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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

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*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 Submit Comments on 3-15471
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 Submit Comments on 3-15393
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 Submit Comments on 3-12540
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 Submit Comments on 3-16014
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. Submit Comments on 3-15211
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

Administrative Proceedings Archive 2015

Additional Archives

Modified: 01/04/2016