc.
|
34-73206 |
Sep. 24, 2014 |
Yale I. Asbell
Other Release Nos.: IA-3933, IC-31260
|
34-73205 |
Sep. 24, 2014 |
William L. Walters
Other Release No.: IA-3932
|
34-73202 |
Sep. 24, 2014 |
Saba Software, Inc.
|
34-73201 |
Sep. 24, 2014 |
Babak ("Bobby") Yazdani
Other Release No.: AAER-3584
|
33-9654 |
Sep. 24, 2014 |
Saba Software, Inc., Patrick Farrell, et al.
Other Release Nos.: 34-73200, AAER-3583
|
34-73197 |
Sep. 23, 2014 |
David A. Roskein
|
IA-3930 |
Sep. 23, 2014 |
Nicholas Rowe
|
34-73186 |
Sep. 23, 2014 |
Blake Richards
Other Release No.: IA-3931
|
33-9653 |
Sep. 23, 2014 |
Registrar and Transfer Company and Thomas L. Montrone
Other Release No.: 34-73189
|
34-73183 |
Sep. 23, 2014 |
Barclays Capital Inc.
Other Release No.: IA-3929
|
34-73179 |
Sep. 23, 2014 |
ATP Oil & Gas Corp., et al.
|
34-73175 |
Sep. 22, 2014 |
Wells Fargo Advisors, LLC
Other Release No.: IA-3928
|
34-73172 |
Sep. 22, 2014 |
Albert Reda
|
34-73171 |
Sep. 22, 2014 |
Stephen Stuart
|
34-73170 |
Sep. 22, 2014 |
Richard Kranitz, Esq.
|
34-73169 |
Sep. 22, 2014 |
Richard Kranitz
|
34-73168 |
Sep. 22, 2014 |
Donald Gilbreath
|
34-73167 |
Sep. 22, 2014 |
Steven Berman
|
34-73166 |
Sep. 22, 2014 |
Steven Berman, Esq.
|
34-73165 |
Sep. 22, 2014 |
Karen Person
|
34-73164 |
Sep. 22, 2014 |
Muhammad ("M.J.") Shaheed
|
34-73163 |
Sep. 22, 2014 |
Kelly Black-White
|
34-73162 |
Sep. 22, 2014 |
John Jordan
|
34-73161 |
Sep. 22, 2014 |
Seijin Ki
|
34-73160 |
Sep. 22, 2014 |
James Prange
|
33-9648 |
Sep. 22, 2014 |
Daniel J. Gallagher
Other Release No.: 34-73173
|
IA-3927 |
Sep. 22, 2014 |
Lincolnshire Management, Inc.
|
34-73158 |
Sep. 22, 2014 |
Asia Cork, Inc., et al.
|
34-73157 |
Sep. 22, 2014 |
The Bank Holdings, et al.
|
34-73155 |
Sep. 19, 2014 |
GLG Partners, Inc.and GLG Partners, L.P.
Note: See also
Proposed Plan of Distribution
|
34-73139 |
Sep. 18, 2014 |
China Bus Group Co. (f/k/a Alpine Alpha 3, Ltd.), et al.
Note: See also
Chinese version of this Order
|
34-73138 |
Sep. 18, 2014 |
Corridor Ventures II Acquisition Corp., et al.
Note: See also
Chinese version of this Order
|
IA-3924 |
Sep. 18, 2014 |
Strategic Capital Group, LLC and N. Gary Price
|
34-73135 |
Sep. 18, 2014 |
AGR Tools, Inc., et al.
|
34-73133 |
Sep. 18, 2014 |
ErgoBilt, Inc., et al.
|
IA-3923 |
Sep. 17, 2014 |
John Allan Russell
|
34-73130 |
Sep. 17, 2014 |
Anthony Leon Semadeni
Other Release No.: IA-3922
|
34-73129 |
Sep. 17, 2014 |
Jeremy Michael Hart
Other Release No.: IA-3921
|
IA-3920 |
Sep. 17, 2014 |
Sean C. Cooper
Other Release No.: IC-31252
|
IA-3919 |
Sep. 17, 2014 |
Westend Capital Management, LLC
|
34-73127 |
Sep. 17, 2014 |
Comprehensive Capital Management, Inc.
|
34-73125 |
Sep. 17, 2014 |
Latour Trading LLC and Nicolas Niquet
|
34-73123 |
Sep. 16, 2014 |
James C. Parsons
|
34-73122 |
Sep. 16, 2014 |
Ironman Capital Management, LLC
|
34-73121 |
Sep. 16, 2014 |
Indaba Capital Management, L.P.
|
34-73120 |
Sep. 16, 2014 |
Great Point Partners, LLC
|
34-73119 |
Sep. 16, 2014 |
Formula Growth, Ltd.
|
34-73118 |
Sep. 16, 2014 |
Explorador Capital Management, LLC
|
34-73117 |
Sep. 16, 2014 |
East Side Holdings II, Inc.
|
34-73116 |
Sep. 16, 2014 |
Blackrock Institutional Trust Company, N.A.
|
34-73115 |
Sep. 16, 2014 |
Antipodean Advisors LLC
|
34-73114 |
Sep. 16, 2014 |
Advent Capital Management, LLC
|
34-73113 |
Sep. 16, 2014 |
Whitebox Advisors LLC
|
34-73112 |
Sep. 16, 2014 |
Vinci Partners Investimentos Ltda.
|
34-73111 |
Sep. 16, 2014 |
Troubh Partners LP
|
34-73110 |
Sep. 16, 2014 |
Suttonbrook Capital Management LP
|
34-73109 |
Sep. 16, 2014 |
Solus Alternative Asset Management LP
|
34-73108 |
Sep. 16, 2014 |
Nob Hill Capital Management, Inc.
|
34-73107 |
Sep. 16, 2014 |
Seawolf Capital, LLC
|
34-73106 |
Sep. 16, 2014 |
Rockwood Investment Management, Inc.
|
34-73105 |
Sep. 16, 2014 |
RA Capital Management, LLC
|
34-73104 |
Sep. 16, 2014 |
Midwood Capital Management LLC
|
34-73103 |
Sep. 16, 2014 |
ErgoBilt, Inc., et al.
|
34-73097 |
Sep. 15, 2014 |
Kevin P. O'Brien
|
34-73092 |
Sep. 15, 2014 |
Conquest Petroleum Inc. and Nexaira Wireless Inc.
|
34-73091 |
Sep. 15, 2014 |
Asian Dragon Group, Inc., et al.
|
34-73089 |
Sep. 15, 2014 |
Adarna Energy Corporation, et al.
|
34-73087 |
Sep. 12, 2014 |
Michael Lee Mendenhall
|
IA-3918 |
Sep. 12, 2014 |
Sean Michael Mueller
|
34-73086 |
Sep. 12, 2014 |
Michael J. Scaglione
|
34-73085 |
Sep. 12, 2014 |
ATP Oil & Gas Corp., et al.
|
34-73084 |
Sep. 12, 2014 |
International Building Technologies Group, Inc., et al.
|
34-73077 |
Sep. 11, 2014 |
Gary Harrison Lane
Other Release No.: IA-3915
|
34-73074 |
Sep. 11, 2014 |
Alexander W. Wright
Other Release No.: IA-3914
|
33-9646 |
Sep. 11, 2014 |
Wilmington Trust Corporation
Other Release Nos.: 34-73076, AAER-3582
|
34-73073 |
Sep. 11, 2014 |
Keith MacDonald Summers
|
34-73072 |
Sep. 11, 2014 |
ATP Oil & Gas Corp., et al.
|
34-73070 |
Sep. 10, 2014 |
Salim Ghauri
|
33-9645 |
Sep. 10, 2014 |
Gary H. Rabin
Other Release No.: 34-73067
|
33-9644 |
Sep. 10, 2014 |
Advanced Cell Technology, Inc.
Other Release No.: 34-73066
|
34-73065 |
Sep. 10, 2014 |
Ligang Wang
|
34-73064 |
Sep. 10, 2014 |
Raul S. McQuivey
|
34-73063 |
Sep. 10, 2014 |
Security Capital Research & Management Incorporated
|
34-73062 |
Sep. 10, 2014 |
Justin Tang
|
34-73061 |
Sep. 10, 2014 |
Thomas C. Nord
|
34-73060 |
Sep. 10, 2014 |
Sidney C. Hooper
|
34-73059 |
Sep. 10, 2014 |
Bradley S. Forsyth
|
34-73058 |
Sep. 10, 2014 |
Paul D. Arling
|
34-73057 |
Sep. 10, 2014 |
Charles F. Willis IV
|
34-73056 |
Sep. 10, 2014 |
Stephen Gans
|
34-73055 |
Sep. 10, 2014 |
Thomas J. Edelman
|
34-73054 |
Sep. 10, 2014 |
Stephen Adams
|
34-73053 |
Sep. 10, 2014 |
Willis Lease Finance Corporation
|
34-73052 |
Sep. 10, 2014 |
Tel-Instrument Electronics Corp.
|
34-73051 |
Sep. 10, 2014 |
KMG Chemicals, Inc.
|
34-73050 |
Sep. 10, 2014 |
Jones Lang LaSalle Incorporated
|
34-73049 |
Sep. 10, 2014 |
Paul C. Cronson
|
34-73048 |
Sep. 10, 2014 |
Del Mar Asset Management, LP
|
34-73047 |
Sep. 10, 2014 |
Brown Brothers Harriman & Co.
|
34-73046 |
Sep. 10, 2014 |
Neil Gagnon
|
34-73045 |
Sep. 10, 2014 |
The Royal Bank of Scotland Group plc
|
34-73044 |
Sep. 10, 2014 |
Peter R. Kellogg
|
34-73043 |
Sep. 10, 2014 |
Donald A. Nunemaker
|
34-73042 |
Sep. 10, 2014 |
Alan M. Schnaid
|
34-73041 |
Sep. 10, 2014 |
Starwood Hotel & Resorts Worldwide, Inc.
|
34-73040 |
Sep. 10, 2014 |
Edgar W. Levin
|
34-73039 |
Sep. 10, 2014 |
Lazarus Management Company LLC
|
34-73038 |
Sep. 10, 2014 |
P.A.W. Capital Partners, L.P.
|
34-73037 |
Sep. 10, 2014 |
RIMA Senvest Management, LLC
|
34-73036 |
Sep. 10, 2014 |
Sankaty Advisors, LLC
|
34-73035 |
Sep. 10, 2014 |
Gregory M. Shepard
|
34-73034 |
Sep. 10, 2014 |
Trinad Management, LLC
|
34-73033 |
Sep. 10, 2014 |
Universal Electronics Inc.
|
34-73032 |
Sep. 10, 2014 |
Ridgeback Capital Management LP
|
34-73031 |
Sep. 9, 2014 |
Fox Petroleum, Inc., et al.
|
34-73030 |
Sep. 9, 2014 |
Bio Oil National Corp., et al.
Note: See also
Slovak version of this Order
|
34-73018 |
Sep. 9, 2014 |
Black Hawk Exploration, et al.
|
IA-3913 |
Sep. 8, 2014 |
Douglas E. Cowgill
|
IA-3912 |
Sep. 5, 2014 |
John Thomas Pappas
|
33-9642 |
Sep. 5, 2014 |
Mark Crosby Nevdahl
Other Release Nos.: 34-73016, IC-31243
|
34-73012 |
Sep. 5, 2014 |
Linkbrokers Derivatives LLC
|
34-73002 |
Sep. 5, 2014 |
Bethesda C0801, Inc., et al.
Note: See also
Chinese version of this Order
|
34-73001 |
Sep. 5, 2014 |
AJ Acquisition Corp. I, Inc., et al.
|
34-73000 |
Sep. 5, 2014 |
Bellavista Capital, Inc., et al.
|
34-72999 |
Sep. 4, 2014 |
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
|
34-72981 |
Sep. 4, 2014 |
Bay Acquisition Corp.(a/k/a Securelogic Corp.)(n/k/a Goozex Holdings, Inc.), et al.
|
34-72979 |
Sep. 4, 2014 |
Asia Cork, Inc., et al.
|
34-72977 |
Sep. 4, 2014 |
AISystems, Inc. (a/k/a Airline Intelligence Systems, Inc.), et al.
|
33-9637 |
Sep. 4, 2014 |
Eugene M. Egeberg III, CPA
Other Release Nos.: 34-72976, AAER-3580
|
34-72962 |
Sep. 3, 2014 |
BNY Mellon Securities, LCC and Mark Shaw
|
IA-3909 |
Sep. 2, 2014 |
Brian K. Velten
|
34-72958 |
Sep. 2, 2014 |
Jesse C. Litvak
|
34-72952 |
Sep. 2, 2014 |
Christina M. Kitterman
|
34-72951 |
Sep. 2, 2014 |
Douglas L. Bates
|
34-72950 |
Sep. 2, 2014 |
The Robare Group, Ltd., Mark L. Robare, and Jack L. Jones Jr.
Other Release Nos.: IA-3907, IC-31237
|
IA-3906 |
Aug. 28, 2014 |
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C.
|
34-72938A |
Aug. 28, 2014 |
Lynn R. Blodgett and Kevin R. Kyser, CPA (Corrected)
Other Release No.: AAER-3578A
|
34-72940 |
Aug. 28, 2014 |
QSGI Inc.
|
34-72935 |
Aug. 27, 2014 |
Alto Group Holdings, Inc., et al.
|
34-72934 |
Aug. 27, 2014 |
Michael Pino
|
34-72931 |
Aug. 27, 2014 |
Clavis Technologies International Co., Ltd.
|
34-72929 |
Aug. 27, 2014 |
Gold Horse International, Inc.
|
34-72927 |
Aug. 27, 2014 |
Xinde Technology Company
|
34-72925 |
Aug. 27, 2014 |
China Wood, Inc.
|
34-72922 |
Aug. 26, 2014 |
Brian Scott Zwerner
Other Release No.: IA-3905
|
IA-3904 |
Aug. 26, 2014 |
Edgar R. Page and Pageone Financial Inc.
Other Release No.: IC-31223
|
34-72913 |
Aug. 26, 2014 |
Symbollon Pharmaceuticals, Inc.
|
34-72912 |
Aug. 26, 2014 |
Advanced Water Technology Holdings, Inc., et al.
|
34-72910 |
Aug. 25, 2014 |
China Clean Energy Acquisition Corp., et al.
|
34-72907 |
Aug. 25, 2014 |
Datascension, Inc., et al.
|
34-72906 |
Aug. 22, 2014 |
Donna Jessee Tucker
|
34-72905 |
Aug. 22, 2014 |
Stephen Walsh
Other Release No.: IA-3903
|
33-9634 |
Aug. 22, 2014 |
AirTouch Communications, Inc., Hideyuki Kanakubo, and Jerome Kaiser, CPA
Other Release Nos.: 34-72904, AAER-3576
|
34-72900 |
Aug. 22, 2014 |
Demosthenes Dritsas
|
34-72898 |
Aug. 22, 2014 |
Dean R. Baker
|
34-72897 |
Aug. 22, 2014 |
Daniel R. Baker
|
IA-3900 |
Aug. 21, 2014 |
Founding Partners Capital Management Company
|
34-72888 |
Aug. 21, 2014 |
Bank of America Corporation
|
34-72887 |
Aug. 20, 2014 |
Randi A. Bochinski
|
IA-3899 |
Aug. 20, 2014 |
Walter Ng
|
IA-3898 |
Aug. 20, 2014 |
Kelly Ng
|
34-72886 |
Aug. 20, 2014 |
Monness, Crespi, Hardt & Co., Inc.
|
34-72877 |
Aug. 20, 2014 |
Zhidali Radio and Television Network, Inc.
|
34-72876 |
Aug. 20, 2014 |
Crescent Banking Co., et al.
|
34-72875 |
Aug. 20, 2014 |
Angel Acquisition Corp. n/k/a Biogeron, Inc.
|
34-72874 |
Aug. 20, 2014 |
China Power Technology, Inc.
|
34-72873 |
Aug. 20, 2014 |
LifeHealthCare, Inc., Smartlinx, Inc., and Total Apparel Group, Inc.
|
34-72872 |
Aug. 20, 2014 |
ATP Oil & Gas Corp., et al.
|
34-72870 |
Aug. 20, 2014 |
International Building Technologies Group, Inc., et al.
|
34-72868 |
Aug. 19, 2014 |
Donald R. French, Jr.
|
34-72863 |
Aug. 19, 2014 |
Balaton Power, Inc. and Flying Eagle PU Technical Corp. (f/k/a Sooner Holdings, Inc.)
Note: See also
Chinese version of this Order
|
34-72861 |
Aug. 18, 2014 |
Scott Ashton Riggs
|
34-72859 |
Aug. 18, 2014 |
Matthew P. Ionno
|
34-72858 |
Aug. 18, 2014 |
Bellavista Capital, Inc., et al.
|
34-72856 |
Aug. 15, 2014 |
Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC
|
34-72852 |
Aug. 15, 2014 |
China Sky One Medical, Inc.
|
34-72851 |
Aug. 14, 2014 |
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
Note: See also
Proposed Plan of Distribution First Payment Default Practice; Exhibit A; Exhibit B
Comments due: (30) days from the date of this Notice
Comments received are available for this proposed plan.
|
34-72850 |
Aug. 14, 2014 |
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
Note: See also
Proposed Plan of Distribution
Bulk Settlement Practice; Exhibit A; Exhibit B
Comments due: (30) days from the date of this Notice
Comments received are available for this proposed plan.
|
34-72846 |
Aug. 14, 2014 |
Linkbrokers Derivatives LLC
|
34-72845 |
Aug. 14, 2014 |
BDO China Dahua CPA Co. Ltd., et al.
Other Release No.: AAER-3575
|
34-72843 |
Aug. 14, 2014 |
Black Hawk Exploration, et al.
|
34-72840 |
Aug. 13, 2014 |
Walter L. Ross
|
34-72838 |
Aug. 13, 2014 |
Richard J. Buswell
Other Release No.: IA-3896
|
33-9630 |
Aug. 13, 2014 |
Keith MacDonald Summers
Other Release Nos.: 34-72836, IA-3895, IC-31210
|
34-72832 |
Aug. 13, 2014 |
Nicholas D. Skaltsounis
Other Release No.: IA-3894
|
34-72829 |
Aug. 13, 2014 |
Asia Global Holdings Corp., et al.
|
34-72827 |
Aug. 12, 2014 |
Fred Golt
Other Release No.: IC-31208
|
34-72819 |
Aug. 12, 2014 |
IPKV Holdings, Inc., et al.
|
34-72818 |
Aug. 12, 2014 |
Bering Growth Corp., et al.
|
33-9629 |
Aug. 11, 2014 |
The State of Kansas
|
34-72800 |
Aug. 8, 2014 |
G-Trade Services LLC, Convergex Global Markets Limited, and Convergex Execution Solutions LLC
|
34-72797 |
Aug. 8, 2014 |
Crucible Capital Group, Inc. and Charles Moore
Other Release No.: IC-31201
|
34-72795 |
Aug. 8, 2014 |
Bret A. Grove
|
34-72794 |
Aug. 8, 2014 |
BioMedical Technology Solutions Holdings, Inc., et al.
|
34-72793 |
Aug. 8, 2014 |
ErgoBilt, Inc., et al.
|
34-72792 |
Aug. 8, 2014 |
China Everhealth Corp., et al.
|
34-72783 |
Aug. 7, 2014 |
OCTuS, Inc., et al.
|
34-72782 |
Aug. 7, 2014 |
Crescent Banking Co., et al.
|
34-72781 |
Aug. 7, 2014 |
BioMedical Technology Solutions Holdings, Inc., et al.
|
34-72776 |
Aug. 6, 2014 |
Global Stevia Corp.
|
34-72775 |
Aug. 6, 2014 |
Carbon 612 Corporation, et al.
|
34-72774 |
Aug. 6, 2014 |
Datascension, Inc., et al.
|
34-72772 |
Aug. 6, 2014 |
Conquest Petroleum Inc. and Nexaira Wireless Inc.
|
34-72770 |
Aug. 6, 2014 |
Amico Games Corp., et al.
|
34-72767 |
Aug. 5, 2014 |
Robert B. Cook, Esq.
|
33-9622 |
Aug. 5, 2014 |
Keiko Kawamura
Other Release Nos.: 34-72764, IA-3888, IC-31198
|
34-72757 |
Aug. 5, 2014 |
FLM Minerals, Inc.
|
33-9621 |
Aug. 4, 2014 |
Houston American Energy Corp., John F. Terwilliger, Jr., Undiscovered Equities Inc., and Kevin T. Mcknight
Other Release No.: 34-72749
|
34-72746 |
Aug. 4, 2014 |
Alaska Gold Corp., et al.
|
34-72745 |
Aug. 4, 2014 |
China Digital Animation Development, Inc.
|
34-72744 |
Aug. 1, 2014 |
Knight Securities L.P.
|
IA-3887 |
Aug. 1, 2014 |
Keith Wellner
|
34-72738 |
Aug. 1, 2014 |
The Phoenix Companies, Inc. and PHL Variable Insurance Company
|
34-72737 |
Aug. 1, 2014 |
Derl H. Knarr
|
34-72735 |
Aug. 1, 2014 |
Keith Wellner, Esq.
|
34-72734 |
Aug. 1, 2014 |
China Green Lighting Limited, et al.
|
34-72731 |
Jul. 31, 2014 |
David H. Stern
|
IA-3886 |
Jul. 31, 2014 |
Neal V. Goyal
|
IA-3885 |
Jul. 31, 2014 |
Jason D. Huntley
Other Release No.: IC-31196
|
33-9620 |
Jul. 31, 2014 |
Michael A. Horowitz and Moshe Marc Cohen
Other Release Nos.: 34-72729, IA-3884, IC-31195
|
34-72726 |
Jul. 31, 2014 |
Accredited Business Consolidators Corp., et al.
|
34-72724 |
Jul. 30, 2014 |
Mark Feathers
|
34-72723 |
Jul. 30, 2014 |
Marc Sherman
Other Release No.: AAER-3573
|
34-72722 |
Jul. 30, 2014 |
Edward L. Cummings, CPA
Other Release No.: AAER-3572
|
34-72707 |
Jul. 29, 2014 |
Select Fidelity Transfer Services, Ltd.
|
34-72702 |
Jul. 29, 2014 |
Robert G. Pearson
|
34-72698 |
Jul. 29, 2014 |
Pro-Tech Industries, Inc., Vida Life International Ltd., Vitavea, Inc., Western Power & Equipment Corp., and Westmont Resources, Inc.
|
34-72694 |
Jul. 28, 2014 |
Dominick & Dominick LLC and Robert X. Reilly
Other Release No.: IA-3881
See also: Waiver, Release No. 33-9619
|
34-72678 |
Jul. 28, 2014 |
Smith & Wesson Holding Corporation
Other Release No.: AAER-3571
|
34-72673 |
Jul. 25, 2014 |
LavaFlow, Inc.
|
34-72672 |
Jul. 24, 2014 |
Debra L. Hobbs, CPA
Other Release No.: AAER-3570
|
34-72671 |
Jul. 24, 2014 |
John ("Jack") J. Egan, Jr., CPA
Other Release No.: AAER-3569
|
34-72667 |
Jul. 24, 2014 |
Charles L. Rizzo and Gina M. Hornbogen
See also: Amended Plan of Distribution (Jul. 24, 2014)
|
33-9617 |
Jul. 24, 2014 |
Morgan Stanley and Co. LLC, et al.
See also: Waiver, Release No. 33-9618
|
34-72663 |
Jul. 24, 2014 |
BioMedical Technology Solutions Holdings, Inc., et al.
|
34-72662 |
Jul. 24, 2014 |
Premier Beverage Group Corp.
|
IA-3880 |
Jul. 23, 2014 |
John Vincent Greco
|
34-72656 |
Jul. 23, 2014 |
International Development and Environmental Holdings
|
34-72653 |
Jul. 22, 2014 |
Bernard H. Butts, Jr., Esq.
|
34-72648 |
Jul. 21, 2014 |
mBeach Software, Inc.
|
34-72637 |
Jul. 17, 2014 |
Robert C. Trosten, CPA
Other Release No.: AAER-3567
|
34-72635 |
Jul. 17, 2014 |
Lakeside Capital Management, LLC and Dennis H. Daugs, Jr.
Other Release Nos.: IA-3877, IC-31159
|
34-72612 |
Jul. 16, 2014 |
Alaska Gold Corp., Blaze Energy Corp., Call Now, Inc., Hunt Global Resources, Inc., Imperial Petroleum Recovery Corporation, Metropolitan Mines Corporation, Limited, and Sulphco, Inc.
|
33-9615 |
Jul. 16, 2014 |
Erik H. Perry
Other Release No.: 34-72618
|
33-9614 |
Jul. 16, 2014 |
Natural Blue Resources, Inc., James E. Cohen, and Joseph A. Corazzi
Other Release No.: 34-72617
|
33-9613 |
Jul. 16, 2014 |
Toney Anaya
Other Release No.: 34-72616
|
34-72614 |
Jul. 16, 2014 |
Cloudeeva, Inc.
|
34-72613 |
Jul. 16, 2014 |
Cybermesh International Corp., et al.
|
34-72610 |
Jul. 15, 2014 |
Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company
|
34-72609 |
Jul. 15, 2014 |
Albert Hallac
Other Release No.: IA-3876
|
34-72602 |
Jul. 14, 2014 |
Ernst & Young LLP
Other Release No.: AAER-3566
|
34-72599 |
Jul. 11, 2014 |
Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Joseph Thompson Weller, CPA
See also: Modified Plan of Distribution (Aug. 16, 2013)
|
34-72598 |
Jul. 11, 2014 |
Packetport.Com, Inc., Ronald Durando, Microphase Corp., Robert H. Jaffe, Gustave Dotoli, M. Christopher Agarwal, and Theodore Kunzog
See also: Final Plan of Distribution (Dec. 12, 2011)
|
34-72593 |
Jul. 11, 2014 |
AISystems, Inc. (a/k/a Airline Intelligence Systems, Inc.), et al.
|
34-72581 |
Jul. 10, 2014 |
ErgoBilt, Inc., et al.
|
34-72579 |
Jul. 10, 2014 |
Crescent Banking Co., et al.
|
34-72578 |
Jul. 10, 2014 |
Assured Equities IV Corp., et al.
|
34-72577 |
Jul. 9, 2014 |
Cheryl L. Robinson
|
34-72568 |
Jul. 9, 2014 |
Amcore Financial, Inc., et al.
|
33-9611 |
Jul. 8, 2014 |
Lawrence M. Labine
Other Release Nos.: 34-72562, IA-3873, IC-31151
|
33-9610 |
Jul. 8, 2014 |
Kings Canyon Joint Unified School District
|
34-72557 |
Jul. 8, 2014 |
Child, Van Wagoner & Bradshaw, PLLC, Russell E. Anderson, CPA, and Marty Van Wagoner, CPA
Other Release No.: AAER-3565
|
34-72552 |
Jul. 8, 2014 |
ATS Corporation, et al.
|
34-72541 |
Jul. 3, 2014 |
Chariot Advisors, LLC and Elliott L. Shifman
Other Release Nos.: IA-3872, IC-31149
|
IA-3871 |
Jul. 3, 2014 |
Thomas D. Renison
|
34-72529 |
Jul. 3, 2014 |
Radient Pharmaceuticals Corporation
|
34-72521 |
Jul. 2, 2014 |
William W. Vowell
|
34-72520 |
Jul. 2, 2014 |
Steven J. Niemis
|
34-72519 |
Jul. 2, 2014 |
Tina M. Lizzio
|
34-72518 |
Jul. 2, 2014 |
Carmela Brocco
|
34-72517 |
Jul. 2, 2014 |
Derek W. Bakarich
|
IA-3869 |
Jul. 2, 2014 |
Anthony J. Davian
|
34-72516 |
Jul. 2, 2014 |
W. Mark Miller, CPA
Other Release No.: AAER-3563
|
34-72515 |
Jul. 2, 2014 |
Signalpoint Asset Management, LLC, et al.
Other Release No.: IA-3868
|
34-72508 |
Jul. 1, 2014 |
China Everhealth Corp., et al.
Note: See also
Chinese version of this Order
|
34-72507 |
Jul. 1, 2014 |
Catalyst Group Holdings Corp., et al.
|
34-72505 |
Jul. 1, 2014 |
Ronald E. Huxtable II
|
33-9608 |
Jul. 1, 2014 |
EFP Rotenberg, LLP and Nicholas R. Bottini, CPA
Other Release Nos.: 34-72503, AAER-3562
|
Second Quarter |
34-72496 |
Jun. 30, 2014 |
The Bank Holdings, et al.
|
34-72494 |
Jun. 27, 2014 |
Chris Choi, CPA
Other Release No.: AAER-3561
|
IA-3864 |
Jun. 27, 2014 |
S.A.C. Capital Advisors, L.P., et al.
|
34-72487 |
Jun. 27, 2014 |
G-Trade Services LLC, et al.
|
34-72486 |
Jun. 26, 2014 |
JP Turner & Company, LLC, and William L. Mello
|
34-72481 |
Jun. 26, 2014 |
Anthony M. Livoti, Jr.
|
34-72476 |
Jun. 25, 2014 |
Theodore R. Maloney, Esq.
|
34-72475 |
Jun. 25, 2014 |
Brooklin Systems, Inc., Hartman & Associates, Inc., Kona Coast Systems, Inc., Middlebrook Pharmaceuticals, Inc., and Southfield Energy Corp.,
|
33-9606 |
Jun. 25, 2014 |
Jeffrey C. Kuehr and Michael J. Willoughby
Other Release Nos.: 34-72471, AAER-3560
|
33-9605 |
Jun. 25, 2014 |
Thomas A. Neely, Jr.,
Other Release Nos.: 34-72470, AAER-3559
|
34-72463 |
Jun. 25, 2014 |
Thomas H. Redmond, Jr.
Other Release No.: IA-3863
|
33-9604 |
Jun. 24, 2014 |
David J. Montanino
Other Release Nos.: 34-72461, IA-3862, IC-31096
|
34-72456 |
Jun. 24, 2014 |
Cepheus Acquisition Corp., et al.
Note: See also
Chinese version of this Order
|
34-72451 |
Jun. 24, 2014 |
Biomedical Technology Solutions Holdings, Inc., et al.
|
34-72446 |
Jun. 23, 2014 |
Castle Arch Real Estate Investment Co., LLC, et al.
|
IA-3859 |
Jun. 20, 2014 |
TL Ventures Inc.
|
IA-3858 |
Jun. 20, 2014 |
Penn Mezzanine Partners Management, L.P.
|
34-72438 |
Jun. 20, 2014 |
Valley Forge Composite Technologies, Inc.
|
34-72431 |
Jun. 19, 2014 |
Douglas Costabile
|
34-72430 |
Jun. 19, 2014 |
GLG Partners, Inc. and GLG Partners, L.P.
|
34-72429 |
Jun. 18, 2014 |
Charles L. Rizzo and Gina M. Hornbogen
Note: See also
Amended Proposed Plan of Distribution
|
34-72427 |
Jun. 18, 2014 |
I. John Benson, CPA,
Other Release No.: AAER-3558
|
34-72424 |
Jun. 18, 2014 |
Alicia Bryan
|
34-72423 |
Jun. 18, 2014 |
Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras)
|
34-72419 |
Jun. 18, 2014 |
North East Capital, LLC. and Anthony T. Vicidomine
|
34-72417 |
Jun. 18, 2014 |
AISystems, Inc. (a/k/a Airline Intelligence Systems, Inc.), et al.
|
34-72415 |
Jun. 18, 2014 |
Advanced Water Technology Holdings, Inc., et al.
|
33-9601 |
Jun. 17, 2014 |
Michael C. French, Esq.
Other Release No.: 34-72414
|
34-72409 |
Jun. 17, 2014 |
Robert D. Graham, Esq.
|
34-72404 |
Jun. 17, 2014 |
Asia Global Holdings Corp., et al.
|
34-72403 |
Jun. 17, 2014 |
Applied NeuroSolutions, Inc., et al.
|
34-72401 |
Jun. 17, 2014 |
Crescent Banking Co., et al.
|
34-72393 |
Jun. 16, 2014 |
Paradigm Capital Management, Inc.
Other Release No.: IA-3857
|
34-72380 |
Jun. 12, 2014 |
Larry R. Polhill
|
IA-3856 |
Jun. 12, 2014 |
Siming Yang
|
34-72372 |
Jun. 12, 2014 |
Carbon 612 Corporation, et al.
|
IA-3855 |
Jun. 11, 2014 |
Thomas E. Meade
Other Release No.: IC-31078
|
34-72363 |
Jun. 11, 2014 |
Richard R. Hylland, CPA
Other Release No.: AAER-3557
|
33-9599 |
Jun. 11, 2014 |
Robert C. Acri
Other Release Nos.: 34-72370, IA-3854, IC-31077
|
IA-3853 |
Jun. 11, 2014 |
Michael S. Steinberg
|
34-72369 |
Jun. 11, 2014 |
Hendrx Corp., et al.
|
34-72368 |
Jun. 11, 2014 |
Aclor International, Inc., et al.
|
34-72367 |
Jun. 11, 2014 |
LifeHealthCare, Inc., et al.
|
34-72365 |
Jun. 11, 2014 |
The Bank Holdings, et al.
|
IA-3851 |
Jun. 10, 2014 |
Saul Meyer
|
IA-3850 |
Jun. 10, 2014 |
Robert G. Bard
|
IA-3849 |
Jun. 10, 2014 |
Vision Specialist Group, LLC
|
34-72353 |
Jun. 9, 2014 |
Christopher B. Mintz
Other Release Nos.: IA-3848
|
33-9597 |
Jun. 9, 2014 |
Dennis J. Malouf
Other Release Nos.: 34-72352, IA-3847, IC-31073
|
IA-3846 |
Jun. 9, 2014 |
UASNM, Inc.
|
34-72345 |
Jun. 6, 2014 |
Kenneth Gross
|
34-72341 |
Jun. 6, 2014 |
Symbollon Pharmaceuticals, Inc.
|
34-72340 |
Jun. 6, 2014 |
Wedbush Securities Inc., Jeffrey Bell, and Christina Fillhart
Other Release No.: IA-3845
|
33-9596 |
Jun. 6, 2014 |
Liquidnet, Inc.
Other Release No.: 34-72339
|
34-72335 |
Jun. 5, 2014 |
Brian R. Reiss, Esq.
|
34-72334 |
Jun. 5, 2014 |
George B. Franz III and Ruby Corporation
|
34-72322 |
Jun. 5, 2014 |
China Power Technology, Inc.
|
34-72320 |
Jun. 5, 2014 |
Zhidali Radio and Television Network, Inc.
|
34-72318 |
Jun. 5, 2014 |
China Digital Animation Development, Inc.
|
34-72316 |
Jun. 5, 2014 |
FLM Minerals, Inc.
|
34-72310 |
Jun. 4, 2014 |
Philip T. Powers
|
34-72304 |
Jun. 4, 2014 |
China Shen Zhou Mining & Resources, Inc., et al.
|
34-72303 |
Jun. 3, 2014 |
J.P. Morgan Securities Inc.
|
33-9595 |
Jun. 3, 2014 |
Diamond Lane, Inc. |
33-9594 |
Jun. 3, 2014 |
Shopeye, Inc. |
33-9593 |
Jun. 3, 2014 |
Sunchip Technology, Inc.
|
33-9592 |
Jun. 3, 2014 |
Erik T. Voorhees
|
34-72296 |
Jun. 2, 2014 |
BDO China Dahua CPA Co., Ltd, et al.
Other Release No.: AAER-3556
|
34-72295 |
Jun. 2, 2014 |
Advanced Water Technology Holdings, Inc., et al.
|
IC-31066 |
Jun. 2, 2014 |
Christopher B. Ruffle
|
34-72290 |
Jun. 2, 2014 |
John J. Bravata, Richard J. Trabulsy, and Antonio M. Bravata
Other Release No.: IA-3842
|
34-72289 |
Jun. 2, 2014 |
S. Paul Kelley
|
34-72287 |
Jun. 2, 2014 |
Cloudeeva, Inc.
|
IA-3840 |
May 30, 2014 |
Everett C. Miller
|
34-72285 |
May 30, 2014 |
Shawn C. Hegedus
|
34-72282 |
May 30, 2014 |
Behrooz Sarafraz
|
34-72275 |
May 29, 2014 |
Richard Olive
|
34-72274 |
May 29, 2014 |
Susan Olive
|
34-72270 |
May 29, 2014 |
Carbon 612 Corporation, et al.
|
34-72264 |
May 28, 2014 |
Asia Global Holdings Corp., et al.
|
34-72262 |
May 28, 2014 |
NextFit, Inc., et al.
|
34-72261 |
May 28, 2014 |
George Foreman Enterprises, Inc., et al.
|
34-72259 |
May 27, 2014 |
Randi A. Bochinski
|
34-72258 |
May 27, 2014 |
Albert E. Gilner
|
34-72257 |
May 27, 2014 |
Donald R. French, Jr.
|
34-72256 |
May 27, 2014 |
Blayne S. Davis
|
34-72249 |
May 23, 2014 |
Marcus A. Luna, Esq.
|
34-72247 |
May 23, 2014 |
GLG Partners, Inc. and GLG Partners, L.P.
|
34-72237 |
May 23, 2014 |
Pro-Tech Industries, Inc., et al.
|
34-72235 |
May 23, 2014 |
Ideal Financial Solutions, Inc., and 1st Pacific Bancorp
|
34-72233 |
May 23, 2014 |
OCTuS, Inc., et al.
|
34-72231 |
May 22, 2014 |
G-2 Trading LLC
|
34-72222 |
May 22, 2014 |
International Development and Environmental Holdings
|
34-72219 |
May 22, 2014 |
Angel Acquisition Corp. n/k/a BioGeron, Inc.
|
34-72217 |
May 22, 2014 |
IVI Communications, Inc., et al.
|
34-72212 |
May 21, 2014 |
Genesis Advisory Services Corp., ABJ Societe Anonyme Corp., and Bruce J. Fixelle
Other Release No.: IA-3839
|
34-72211 |
May 21, 2014 |
Ironbird Capital LLC
|
34-72209 |
May 21, 2014 |
Steven B. Heinz
Other Release No.: IA-3837
|
34-72201 |
May 21, 2014 |
China Green Lighting Limited, et al.
Note: See also
Chinese version of this Order
|
34-72199 |
May 20, 2014 |
Bryce Walker, CA and Spence Walker, CA, CPA
Other Release No.: AAER-3555
|
34-72198 |
May 20, 2014 |
James T. Adams, CPA
Other Release No.: AAER-3554
|
34-72189 |
May 20, 2014 |
Amcore Financial, Inc., et al.
|
34-72188 |
May 19, 2014 |
Matthew Scott Menies
|
34-72187 |
May 19, 2014 |
Lindsey Alan Wetzig
|
34-72186 |
May 19, 2014 |
Michael H. Johnson
Other Release No.: IC-31049
|
34-72185 |
May 19, 2014 |
Thomas R. Delaney II and Charles W. Yancey
Other Release No.: IC-31048
|
34-72181 |
May 16, 2014 |
JPMorgan Chase & Co.
|
34-72175 |
May 16, 2014 |
Tennessee Commerce Bancorp, Inc.
|
34-72171 |
May 15, 2014 |
Rafferty Capital Markets, LLC
|
34-72168 |
May 15, 2014 |
Assured Equities IV Corp., et al. |
34-72167 |
May 15, 2014 |
Newnan Coweta Bancshares, Inc., et al. |
34-72166 |
May 15, 2014 |
Cybermesh International Corp., et al. |
34-72155 |
May 13, 2014 |
Christopher D. Wiest
|
34-72146 |
May 9, 2014 |
G-Trade Services LLC, et al.
Note: See also Proposed Distribution Plan
Comments received are available for this proposal.
|
IA-3834 |
May 9, 2014 |
Mark F. Spangler
|
34-72145 |
May 9, 2014 |
Gurudeo Persaud
Other Release No.: IA-3833
|
34-72144 |
May 9, 2014 |
Shawn H. Moore (Corrected) |
IA-3831 |
May 8, 2014 |
Ronald N. Dennis
|
34-72121 |
May 8, 2014 |
Imaging Diagnostic Systems, Inc.
|
34-72112 |
May 7, 2014 |
Amcore Financial, Inc., et al.
|
34-72111 |
May 7, 2014 |
Environmental Energy Services, Inc., et al.
|
34-72110 |
May 7, 2014 |
ATS Corporation, et al.
|
34-72091 |
May 5, 2014 |
Ads In Motion, Inc., Pulmo Biotech, Inc., and Trimedia Entertainment Group, Inc.
|
34-72093 |
May 5, 2014 |
GeNOsys, Inc.
|
33-9581 |
May 1, 2014 |
Diego F. Hernandez, the Wealth Management Partners, LLC, Wealth Financial, Limited Liability Company, DFHR Investments, Inc., and HD Mile High Marketing, Inc.
Other Release Nos.: 34-72073, IA-3828, IC-31037
|
34-72072 |
May 1, 2014 |
Jauyo ("Jason") Lee
|
34-72065 |
May 1, 2014 |
New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C.
|
34-72063 |
May 1, 2014 |
Advanced Pipe Fitting Technologies, Inc.
|
34-72062 |
May 1, 2014 |
The Enlightened Gourmet, Inc., et al.
|
34-72061 |
May 1, 2014 |
Power Air Corporation, et al.
|
34-72058 |
Apr. 30, 2014 |
George B. Franz III and Ruby Corporation
Other Release Nos.: IA-3826, IC-31035
Additional Materials: Exhibit 1 |
34-72043 |
Apr. 29, 2014 |
Assured Equities IV Corp., et al.
|
33-9579 |
Apr. 28, 2014 |
Stanley Jonathan Fortenberry (a/k/a S.J. Fortenberry, John Fortenberry, and Johnny Fortenberry)
Other Release Nos.: 34-72034, IA-3825, IC-31031
|
34-72024 |
Apr. 25, 2014 |
Shimul A. Shah
|
34-72023 |
Apr. 25, 2014 |
Suken A. Shah
|
34-72022 |
Apr. 25, 2014 |
Aharon R. Yehuda
|
34-72021 |
Apr. 25, 2014 |
Oded Gabay
|
34-72011 |
Apr. 23, 2014 |
Blair Alexander West |
34-72010 |
Apr. 23, 2014 |
Jane E. O'brien
Other Release No.: IA-3823
|
34-72004 |
Apr. 23, 2014 |
Timothy M. McGinn and, David L. Smith
Other Release No.: IA-3821
|
34-72005 |
Apr. 23, 2014 |
Anthony J. Price, CPA
Other Release No.: AAER-3551
|
34-71997 |
Apr. 23, 2014 |
Aclor International, Inc., et al.
|
34-71996 |
Apr. 23, 2014 |
Tweeter Home Entertainment Group, Inc. (a/k/a Twtr, Inc), et al.
|
34-71995 |
Apr. 23, 2014 |
North China Horticulture, Inc.
|
34-71994 |
Apr. 22, 2014 |
Brian Williamson, Esq.
|
34-71993 |
Apr. 22, 2014 |
Matthew D. Sample
Other Release No.: IA-3820
|
34-71992 |
Apr. 22, 2014 |
Castle Arch Real Estate Investment Co., et al.
|
34-71991 |
Apr. 22, 2014 |
Armand R. Franquelin
|
34-71984 |
Apr. 22, 2014 |
Kevin Patrick Brody
|
34-71975 |
Apr. 21, 2014 |
Michael Gordon
|
34-71974 |
Apr. 21, 2014 |
Valley Forge Composite Technologies, Inc.
|
34-71969 |
Apr. 17, 2014 |
Julianne Chalmers
|
34-71967 |
Apr. 17, 2014 |
Philip Mark Cain
Other Release No.: IA-3819
|
34-71955 |
Apr. 16, 2014 |
Kenneth C. Tebbs
|
34-71951 |
Apr. 15, 2014 |
Scott T. Veech, CPA
Other Release No.: AAER-3550
|
34-71949 |
Apr. 15, 2014 |
Robert C. Rice
|
33-9575 |
Apr. 15, 2014 |
Total Wealth Management, Inc., et al.
Other Release Nos.: 34-71948, IA-3818, IC-31017
Additional Materials: Exhibit A
|
34-71947 |
Apr. 15, 2014 |
Amcore Financial, Inc., et al.
|
34-71944 |
Apr. 14, 2014 |
Patrick J. Booths
|
34-71943 |
Apr. 14, 2014 |
Joshua D. Spivey
|
34-71942 |
Apr. 14, 2014 |
Steven J. Little
|
34-71937 |
Apr. 11, 2014 |
Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim
|
34-71930 |
Apr. 11, 2014 |
Falcon Oil & Gas Co., Inc., et al.
|
34-71929 |
Apr. 11, 2014 |
AgFeed Industries, Inc.
|
IA-3817 |
Apr. 10, 2014 |
Anthony J. Davian
|
34-71928 |
Apr. 10, 2014 |
Ronald E. Walblay
|
34-71923 |
Apr. 10, 2014 |
Network Dealer Services Holding Corp., et al.
|
34-71916 |
Apr. 9, 2014 |
Hewlett-Packard Company,
|
IA-3815 |
Apr. 8, 2014 |
James Alexander Shepherd
|
34-71908 |
Apr. 8, 2014 |
Herbert Steven Fouke
Other Release No.: IA-3814
|
34-71907 |
Apr. 8, 2014 |
Richard J. Buswell
Other Release No.: IA-3813
|
34-71905 |
Apr. 8, 2014 |
Matthew J. Blevins
|
34-71904 |
Apr. 8, 2014 |
Empire Stock Transfer, Inc. and Patrick R. Mokros
|
33-9574 |
Apr. 8, 2014 |
Keiko Kawamura
Other Release Nos.: 34-71903, IA-3812, IC-31012
|
33-9573 |
Apr. 8, 2014 |
Laird Daniels, CPA
Other Release Nos.: 34-71896, AAER-3548
|
33-9572 |
Apr. 7, 2014 |
Larry C. Grossman and Gregory J. Adams
Other Release Nos.: 34-71885, IA-3811, IC-31008
|
34-71882 |
Apr. 4, 2014 |
Inviva, Inc. and Jefferson National Life Insurance Company |
34-71877 |
Apr. 4, 2014 |
Corbin Jones |
34-71876 |
Apr. 4, 2014 |
Timothy J. Geidel
Other Release No.: IA-3810
|
34-71871 |
Apr. 4, 2014 |
Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason Medvin
Other Release No.: IC-31007
|
34-71867 |
Apr. 4, 2014 |
Ads in Motion, Inc., et al.
|
33-9571 |
Apr. 3, 2014 |
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.: 34-71864, IC-31005
|
34-71850 |
Apr. 3, 2014 |
Transamerica Financial Advisors, Inc.
Other Release No.: IA-3808
|
IA-3807 |
Apr. 2, 2014 |
Jeffrey M. Semanscin
|
IA-3806 |
Apr. 2, 2014 |
Delsa U. Thomas and the D. Christopher Capital Management Group, LLC
|
34-71847 |
Apr. 2, 2014 |
Alan Sheinwald and Alliance Advisors LLC
|
34-71834 |
Apr. 1, 2014 |
Aclor International, Inc., et al.
|
First Quarter |
34-71831 |
Mar. 28, 2014 |
Charles L. Rizzo and Gina M. Hornbogen
|
34-71825 |
Mar. 27, 2014 |
JPMorgan Chase & Co.
Other Release Nos.: 34-71654, 34-70780, 34-70615, 34-70458
|
34-71824 |
Mar. 27, 2014 |
Shirley Kiang
Other Release No.: AAER-3546
|
33-9565 |
Mar. 27, 2014 |
L&L Energy, Inc. and Dickson Lee, CPA
Other Release Nos.: 34-71823, AAER-3545
|
34-71816 |
Mar. 27, 2014 |
Hendrx Corp., et al.
|
34-71803 |
Mar. 26, 2014 |
China Shen Zhou Mining & Resources, Inc., et al.
|
34-71801 |
Mar. 26, 2014 |
Jinhao Motor Company
|
34-71800 |
Mar. 26, 2014 |
China Metallic Resources, Inc., China Timber Work Enterprises, Inc., Premier International Hotel Group, Inc.
|
33-9564 |
Mar. 25, 2014 |
Creative Vision Alliance Corporation
|
34-71788 |
Mar. 25, 2014 |
Goolu, Inc.
|
34-71787 |
Mar. 24, 2014 |
Todd Newman
Other Release No.: IA-3804
|
34-71772 |
Mar. 24, 2014 |
Matech Corp., et al.
|
34-71770 |
Mar. 21, 2014 |
Brendon P. Mcdonald, CPA
Other Release No.: AAER-3544
|
34-71768 |
Mar. 21, 2014 |
The Phoenix Companies, Inc. and PHL Variable Insurance Company
|
34-71766 |
Mar. 21, 2014 |
Patrick J. Sullivan
Other Release No.: IA-3802
|
34-71763 |
Mar. 21, 2014 |
Aden Solutions Inc., et al.
|
IA-3801 |
Mar. 20, 2014 |
Aaron Jousan Johnson
|
34-71757 |
Mar. 20, 2014 |
Frank Mazzola and Felix Investments, LLC
Other Release No.: IA-3800
|
34-71755 |
Mar. 20, 2014 |
Network Dealer Services Holding Corp., et al.
|
34-71753 |
Mar. 20, 2014 |
IVI Communications, Inc., et al.
|
34-71752 |
Mar. 19, 2014 |
Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt
|
34-71748 |
Mar. 19, 2014 |
Wilfred J. Halpern, CPA
|
34-71743 |
Mar. 19, 2014 |
Feisal Sharif
|
34-71741 |
Mar. 19, 2014 |
Tarcon Acquisitions I, Inc.
|
34-71740 |
Mar. 19, 2014 |
First State Bancorporation
|
34-71739 |
Mar. 19, 2014 |
Bristol Rhace Natural Resource Corp.
|
34-71738 |
Mar. 18, 2014 |
Michael D. Montgomery
Other Release No.: IA-3798
|
34-71737 |
Mar. 18, 2014 |
Linda Dianne Alexander
|
34-71735 |
Mar. 18, 2014 |
Jenny E. Coplan |
34-71734 |
Mar. 18, 2014 |
Michael Aaron Brady
Other Release No.: IA-3797 |
34-71732 |
Mar. 18, 2014 |
Gary Allen Cabello
|
34-71729 |
Mar. 14, 2014 |
Richard P. Greene, Esq.
|
34-71724 |
Mar. 14, 2014 |
Frank I. Reinschreiber
|
IA-3795 |
Mar. 13, 2014 |
Fredrick D. Scott
|
34-71717 |
Mar. 13, 2014 |
Lions Gate Entertainment Corp.
|
34-71714 |
Mar. 13, 2014 |
Marc Steven Firestone and Richard Mark Horowitz
Other Release No.: IA-3793
|
34-71713 |
Mar. 13, 2014 |
Howard Feder and Bdl Manager LLC
Other Release Nos.: IA-3792, IC-30980
|
34-71712 |
Mar. 13, 2014 |
Harold Ten, Menachem "Mark" Berger, and Debra Flowers
Other Release No.: IC-30979
|
33-9559 |
Mar. 13, 2014 |
Michael A. Horowitz and Moshe Marc Cohen
Other Release Nos.: 34-71715, IA-3794, IC-30981
|
34-71711 |
Mar. 13, 2014 |
Freedom Environmental Services, Inc.
|
34-71710 |
Mar. 13, 2014 |
China Dongfang Healthcare Group, Inc., et al.
|
34-71709 |
Mar. 12, 2014 |
Hausmann-Alain Banet
Other Release No.: IA-3791
|
34-71708 |
Mar. 12, 2014 |
Alan Ferraro
|
34-71695 |
Mar. 12, 2014 |
Jefferies LLC (formerly known as Jefferies & Company, Inc.),
|
34-71694 |
Mar. 12, 2014 |
George Louis Theodule
Other Release No.: IA-3790
|
34-71693 |
Mar. 12, 2014 |
Asia Health & Beauty Treasure, Inc., et al.
|
33-9557 |
Mar. 11, 2014 |
Clayton T. Marshall
Other Release Nos.: 34-71688, AAER-3542
|
33-9556 |
Mar. 11, 2014 |
John A. Stadler
Other Release No.: 34-71687
|
34-71682 |
Mar. 11, 2014 |
George Foreman Enterprises, Inc., Mackay Life Sciences, Inc., Reinsurance Technologies, Ltd. (a/k/a Solution Technology International, Inc.), Tire International Environmental Solutions, Inc., WatchIt Technologies, Inc., Weststar Financial Services Corporation, and WorldSpace, Inc.
|
34-71680 |
Mar. 11, 2014 |
Newnan Coweta Bancshares, Inc., Proper Power and Energy Inc., uVuMobile, Inc., Inc., WGNB Corp., and YouBlast Global, Inc.
|
34-71679 |
Mar. 11, 2014 |
Compusonics Video Corporation
|
34-71678A |
Mar. 10, 2014 |
Julio Ramirez, Jr.
|
34-71677 |
Mar. 10, 2014 |
David Loglisci
|
34-71676A |
Mar. 10, 2014 |
Henry Morris
Other Release No.: IA-3789
|
34-71667 |
Mar. 7, 2014 |
Craig Berkman, d/b/a Ventures Trust LLC, et al.
Other Release Nos.: IA-3788, IC-30977
|
34-71658 |
Mar. 6, 2014 |
Michael R. Shechtman
Other Release No.: IA-3787
|
34-71656 |
Mar. 6, 2014 |
Daniel Bergin
Other Release No.: IA-3786
|
34-71654 |
Mar. 5, 2014 |
JPMorgan Chase & Co.
|
34-71653 |
Mar. 5, 2014 |
Worldwide Capital, Inc., and Jeffrey W. Lynn
|
34-71639 |
Feb. 28, 2014 |
Paul Desjourdy, CPA, Esq.
Other Release No.: AAER-3541
|
34-71638 |
Feb. 28, 2014 |
BNY Mellon Securities, LCC and Mark Shaw
See also: Modified Plan of Distribution
|
34-71628 |
Feb. 27, 2014 |
Robert Custis, Esq.
|
34-71619 |
Feb. 26, 2014 |
John W. Femenia
|
34-71612 |
Feb. 25, 2014 |
Vincent Buonauro, Jr.
|
33-9551 |
Feb. 25, 2014 |
Clean Energy Capital, LLC and Scott A. Brittenham
Other Release Nos.: 34-71610, IA-3785, IC-30926
|
34-71604 |
Feb. 24, 2014 |
CLS Capital Group, Inc., FGBC Bancshares, Inc., Global Resource Corp., Tritec Industries, Inc., and UTG Communications International, Inc.
|
34-71603 |
Feb. 24, 2014 |
Left Behind Games, Inc.
|
34-71602 |
Feb. 24, 2014 |
Basset Enterprises, Inc.
|
34-71601 |
Feb. 21, 2014 |
Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
Other Release Nos.: IA-3784, IC-30922
|
IA-3783 |
Feb. 21, 2014 |
Anthony J. Klatch, II
|
34-71599 |
Feb. 21, 2014 |
Fabrizio Neves
|
34-71595 |
Feb. 21, 2014 |
James M. Schneider, CPA
Other Release No.: AAER-3538
|
34-71594 |
Feb. 21, 2014 |
Gary L. McDuff
|
34-71593 |
Feb. 21, 2014 |
Credit Suisse Group Ag
Other Release No.: IA-3782
|
34-71592 |
Feb. 21, 2014 |
Leonard Inserra
|
34-71591 |
Feb. 20, 2014 |
Alliance Capital Management, LP
|
34-71590 |
Feb. 20, 2014 |
GLG Partners, Inc. and GLG Partners, L.P.
|
34-71587 |
Feb. 20, 2014 |
Michael A. Tripodi
|
34-71585 |
Feb. 20, 2014 |
Sam Kan, CPA, and Sam Kan & Company
Other Release No.: AAER-3537
|
IA-3781 |
Feb. 20, 2014 |
Jerry S. Williams
|
34-71583 |
Feb. 20, 2014 |
Mitchell H. Fillet
|
34-71582 |
Feb. 20, 2014 |
Community Alliance, Inc., et al.
|
34-71581 |
Feb. 20, 2014 |
Ads in Motion, Inc., et al.
|
34-71579 |
Feb. 20, 2014 |
Tweeter Home Entertainment Group, Inc. (a/k/a TWTR, Inc.), et al.
|
34-71576 |
Feb. 19, 2014 |
Bdo China Dahua CPA Co., Ltd., et al.
Other Release No.: AAER-3536
|
34-71573 |
Feb. 19, 2014 |
Hajradin Mucovic
|
34-71567 |
Feb. 19, 2014 |
Catch by Gene, Inc., et al.
|
34-71565 |
Feb. 18, 2014 |
Mark Feathers
|
34-71563 |
Feb. 18, 2014 |
Mark Andrew Singer
Other Release No.: IA-3779
|
34-71561 |
Feb. 18, 2014 |
Michael Gordon
|
34-71558 |
Feb. 18, 2014 |
G-Trade Services LLC, Convergex Global Markets Limited, and Convergex Execution Solutions LLC
|
33-9549 |
Feb. 18, 2014 |
David F. Bandimere
Other Release Nos.: 34-71564, IA-3780, IC-30920
|
34-71552 |
Feb. 13, 2014 |
China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.)
|
34-71551 |
Feb. 13, 2014 |
Pacific Alliance Corp.
|
34-71548 |
Feb. 12, 2014 |
David L. Rothman
|
IA-3778 |
Feb. 12, 2014 |
Jerry A. Smith
|
34-71547 |
Feb. 12, 2014 |
Matthew Scott Menies
|
34-71544 |
Feb. 12, 2014 |
GLG Partners, Inc. and GLG Partners, L.P.
|
33-9548 |
Feb. 12, 2014 |
Apple REIT Six, Inc.; Apple REIT Seven, Inc.; Apple REIT Eight, Inc.; Apple REIT Nine, Inc.; Apple Six Advisors, Inc.; Apple Seven Advisors, Inc.; Apple Eight Advisors, Inc.; Apple Nine Advisors, Inc.; Glade M. Knight; and Bryan F. Peery, CPA
Other Release Nos.: 34-71546, AAER-3535
|
33-9547 |
Feb. 12, 2014 |
Ronald E. Huxtable II
Other Release Nos.: 34-71537, IA-3777, IC-30918
|
34-71523 |
Feb. 11, 2014 |
David M. Martin CPA
Other Release No.: AAER-3534
|
34-71522 |
Feb. 11, 2014 |
Roy Dixon, Jr.
Other Release No.: IA-3776
|
34-71515 |
Feb. 10, 2014 |
Fifth Third Bancorp and Daniel Poston
|
34-71501 |
Feb. 6, 2014 |
Salmaan Siddiqui
|
34-71500 |
Feb. 6, 2014 |
Faisal Siddiqui
|
34-71497 |
Feb. 6, 2014 |
David J. Weishaus
Other Release No.: IA-3775
|
34-71496 |
Feb. 6, 2014 |
ICC Worldwide, Inc., et al.
|
34-71495 |
Feb. 6, 2014 |
The Enlightened Gourmet, Inc., et al.
|
34-71493 |
Feb. 5, 2014 |
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
Note: See also Plan of Distribution
|
34-71492 |
Feb. 5, 2014 |
Geoffrey W. Nehrenz
Other Release No.: IA-3773
|
34-71484 |
Feb. 5, 2014 |
Lawrence A. O'Donnell, CPA
Other Release No.: AAER-3532
|
34-71478 |
Feb. 4, 2014 |
Henry A. Condron
|
34-71477 |
Feb. 4, 2014 |
Benjamin Chouchane
|
34-71476 |
Feb. 4, 2014 |
Marek Leszczynski
|
34-71474 |
Feb. 4, 2014 |
West Coast Asset Management, Inc. and Lance W. Helfert
|
33-9544 |
Feb. 4, 2014 |
Thomas C. Gonnella
Other Release Nos.: 34-71472, IA-3771, IC-30904
|
33-9543 |
Feb. 4, 2014 |
Ryan C. King
Other Release Nos.: 34-71471, IC-30903
|
33-9542 |
Feb. 3, 2014 |
Yuma Resources Inc.
|
33-9541 |
Feb. 3, 2014 |
Seaview Resources Inc.
|
33-9540 |
Feb. 3, 2014 |
Lost Hills Mining Inc.
|
33-9539 |
Feb. 3, 2014 |
Kingman River Resources Inc.
|
33-9538 |
Feb. 3, 2014 |
CBL Resources Inc.
|
33-9537 |
Feb. 3, 2014 |
Bonanza Resources Corp.
|
33-9536 |
Feb. 3, 2014 |
Coronation Mining Corp.
|
33-9535 |
Feb. 3, 2014 |
Jewel Explorations Inc.
|
33-9534 |
Feb. 3, 2014 |
Gaspard Mining Inc.
|
33-9533 |
Feb. 3, 2014 |
Canyon Minerals Inc.
|
33-9532 |
Feb. 3, 2014 |
Gold Camp Explorations Inc.
|
33-9531 |
Feb. 3, 2014 |
Clearpoint Resources Inc.
|
33-9530 |
Feb. 3, 2014 |
Braxton Resources Inc.
|
33-9529 |
Feb. 3, 2014 |
Tuba City Gold Corp.
|
33-9528 |
Feb. 3, 2014 |
PRWC Energy Inc.
|
33-9527 |
Feb. 3, 2014 |
Eclipse Resources Inc.
|
33-9526 |
Feb. 3, 2014 |
Chum Mining Group Inc.
|
33-9525 |
Feb. 3, 2014 |
Goldstream Mining Inc.
|
33-9524 |
Feb. 3, 2014 |
Stone Boat Mining Corp.
|
33-9523 |
Feb. 3, 2014 |
La Paz Mining Corp.
|
34-71464 |
Jan. 31, 2014 |
Ross Inserra
|
34-71463 |
Jan. 31, 2014 |
Charles W. Adams
Other Release No.: IA-3770
|
34-71462 |
Jan. 31, 2014 |
Armando Ruiz and Maradon Holdings, LLC,
|
33-9522 |
Jan. 31, 2014 |
Gonul Colak and Milen K. Kostov,
Other Release No.: 34-71461
|
34-71459 |
Jan. 31, 2014 |
Dante Demiro
Other Release No.: IA-3769
|
34-71448 |
Jan. 30, 2014 |
Charles L. Rizzo and Gina M. Hornbogen
|
33-9521 |
Jan. 30, 2014 |
Navigator Money Management, Inc. and Mark A. Grimaldi
Other Release Nos.: IA-3767, IC-30897
|
34-71443 |
Jan. 30, 2014 |
Andrea Lando-Tanico
|
34-71442 |
Jan. 30, 2014 |
Melvyn Nathanson
Other Release No.: IA-3768
|
34-71441 |
Jan. 30, 2014 |
Patrick Verdi
|
34-71440 |
Jan. 30, 2014 |
Frontier Financial Corporation
|
34-71439 |
Jan. 30, 2014 |
Horizon Financial Corp.
|
34-71438 |
Jan. 30, 2014 |
Veridien Corporation
|
34-71437 |
Jan. 29, 2014 |
Douglas Costabile
|
34-71435 |
Jan. 29, 2014 |
Scottrade, Inc.
|
34-71434 |
Jan. 29, 2014 |
Gabriel Technologies Corp.
|
34-71433 |
Jan. 29, 2014 |
Houseraising, Inc., et al.
|
34-71426 |
Jan. 28, 2014 |
Fremont Investment Advisors, Inc.
|
34-71430 |
Jan. 28, 2014 |
Fredric Aaron, Esq.
|
34-71429 |
Jan. 28, 2014 |
Thomas C. Conradt
Other Release No.: IA-3765
|
34-71428 |
Jan. 28, 2014 |
Thomas C. Conradt
|
34-71427 |
Jan. 28, 2014 |
Shawn C. Hegedus
|
34-71414 |
Jan. 28, 2014 |
Michael R. Enea
|
34-71413 |
Jan. 28, 2014 |
Colorado 2001D Limited Partnership (f/k/a PDC 2001-D Limited Partnership)
|
34-71412 |
Jan. 28, 2014 |
Colorado 2001C Limited Partnership (f/k/a PDC 2001-C Limited Partnership)
|
34-71411 |
Jan. 28, 2014 |
Covenant Bancshares, Inc.
|
34-71399 |
Jan. 27, 2014 |
James A. Rathgeber
|
34-71398 |
Jan. 27, 2014 |
Kevin Patrick Brody
|
IA-3763 |
Jan. 27, 2014 |
Western Asset Management Company
|
IA-3762 |
Jan. 27, 2014 |
Western Asset Management Co.
Other Release No.: IC-30893
|
34-71389 |
Jan. 24, 2014 |
KPMG LLP
Other Release No.: AAER-3530
|
34-71384 |
Jan. 24, 2014 |
Advanced Pipe Fitting Technologies Inc.
|
34-71382 |
Jan. 24, 2014 |
Jinhao Motor Company
|
34-71380 |
Jan. 24, 2014 |
New Dragon Asia Corp.
|
34-71379 |
Jan. 23, 2014 |
Waldyr Da Silva Prado Neto
|
34-71369 |
Jan. 23, 2014 |
Trent Martin
|
34-71368 |
Jan. 22, 2014 |
Michael B. Spadino,
|
33-9515 |
Jan. 22, 2014 |
Brian Williamson
Other Release Nos.: 34-71364, IA-3760, IC-30887
|
34-71359 |
Jan. 21, 2014 |
High End Ventures, Inc.
|
34-71358 |
Jan. 21, 2014 |
Acies Corporation, et al.
|
34-71357 |
Jan. 21, 2014 |
Exmocare, Inc. (n/k/a Second Solar, Inc.), et al.
|
34-71356 |
Jan. 21, 2014 |
Heritage Worldwide, Inc., et al.
|
34-71355 |
Jan. 21, 2014 |
Protectus Medical Devices, Inc.
|
33-9513 |
Jan. 17, 2014 |
Eugene M. Egeberg III, CPA
Other Release Nos.: 34-71348, AAER-3529
|
34-71339 |
Jan. 17, 2014 |
Case Financial, Inc.
|
34-71338 |
Jan. 17, 2014 |
American Asset Development, Inc., et al.
|
34-71337 |
Jan. 17, 2014 |
Lanbo Financial Group, Inc.
|
34-71336 |
Jan. 17, 2014 |
Newtech Resources Ltd.
|
34-71335 |
Jan. 17, 2014 |
Bank of Florida Corp., et al.
|
34-71323 |
Jan. 16, 2014 |
China Ruitai International Holdings Co., Ltd.
|
34-71322 |
Jan. 16, 2014 |
China Century Dragon Media, Inc., Tia I, Inc., and Tia II, Inc.
|
34-71321 |
Jan. 16, 2014 |
Stonecrest One, Inc., et al.
|
34-71320 |
Jan. 16, 2014 |
Galena Acquisition Corp.
|
34-71319 |
Jan. 16, 2014 |
Carbiz, Inc., et al.
|
34-71315 |
Jan. 15, 2014 |
Louis J. Schaufele III
Other Release No.: IA-3757 |
34-71306 |
Jan. 15, 2014 |
Power Air Corporation, et al.
|
34-71304 |
Jan. 15, 2014 |
Aden Solutions Inc., et al.
|
34-71301 |
Jan. 14, 2014 |
BISYS Fund Services Inc.
Other Release Nos.: 34-62498, 34-60719, 34-60435
|
34-71300 |
Jan. 14, 2014 |
Credit Suisse Securities (USA) LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp., et al.
|
33-9511 |
Jan. 14, 2014 |
Richard D. Hicks
Other Release Nos.: 34-71298, IA-3755
|
34-71292 |
Jan. 14, 2014 |
David H. Frederickson, Esq.
|
34-71281 |
Jan. 10, 2014 |
Heritage Worldwide, Inc., et al.
|
34-71280 |
Jan. 10, 2014 |
The Enlightened Gourmet, Inc., et al.
|
34-71274 |
Jan. 9, 2014 |
Alliance Capital Management, LP
|
34-71270 |
Jan. 9, 2014 |
Marcus S. Spillson
|
33-9508 |
Jan. 9, 2014 |
Michael Mendes
Other Release Nos.: 34-71264, AAER-3526
|
34-71261 |
Jan. 9, 2014 |
Alcoa Inc.
Other Release No.: AAER-3525
|
IA-3751 |
Jan. 8, 2014 |
Patrick G. Rooney
|
34-71260 |
Jan. 8, 2014 |
Sandeep Aggarwal
Other Release No.: IA-3752
|
34-71243 |
Jan. 7, 2014 |
Matech Corp., et al.
|
34-71241 |
Jan. 7, 2014 |
Environmental Energy Services, Inc., et al.
|
34-71240 |
Jan. 6, 2014 |
Axius Holdings, LLC and Henry Robertelli
|
34-71239 |
Jan. 6, 2014 |
John Durrett
Other Release No.: IA-3750
|
34-71235 |
Jan. 6, 2014 |
Asia Health & Beauty Treasure, Inc., Asia Growth Private Equity 1, Ltd., Asia Growth Private Equity 2, Ltd., et al.
|
34-71234 |
Jan. 6, 2014 |
China Metallic Resources, Inc., China Timber Work Enterprises, Inc., Linda Illumination, Inc., and Premier International Hotel Group, Inc. |
http://www.sec.gov/litigation/admin/adminarchive/adminarc2014.shtml
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