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Administrative Proceedings Archive 2015

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

Fourth Quarter | Third Quarter |  Second Quarter | First Quarter

Additional Archives

RSS Feed  SEC Administrative Proceedings RSS Feed

Release No. Date Respondents
Fourth Quarter
34-76815 Dec. 31, 2015 Linkbrokers Derivatives LLC
34-76805 Dec. 31, 2015 OSK Capital I Corp., et al.
34-76804 Dec. 31, 2015 Advanced Battery Technologies, Inc., et al.
34-76795 Dec. 30, 2015 De Acquisition 7, Inc., et al.
34-76794 Dec. 30, 2015 Buncombe, Inc., et al.
See also: Chinese version
34-76793 Dec. 30, 2015 China Domestica Bio-Technology Holdings, Inc.
34-76791 Dec. 30, 2015 USA Graphite, Inc.
34-76785 Dec. 29, 2015 Changda International Holdings, Inc.
34-76783 Dec. 29, 2015 Zhong Wen International Holding Co., Ltd.
34-76775 Dec. 24, 2015 Sarkauskas, Associates, Inc. and James M. Sarkauskas
Comments due: 30 days from publication of this Notice
See also: Proposed Plan of Distribution
34-76773 Dec. 24, 2015 Laurie Bebo
34-76772 Dec. 24, 2015 Spring Hill Capital Markets, LLC, et al.
34-76765 Dec. 24, 2015 The Money Tree Lending Group, Inc., et al.
34-76764 Dec. 24, 2015 Solar Acquisition Corp.
34-76752 Dec. 23, 2015 Kevin I. Zinn
IA-4303 Dec. 23, 2015 Eric A. Bloom
34-76751 Dec. 23, 2015 Easylink Information Technology Co., Ltd.
34-76747 Dec. 23, 2015 Yayi International, Inc.
34-76745 Dec. 23, 2015 OneSource Technologies, Inc., Packitgreen Holdings Corp. and Raytec Corp.
34-76744 Dec. 23, 2015 Empire Gold, Inc., et al.
IA-4302 Dec. 22, 2015 Richard Pereira, CPA
IA-4301 Dec. 22, 2015 Bart C. Gutekunst
IA-4300 Dec. 22, 2015 David A. Bryson
34-76741 Dec. 22, 2015 Danny E. Carpenter, et al.
34-76740 Dec. 22, 2015 Diane D. Dalmy, Esq.
34-76735 Dec. 22, 2015 USChina Venture I, Inc. and USChina Venture II, Inc.
34-76734 Dec. 22, 2015 Spicer Jeffries LLP
Other Release No.: AAER-3729
33-9999 Dec. 22, 2015 SG Americas Securities LLC and Yimin Ge
Other Release Nos.: 34-76730, IC-31948
33-9998 Dec. 22, 2015 Morgan Stanley Investment Management Inc. and Sheila Huang
Other Release Nos.: 34-76729, IA-4299, IC-31947
34-76728 Dec. 22, 2015 Bioject Medical Technologies, Inc., et al.
34-76726 Dec. 22, 2015 Bravo Resource Partners, Ltd., et al.
34-76724 Dec. 22, 2015 Paygard, Inc., Quantum Companies, Inc. and Reidco Acquisition I, Inc.
33-9997 Dec. 21, 2015 Allen M. Perres and Willard R. St. Germain
Other Release No.: 34-76723
34-76722 Dec. 21, 2015 GLG Partners, Inc. and GLG Partners, L.P.
34-76720 Dec. 21, 2015 Comprehensive Capital Management, Inc.
33-9996 Dec. 21, 2015 KCG Americas LLC
Other Release No.: 34-76705
34-76704 Dec. 21, 2015 International Equity Advisors, LLC and Richard Roger Lund
33-9995 Dec. 21, 2015 Blue Mountain Eco Tours, Inc.
33-9994 Dec. 21, 2015 Scription Work Solutions, Inc. (f/k/a Transtech Solutions, Inc.)
34-76701 Dec. 21, 2015 Aim Safety Co., et al.
34-76700 Dec. 21, 2015 AgriBioTech Inc., Condor Capital, Inc. and Tuffnell Ltd.
34-76699 Dec. 18, 2015 Huron Consulting Group Inc., Gary L. Burge, CPA and Wayne E. Lipski, CPA
34-76695 Dec. 18, 2015 Eric E. Shear
33-9992 Dec. 18, 2015 JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC
Other Release Nos.: 34-76694, IA-4295
See Also: Waiver Release No.: 33-9993
34-76685 Dec. 18, 2015 MSGI Technology Solutions, Inc. (a/k/a MSGI Security Solutions, Inc.), PlushZone, Inc., and ProsorCons Sports & Entertainment Co.
34-76684 Dec. 18, 2015 Isdera North America, Inc.
34-76683 Dec. 18, 2015 Samdrew VI, Inc. and Subei Business Development, Inc.
34-76681 Dec. 17, 2015 James L. Erwin and Joint Venture Solutions, Inc.
34-76680 Dec. 17, 2015 Dome Holding Corp., et al.
34-76679 Dec. 17, 2015 Dewpoint Environmental, Inc., et al.
33-9991 Dec. 16, 2015 Owen Li and Canarsie Capital, LLC
Other Release Nos.: 34-76662, IA-4293, IC-31942
34-76661 Dec. 16, 2015 Volt Solar Systems, Inc.
34-76660 Dec. 16, 2015 Bala Cynwyd Corp., et al.
34-76659 Dec. 15, 2015 Deven Sellers and Roland Barrera
33-9990 Dec. 14, 2015 Total Wealth Management, Inc., et al.
Other Release Nos.: 34-76643, IA-4292, IC-31936
33-9989 Dec. 14, 2015 Total Wealth Management, Inc., et al.
Other Release Nos.: 34-76642, IA-4291, IC-31935
34-76635 Dec. 14, 2015 Peter J. Eichler, Jr.
Other Release No.: IA-4290
34-76634 Dec. 14, 2015 Michael McKenna, CPA
Other Release No.: AAER-3727
34-76633 Dec. 14, 2015 Charles Loveless, CPA
Other Release No.: AAER-3726
33-9988 Dec. 11, 2015 Aaron Nowak
Other Release Nos.: 34-76628, IC-31934
34-76618 Dec. 11, 2015 SMF Energy Corp.
33-9986 Dec. 10, 2015 OptionsXpress, Inc. and Feldman, Jonathan I.
Other Release Nos.: 34-76615, IC-31931
34-76611 Dec. 10, 2015 Joseph E. Mohr, CPA
Other Release No.: AAER-3725
34-76610 Dec. 10, 2015 Robin L. Bigalke, CPA
Other Release No.: AAER-3724
34-76609 Dec. 10, 2015 Richard Confessore, CPA
Other Release No.: AAER-3723
34-76608 Dec. 10, 2015 DKM Certified Public Accountants, Inc. and Charles U. Klein, CPA
Other Release No.: AAER-3722
34-76607 Dec. 10, 2015 Peter Messineo, and Messineo & Co., CPAs, LLC
Other Release No.: AAER-3721
34-76606 Dec. 10, 2015 Calico Commerce, et al.
34-76605 Dec. 10, 2015 INverso Corp., et al.
34-76604 Dec. 10, 2015 Charles Booth, Inc. and Chatsworth Acquisitions I, Inc.
34-76595 Dec. 9, 2015 Metis Wealth Advisors, LLC and Juan R. Montermoso
34-76594 Dec. 8, 2015 Vladimir Eydelman
Other Release No.: IA-4289
34-76583 Dec. 8, 2015 Downer's Gap, Inc. (a/k/a Downers Gap, Inc.), DST Media, Inc., and Lazare Kaplan International, Inc.
34-76582 Dec. 8, 2015 Cadan Resources Corp., et al.
34-76581 Dec. 8, 2015 Vinay Kumar Nevatia
IA-4288 Dec. 8, 2015 John Michael Babiarz
34-76574 Dec. 7, 2015 Kefei Wang
34-76573 Dec. 7, 2015 Mike S. Manesh, Manesh & Mizrahi, APLC
34-76572 Dec. 7, 2015 Taraneh Khorrami
34-76571 Dec. 7, 2015 Allen E. Kaye
34-76570 Dec. 7, 2015 Roger A. Bernstein
34-76569 Dec. 7, 2015 Michael A. Bander and Bander Law Firm, PLLC
34-76568 Dec. 7, 2015 Mehron P. Azarmehr and Azarmehr Law Group
34-76564 Dec. 7, 2015 High Point Transport, Inc., et al.
34-76563 Dec. 7, 2015 China Bio-Immunity Corp., et al.
33-9984 Dec. 4, 2015 optionsXpress, Inc., Feldman, Jonathan I.
Other Release Nos.: 34-76562, IC-31928
34-76561 Dec. 4, 2015 Fox Energy Corp.
34-76560 Dec. 4, 2015 Ben Franklin Financial, Inc. (a/k/a Franklin Ben Financial, Inc.), et al.
34-76555 Dec. 4, 2015 The Jenex Corp., et al.
IA-4287 Dec. 3, 2015 S.A.C. Capital Advisors, et al.
33-9983 Dec. 3, 2015 Behruz Afshar, et al.
Other Release Nos.: 34-76546, IC-31926
34-76545 Dec. 3, 2015 CityView Corp. Ltd., Com-Animation, Inc. (a/k/a Com-Animatrix, Inc.), and TPI Enterprises, Inc.
34-76544 Dec. 3, 2015 Ci4net.com Inc., Curragh, Inc. and RePhex, Inc.
34-76543 Dec. 3, 2015 Soltera Mining Corp.
33-9982 Dec. 2, 2015 OptionsXpress, Inc., Feldman and Jonathan I.
Other Release Nos.: 34-76542, IC-31925
34-76537 Dec. 2, 2015 Melissa K. Koeppel, CPA and Jeffrey J. Robinson, CPA
Other Release No.: AAER-3719
34-76536 Dec. 2, 2015 Grant Thornton, LLP
Other Release No.: AAER-3718
34-76535 Dec. 2, 2015 Friendly Energy Exploration, et al.
34-76534 Dec. 1, 2015 Prime Capital Services, Inc., et al.
34-76533 Dec. 1, 2015 Packetport.Com, Inc., et al.
IA-4283 Nov. 30, 2015 Alpha Fiduciary, Inc. and Arthur T. Doglione
34-76528 Nov. 30, 2015 Michael L. Shea
Other Release No.: IA-4284
33-9981 Nov. 30, 2015 Standard Bank PLC
34-76526 Nov. 25, 2015 Brett A. Cooper
34-76523 Nov. 25, 2015 Michael Szafranski
Other Release No.: IA-4282
34-76522 Nov. 25, 2015 Hitcom Corp., et al.
34-76521 Nov. 25, 2015 GW One, Inc., et al.
34-76512 Nov. 24, 2015 Marwood Group Research, LLC
Other Release No.: IA-4279
34-76509 Nov. 23, 2015 Mohammed Riad and Kevin Timothy Swanson
Other Release Nos.: IA-4278, IC-31915
IA-4277 Nov. 23, 2015 Cranshire Capital Advisors, LLC
IA-4276 Nov. 23, 2015 JH Partners, LLC
34-76504 Nov. 23, 2015 R. Scott Peden, Esq.
34-76503 Nov. 23, 2015 James L. Erwin and Joint Venture Solutions, Inc.
IA-4274 Nov. 19, 2015 Sands Brothers Asset Management, LLC, et al.
IA-4273 Nov. 19, 2015 Sands Brothers Asset Management, LLC, et al.
34-76477 Nov. 19, 2015 Christopher R. Kelly, Esq.
34-76476 Nov. 19, 2015 African Copper Corp., Genmed Holding Corp. and Yanglin Soybean, Inc.
See also: Chinese version
33-9978 Nov. 18, 2015 James E. Cohen and Joseph A. Corazzi
Other Release Nos.: 34-76473
IA-4269 Nov. 17, 2015 Thomas A. Kolbe
Other Release No.: IC-31903
IA-4268 Nov. 17, 2015 FCG Advisors, LLC
34-76465 Nov. 17, 2015 Kelly C. Hood
Other Release No.: IA-4272
34-76464 Nov. 17, 2015 Jerry A. Cicolani, Jr.
Other Release No.: IA-4271
IA-4267 Nov. 16, 2015 Chris Yoo
34-76448 Nov. 16, 2015 Equity Ventures Group, Inc., Games On Demand International, Inc. (a/k/a Firmware Technologies Inc.)
IA-4266 Nov. 16, 2015 Virtus Investment Advisers, Inc.
Other Release No.: IC-31901
IA-4265 Nov. 13, 2015 Oscar Wu
34-76435 Nov. 13, 2015 Kevin C. Brown
Other Release No.: IA-4263
IA-4264 Nov. 13, 2015 George P. Brown
34-76434 Nov. 13, 2015 IFuture.com, Inc., et al.
34-76433 Nov. 13, 2015 Internal Fixation Systems, Inc.
34-76432 Nov. 12, 2015 Metis Wealth Advisors, LLC and Juan R. Montermoso
Other Release Nos.: IA-4262, IC-31900
34-76426 Nov. 12, 2015 Riverdale Mining Inc. and Tresoro Mining Corp.
34-76404 Nov. 10, 2015 Echelon Acquisition Corp. and FirstChina Capital, Inc.
34-76401 Nov. 9, 2015 Larry D. Liberfarb, P.C.
Other Release No.: AAER-3717
34-76399 Nov. 9, 2015 Hadi Aboukhater
34-76398 Nov. 9, 2015 Shaileish Shah
34-76396 Nov. 9, 2015 Sandip Shah
34-76389 Nov. 9, 2015 Austin Funding.com Corporation and Core Medical Group, Inc.
34-76388 Nov. 9, 2015 New Energy Systems Group
34-76387 Nov. 9, 2015 Storm Cat Energy Corp., Univision Engineering Limited and World Gaming PLC
IA-4260 Nov. 6, 2015 ZPR Investment, Management, Inc. and Max E. Zavanelli
34-76380 Nov. 6, 2015 Mattmar Minerals, Inc., Strategic Mining Corporation and Thomas Pharmaceuticals, Ltd.
34-76379 Nov. 6, 2015 Avalon Digital Marketing Systems, Inc., Computerized Thermal Imaging, Inc. and Daw Technologies, Inc.
34-76378 Nov. 6, 2015 Inelco Corp. and Teliphone Corp.
34-76361 Nov. 5, 2015 David K. Hirschman
IA-4259 Nov. 5, 2015 George Charles Cody Price
IA-4258 Nov. 5, 2015 Cherokee Investment Partners, LLC and Cherokee Advisers, LLC
IA-4257 Nov. 5, 2015 Lonny S. Bernath
34-76358 Nov. 5, 2015 Friendly Energy Exploration, et al.
34-76356 Nov. 4, 2015 Albert J. Scipione
33-9976 Nov. 4, 2015 Scott A. Doak
Other Release Nos.: 34-76350, IA-4256, IC-31892
34-76337 Nov. 4, 2015 CodeSmart Holdings, Inc.
34-76333 Nov. 3, 2015 Patricia S. Miller
Other Release No.: IA-4255
IA-4253 Nov. 3, 2015 Fenway Partners, LLC, et al.
IA-4252 Nov. 2, 2015 James Michael Murray
34-76328 Nov. 2, 2015 Jonathan Warren Brooks
Other Release No.: IA-4251
34-76318 Oct. 30, 2015 Sarkauskas, Associates, Inc. and James M. Sarkauskas
34-76315 Oct. 30, 2015 American Power Corp., and Locan, Inc.
34-76313 Oct. 30, 2015 Life Care Medical Devices Ltd., and New Leaf Brands, Inc.
34-76312 Oct. 29, 2015 Citigroup Alternative Investments LLC, and Citigroup Global Markets Inc.
34-76304 Oct. 29, 2015 Sean M. Meadows
Other Release No.: IA-4247
33-9971 Oct. 29, 2015 Banc of America Capital Management, LLC, Bacap Distributors, LLC and Banc of America Securities, LLC
Other Release Nos.: 34-76306, IA-4248, IC-31885
33-9970 Oct. 29, 2015 Toney Anaya
Other Release No.: 34-76305
34-76287 Oct. 28, 2015 Gary M. Arford
Other Release Nos.: IA-4246, IC-31883
33-9969 Oct. 28, 2015 Hal S. Tunick
Other Release Nos.: 34-76286, IC-31882
33-9968 Oct. 28, 2015 Patrick R. Burke
Other Release Nos.: 34-76285, IC-31881
34-76284 Oct. 28, 2015 INverso Corp., et al.
34-76280 Oct. 27, 2015 John D'Auria
Other Release No.: IA-4245
34-76279 Oct. 27, 2015 Pan Asia Mining Corp., Petro Horizon Energy Corp., and Powerhouse Energy Corp.
33-9967 Oct. 27, 2015 The St. Joe Company, et al.
Other Release Nos.: 34-76275, AAER-3716
IA-4244 Oct. 27, 2015 Robert Burton
34-76272 Oct. 27, 2015 Arrin Corporation, et al.
34-76264 Oct. 26, 2015 National Asset Management, Inc.
Other Release No.: IA-4243
IA-4242 Oct. 26, 2015 James N. Fry
34-76263 Oct. 26, 2015 Joseph J. Azzata
34-76261 Oct. 26, 2015 DBRS, Inc.
34-76257 Oct. 26, 2015 PDK Energy, Inc.
34-76256 Oct. 26, 2015 Buckhead Community Bancorp, Inc., et al.
34-76253 Oct. 23, 2015 The Jenex Corp., et al.
34-76252 Oct. 23, 2015 Oriental Nonferrous Metals Technology Co., Ltd., et al.
34-76250 Oct. 23, 2015 Arthur F. Knapp, Jr., CPA
Other Release No.: AAER-3715
34-76243 Oct. 22, 2015 Garfield M. Taylor
Other Release No.: IA-4240
34-76242 Oct. 22, 2015 Jeffrey A. King
34-76222 Oct. 22, 2015 Stephen Grivas (Corrected Order)
34-76220 Oct. 22, 2015 The American Corp. (a/k/a American Corp.) and Nugen Holdings, Inc.
34-76219 Oct. 22, 2015 CDMemories.com, Inc., et al.
34-76218 Oct. 21, 2015 Retirement Investment Advisors, Inc., Research Holdings, LLC, and Joseph Wayne Bowie
Other Release No.: IA-4237
34-76216 Oct. 21, 2015 Laurie Bebo and John Buono, CPA
IA-4235 Oct. 21, 2015 Evelyn Litwok
IA-4234 Oct. 20, 2015 Paul Lee Moore
34-76195 Oct. 19, 2015 Nicholas Toms, Esq.
34-76194 Oct. 19, 2015 Nicholas Toms
33-9964 Oct. 19, 2015 UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C.
Other Release Nos.: IA-4233, IC-31869
34-76185 Oct. 19, 2015 Greene Power, Inc., Intacta Technologies, Inc. and Lane Co. #3, Inc.
34-76184 Oct. 19, 2015 ILN Amherst Corp., et al.
33-9963 Oct. 16, 2015 Edward M. Daspin, a/k/a "Edward (Ed) Michael;" Luigi Agostini; and Lawrence R. Lux
Other Release No.: 34-76178
34-76179 Oct. 16, 2015 Frederick V. McMenimen, III
Other Release No.: IA-4232
34-76175 Oct. 16, 2015 Welhouse & Associates, Inc. and Mark P. Welhouse
Other Release Nos.: IA-4231, IC-31868
34-76171 Oct. 16, 2015 Life Care Medical Devices Ltd. and New Leaf Brands, Inc.
34-76169 Oct. 16, 2015 Accentia Biopharmaceuticals, Inc. and Biostem U.S. Corp.
34-76167 Oct. 15, 2015 Kelly C. Hood
Other Release No.: IA-4230
34-76166 Oct. 15, 2015 Jerry A. Cicolani, Jr.
Other Release No.: IA-4229
34-76160 Oct. 15, 2015 Jason A. Muskey
Other Release No.: IA-4228
34-76155 Oct. 15, 2015 MSGI Technology Solutions, Inc. (a/k/a MSGI Security Solutions, Inc.), et al.
34-76154 Oct. 14, 2015 Jason A. Keryc
34-76153 Oct. 14, 2015 Hugo A. Arias
34-76152 Oct. 14, 2015 Mary Beth Stevens and Paul W. Oliver, Jr.
34-76151 Oct. 14, 2015 David L. Marion
34-76145 Oct. 14, 2015 Auriga Global Investors Sociedad De Valores S.A.
34-76144 Oct. 14, 2015 Harvest Capital Strategies LLC
34-76143 Oct. 14, 2015 J.P. Morgan Investment Management Inc.
34-76142 Oct. 14, 2015 Omega Advisors, Inc.
34-76141 Oct. 14, 2015 Sabby Management, LLC
34-76140 Oct. 14, 2015 War Chest Capital Partners LLC
Other Release No.: IA-4227
34-76138 Oct. 14, 2015 China Capital Finance Corp. Inc., and China Complant Group Inc.
34-76137 Oct. 14, 2015 International Hi-Tech Industries Inc., Mark One Global Industries, Inc. and Nortel Networks Corporation
IA-4226 Oct. 13, 2015 James A. Evans, Jr.
IA-4225 Oct. 13, 2015 James T. Budden and Alexander W. Budden
34-76132 Oct. 13, 2015 Khaled A. Eldaher
33-9962 Oct. 13, 2015 Jacob Keith Cooper
Other Release Nos.: 34-76133, IA-4223, IC-31867
33-9961 Oct. 13, 2015 UBS AG
33-9960 Oct. 9, 2015 David G. Derrick, Sr.
Other Release Nos.: 34-76125, AAER-3714
34-76109 Oct. 8, 2015 Wolverine Trading, LLC, and Wolverine Asset Management, LLC
Other Release No.: IA-4221
33-9959 Oct. 8, 2015 Briargate Trading, LLC, and Eric Oscher
Other Release No.: 34-76104
34-76103 Oct. 8, 2015 Anmore, Inc., and Bakery Acquisition Corp.
34-76102 Oct. 8, 2015 Green Planet Solutions Corp., et al.
34-76101 Oct. 8, 2015 Harvest Valley Ventures, Inc., and Introtech, Inc.
34-76100 Oct. 8, 2015 China SLP Filtration Technology, Inc., Sickbay Health Media, Inc., and SoTech, Inc.
IA-4219 Oct. 7, 2015 Blackstone Management Partners L.L.C., et al.
34-76096 Oct. 7, 2015 Phillip Cory Roberts, and Bay Peak, LLC
Other Release No.: IC-31865
34-76090 Oct. 7, 2015 OneSource Technologies, Inc., Packitgreen Holdings Corp. and Raytec Corp.
IA-4218 Oct. 7, 2015 Charles K. Mosley
34-76089 Oct. 7, 2015 OSK Capital I Corp., et al.
34-76080 Oct. 6, 2015 Thomas J. Palermo
Other Release No.: IA-4217
IA-4216 Oct. 5, 2015 ZPR Investment Management, Inc. and Max E. Zavanelli
34-76079 Oct. 5, 2015 Arthur F. Jacob, CPA and Innovative Business Solutions, LLC
Other Release Nos.: IA-4215, IC-31859, IA-4215
34-76074 Oct. 5, 2015 Home Loan Servicing Solutions, Ltd.
Other Release No.: AAER-3713
34-76073 Oct. 5, 2015 Bristol-Myers Squibb Company
34-76066 Oct. 1, 2015 Grant Thornton Audit Pty Limited
Other Release No.: AAER-3711
34-76065 Oct. 1, 2015 Grant Thornton India LLP
Other Release No.: AAER-3710
Third Quarter
IA-4213 Sep. 30, 2015 James Goodland and Securus Wealth Management, LLC
34-76058 Sep. 30, 2015 Howard Richards
Other Release Nos.: IA-4212, IC-31854
34-76057 Sep. 30, 2015 Efim Aksanov
33-9957 Sep. 30, 2015 Edward T. Borg and Brian J. Mulkeen
Other Release Nos.: 34-76055, IC-31853
34-76029 Sep. 30, 2015 Latour Trading LLC
33-9955 Sep. 30, 2015 Edward D. Jones & Co., L.P.
Other Release No.: 34-76052
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9954 Sep. 30, 2015 Duncan-Williams, Inc.
Other Release No.: 34-76051
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9953 Sep. 30, 2015 Crews & Associates, Inc.
Other Release No.: 34-76050
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9952 Sep. 30, 2015 Country Club Bank
Other Release No.: 34-76049
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9951 Sep. 30, 2015 Commerce Bank Capital Markets Group
Other Release No.: 34-76048
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9950 Sep. 30, 2015 Comerica Securities, Inc.
Other Release No.: 34-76047
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9949 Sep. 30, 2015 BB&T Securities, LLC
Other Release No.: 34-76046
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9948 Sep. 30, 2015 Ameritas Investment Corp.
Other Release No.: 34-76045
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9947 Sep. 30, 2015 NW Capital Markets Inc.
Other Release No.: 34-76044
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9946 Sep. 30, 2015 Northland Securities, Inc.
Other Release No.: 34-76043
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9945 Sep. 30, 2015 Mesirow Financial, Inc.
Other Release No.: 34-76042
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9944 Sep. 30, 2015 Joe Jolly & Co., Inc.
Other Release No.: 34-76041
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9943 Sep. 30, 2015 J.J.B. Hilliard and W.L. Lyons, LLC
Other Release No.: 34-76040
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9942 Sep. 30, 2015 The Frazer Lanier Company, Incorporated
Other Release No.: 34-76039
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9941 Sep. 30, 2015 Fifth Third Securities, Inc.
Other Release No.: 34-76038
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9940 Sep. 30, 2015 Estrada Hinojosa & Company, Inc.
Other Release No.: 34-76037
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9939 Sep. 30, 2015 U.S. Bank Municipal Securities Group, a Division of U.S. Bank National Association
Other Release No.: 34-76036
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9938 Sep. 30, 2015 UMB Bank and N.A. Investment Banking Division
Other Release No.: 34-76035
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9937 Sep. 30, 2015 UBS Financial Services Inc.
Other Release No.: 34-76034
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9936 Sep. 30, 2015 Ross and Sinclaire & Associates, LLC
Other Release No.: 34-76033
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9935 Sep. 30, 2015 Prager & Co., LLC
Other Release No.: 34-76032
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9934 Sep. 30, 2015 PNC Capital Markets LLC
Other Release No.: 34-76031
See also: 33-9956 (Certain Municipal Securities Underwritings)
33-9933 Sep. 30, 2015 Focus Media Holding Limited, and Jason Jiang
Other Release No.: 34-76030
34-76028 Sep. 30, 2015 ContinuityX Solutions, Inc.
34-76027 Sep. 29, 2015 Christopher Mire
34-76026 Sep. 29, 2015 Eddie R. Leblanc
33-9932 Sep. 29, 2015 Pankaj Kumar Srivastava and Nataraj Kavuri
34-76014 Sep. 29, 2015 Ramiro L. Colon, III
34-76013 Sep. 29, 2015 UBS Financial Services Incorporated of Puerto Rico
34-76012 Sep. 29, 2015 Douglas J. Anisky
34-76007 Sep. 29, 2015 Allen Ross Smith, Esq.
34-76006 Sep. 29, 2015 Hyperdynamics Corporation
34-76005 Sep. 29, 2015 Imperial Petroleum, Inc.
34-76004 Sep. 29, 2015 Capital Connection, Inc., et al.
34-76003 Sep. 28, 2015 Paygard, Inc., Quantum Companies, Inc. and Reidco Acquisition I, Inc.
34-76002 Sep. 28, 2015 The Money Tree Lending Group, Inc., et al.
34-75999 Sep. 28, 2015 Daniel R. Bartholomew and Karl I. Hjelvik
Other Release No.: AAER-3708
34-75996 Sep. 28, 2015 Steven J. Muehler, et al.
33-9931 Sep. 28, 2015 William C. Enloe
Other Release Nos.: 34-75998, AAER-3707
33-9930 Sep. 28, 2015 Trinity Capital Corporation
Other Release Nos.: 34-75997, AAER-3706
34-75992 Sep. 28, 2015 Credit Suisse Securities (USA) LLC
34-75990 Sep. 28, 2015 Marcello Trebitsch
Other Release No.: IA-4210
34-75989 Sep. 25, 2015 Advanced Battery Technologies, Inc., et al.
33-9928 Sep. 24, 2015 G Asset Management, LLC and Michael A. Glickstein
Other Release Nos.: 34-75974, IA-4209
34-75972 Sep. 24, 2015 Aspire Japan, Inc., et al.
34-75971 Sep. 23, 2015 Samdrew VI, Inc. and Subei Business Development, Inc.
33-9925 Sep. 23, 2015 William B. Fretz, et al.
Other Release Nos.: 34-75967, IA-4206, IC-31847
34-75963 Sep. 22, 2015 Idle Media, Inc., and Marcus Frasier
Other Release No.: AAER-3705
IA-4204 Sep. 22, 2015 R.T. Jones Capital Equities Management, Inc.
34-75958 Sep. 22, 2015 Stein Mart, Inc.
Other Release No.: AAER-3704
34-75957 Sep. 22, 2015 KPNQwest N.V. and Preventia, Inc.
34-75955 Sep. 21, 2015 Charles D. Jones
Other Release No.: IA-4201
34-75954 Sep. 21, 2015 Daniel Paez
Other Release No.: IA-4200
IA-4199 Sep. 21, 2015 First Eagle Investment Management, LLC and FEF Distributors, LLC
Other Release No.: IC-31832
34-75953 Sep. 18, 2015 Arthur B. Carlson, III
33-9921 Sep. 18, 2015 John Briner, Esq., et al.
Other Release Nos.: 34-75951
33-9920 Sep. 18, 2015 Christopher D. Whetman, CPA
Other Release Nos.: 34-75950, AAER-3702
33-9919 Sep. 18, 2015 John Briner, Esq., et al.
Other Release Nos.: 34-75949, AAER-3701
33-9918 Sep. 18, 2015 John Briner, Esq., et al.
Other Release Nos.: 34-75948, AAER-3700
33-9917 Sep. 18, 2015 John Briner, Esq., et al.
Other Release Nos.: 34-75947, AAER-3699
33-9916 Sep. 18, 2015 John Briner, Esq., et al.
Other Release No.: 34-75946
33-9915 Sep. 17, 2015 Terry L. Johnson, CPA
Other Release Nos.: 34-75944, AAER-3698
33-9914 Sep. 17, 2015 Philip A. Pendergraft, et al.
Other Release Nos.: 34-75941, IC-31829, AAER-3697
34-75940 Sep. 17, 2015 Timothy J. McGee
34-75939 Sep. 17, 2015 Brian David Hall
34-75938 Sep. 17, 2015 Rudolfo DeLaSierra
34-75933 Sep. 16, 2015 Joseph F. Apuzzo, CPA
Other Release No.: AAER-3696
34-75929 Sep. 16, 2015 Horizon Wimba, Inc. (n/k/a Hayse Corp.), and Interlock Services, Inc.
33-9913 Sep. 15, 2015 Jeffrey B. Rubin
Other Release Nos.: 34-75928, IA-4196, IC-31826
34-75927 Sep. 15, 2015 Aim Safety Co., et al.
34-75926 Sep. 15, 2015 AgriBioTech Inc., Condor Capital, Inc. and Tuffnell Ltd.
34-75921 Sep. 15, 2015 Edward Parker, CA
Other Release No.: AAER-3695
34-75920 Sep. 15, 2015 Wilfred Robert Sutcliffe
Other Release No.: AAER-3694
34-75909 Sep. 14, 2015 Vantone International Group, Inc.
34-75907 Sep. 11, 2015 Steven M. Dombrowski, CPA
Other Release No.: AAER-3693
34-75905 Sep. 11, 2015 Jason Matthew Pennington
34-75906 Sep. 11, 2015 Richard Krill
Other Release No.: IC-31821
34-75898 Sep. 11, 2015 Charles Booth, Inc. and Chatsworth Acquisitions I, Inc.
34-75897 Sep. 11, 2015 MSGI Technology Solutions (a/k/a MSGI Security Solutions, Inc.), et al.
34-75891 Sep. 10, 2015 Shawn A. Becker
34-75878 Sep. 10, 2015 Credit Suisse Securities USA (LLC), et al.
See also: Plan of Distribution Bulk Settlement Plan Practice
34-75877 Sep. 10, 2015 Credit Suisse Securities USA (LLC), et al.
See also: Plan of Distribution First Payment Default Practice
34-75883 Sep. 10, 2015 Empire Gold, Inc., et al.
34-75880 Sep. 10, 2015 Maher F. Kara
34-75879 Sep. 10, 2015 Bala Cynwyd Corp., et al.
34-75873 Sep. 10, 2015 GSP-2, Inc.
34-75872 Sep. 10, 2015 Hinds, Inc., and Kenyon, Inc.
34-75871 Sep. 10, 2015 Anth1, Inc., et al.
34-75870 Sep. 10, 2015 Baxter Capital Co., BF Acquisition Group III, Inc. and BF Acquisition Group V, Inc.
34-75869 Sep. 10, 2015 Accres Holding, Inc., et al.
33-9910 Sep. 9, 2015 Bennett Group Financial Services, LLC and Dawn J. Bennett
Other Release Nos.: 34-75864, IA-4191, IC-31810
34-75862 Sep. 9, 2015 BDO USA, LLP
Other Release No.: AAER-3692
34-75861 Sep. 9, 2015 Salvatore J. Zizza
Other Release No.: AAER-3691
34-75860 Sep. 9, 2015 Ronald E. Heineman
Other Release No.: AAER-3690
34-75859 Sep. 9, 2015 Sean C. Henaghan, CPA, et al.
Other Release No.: AAER-3689
33-9909 Sep. 8, 2015 Marc S. Mandel
Other Release No.: 34-75858
33-9908 Sep. 8, 2015 Joseph J. Fox
Other Release No.: 34-75857
33-9907 Sep. 8, 2015 Ditto Holdings, Inc. (Now Known as Sovestech, Inc.)
34-75855 Sep. 8, 2015 Donald W. Prosser, CPA
Other Release No.: AAER-3687
33-9906 Sep. 8, 2015 L. Gary Davis, CPA
Other Release Nos.: 34-75854, AAER-3686
33-9905 Sep. 8, 2015 Lawrence S. Meer, CPA
Other Release Nos.: 34-75853, AAER-3685
33-9904 Sep. 8, 2015 Brad J. Pyatt
Other Release No.: 34-75852
33-9903 Sep. 8, 2015 MusclePharm Corporation
Other Release No.: 34-75851
33-9902 Sep. 8, 2015 Hyunjin Lerner, CPA
Other Release Nos.:  34-75850, AAER-3684
33-9901 Sep. 8, 2015 Bankrate, Inc.
Other Release Nos.:  34-75849, AAER-3683
34-75848 Sep. 4, 2015 Donald E. Robar
34-75847 Sep. 4, 2015 Robert A. Hanner
34-75843 Sep. 4, 2015 Raymon Holmdahl, CPA and Kanako Matsumoto, CPA
Other Release No.: AAER-3681
34-75842 Sep. 4, 2015 Moshe Yehuda Dunoff
33-9900 Sep. 3, 2015 Kevin McDonnell
Other Release No.: 34-75833
IA-4189 Sep. 3, 2015 Stephen A. Colangelo, Jr.
IA-4188 Sep. 3, 2015 Mackensen & Company, Inc., and Warren J. Mackensen
34-75823 Sep. 2, 2015 Inverso Corp., et al.
34-75821 Sep. 2, 2015 High Point Transport, Inc., et al.
34-75819 Sep. 2, 2015 Janet L. Waters
34-75814 Sep. 2, 2015 Taberna Capital Management, LLC, Michael Fralin, and Raphael Licht
Other Release Nos.: IA-4186, IC-31803
34-75810 Sep. 2, 2015 David B. Havanich, et al.
34-75808 Sep. 2, 2015 Flying Eagle Pu Technical Corp. (f/k/a Sooner Holdings, Inc.)
34-75807 Sep. 1, 2015 Calico Commerce, et al.
34-75806 Sep. 1, 2015 GW One, Inc., et al.
34-75805 Sep. 1, 2015 The Application of Michael Albert Dipietro and for Review of Disciplinary Action Taken by FINRA
34-75802 Sep. 1, 2015 Gerard Haryman
34-75799 Sep. 1, 2015 Enterologics, Inc., Midas Medici Group Holdings, Inc. and SEFE, Inc.
34-75798 Sep. 1, 2015 Guardian Zone Technology, Inc. (f/k/a Curtis Acquisition, Inc.), Klein Retail Centers, Inc., and LightFirst, Inc.
34-75797 Sep. 1, 2015 Sino Clean Energy, Inc.
34-75795 Aug. 31, 2015 Johnson Lambert LLP and Bradley Scott Diericx, CPA
Other Release No.: AAER-3680
IA-4185 Aug. 28, 2015 Brian M. Bennett (f/k/a Brian M. Zentmyer)
34-75789 Aug. 28, 2015 Success Trade, Inc., Success Trade Securities, Inc. and Fuad Ahmed
34-75784 Aug. 28, 2015 Linkbrokers Derivatives LLC
34-75780 Aug. 28, 2015 Hornby International, Inc., et al.
34-75779 Aug. 28, 2015 Race World International, Inc. and Worldwide Biotech & Pharmaceutical Co.
34-75778 Aug. 28, 2015 Papertradex (US) Inc. and Park Hill Capital I Corp.
34-75777 Aug. 27, 2015 China Bio-Immunity Corp., et al.
34-75761 Aug. 26, 2015 Integrated.com, Inc., and Las Vegas Sports Resort, Inc. (f/k/a Samdrew V, Inc.)
34-75760 Aug. 25, 2015 James R. Glover
Other Release No.: IA-4181
34-75759 Aug. 25, 2015 Ci4net.Com Inc., Curragh, Inc. and RePhex, Inc.
33-9897 Aug. 25, 2015 Randy E. Olshen
Other Release No.: 34-75758
34-75753 Aug. 25, 2015 North East Capital, LLC and Anthony T. Vicidomine
34-75742 Aug. 20, 2015 Anticus International Corp., China Marketing Media Holdings, Inc., and Cigma Metals Corp.
34-75741 Aug. 19, 2015 Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
IA-4179 Aug. 19, 2015 Aubrey Lee Price
34-75732 Aug. 19, 2015 Robert J. Vitale
34-75731 Aug. 19, 2015 Avalon Digital Marketing Systems, Inc., Computerized Thermal Imaging, Inc. and Daw Technologies, Inc.
34-75729 Aug. 19, 2015 Citigroup Global Markets, Inc.
Other Release No.: IA-4178
See Also: Waiver Release No.: 33-9895; Waiver Release No.: 33-9896
34-75728 Aug. 19, 2015 BioCoral, Inc., et al.
34-75727 Aug. 19, 2015 Neologic Animation, Inc.
34-75726 Aug. 19, 2015 China Organic Fertilizer, Inc.
34-75725 Aug. 18, 2015 Hitcom Corp., et al.
34-75720 Aug. 18, 2015 The Bank of New York Mellon Corporation
Other Release No.: AAER-3679
34-75719 Aug. 18, 2015 Internal Fixation Systems, Inc.
IA-4177 Aug. 17, 2015 Bradford D. Szczecinski
IA-4176 Aug. 17, 2015 Tamara S. Kraus
IA-4175 Aug. 17, 2015 Theodore R. Augustyniak
33-9893 Aug. 17, 2015 Citigroup Alternative Investments LLC and Citigroup Global Markets Inc.
Other Release Nos.: 34-75710, IA-4174
See Also: Waiver Release No.: 33-9894
33-9891 Aug. 14, 2015 Success Trade, Inc., Success Trade Securities, Inc. and Fuad Ahmed
Other Release Nos.: 34-75707, IC-31762
34-75706 Aug. 14, 2015 GLG Partners, Inc. and GLG Partners, L.P.
33-9892 Aug. 14, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr.
Other Release Nos.: 34-75708, IA-4173, IC-31763
34-75691 Aug. 13, 2015 Cory D. Williams
Other Release Nos.: IA-4171, IC-31752
34-75690 Aug. 13, 2015 Signator Investors, Inc. and Gregory J. Mitchell
Other Release No.: IA-4170
34-75687 Aug. 13, 2015 International Hi-Tech Industries Inc., et al.
33-9890 Aug. 13, 2015 Stina R. Wishman
Other Release Nos.: 34-75689, IA-4169, IC-31751
33-9889 Aug. 13, 2015 Edward D. Jones & Co., L.P.
Other Release No.: 34-75688
34-75684 Aug. 12, 2015 Vicente E. Garcia
Other Release No.: AAER-3678
34-75683 Aug. 12, 2015 CityView Corp. Ltd., et al.
34-75682 Aug. 12, 2015 New Energy Systems Group
34-75681 Aug. 12, 2015 Mattmar Minerals, Inc., Strategic Mining Corporation, and Thomas Pharmaceuticals, Ltd.
34-75680 Aug. 12, 2015 Storm Cat Energy Corp., Univision Engineering Limited, and World Gaming PLC
34-75679 Aug. 12, 2015 Keith MacDonald Summers
34-75675 Aug. 12, 2015 Austin Funding.com Corporation, Core Medical Group, Inc. and Modern City Entertainment, Inc.
34-75673 Aug. 12, 2015 David J. Stern
34-75671 Aug. 12, 2015 DJSP Enterprises, Inc.
33-9888 Aug. 12, 2015 Kumar Gursahaney
Other Release No.: 34-75674
34-75669 Aug. 12, 2015 The American Corp. (a/k/a American Corp.), Madison Acquisition Ventures, Inc. and Nugen Holdings, Inc.
34-75668 Aug. 12, 2015 Alternate Energy Holdings, Inc.
33-9887 Aug. 12, 2015 ITG Inc. and AlterNet Securities, Inc.
Other Release No.: 34-75672
34-75667 Aug. 11, 2015 Vineet Kalucha, CA
Other Release Nos.: AAER-3677, IA-4167
34-75666 Aug. 11, 2015 Jeffrey L. Lamson, CPA
Other Release Nos.: AAER-3676
33-9886 Aug. 11, 2015 Acadia Asset Management, LLC and Eric D. Jacobs
Other Release Nos.: 34-75665, IA-4165, IC-31748
33-9885 Aug. 11, 2015 Dennis J. Malouf
Other Release Nos.: 34-75663, IA-4164, IC-31747
34-75654 Aug. 10, 2015 Joseph Devito
34-75653 Aug. 10, 2015 Dean A. Esposito
34-75652 Aug. 10, 2015 George Bussanich, Jr.
IA-4163 Aug. 10, 2015 Guggenheim Partners Investment Management, LLC
See Also: Waiver Release No.: 33-9884
34-75645 Aug. 7, 2015 Dawn M. Schlegel, CPA
Other Release No.: AAER-3675
34-75644 Aug. 7, 2015 John Thornes
34-75636 Aug. 7, 2015 InferX Corp.
34-75635 Aug. 7, 2015 Composite Solutions, Inc. and Voyager Entertainment International Inc.
33-9882 Aug. 6, 2015 First Xeris Corp.
IA-4160 Aug. 6, 2015 Tri-Star Advisors, Inc., William T. Payne and Jon C. Vaughan
Other Release No.: IC-31742
34-75627 Aug. 6, 2015 Wesley N. Stark, CPA and StarkSchenkein, LLP
Other Release Nos.: AAER-3674, IA-4162
34-75626 Aug. 6, 2015 Reid S. Johnson
Other Release Nos.: IA-4161, IC-31743
34-75625 Aug. 6, 2015 Parallax Investments, LLC, John P. Bott, II, and F. Robert Falkenberg
Other Release Nos.: IA-4159, IC-31741
33-9881 Aug. 6, 2015 Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-75622, AAER-3673
34-75621 Aug. 6, 2015 Barclay Road Inc., et al.
34-75619 Aug. 5, 2015 Richard L. Pearson
34-75618 Aug. 5, 2015 David J. Boden, Esq.
33-9880 Aug. 5, 2015 Joseph C. Ruggieri
Other Release No.: 34-75620
33-9878 Aug. 5, 2015 Murat M. Dorkan
Other Release Nos.: 34-75616, IA-4158, IC-31740
IA-4156 Aug. 5, 2015 Charles K. Mosley
IA-4155 Aug. 5, 2015 Eric A. Bloom
34-75608 Aug. 5, 2015 Solar Acquisition Corp.
34-75606 Aug. 5, 2015 PDK Energy, Inc.
34-75604 Aug. 4, 2015 Volt Solar Systems, Inc.
34-75598 Aug. 4, 2015 Lori Ann Artzberger
34-75597 Aug. 4, 2015 Alex Puzaitzer
34-75596 Aug. 4, 2015 Paul Orena
34-75595 Aug. 4, 2015 Yitz Grossman
IA-4154 Aug. 4, 2015 Gold Mountain Management, LLC and Gregory Bied
Other Release No.: IC-31737
33-9876 Aug. 3, 2015 Gordon Brent Pierce
Other Release No.: 34-75591
34-75585 Aug. 3, 2015 Computer Learning Centers, Inc.
34-75583 Jul. 31, 2015 Paul J. Pollack and Montgomery Street Research, LLC
Other Release No.: IC-31733
34-75575 Jul. 31, 2015 China Infrastructure Investment Corp.
34-75574 Jul. 31, 2015 Kingsway Capital, Inc., Luvoo Int. Inc. and Pacific Clean Water Technologies, Inc.
33-9872 Jul. 31, 2015 Reliance Financial Advisors, LLC, et al.
Other Release Nos.: 34-75577, IA-4152, IC-31730
33-9871 Jul. 31, 2015 Michael T. Seabolt
Other Release Nos.: 34-75576, IA-4151, IC-31729
34-75573 Jul. 30, 2015 Computer Sciences Corporation, et al.
34-75572 Jul. 30, 2015 Gilles T. De Charsonville
Other Release No.: 34-75573
34-75565 Jul. 30, 2015 Pamela S. Smith
34-75564 Jul. 30, 2015 Timothy Patterson
34-75563 Jul. 30, 2015 Christopher Edwards, CA
Other Release No.: AAER-3672
34-75553 Jul. 30, 2015 Computer Learning Centers, Inc., InferX Corp. and Sedona Corp.
34-75552 Jul. 30, 2015 Big Sky Industries II, Inc., et al.
34-75551 Jul. 29, 2015 Oppenheimerfunds Distributor, Inc.
34-75549 Jul. 29, 2015 Buckhead Community Bancorp, Inc., et al.
IA-4150 Jul. 29, 2015 Stephen M. Coleman
34-75546 Jul. 29, 2015 Oraco Resources, Inc., et al.
34-75545 Jul. 29, 2015 America West Resources, Inc., Sonoma Valley Bancorp and WorldStar Energy, Corp.
IA-4149 Jul. 28, 2015 Sachin K. Uppal
34-75544 Jul. 28, 2015 IFuture.Com, Inc., et al.
33-9870 Jul. 28, 2015 Frank H. Chiappone, et al.
Other Release Nos.: 34-75543, IA-4148, IC-31727
34-75542 Jul. 28, 2015 Brookstone Securities, Inc., et al.
34-75539 Jul. 28, 2015 David B. Havanich, Jr., et al.
Other Release No.: IA-4147
34-75538 Jul. 28, 2015 David B. Havanich, Jr., et al.
34-75537 Jul. 28, 2015 David B. Havanich, Jr., et al.
34-75532 Jul. 28, 2015 Mead Johnson Nutrition Company
34-75527 Jul. 27, 2015 John M.E. Saad
Other Release Nos.: 34-62178, 34-70632, 34-74932
34-75526 Jul. 27, 2015 Anticus International Corp., et al.
34-75525 Jul. 27, 2015 Opera Jet International Ltd.
34-75524 Jul. 27, 2015 Arctos Petroleum Corp. (a/k/a Stetson Oil & Gas, et al.
34-75523 Jul. 27, 2015 Eden Energy Corp. and Fifth Season International, Inc.
34-75522 Jul. 27, 2015 AOB Biotech, Inc., et al.
34-75521 Jul. 24, 2015 Gary B. Wolff, Esq.
34-75520 Jul. 24, 2015 Fred Alger Management, Inc. and Fred Alger & Company, Incorporated
Note: See also Plan of Distribution
34-75519 Jul. 24, 2015 G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC
Note: See also Plan of Distribution
IA-4146 Jul. 24, 2015 Dion Money Management, LLC
34-75515 Jul. 23, 2015 Fred Alger Management, Inc. and Fred Alger & Company, Inc.
34-75512 Jul. 23, 2015 Robert Okin
33-9869 Jul. 23, 2015 Arthur W. Lewis
Other Release No.: 34-75511
33-9868 Jul. 23, 2015 Scott A. Eisler
Other Release Nos.: 34-75510, IC-31725, IA-4145
34-75508 Jul. 23, 2015 Accres Holding, Inc., et al.
34-75507 Jul. 23, 2015 Carter Acquisition Corp. I, et al.
34-75506 Jul. 22, 2015 Credit Suisse Alternative Capital, et al.
33-9867 Jul. 22, 2015 Gordon Brent Pierce
Other Release No.: 34-75503
34-75500 Jul. 21, 2015 Akis C. Eracleous
Other Release No.: IA-4144
34-75496 Jul. 20, 2015 ILN Amherst Corp., et al.
34-75495 Jul. 20, 2015 Greene Power, Inc., Intacta Technologies, Inc. and Lane Co. #3, Inc.
34-75485 Jul. 17, 2015 Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company
34-75484 Jul. 17, 2015 Chad E. Wiegand
Other Release No.: IA-4143
34-75483 Jul. 17, 2015 Chih Hsuan "Kiki" Lin
34-75474 Jul. 16, 2015 Hugo Urrea
34-75466 Jul. 16, 2015 CDMemories.Com, Inc., et al.
34-75465 Jul. 16, 2015 Capital Connection, Inc., et al.
34-75462 Jul. 15, 2015 James R. Holdman
Other Release No.: IA-4142
34-75453 Jul. 15, 2015 Oraco Resources, Inc., et al.
34-75452 Jul. 15, 2015 NNN 2003 Value Fund, LLC
34-75451 Jul. 15, 2015 NNN 2002 Value Fund, LLC
34-75450 Jul. 14, 2015 Burgess Nathaniel Hallums
Other Release No.: IA-4141
IA-4139 Jul. 14, 2015 Toby D. Hunter
34-75445 Jul. 14, 2015 Oz Management, LP
34-75430 Jul. 13, 2015 Oraco Resources, Inc., et al.
34-75429 Jul. 13, 2015 Global Leadership Institute, Inc.
33-9864 Jul. 10, 2015 Gerard Boudreault
Other Release No.: 34-75420
34-75419 Jul. 10, 2015 First American Scientific Corp. and Immunosyn Corp.
34-75418 Jul. 9, 2015 Justin G. Dickson
34-75417 Jul. 9, 2015 Patrick Lehnert
34-75404 Jul. 9, 2015 Greenbridge Technology, Inc., et al.
34-75403 Jul. 9, 2015 A Better Way Financial Corp., et al.
34-75402 Jul. 9, 2015 Information Architects Corporation (n/k/a Dakota Creative Group Corporation)
34-75401 Jul. 8, 2015 VERO Capital Management, LLC, et al.
Other Release Nos.: AAER-3670, IA-4138, IC-31710
34-75400 Jul. 8, 2015 Hinds, Inc. and Kenyon, Inc.
34-75399 Jul. 8, 2015 Harvest Valley Ventures, Inc. and Introtech, Inc.
34-75387 Jul. 8, 2015 A.B. Watley Group, Inc., Cambridge Heart, Inc. and iGenii Inc.
34-75385 Jul. 8, 2015 International Hi-Tech Industries Inc., et al.
34-75383 Jul. 8, 2015 Arrin Corporation, et al.
34-75382 Jul. 7, 2015 Bryce Walker, CA and Spence Walker, CA, CPA
Other Release No.: AAER-3669
IC-31706 Jul. 7, 2015 Macquarie Capital Investment Management LLC, et al.
34-75379 Jul. 7, 2015 The American Corp. (a/k/a American Corp.), Madison Acquisition Ventures, Inc. and Nugen Holdings, Inc.
34-75370 Jul. 7, 2015 Cedar Creek Mines Ltd., et al.
34-75369 Jul. 7, 2015 Jesters Resources, Inc. and Kensington Group, Inc.
34-75368 Jul. 7, 2015 Guardian Zone Technology, et al.
33-9863 Jul. 7, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr.
Other Release Nos.: 34-75371, IA-4137, IC-31707
34-75362 Jul. 6, 2015 Wisteria Global, Inc. and Hiroshi Fujigami
34-75352 Jul. 2, 2015 Oraco Resources, Inc., et al.
34-75348 Jul. 1, 2015 Baxter Capital Co., BF Acquisition Group III, Inc. and BF Acquisition Group V, Inc.
34-75347 Jul. 1, 2015 Anmore, Inc. and Bakery Acquisition Corp.
34-75345 Jul. 1, 2015 John Jordan
34-75343 Jul. 1, 2015 Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton
Other Release Nos.: IC-31703, AAER-3668
34-75341 Jul. 1, 2015 Linkbrokers Derivatives LLC
34-75340 Jul. 1, 2015 Richard Lawrence Evans
Other Release Nos.: IA-4136, IC-31701
IA-4135 Jul. 1, 2015 Alphabridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino
Other Release No.: IC-31700
Second Quarter
IA-4134 Jun. 30, 2015 Jonathan D. Davey, CPA
Other Release No.: AAER-3666
34-75337 Jun. 30, 2015 Jonathan D. Davey, CPA
Other Release No.: AAER-3667
33-9860 Jun. 30, 2015 Peter Voutsas
34-75332 Jun. 30, 2015 Green Planet Solutions Corp., et al.
34-75331 Jun. 30, 2015 Goldman and Sachs & Co.
34-75330 Jun. 30, 2015 Bama Biotech, Inc., China inSure Holdings, Inc. and China Nutrifruit Group, Ltd.
34-75328 Jun. 29, 2015 Jerry Gruenbaum, Esq.
34-75327 Jun. 29, 2015 Jerry Gruenbaum, Esq.
Other Release No.: IA-4133
34-75319 Jun. 29, 2015 Welhouse & Associates, Inc. and Mark P. Welhouse
Other Release Nos.: IA-4132, IC-31699
IA-4131 Jun. 29, 2015 Kohlberg Kravis Roberts & Co. L.P.
Note: See also Order, Release No. 33-9855
34-75318 Jun. 29, 2015 Horizon Wimba (n/k/a Hayse Corp.), et al.
34-75310 Jun. 26, 2015 Aspire Japan, Inc., et al.
34-75308 Jun. 26, 2015 Aryeh Acquisition Corp., et al.
34-75307 Jun. 26, 2015 Accres Holding, Inc., et al.
34-75305 Jun. 26, 2015 Vantone International Group, Inc.
34-75298 Jun. 25, 2015 Michael S. Wilson, CPA and Cotterman-Wilson CPAs, Inc.
Other Release Nos.: IA-4130, AAER-3665
34-75294 Jun. 24, 2015 JP Turner & Company, LLC and William L. Mello
34-75292 Jun. 24, 2015 Larry Dearman Sr.
Other Release No.: IA-4128
34-75285 Jun. 24, 2015 Papertradex (US) Inc. and Park Hill Capital I Corp.
34-75279 Jun. 24, 2015 China SLP Filtration Technology, Inc., Sickbay Health Media, Inc. and SoTech, Inc.
34-75276 Jun. 24, 2015 AuraSound, Inc., et al.
34-75275 Jun. 24, 2015 Hi-Q Wason, Inc., IPI Fundraisng, Inc., and, Luminary Acquisition Corp.
34-75274 Jun. 24, 2015 China Education International, Inc.
34-75272 Jun. 23, 2015 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
34-75271 Jun. 23, 2015 Phil Williamson
Other Release No.: IA-4127
34-75270 Jun. 23, 2015 Bradley A. Holcom
IA-4126 Jun. 23, 2015 Pekin Singer Strauss Asset Management Inc., et al.
Other Release No.: IC-31688
34-75268 Jun. 23, 2015 Ireeco, LLC and Ireeco Limited
34-75267 Jun. 23, 2015 Adam S. Gottbetter
34-75266 Jun. 23, 2015 Adam S. Gottbetter
34-75265 Jun. 23, 2015 Ark Asset Management Co., Inc.
34-75264 Jun. 23, 2015 Comprehensive Capital Management, Inc. Note: See also Plan of Distribution
34-75263 Jun. 22, 2015 Joshua A. Yudell
IA-4124 Jun. 22, 2015 Matthew G. Teeple
IA-4123 Jun. 22, 2015 John V. Johnson
34-75249 Jun. 19, 2015 Urban AG Corp.
33-9848 Jun. 18, 2015 Certain Municipal Securities Underwritings
33-9847 Jun. 18, 2015 William Blair & Company, L.L.C.
Other Release No.: 34-75241
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9846 Jun. 18, 2015 Wells Nelson & Associates, LLC
Other Release No.: 34-75240
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9845 Jun. 18, 2015 Stifel and Nicolaus & Company, Inc.
Other Release No.: 34-75239
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9844 Jun. 18, 2015 Sterne and Agee & Leach, Inc.
Other Release No.: 34-75238
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9843 Jun. 18, 2015 Stephens Inc.
Other Release No.: 34-75237
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9842 Jun. 18, 2015 Smith Hayes Financial Services Corporation
Other Release No.: 34-75236
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9841 Jun. 18, 2015 Siebert Brandford Shank & Co., LLC
Other Release No.: 34-75235
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9840 Jun. 18, 2015 Robert W. Baird & Co. Incorporated
Other Release No.: 34-75234
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9839 Jun. 18, 2015 RBC Capital Markets, LLC
Other Release No.: 34-75233
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9838 Jun. 18, 2015 Raymond James & Associates, Inc.
Other Release No.: 34-75232
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9837 Jun. 18, 2015 Piper Jaffray & Co.
Other Release No.: 34-75231
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9836 Jun. 18, 2015 Oppenheimer & Co. Inc.
Other Release No.: 34-75230
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9835 Jun. 18, 2015 The Northern Trust Company
Other Release No.: 34-75229
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9834 Jun. 18, 2015 Morgan Stanley & Co. LLC
Other Release No.: 34-75228
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9833 Jun. 18, 2015 Merrill Lynch, Pierce and Fenner & Smith, Incorporated
Other Release No.: 34-75227
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9831 Jun. 18, 2015 Merchant Capital, L.L.C.
Other Release No.: 34-75225
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9830 Jun. 18, 2015 Martin Nelson & Co., Inc.
Other Release No.: 34-75224
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9829 Jun. 18, 2015 Loop Capital Markets LLC
Other Release No.: 34-75223
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9828 Jun. 18, 2015 L.J. Hart & Company
Other Release No.: 34-75222
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9827 Jun. 18, 2015 J.P. Morgan Securities LLC
Other Release No.: 34-75221
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9826 Jun. 18, 2015 Hutchinson, Shockey and Erley & Co.
Other Release No.: 34-75220
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9825 Jun. 18, 2015 Goldman and Sachs & Co.
Other Release No.: 34-75219
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9824 Jun. 18, 2015 George K. Baum & Company
Other Release No.: 34-75218
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9823 Jun. 18, 2015 First National Capital Markets, Inc.
Other Release No.: 34-75217
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9822 Jun. 18, 2015 Dougherty & Company LLC
Other Release No.: 34-75216
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9821 Jun. 18, 2015 Davenport & Company LLC
Other Release No.: 34-75215
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9820 Jun. 18, 2015 City Securities Corporation
Other Release No.: 34-75214
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9819 Jun. 18, 2015 Citigroup Global Markets Inc.
Other Release No.: 34-75213
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9818 Jun. 18, 2015 Central States Capital Markets, LLC
Other Release No.: 34-75212
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9817 Jun. 18, 2015 BOSC, Inc.
Other Release No.: 34-75211
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9816 Jun. 18, 2015 BNY Mellon Capital Markets, LLC
Other Release No.: 34-75210
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9815 Jun. 18, 2015 BMO Capital Markets GKST Inc.
Other Release No.: 34-75209
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9814 Jun. 18, 2015 Bernardi Securities, Inc.
Other Release No.: 34-75208
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9813 Jun. 18, 2015 Benchmark Securities, LLC
Other Release No.: 34-75207
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9812 Jun. 18, 2015 B.C. Ziegler and Company
Other Release No.: 34-75206
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9811 Jun. 18, 2015 The Baker Group, LP
Other Release No.: 34-75205
Note: See also 33-9848 (Certain Municipal Securities UnderWritings)
33-9832 Jun. 18, 2015 Dennis J. Malouf
Other Release Nos.: 34-75226, IA-4121, IC-31682
34-75204 Jun. 18, 2015 BioCoral, Inc., et al.
34-75202 Jun. 18, 2015 KPNQwest N.V. and Preventia, Inc.
34-75200 Jun. 18, 2015 China Organic Fertilizer, Inc.
34-75198 Jun. 18, 2015 GSP-2, Inc.
34-75196 Jun. 18, 2015 The AppleTree Companies, Inc., RoomStore, Inc. and Saveene Group Corp.
IA-4120 Jun. 17, 2015 George Joseph Palathinkal, CPA
Other Release No.: AAER-3664
IC-31678 Jun. 17, 2015 Commonwealth Capital Management, LLC, et al.
33-9809 Jun. 17, 2015 Sand Hill Exchange, Gerrit Hall and Elaine Ou
34-75185 Jun. 17, 2015 Enterologics, Inc., Midas Medici Group Holdings, Inc. and SEFE, Inc.
34-75183 Jun. 17, 2015 Oraco Resources, Inc., et al.
34-75180 Jun. 17, 2015 Neologic Animation Inc.
33-9807 Jun. 16, 2015 Equity Trust Company
34-75177 Jun. 16, 2015 Hornby International, Inc., et al.
34-75176 Jun. 16, 2015 Integrated.Com, Inc. and Las Vegas Sports Resort, Inc. (f/k/a Samdrew V Inc.)
34-75175 Jun. 16, 2015 Earth Dragon Resources, Inc.
34-75174 Jun. 16, 2015 Alternate Energy Solutions, Inc., et al.
IA-4116 Jun. 15, 2015 SFX Financial Advisory Management Enterprises, Inc. and Eugene S. Mason
IA-4115 Jun. 15, 2015 Brian J. Ourand
Other Release No.: IC-31668
34-75172 Jun. 15, 2015 Helmut Anscheringer
IA-4114 Jun. 15, 2015 Christopher A. Luck
34-75171 Jun. 15, 2015 Keith E. Rode, CPA
Other Release Nos.:  IA-4113, AAER-3663
34-75164 Jun. 12, 2015 ChinaCast Education Corp. and Phoenix Agri Enterprises, Inc.
34-75163 Jun. 12, 2015 Austin Acquisitions, Inc., et al.
33-9806 Jun. 11, 2015 Spectrum Concepts, LLC, et al.
Other Release No.: 34-75144
34-75137 Jun. 10, 2015 Chatter Box Call Center Ltd., Euro Group Companies, Inc. and Golden Century Resources Limited
34-75136 Jun. 10, 2015 Winsonic Digital Media Group, Ltd.
IA-4112 Jun. 9, 2015 The ELIV Group, LLC and Scott Valente
34-75129 Jun. 9, 2015 Jason Matthew Pennington
34-75128 Jun. 9, 2015 Brian J. Schuster
Other Release No.: IA-4110
34-75127 Jun. 9, 2015 Rebecca L. Engle
Other Release No.: IA-4109
34-75126 Jun. 9, 2015 Clinton D. Fraley
Other Release No.: IA-4108
34-75125 Jun. 9, 2015 Devon J. Carlson
Other Release No.: IA-4107
34-75124 Jun. 9, 2015 Robert H. Medhus
IA-4106 Jun. 9, 2015 Frederic Elm f/k/a Frederic Elmaleh
34-75122 Jun. 8, 2015 Guardian Zone Technology, et al.
IA-4105 Jun. 8, 2015 Lawrence J. Herzing, CPA
34-75118 Jun. 5, 2015 Credit Suisse Securities (USA) LLC, et al.
34-75113 Jun. 5, 2015 Mark G. Brickman and Mark E. Baratto
Other Release No.: IC-31661
34-75111 Jun. 5, 2015 Voyager Entertainment International Inc.
33-9804 Jun. 5, 2015 Computer Sciences Corporation, et al.
Other Release Nos.: 34-75110, AAER-3662
33-9801 Jun. 3, 2015 Michael G. Thomas
Other Release Nos.: IA-4102, IC-31659
33-9800 Jun. 3, 2015 Todd M. Schoenberger
Other Release Nos.: 34-75099, IA-4101, IC-31658
34-75097 Jun. 3, 2015 First China Pharmaceutical Group, Inc.
34-75092 Jun. 2, 2015 Accelerated Acquisitions XIV, Inc., et al.
34-75091 Jun. 2, 2015 booktech.com, inc., et al.
34-75090 Jun. 2, 2015 Anticus International Corp., et al.
33-9799 Jun. 1, 2015 Dickson Lee, CPA
Other Release Nos.: 34-75088, AAER-3659
34-75086 Jun. 1, 2015 First Bancorp, Anna Hollers and Teresa Nixon (Corrected Order)
34-75084 Jun. 1, 2015 Horizon Wimba, et al.
34-75083 Jun. 1, 2015 Merrill Lynch, et al.
34-75082 Jun. 1, 2015 Ronald Lawrence Schuman
34-75081 Jun. 1, 2015 Barry Hawk
34-75080 Jun. 1, 2015 Gerard Haryman
IA-4100 Jun. 1, 2015 Benjamin Lee Grant
34-75079 Jun. 1, 2015 Longhai Steel Inc.
34-75078 Jun. 1, 2015 Discovery Oil, Ltd., Maydao Corporation and NX Global, Inc.
34-75077 May 29, 2015 Michael W. Zirinsky
34-75070 May 29, 2015 Keilen Dimone Wiley
IA-4099 May 29, 2015 Timbervest, LLC, et al.
Other Release No.: IC-31654
33-9795 May 28, 2015 Gregory T. Bolan, Jr. and Joseph C. Ruggieri
Other Release No.: 34-75066
34-75062 May 28, 2015 Christopher C. Weides
34-75059 May 28, 2015 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
33-9794 May 28, 2015 William Quigley
Other Release No.: 34-75061
34-75055 May 28, 2015 America West Resources, Inc., Sonoma Valley Bancorp and Worldstar Energy, Corp.
34-75047 May 27, 2015 Jesters Resources, Inc., Jet Neko, Inc. and Kensington Group, Inc.
34-75046 May 26, 2015 ANTH1, Inc., et al.
33-9793 May 26, 2015 David B. Havanich, et al.
Other Release No.: 34-75045
33-9792 May 26, 2015 David B. Havanich, et al.
Other Release No.: 34-75044
33-9791 May 26, 2015 David B. Havanich, et al.
Other Release No.: 34-75043
34-75040 May 26, 2015 Deutsche Bank AG
IA-4095 May 22, 2015 Stephen A. Colangelo, Jr.
34-75037 May 22, 2015 Brookstone Securities, Inc, et al.
34-75035 May 22, 2015 National Health Partners, Inc., and the Laguna Group, Inc. (a/k/a Eco Energy Pumps, Inc.)
34-75034 May 21, 2015 Sarkauskas and Associates, Inc. and James M. Sarkauskas
34-75028 May 21, 2015 Mayer Hoffman McCann, P.C.
Other Release No.: AAER-3658
33-9789 May 21, 2015 Gray Financial Group, Inc., Laurence O. Gray, and Robert C. Hubbard, IV
Other Release Nos.: 34-75021, IA-4094, IC-31643
34-75020 May 21, 2015 EC Development, Inc.
34-75019 May 21, 2015 Black Sea Metals, Inc., et al.
34-75018 May 21, 2015 Discovery Oil, Ltd., et al.
34-75017 May 21, 2015 China Education International, Inc., Delta Entertainment Group Inc. and Gulf United Energy, Inc.
34-75016 May 21, 2015 Aspire International, Inc., et al.
IA-4093 May 20, 2015 Gedrey Thompson
34-75015 May 20, 2015 Erick Laszlo Mathe
34-75014 May 20, 2015 Renrui Tang
Other Release No.: AAER-3657
34-75011 May 20, 2015 Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
Other Release Nos.: IA-4092, IC-31614
33-9788 May 20, 2015 Randy E. Olshen
Other Release No.: 34-75010
34-75000 May 20, 2015 Guy M. Jean-Pierre, Esq., a/k/a "Marcelo Dominguez De Guerra"
34-74999 May 20, 2015 Guy M. Jean-Pierre, Esq., a/k/a "Marcelo Dominguez De Guerra"
34-74997 May 20, 2015 Composite Solutions, Inc., Ruby Creek Resources, Inc. and Voyager Entertainment International Inc.
34-74998 May 20, 2015 BHP Billiton Ltd. and BHP Billiton Plc
34-74995 May 19, 2015 Barclay Road Inc., et al.
34-74994 May 19, 2015 Richard Krill
Other Release Nos.: IC-31609
34-74993 May 19, 2015 VCAP Securities, LLC and Brett Thomas Graham
34-74983 May 18, 2015 Carter Acquisition Corp. I, et al.
IA-4087 May 18, 2015 Trust & Investment Advisors, Inc., Larry K. Pitts and George M. Prugh
IA-4086 May 18, 2015 Stephen L. Kirkland
34-74978 May 15, 2015 Mitchell J. Stein
34-74977 May 15, 2015 Mitchell J. Stein
33-9772 May 15, 2015 Thomas A. Neely, Jr.
Other Release Nos.: 34-74976, AAER-3656
IC-31601 May 14, 2015 Nationwide Life Insurance Company
34-74959 May 14, 2015 Defense Industries International, Inc., EvCarCo, Inc. and or Island Breeze International, Inc.
34-74958 May 14, 2015 QSound Labs, Inc. and Wind Energy America, Inc.
34-74945 May 13, 2015 China Pharmaceuticals, Inc. and Ziyang Ceramics Corp.
34-74944 May 13, 2015 Energiz Renewable, Inc., Iron Eagle Group, Inc. and MedClean Technologies, Inc.
34-74943 May 13, 2015 Revonergy Inc., et al.
34-74942 May 13, 2015 Big Sky Industries II, Inc., et al.
34-74941 May 13, 2015 Dittybase Technologies, Inc.
33-9771 May 12, 2015 Paul Tabet
Other Release Nos.: 34-74940, IA-4082, IC-31600
34-74925 May 12, 2015 Computer Learning Centers, Inc., InferX Corp., and Sedona Corp.
IA-4081 May 11, 2015 Stephen Goodrich
33-9768 May 11, 2015 First Xeris Corp.
33-9767 May 11, 2015 Visual Acumen, Inc.
34-74912 May 8, 2015 Express Commercial Capital LLC and Sidney Banner
34-74907 May 8, 2015 Mobile Area Networks, Inc.
34-74905 May 7, 2015 John W. Adams and AIP, LLC
34-74904 May 7, 2015 Gruber & Company LLC and Edward Randall Gruber (CPA)
Other Release No.: AAER-3655
34-74899 May 7, 2015 Comprehensive Capital Management, Inc.
Note: See also Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
IA-4078 May 6, 2015 Timbervest, LLC, et al.
Other Release No.: IC-31595
34-74879 May 6, 2015 China Yili Petroleum Company
34-74878 May 6, 2015 China Education International, Inc., Delta Entertainment Group Inc. and Gulf United Energy, Inc.
34-74871 May 5, 2015 Fred Alger Management, Inc. and Fred Alger & Company, Incorporated
Note: See also Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
34-74869 May 5, 2015 A.B. Watley Group, Inc., et al.
34-74867 May 4, 2015 Kingsway Capital, Inc., Luvoo Int. Inc. and Pacific Clean Water Technologies, Inc.
34-74859 May 4, 2015 Innovative Software Technologies, Inc., et al.
IA-4076 May 1, 2015 Timbervest, LLC, et al.
Other Release No.: IC-31591
34-74852 Apr. 30, 2015 Hugo Urrea
34-74851 Apr. 30, 2015 Sarkauskas, Associates, Inc. and James M. Sarkauskas
34-74848 Apr. 30, 2015 Eden Energy Corp. and Fifth Season International, Inc.
34-74846 Apr. 30, 2015 Cedar Creek Mines Ltd., et al.
34-74828 Apr. 29, 2015 Alpha Titans LLC, Timothy P. Mccormack, and Kelly D. Kaeser, Esq.
Other Release Nos.: IA-4073, IC-31586
34-74827 Apr. 29, 2015 Simon Lesser, CPA, CA
Other Release Nos.: IA-4072, IC-31585, AAER-3654
33-9761 Apr. 28, 2015 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4071, IC-31583
IA-4070 Apr. 28, 2015 Charles R. Kokesh
34-74820 Apr. 28, 2015 Greenbridge Technology, Inc., et al.
34-74819 Apr. 28, 2015 Jesters Resources, Inc., Jet Neko, Inc. and Kensington Group, Inc.
34-74817 Apr. 27, 2015 Steven J. Manderfeld and Esq.
34-74816 Apr. 27, 2015 Donald J. Torbert, CPA, Nicole S. Stokes and CPA.
Other Release Nos.: AAER-3652, AAER-3652
34-74812 Apr. 27, 2015 Keith MacDonald Summers
Note: See also Plan of Distribution
Comments due: 30 days from publication of this Notice
34-74811 Apr. 24, 2015 Frank Perkins Hixon, Jr.
34-74808 Apr. 24, 2015 North East Capital, LLC and Anthony T. Vicidomine
34-74806 Apr. 24, 2015 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
34-74805 Apr. 24, 2015 Duncan J. Macdonald, III
33-9759 Apr. 23, 2015 International Precious Metals, Inc.
33-9758 Apr. 23, 2015 Kismet, Inc
33-9757 Apr. 23, 2015 Houston American Energy Corp., et al.
33-9756 Apr. 23, 2015 Houston American Energy Corp., et al.
Other Release No.: 34-74800
33-9755 Apr. 23, 2015 Edward M. Daspin, a/k/a "Edward (Ed) Michael"; Luigi Agostini; and Lawrence R. Lux
Other Release No.: 34-74799
34-74802 Apr. 23, 2015 Centaur Management Co. LLC
34-74798 Apr. 23, 2015 Tracy Morgan Spaeth
Other Release No.: IA-4069
34-74792 Apr. 23, 2015 StateTrust Investments, Inc.
34-74790 Apr. 23, 2015 21st Century Telesis II, Inc., et al.
34-74789 Apr. 23, 2015 Visa Industries of Arizona, Inc.
34-74779 Apr. 22, 2015 First American Scientific Corp. and Immunosyn Corp.
34-74782 Apr. 22, 2015 W2007 Grace Acquisition I, Inc.
34-74777 Apr. 22, 2015 Akesis Pharmaceuticals, Inc., et al.
IC-31560 Apr. 21, 2015 Kornitzer Capital Management, Inc. and Barry E. Koster
34-74772 Apr. 21, 2015 Hi-Q Wason, Inc., Ipi Fundraising, Inc. and Luminary Acquisition Corp.
34-74769 Apr. 21, 2015 AuraSound, Inc., et al.
34-74768 Apr. 20, 2015 Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.), Credit Suisse Asset Management, LLC, and Samir H. Bhatt
IA-4065 Apr. 20, 2015 Blackrock Advisors, LLC and Bartholomew A. Battista
Other Release No.: IC-31558
34-74765 Apr. 20, 2015 Marc Sherman
34-74757 Apr. 17, 2015 Charles Duane Lewis
34-74756 Apr. 17, 2015 Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company
33-9752 Apr. 17, 2015 Joseph John Labadia
Other Release Nos.: 34-74754, IA-4064, IC-31556
33-9751 Apr. 17, 2015 Russell C. Schalk, Jr.
Other Release Nos.: 34-74753, IC-31555
IA-4063 Apr. 16, 2015 Sean C. Cooper
Other Release No.: IC-31554
IA-4062 Apr. 16, 2015 Alliance Capital Management, L.P.
Other Release No.: IC-31553
34-74752 Apr. 16, 2015 R. Scott Peden, Esq.
33-9750 Apr. 16, 2015 Kevin D. Miller
Other Release No.: 34-74751
33-9749 Apr. 16, 2015 Ronald A. Warren
Other Release No.: 34-74750
33-9748 Apr. 16, 2015 William J. Gaffney
Other Release No.: 34-74749
33-9747 Apr. 16, 2015 Edward T. Farmer
Other Release No.: 34-74748
34-74737 Apr. 16, 2015 OCZ Technology Group, Inc. (n/k/a ZCO Liquidating Corp.)
34-74736 Apr. 16, 2015 Discovery Oil, Ltd., et al.
34-74735 Apr. 15, 2015 Robert C. Weaver, Jr., Esq.
34-74731 Apr. 15, 2015 Eric W. Johnson
Other Release No.: IA-4060
34-74722 Apr. 13, 2015 Larry Dearman, Sr.
Other Release No.: IA-4059
34-74721 Apr. 13, 2015 Aryeh Acquisition Corp., et al.
34-74720 Apr. 13, 2015 A Better Way Financial Corp., et al.
34-74711 Apr. 10, 2015 William F. Fang
34-74710 Apr. 10, 2015 Aaron Black
34-74697 Apr. 9, 2015 Craig Danzig
33-9745 Apr. 9, 2015 Michael M. Cohen
Other Release Nos.: 34-74698, AAER-3651
34-74696 Apr. 9, 2015 Molex Incorporated
33-9744 Apr. 9, 2015 AirTouch Communications, Inc., Hideyuki Kanakubo and Jerome Kaiser, CPA
Other Release Nos.: 34-74691, AAER-3650
34-74686 Apr. 8, 2015 Arctos Petroleum Corp., et al.
34-74684 Apr. 8, 2015 AOB Biotech, Inc., et al.
33-9743 Apr. 8, 2015 Robert Gorgia
Other Release No.: 34-74683
34-74674 Apr. 8, 2015 Joseph J. Almazon and Spartan Capital Partners
34-74673 Apr. 8, 2015 FLIR Systems, Inc.
34-74672 Apr. 8, 2015 China Bus Group Co. (f/k/a Alpine Alpha 3, Ltd.) and China Oumei Real Estate, Inc.
34-74667 Apr. 7, 2015 Daniel R. Murphy
Other Release No.: IA-4055
34-74661 Apr. 7, 2015 AuraSound, Inc., et al.
34-74659 Apr. 7, 2015 Chatter Box Call Center Ltd., Euro Group of Companies, Inc. and Golden Century Resources Limited
34-74658 Apr. 7, 2015 China Education International, Inc., Delta Entertainment Group Inc. and Gulf United Energy, Inc.
34-74647 Apr. 6, 2015 Calypte Biomedical Corporation, EC Development, Inc. and Information Architects Corporation (n/k/a Dakota Creative Group Corporation)
34-74646 Apr. 3, 2015 Haider Zafar
34-74630 Apr. 2, 2015 Innovative Software Technologies, Inc., et al.
34-74626 Apr. 1, 2015 Timothy Edwin Scronce
Other Release No.: AAER-3649
34-74625 Apr. 1, 2015 Michael Hedrick
Other Release No.: AAER-3648
34-74624 Apr. 1, 2015 Marc J. Mize
Other Release No.: AAER-3647
34-74621 Apr. 1, 2015 Urban AG Corp.
34-74620 Apr. 1, 2015 Earth Dragon Resources, Inc.
34-74619 Apr. 1, 2015 KBR, Inc.
First Quarter
34-74615 Mar. 31, 2015 Leonard Eric Burd
34-74614 Mar. 31, 2015 G-Trade Services LLC, ConvergEx Global Markets Limited and ConvergEx Execution Solutions LLC
34-74613 Mar. 31, 2015 Polycom, Inc.
Other Release No.: AAER-3645
34-74608 Mar. 30, 2015 Aegis Capital, LLC, et al.
Other Release Nos.: IA-4054, IC-31541
34-74607 Mar. 30, 2015 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
Note: See also Proposed Plan of Distribution
Comments due: 30 days from publication of this Notice
Comments received are available for this proposed plan.
34-74606 Mar. 30, 2015 Comprehensive Capital Management, Inc.
IA-4053 Mar. 30, 2015 Lynn Tilton, et al.
Other Release Nos.: IC-31539, AAER-3644
34-74602 Mar. 27, 2015 Joseph Meuse
34-74586 Mar. 26, 2015 Global Fixed Income, LLC, et al.
Other Release No.: IC-31537
34-74585 Mar. 26, 2015 David Boyle
34-74584 Mar. 25, 2015 Winsonic Digital Media Group, Ltd.
34-74582 Mar. 25, 2015 Craig S. Lax
34-74574 Mar. 24, 2015 Bama Biotech, Inc., et al.
34-74573 Mar. 24, 2015 Austin Acquisitions, Inc., et al.
34-74569 Mar. 24, 2015 Jeffory D. Shields
34-74566 Mar. 23, 2015 Charles L. Rizzo and Gina M. Hornbogen
34-74549 Mar. 20, 2015 Longhai Steel Inc.
34-74547 Mar. 20, 2015 First China Pharmaceutical Group, Inc.
34-74545 Mar. 20, 2015 Inova Technology, Inc.
34-74543 Mar. 19, 2015 Matthew O. Madison
34-74542 Mar. 19, 2015 Dwight D. McGhee
34-74539 Mar. 19, 2015 Keypoint Capital Management, LLC
34-74530 Mar. 19, 2015 Agent155 Media Corp., et al.
IA-4050 Mar. 18, 2015 Acamar Global Investments, LLC and Rudolph A. Martin
Other Release No.: IC-31508
34-74527 Mar. 18, 2015 Lek Securities Corp.
34-74522 Mar. 17, 2015 CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc.
33-9738 Mar. 17, 2015 Coral Reef Media, LLC and David E. Flake
Other Release Nos.: 34-74520, IC-31505
34-74517 Mar. 17, 2015 Alternate Energy Solutions, Inc., et al.
34-74516 Mar. 17, 2015 The Appletree Companies, Inc., RoomStore, Inc. and Saveene Group Corp.
34-74515 Mar. 17, 2015 Agent155 Media Corp., et al.
IA-4049 Mar. 16, 2015 Joseph Stilwell and Stilwell Value LLC
Other Release No.: IC-31504
34-74510 Mar. 13, 2015 Robert J. Andres
34-74508 Mar. 13, 2015 VCAP Securities, LLC and Brett Thomas Graham
34-74504 Mar. 13, 2015 William A. Houlihan
34-74503 Mar. 13, 2015 Brian Potiker
34-74502 Mar. 13, 2015 SMP Investments I, LLC
34-74501 Mar. 13, 2015 Jane G. Ciabattoni
34-74500 Mar. 13, 2015 Anthony J. Ciabattoni
34-74499 Mar. 13, 2015 The Ciabattoni Living Trust Dated August 17, 2000
34-74498 Mar. 13, 2015 Berjaya Lottery Management (H.K.) Ltd.
34-74497 Mar. 13, 2015 Shuipan Lin
34-74495 Mar. 12, 2015 Albert J. Scipione
34-74494 Mar. 12, 2015 John Gray
Other Release No.: IA-4047
34-74493 Mar. 12, 2015 Cynthia A. Sabol, CPA
Other Release No.: AAER-3642
33-9737 Mar. 11, 2015 Thomas C. Priore
Other Release Nos.: 34-74480, IA-4045
34-74471 Mar. 11, 2015 Global Leadership Institute, Inc.
IA-4044 Mar. 10, 2015 Edgar R. Page and Pageone Financial Inc.
Other Release No.: IC-31503
34-74469 Mar. 10, 2015 Robert J. Lunn
Other Release No.: IA-4043
34-74461 Mar. 10, 2015 Keith MacDonald Summers
34-74459 Mar. 9, 2015 Accelerated Acquisitions XIV, Inc., et al.
34-74458 Mar. 9, 2015 booktech.com, inc., et al.
33-9736 Mar. 9, 2015 Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4041, IC-31500
34-74457 Mar. 6, 2015 Redonda Lawrence Russell
Other Release No.: IA-4040
34-74447 Mar. 5, 2015 Black Sea Metals, Inc., et al.
34-74445 Mar. 5, 2015 Aspire International, Inc., et al.
34-74442 Mar. 4, 2015 Joshua Wayne Lankford
34-74429 Mar. 4, 2015 H.D. Vest Investment Securities, Inc.
34-74427 Mar. 4, 2015 China Infrastructure Investment Corp.
34-74425 Mar. 4, 2015 China Valves Technology, Inc.
34-74424 Mar. 4, 2015 Discovery Oil, Ltd., et al.
33-9735 Mar. 3, 2015 Gary Eugene Patterson, Esq.
Other Release No.: 34-74421
33-9734 Mar. 3, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, and George R. Jarkesy Jr.
Other Release Nos.: 34-74419, IA-4038, IC-31497
IA-4037 Mar. 3, 2015 Keenan R. Hauke
34-74413 Mar. 3, 2015 Thomas Kevin Keough
Other Release No.: IA-4036
34-74401 Mar. 2, 2015 Robert W. Elliot
Other Release No.: AAER-3641
34-74397 Feb. 27, 2015 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
33-9733 Feb. 27, 2015 Hajime Sagawa
Other Release Nos.: 34-74395, IC-31489
34-74393 Feb. 27, 2015 China Pharmaceuticals, Inc., et al.
Note: See also Chinese version of this Order
34-74391 Feb. 27, 2015 Agent155 Media Corp., et al.
34-74385 Feb. 26, 2015 Thomas Edward Kent
34-74386 Feb. 26, 2015 Inova Technology, Inc.
34-74379 Feb. 26, 2015 Diane Glatfelter
34-74376 Feb. 25, 2015 William L. Walters
Other Release No.: IA-4035
IA-4034 Feb. 25, 2015 David Scott Cacchione
IA-4032 Feb. 25, 2015 Carolyn C. Howard
34-74375 Feb. 25, 2015 Charles H. Howard, III
Other Release No.: IA-4033
34-74374 Feb. 25, 2015 Dittybase Technologies, Inc.
34-74372 Feb. 25, 2015 Defense Industries International, Inc., EvCarCo, Inc. and Island Breeze International, Inc.
34-74369 Feb. 25, 2015 China Yili Petroleum Company
34-74368 Feb. 25, 2015 Bingo.Com, Inc. and Biocol, Inc.
34-74366 Feb. 25, 2015 Energiz Renewable, Inc., Iron Eagle Group, Inc. and MedClean Technologies, Inc.
34-74365 Feb. 25, 2015 The Billiard Channel, Inc., et al.
33-9732 Feb. 24, 2015 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
Other Release No.: 34-74364
34-74355 Feb. 24, 2015 North East Capital, LLC and Anthony T. Vicidomine
34-74356 Feb. 24, 2015 The Goodyear Tire & Rubber Company
Other Release No.: AAER-3640
34-74350 Feb. 23, 2015 Halpern & Associates LLC and Barbara Halpern, CPA
Other Release No.: AAER-3639
34-74346 Feb. 20, 2015 Juan Jose Alvarez De Lugo Azpurua
33-9729 Feb. 20, 2015 Sandra Dyche
Other Release Nos.: 34-74347, IC-31463
34-74333 Feb. 20, 2015 Blue Moon Investments, et al.
34-74332 Feb. 20, 2015 Biomass Processing Technology, Inc., Biomedtex, Inc. and Carnegie International Corp.
34-74331 Feb. 20, 2015 Akesis Pharmaceuticals, Inc., et al.
34-74329 Feb. 20, 2015 Revonergy Inc., et al.
34-74327 Feb. 20, 2015 Innovative Software Technologies, Inc., et al.
34-74325 Feb. 20, 2015 Calypte Biomedical Corporation, EC Development, Inc. and Information Architects Corporation (n/k/a Dakota Creative Group Corporation)
34-74316 Feb. 19, 2015 Bradley A. Holcom
34-74315 Feb. 19, 2015 Brian Williamson, Esq
IA-4027 Feb. 19, 2015 Logical Wealth Management, Inc. and Daniel J. Gopen
Other Release No.: IC-31460
34-74305 Feb. 19, 2015 VCAP Securities, LLC and Brett Thomas Graham
Other Release Nos.: IA-4026, IC-31459
34-74300 Feb. 19, 2015 Saba Software, Inc.
34-74280 Feb. 17, 2015 Alamosa (Delaware), Inc., et al.
34-74276 Feb. 13, 2015 Joseph A. Caramadre, CPA
Other Release No.: IA-4025
33-9726 Feb. 13, 2015 Shivbir S. Grewal, Esq.
Other Release No.: 34-74275
33-9725 Feb. 13, 2015 Traci J. Anderson, CPA, Timothy W. Carnahan and Cyios Corporation
Other Release Nos.: 34-74273, AAER-3638
34-74266 Feb. 12, 2015 JPMorgan Chase & Co.
Note: See also Plan of Distribution
IC-31455 Feb. 12, 2015 Water Island Capital LLC
34-74262 Feb. 11, 2015 Child, Van Wagoner & Bradshaw, PLLC, et al.
Other Release No.: AAER-3637
34-74261 Feb. 11, 2015 Nicholas Toms
34-74249 Feb. 11, 2015 Charles L. Hill Jr.
34-74248 Feb. 11, 2015 Efstratios "Elias" D. Argyropoulos
34-74243 Feb. 11, 2015 Perfectenergy International Limited
34-74240 Feb. 10, 2015 William Slater, CPA and Peter E. Williams, III
Other Release No.: AAER-3636
34-74235 Feb. 9, 2015 Kevin Morano, CPA
Other Release No.: AAER-3635
34-74234 Feb. 9, 2015 Jeffrey P. Jorissen, CPA
Other Release No.: AAER-3634
34-74233 Feb. 9, 2015 Mark V. Sever, CPA
Other Release No.: AAER-3633
34-74231 Feb. 6, 2015 Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC
34-74230 Feb. 6, 2015 Marlin R. Brinsky, CPA
Other Release No.: AAER-3632
34-74229 Feb. 6, 2015 Christopher J. Kelly, ACA
Other Release No.: AAER-3631
34-74228 Feb. 6, 2015 Jordon McCarty
34-74227 Feb. 6, 2015 Lawrence Foster
34-74226 Feb. 6, 2015 Mountain Share Transfer, LLC and Erik Sterling Nelson
IA-4023 Feb. 6, 2015 GLR Advisors, LLC
IA-4022 Feb. 6, 2015 John A. Geringer
34-74217 Feb. 6, 2015 BDO China Dahua CPA Co., Ltd., et al.
Other Release No.: AAER-3627
IA-4021 Feb. 4, 2015 Matthew D. Sample
34-74208 Feb. 4, 2015 Steven Neil, CPA
Other Release No.: AAER-3626
IA-4019 Feb. 4, 2015 Michael R. Drilling
34-74207 Feb. 4, 2015 David R. Wulf
Other Release No.: IA-4020
34-74206 Feb. 4, 2015 Douglas E. Hampton
Other Release No.: IA-4018
IA-4017 Feb. 4, 2015 New Line Capital, LLC and David A. Nagler
IA-4016 Feb. 4, 2015 Brenda L. Ridley
IA-4015 Feb. 4, 2015 Arete Ltd.
IA-4014 Feb. 4, 2015 Wyoming Investment Management Services, LLC and Craig M. Scariot
IA-4013 Feb. 3, 2015 The ELIV Group, LLC and Scott Valente
34-74189 Feb. 3, 2015 QSGI Inc.
34-74188 Feb. 3, 2015 Stirrup Creek Gold Ltd.
34-74185 Feb. 2, 2015 AARX, Inc., et al.
33-9719 Jan. 30, 2015 Airtouch Communications, Inc., Hideyuki Kanakubo and Jerome Kaiser, CPA
Other Release Nos.: 34-74183, AAER-3625
33-9718 Jan. 30, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy
Other Release Nos.: 34-74181, IA-4011, IC-31439
34-74177 Jan. 29, 2015 Laurie Bebo and John Buono, CPA
Other Release No.: AAER-3624
33-9717 Jan. 29, 2015 International Capital Group, LLC, et al.
Other Release Nos.: 34-74172, IC-31437
IA-4009 Jan. 28, 2015 Marsha Bass
34-74163 Jan. 28, 2015 David L. Marion
33-9715 Jan. 28, 2015 Ryan C. King
Other Release Nos.: 34-74162, IC-31434
33-9714 Jan. 28, 2015 First National Community Bancorp Inc. and William Lance
Other Release Nos.: 34-74161, AAER-3622
34-74157 Jan. 28, 2015 Bluesky Filing Corp., et al.
34-74156 Jan. 28, 2015 Brandeis Holdings, Inc., et al.
34-74155 Jan. 28, 2015 8 by 8, Inc., et al.
34-74154 Jan. 27, 2015 Zurich Capital Markets Inc.
33-9711 Jan. 27, 2015 Oppenheimer & Co. Inc.
Other Release Nos.: AAER-3621, 34-74141
34-74140 Jan. 27, 2015 YesDTC Holdings, Inc.
34-74137 Jan. 26, 2015 Stephen Stuart
33-9709 Jan. 23, 2015 Spectrum Concepts, LLC, et al.
Other Release No.: 34-74123
34-74124 Jan. 23, 2015 Glen Allan Galemmo
Other Release No.: IA-4006
34-74123 Jan. 23, 2015 Spectrum Concepts, LLC, et al.
34-74122 Jan. 23, 2015 Stuart E. Rawitt
34-74121 Jan. 23, 2015 Michael T. Lombardo, Jr.
33-9708 Jan. 23, 2015 David B. Havanich, Jr., et al.
Other Release Nos.: 34-74120, IA-4005
34-74119 Jan. 22, 2015 Spring Hill Capital Markets, LLC, et al.
Other Release No.: IC-31426
34-74112 Jan. 22, 2015 Walid Hatoum
Other Release No.: AAER-3620
34-74108 Jan. 21, 2015 Robert A. Ramsey, CPA
IA-4004 Jan. 21, 2015 du Pasquier & Co., Inc.
34-74103 Jan. 21, 2015 Standard & Poor's Ratings Services
33-9706 Jan. 21, 2015 Barbara Duka
Other Release Nos.: 34-74105, IC-31425
33-9705 Jan. 21, 2015 Standard & Poor's Ratings Services
Other Release No.: 34-74104
33-9704 Jan. 21, 2015 Standard & Poor's Ratings Services
Other Release No.: 34-74102
34-74090 Jan. 20, 2015 Forum National Investments, Ltd.
IA-4000 Jan. 16, 2015 Consulting Services Group, LLC
34-74089 Jan. 16, 2015 Edgar Lee Giovannetti
Other Release Nos.: IA-3999, IC-31421
34-74081 Jan. 16, 2015 Steven Durrelle Williams
34-74080 Jan. 16, 2015 Alfred P. Reeves, III
34-74079 Jan. 16, 2015 Waddell & Reed, Inc., et al.
34-74071 Jan. 15, 2015 PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC
34-74070 Jan. 15, 2015 Bill C. (Billy) Crafton, Jr.
Other Release No.: IA-3998
33-9702 Jan. 15, 2015 Wayne Middleton
Other Release No.: 34-74069
33-9701 Jan. 15, 2015 Charles Irizarry
Other Release No.: 34-74068
33-9700 Jan. 15, 2015 Stuart Carnie
Other Release No.: 34-74066
33-9699 Jan. 15, 2015 John Briner, et al.
Other Release No.: 34-74065
33-9697 Jan. 15, 2015 UBS Securities LLC
Other Release No.: 34-74060
34-74056 Jan. 15, 2015 All-American Care Centers, Inc., FDH, Inc., and USN Communications, Inc. (n/k/a CTBB Holdings, Inc.)
34-74048 Jan. 14, 2015 4301, Inc., et al.
34-74047 Jan. 14, 2015 VHGI Holdings, Inc.
IA-3996 Jan. 13, 2015 Brent F. Williams
IA-3995 Jan. 13, 2015 Guy Andrew Williams
IA-3994 Jan. 13, 2015 Duane Hamblin Slade
IA-3993 Jan. 13, 2015 Shelton Financial Group, Inc. and Jeffrey Shelton
Other Release No.: 34-74044
34-74039 Jan. 13, 2015 James T. Crane, CPA
Other Release No.: AAER-3619
34-74037 Jan. 13, 2015 Global Stevia Corp.
34-74032 Jan. 12, 2015 EDGA Exchange, Inc. and EDGX Exchange, Inc.
34-74019 Jan. 9, 2015 Accredited Business Consolidators Corp., et al.
34-74014 Jan. 8, 2015 Michael S. Steinberg
34-74013 Jan. 8, 2015 Bitech Pharma, Inc., et al.
34-74005 Jan. 6, 2015 Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.

 

http://www.sec.gov/litigation/admin/adminarchive/adminarc2015.shtml


Modified: 01/04/2016