Administrative Proceedings

Between January 31, 2026, and February 3, 2026, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying certain administrative proceedings. On February 4, 2026, the Commission issued an order lifting the stay and extending dates in the proceedings previously subject to the stay.

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, 2015	Advanced Battery Technologies, Inc. Chauvin Enterprises, Inc. (a/k/a Internet Solutions for Business, Inc., a/k/a International Solutions for Business, Inc.) Oilsands Quest Inc. Release No. 34-76804 File Number: 3-16832
Dec. 31, 2015	OSK Capital I Corp. OSK Capital III Corp. PowerNomics Enterprise Corp. ReDirect, Inc. Release No. 34-76805 File Number: 3-16885
Dec. 31, 2015	Linkbrokers Derivatives LLC Release No. 34-76815 File Number: 3-16017
Dec. 30, 2015	USA Graphite, Inc. Release No. 34-76791 File Number: 3-17030
Dec. 30, 2015	China Domestica Bio-Technology Holdings, Inc. Release No. 34-76793 File Number: 3-17031
Dec. 30, 2015	Buncombe, Inc. Cotton Bay Holdings, Inc. Middlesex Inc. REON Holdings, Inc. Release No. 34-76794 See Also: Chinese version File Number: 3-17032
Dec. 30, 2015	DE Acquisition 7, Inc. DE Acquisition 8, Inc. DE Acquisition 9, Inc. DE Acquisition 10, Inc. DE Acquisition 12, Inc. Release No. 34-76795 File Number: 3-17033
Dec. 29, 2015	Zhong Wen International Holding Co., Ltd. Release No. 34-76783 File Number: 3-17028
Dec. 29, 2015	Changda International Holdings, Inc. Release No. 34-76785 File Number: 3-17029
Dec. 24, 2015	The Money Tree Lending Group, Inc. PEP Management Corp. Pop Starz Ventures 2, Inc. Primo World Markets Ltd. Release No. 34-76765 File Number: 3-16840
Dec. 24, 2015	Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. Release No. 34-76772 File Number: 3-16353
Dec. 24, 2015	Bebo, Laurie Buono, John, CPA Release No. 34-76773 File Number: 3-16293
Dec. 24, 2015	Sarkauskas, Associates, Inc. and James M. Sarkauskas Release No. 34-76775 Comments Due: 30 days from publication of this Notice Submit Comments on: 3-15471 File Number: 3-15471
Dec. 24, 2015	Solar Acquisition Corp. Release No. 34-76764 File Number: 3-16721
Dec. 23, 2015	Empire Gold, Inc. GMS Capital Corp. Greater China Acquisition Corp. IC2e International Inc. Intelliservices, Inc. S.F.H. Holdings I, Inc. S.F.H. Holdings II, Inc. Sowa Jisho International Inc. Release No. 34-76744 File Number: 3-16804
Dec. 23, 2015	OneSource Technologies, Inc. Packitgreen Holdings Corp. Raytec Corp. Release No. 34-76745 File Number: 3-16886
Dec. 23, 2015	Yayi International, Inc. Release No. 34-76747 File Number: 3-17025
Dec. 23, 2015	Easylink Information Technology Co., Ltd. Release No. 34-76751 File Number: 3-17026
Dec. 23, 2015	Bloom, Eric A. Release No. IA-4303 File Number: 3-16722
Dec. 23, 2015	Zinn, Kevin I. Release No. 34-76752 File Number: 3-17027
Dec. 22, 2015	Paygard, Inc. Quantum Companies, Inc. Reidco Acquisition I, Inc. Release No. 34-76724 File Number: 3-16841
Dec. 22, 2015	Richard Pereira, CPA Release No. IA-4302 File Number: 3-17024
Dec. 22, 2015	Bravo Resource Partners, Ltd. First Potash Corp. HIP Energy Corporation Musgrove Minerals Corp. Starcore International Ventures Ltd. (a/k/a Starcore International Mines Ltd.) Release No. 34-76726 File Number: 3-17014
Dec. 22, 2015	Bioject Medical Technologies, Inc. Black Castle Developments Holdings Inc. (n/k/a ingXabo Corporation) Catalyst Resource Group, Inc. SSI International, Ltd. Strike Axe, Inc. Viper Powersports, Inc. Release No. 34-76728 File Number: 3-17015
Dec. 22, 2015	Morgan Stanley Investment Management Inc. and Sheila Huang Release No. 33-9998, 34-76729, IA-4299, IC-31947 File Number: 3-17016
Dec. 22, 2015	SG Americas Securities LLC and Yimin Ge Release No. 33-9999, 34-76730, IC-31948 File Number: 3-17017
Dec. 22, 2015	Spicer Jeffries LLP Release No. 34-76734, AAER-3729 File Number: 3-17018
Dec. 22, 2015	USChina Venture I, Inc. USChina Venture II, Inc. Release No. 34-76735 File Number: 3-17019
Dec. 22, 2015	Diane D. Dalmy, Esq. Release No. 34-76740 File Number: 3-17020
Dec. 22, 2015	Danny E. Carpenter, et al. Release No. 34-76741 File Number: 3-17021
Dec. 22, 2015	David A. Bryson Release No. IA-4300 File Number: 3-17022
Dec. 22, 2015	Bart C. Gutekunst Release No. IA-4301 File Number: 3-17023
Dec. 21, 2015	AgriBioTech Inc. Condor Capital, Inc. Tuffnell Ltd. Release No. 34-76700 File Number: 3-16811
Dec. 21, 2015	Aim Safety Co. Inc. (a/k/a Aimglobal Technologies Co. Inc.) Determination, Inc. Franklyn Resources II, Inc. Red Oak Mining Corp. (a/k/a Austin Developments Corp. f/k/a Universal Wing Technologies Inc.) travelbyus Inc. (f/k/a Aviation Group Inc.) Release No. 34-76701 File Number: 3-16812
Dec. 21, 2015	Scription Work Solutions, Inc. (f/k/a Transtech Solutions, Inc.) Release No. 33-9994 File Number: 3-17010
Dec. 21, 2015	Blue Mountain Eco Tours, Inc. Release No. 33-9995 File Number: 3-17011
Dec. 21, 2015	International Equity Advisors, LLC and Richard Roger Lund Release No. 34-76704 File Number: 3-12068
Dec. 21, 2015	KCG Americas LLC Release No. 33-9996, 34-76705 File Number: 3-17012
Dec. 21, 2015	Comprehensive Capital Management, Inc. Release No. 34-76720 File Number: 3-15393
Dec. 21, 2015	GLG Partners, Inc. and GLG Partners, L.P. Release No. 34-76722 File Number: 3-15641
Dec. 21, 2015	Perres, Allen M. Germain, Willard R. St. Release No. 33-9997, 34-76723 File Number: 3-17013
Dec. 18, 2015	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. 34-76684 File Number: 3-16055
Dec. 18, 2015	MSGI Technology Solutions (a/k/a MSGI Security Solutions, Inc.) NMI Health, Inc. PlushZone, Inc. ProsorCons Sports & Entertainment Co. Release No. 34-76685 File Number: 3-16806
Dec. 18, 2015	JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC Release No. 33-9992, 34-76694, IA-4295, 33-9993 See Also: 33-9993 File Number: 3-17008
Dec. 18, 2015	Eric E. Shear Release No. 34-76695 File Number: 3-17009
Dec. 18, 2015	Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA Release No. 34-76699 File Number: 3-14958
Dec. 18, 2015	Samdrew VI, Inc. Subei Business Development, Inc. Release No. 34-76683 File Number: 3-16830
Dec. 17, 2015	Dewpoint Environmental, Inc. DLR Funding, Inc. Earth Energy Reserves, Inc. ELF Inc. Expect the Best, Inc. First Omega of Louisiana, Inc. Release No. 34-76679 File Number: 3-17006
Dec. 17, 2015	Dome Holding Corp. E-Gold Group, Inc. Esco, Inc. Fortune Pharmaceutical, Inc. Release No. 34-76680 File Number: 3-17007
Dec. 17, 2015	Erwin, James L. Joint Venture Solutions, Inc. Release No. 34-76681 File Number: 3-16967
Dec. 16, 2015	Owen Li and Canarsie Capital, LLC Release No. 33-9991, 34-76662, IA-4293, IC-31942 File Number: 3-17005
Dec. 16, 2015	Bala Cynwyd Corp. Digital Lighthouse Corp. Great Idea Corp. Green Carbon Technologies Corp. Riverside Parkway, Inc. Southern Community Bancshares, Inc. SubMicron Technologies, Inc. United eSystems, Inc. Release No. 34-76660 File Number: 3-16802
Dec. 16, 2015	Volt Solar Systems, Inc. Release No. 34-76661 File Number: 3-16719
Dec. 15, 2015	Sellers, Deven Barrera, Roland Release No. 34-76659 File Number: 3-17004
Dec. 14, 2015	Charles Loveless, CPA Release No. 34-76633, AAER-3726 File Number: 3-17001
Dec. 14, 2015	Michael McKenna, CPA Release No. 34-76634, AAER-3727 File Number: 3-17002
Dec. 14, 2015	Eichler, Jr., Peter J. Release No. 34-76635, IA-4290 File Number: 3-17003
Dec. 14, 2015	Total Wealth Management, Inc. Cooper, Jacob Keith McNamee, Nathan Shoemaker, Douglas David Release No. 33-9989, 34-76642, IA-4291, IC-31935 File Number: 3-15842
Dec. 14, 2015	Total Wealth Management, Inc. Cooper, Jacob Keith McNamee, Nathan Shoemaker, Douglas David Release No. 33-9990, 34-76643, IA-4292, IC-31936 File Number: 3-15842
Dec. 11, 2015	SMF Energy Corp. Release No. 34-76618 File Number: 3-16998
Dec. 11, 2015	Aaron Nowak Release No. 33-9988, 34-76628, IC-31934 File Number: 3-16999
Dec. 10, 2015	Calico Commerce, Inc. (a/k/a CCI Liquidation Corp.) China Fuhua New Material Holdings, Inc. China Multimedia, Inc. China Water & Drinks, Inc. CMR Mortgage Fund II, LLC Release No. 34-76606 File Number: 3-16775
Dec. 10, 2015	Peter Messineo, and Messineo & Co., CPAs, LLC Release No. 34-76607, AAER-3721 File Number: 3-16993
Dec. 10, 2015	DKM Certified Public Accountants, Inc. and Charles U. Klein, CPA Release No. 34-76608, AAER-3722 File Number: 3-16994
Dec. 10, 2015	Charles Booth, Inc. Chatsworth Acquisitions I, Inc. Release No. 34-76604 File Number: 3-16807
Dec. 10, 2015	INverso Corp. Madison Venture Capital Group, Inc. Plantation Lifecare Developers, Inc. Prins Recycling Corp. SCN Holdings, Inc. Skin Nutrition International, Inc. Tecfin Corporation Release No. 34-76605 File Number: 3-16779
Dec. 10, 2015	Richard Confessore, CPA Release No. 34-76609, AAER-3723 File Number: 3-16995
Dec. 10, 2015	Robin L. Bigalke, CPA Release No. 34-76610, AAER-3724 File Number: 3-16996
Dec. 10, 2015	Joseph E. Mohr, CPA Release No. 34-76611, AAER-3725 File Number: 3-16997
Dec. 10, 2015	optionsXpress, Inc. Stern, Thomas E. Feldman, Jonathan I. Release No. 33-9986, 34-76615, IC-31931 File Number: 3-14848
Dec. 9, 2015	Metis Wealth Advisors, LLC and Juan R. Montermoso Release No. 34-76595 File Number: 3-16955
Dec. 8, 2015	Downer's Gap, Inc. (a/k/a Downers Gap, Inc.) DST Media, Inc. Lazare Kaplan International, Inc. Release No. 34-76583 File Number: 3-16991
Dec. 8, 2015	Vladimir Eydelman Release No. 34-76594, IA-4289 File Number: 3-16992
Dec. 8, 2015	John Michael Babiarz Release No. IA-4288 File Number: 3-16988
Dec. 8, 2015	Nevatia, Vinay Kumar Release No. 34-76581 File Number: 3-16989
Dec. 8, 2015	Cadan Resources Corp. Consolidated Global Minerals Ltd. Doreal Energy Corp. GeoCan Energy Inc. (a/k/a Arsenal Energy Inc.) Release No. 34-76582 File Number: 3-16990
Dec. 7, 2015	China Bio-Immunity Corp. China Culture Resorts Holdings, Inc. Par 3 Services, Inc. Parks One, Inc. Release No. 34-76563 File Number: 3-16771
Dec. 7, 2015	High Point Transport, Inc. Kohler Capital III, Corporation Mega Group, Inc. Merci, Inc. Our Glass, Inc. Synthetic Industries, LP Release No. 34-76564 File Number: 3-16778
Dec. 7, 2015	Mehron P. Azarmehr and Azarmehr Law Group Release No. 34-76568 File Number: 3-16981
Dec. 7, 2015	Michael A. Bander and Bander Law Firm, PLLC Release No. 34-76569 File Number: 3-16982
Dec. 7, 2015	Roger A. Bernstein Release No. 34-76570 File Number: 3-16983
Dec. 7, 2015	Kefei Wang Release No. 34-76574 File Number: 3-16987
Dec. 7, 2015	Allen E. Kaye Release No. 34-76571 File Number: 3-16984
Dec. 7, 2015	Taraneh Khorrami Release No. 34-76572 File Number: 3-16985
Dec. 7, 2015	Mike S. Manesh, Manesh & Mizrahi, APLC Release No. 34-76573 File Number: 3-16986
Dec. 4, 2015	The Jenex Corp. Orgral Technologies Corp. Professional Services Network, Inc. UBX Technologies, Inc. Release No. 34-76555 File Number: 3-16921
Dec. 4, 2015	Ben Franklin Financial, Inc. (a/k/a Franklin Ben Financial, Inc.) Cincinnati Regional Initiative Inc. (a/k/a Midwest Regional Authority, Inc., a/k/a Buffalo Capital II Ltd.) Dayton General Systems, Inc. Display.IT Holdings PLC Gali Global Holdings Ltd. Release No. 34-76560 File Number: 3-16979
Dec. 4, 2015	Fox Energy Corp. Release No. 34-76561 File Number: 3-16980
Dec. 4, 2015	optionsXpress, Inc. Stern, Thomas E. Feldman, Jonathan I. Release No. 33-9984, 34-76562, IC-31928 File Number: 3-14848
Dec. 3, 2015	Oraco Resources, Inc. SaviCorp (a/k/a Savi Media Group, Inc.) Smoky Market Foods, Inc. Soltera Mining Corp. Wolverine Holding Corp. (a/k/a Mobility Plus Medical Equipment, Inc.) Release No. 34-76543 File Number: 3-16596
Dec. 3, 2015	Ci4net.Com Inc. Curragh, Inc. RePhex, Inc. Release No. 34-76544 File Number: 3-16769
Dec. 3, 2015	CityView Corp. Ltd. Com-Animation Inc. (a/k/a Com-Animatrix Inc.) TPI Enterprises, Inc. Release No. 34-76545 File Number: 3-16749
Dec. 3, 2015	Afshar, Behruz Afshar, Shahryar Kenny, Richard F., IV Fineline Trading Group LLC Makino Capital LLC Release No. 33-9983, 34-76546, IC-31926 File Number: 3-16978
Dec. 3, 2015	S.A.C. Capital Advisors, LP S.A.C. Capital Advisors, LLC CR Intrinsic Investors, LLC Sigma Capital Management, LLC Parameter Capital Management, LLC 72 Credit Management, LLC S.A.C. Private Equity GP, L.P. Release No. IA-4287 File Number: 3-15950
Dec. 2, 2015	Grant Thornton, LLP Release No. 34-76536, AAER-3718 File Number: 3-16976
Dec. 2, 2015	Exploration, Friendly Energy Public Media Works, Inc. VRDT Corp. Zoro Mining Corp. Release No. 34-76535 File Number: 3-16942
Dec. 2, 2015	Melissa K. Koeppel, CPA and Jeffrey J. Robinson, CPA Release No. 34-76537, AAER-3719 File Number: 3-16977
Dec. 2, 2015	optionsXpress, Inc. Stern, Thomas E. Feldman, Jonathan I. Release No. 33-9982, 34-76542, IC-31925 File Number: 3-14848
Dec. 1, 2015	Packetport.Com, Inc., et al. Release No. 34-76533 File Number: 3-12868
Dec. 1, 2015	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, and Mark W. Wells Carol Fox Foelak, Administrative Law Judge Release No. 34-76534 File Number: 3-13532

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in this Section

Administrative Proceedings

E-mail Updates