Administrative Proceedings Archive 2016
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.
The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions
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SEC Administrative Proceedings RSS Feed
| Release No. | Date | Respondents |
|---|---|---|
Fourth Quarter | ||
| 34-79708 | Dec. 29, 2016 | Rafael Antonio Calleja, Jr. |
| 34-79704 | Dec. 29, 2016 | Karl J. Zimmer |
| 34-79703 | Dec. 29, 2016 | General Cable Corporation |
| 34-79702 | Dec. 29, 2016 | General Cable Corporation
Other Release No.: AAER-3840 |
| IA-4594 | Dec. 27, 2016 | Roy Dekel |
| 34-79698 | Dec. 27, 2016 | David A. Loppert
Other Release No.: AAER-3839 |
| 34-79695 | Dec. 27, 2016 | Brent Loveall |
| 34-79694 | Dec. 27, 2016 | Jason B. Smith |
| 34-79693 | Dec. 27, 2016 | Robert S. McGregor |
| 34-79692 | Dec. 27, 2016 | Brian C. Rose |
| 34-79691 | Dec. 27, 2016 | Philip Greifeld, CPA
Other Release No.: AAER-3838 |
| 34-79689 | Dec. 23, 2016 | Island Trader LLC and Richard H. Nickles
Other Release No.: IA-4593 |
| 34-79681 | Dec. 23, 2016 | Odyssey Pictures Corporation, et al. |
| 34-79680 | Dec. 23, 2016 | Harvey Westbury Corp., InterCore, Inc. and Kalex Corp. |
| IA-4592 | Dec. 22, 2016 | Richard Sapio |
| 34-79669 | Dec. 22, 2016 | Badree Komandur, et al.
Other Release No.: AAER-3837 See also: Administrative Summary |
| 34-79668 | Dec. 22, 2016 | Alok Saraf, CA
Other Release No.: AAER-3836 See also: Administrative Summary |
| 34-79657 | Dec. 22, 2016 | PAB Bankshares, Inc. and USABG Corp. |
| 34-79656 | Dec. 22, 2016 | AFN, Inc., et al. |
| 34-79653 | Dec. 22, 2016 | Bill the Butcher, Inc., Hitor Group, Inc. and Xun Energy, Inc. |
| 34-79650 | Dec. 21, 2016 | Jack Henry & Associates, Inc.
Other Release No.: AAER-3835 See also: Administrative Summary |
| 34-79634 | Dec. 21, 2016 | Grace Development, Inc. and Luxeyard, Inc. |
| 34-79633 | Dec. 21, 2016 | Affordable Green Homes International, TMP Land Mortgage Fund, Ltd. and a California Limited Partnership |
| 34-79632 | Dec. 21, 2016 | Fairfield Minerals, Ltd. and Metal Storm Limited |
| 34-79631 | Dec. 21, 2016 | Ceyoniq AG (n/k/a CEYONIQ, Inc.) |
| 34-79630 | Dec. 21, 2016 | Amarillo Mesquite Grill, Inc., et al. |
| 34-79629 | Dec. 21, 2016 | Multi-Corp. International, Inc. and Sky Harvest Energy Corp. |
| 34-79628 | Dec. 21, 2016 | Telestone Technologies Corp., US Fuel Corp. and Victory Eagle Resources Corp. . |
| 34-79627 | Dec. 21, 2016 | Medient Studios, Inc., a/k/a Moon River Studios, Inc. |
| IA-4591 | Dec. 20, 2016 | Augustine Capital Management, et al.
Other Release No.: IC-32397 |
| 34-79625 | Dec. 20, 2016 | Robert D. Milligan |
| 34-79607 | Dec. 20, 2016 | SandRidge Energy, Inc. |
| 34-79606 | Dec. 20, 2016 | Morgan Stanley & Co. LLC |
| 33-10274 | Dec. 19, 2016 | Joseph P. Doxey
Other Release No.: 34-79605 |
| 34-79602 | Dec. 19, 2016 | 3C Advisors & Associates, Inc., Stephen Jones and David Prolman |
| 34-79601 | Dec. 19, 2016 | 3C Advisors & Associates, Inc., Stephen Jones and David Prolman |
| 34-79593 | Dec. 19, 2016 | NeuStar, Inc. |
| 34-79588 | Dec. 19, 2016 | Kogeto, Inc., Lustros, Inc. and Med-X Systems, Inc. |
| 34-79581 | Dec. 16, 2016 | Jo Ann Myers and Hollis W. Pickett, Jr.
See also: Administrative Summary |
| 34-79580 | Dec. 16, 2016 | Wilson-Davis & Company, Inc. |
| 34-79579 | Dec. 16, 2016 | Anthony B. Kerrigone |
| 34-79578 | Dec. 16, 2016 | Byron B. Barkley and Paul N. Davis |
| 33-10272 | Dec. 16, 2016 | Deutsche Bank Securities Inc.
Other Release Nos.: 34-79576, IA-4590 See also: Order, Release No. 33-10273 |
| 33-10270 | Dec. 16, 2016 | Empire Stock Transfer, Inc. and Matthew J. Blevins
Other Release No.: 34-79575 |
| 33-10269 | Dec. 16, 2016 | Joel Felix
Other Release No.: 34-79574 |
| 33-10268 | Dec. 16, 2016 | Michael J. Muellerleile, Esq. and M2 Law Professional Corp.
Other Release No.: 34-79573 |
| 33-10267 | Dec. 16, 2016 | Lan Phuong Nguyen, Esq.
Other Release No.: 34-79571 |
| IA-4589 | Dec. 15, 2016 | Ash Narayan |
| 34-79569 | Dec. 15, 2016 | John M. Leonard |
| 34-79568 | Dec. 15, 2016 | TPG Advisors LLC (d/b/a the Phillips Group Advisors) and Larry M. Phillips
Other Release Nos.: IA-4588, IC-32394 See also: Administrative Summary |
| 34-79567 | Dec. 15, 2016 | Richard Clatfelter |
| 34-79566 | Dec. 15, 2016 | Chad Deucher |
| 34-79553 | Dec. 14, 2016 | Value Line, Inc., et al. |
| IA-4587 | Dec. 14, 2016 | New Silk Route Advisors, L.P.
See also: Administrative Summary |
| 34-79542 | Dec. 13, 2016 | Ben Franklin Retail Stores, Inc., Enrotek Corp. and Spectre Gaming, Inc. |
| IC-32390 | Dec. 12, 2016 | State Street Bank and Trust Company
See also: Administrative Summary |
| 34-79529 | Dec. 12, 2016 | Pamela M. Hass |
| 34-79522 | Dec. 9, 2016 | Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich |
| 34-79521 | Dec. 9, 2016 | Donald M. Stuthers
Other Release Nos.: IA-4586, IC-32388 |
| 34-79513 | Dec. 8, 2016 | UBS Financial Services Incorporated of Puerto Rico |
| 34-79512 | Dec. 8, 2016 | James Baggs |
| 34-79511 | Dec. 8, 2016 | William B. Fretz, et al. |
| 34-79508 | Dec. 8, 2016 | Interactive Brokers LLC; and Interactive Brokers Corp. |
| 33-10264 | Dec. 8, 2016 | Robert L. Baker, et al.
Other Release Nos.: 34-79507, IC-32383 |
| 34-79505 | Dec. 8, 2016 | Sen Yu International Holdings, Inc. |
| 34-79503 | Dec. 7, 2016 | David W. Noack
Other Release No.: IA-4585 |
| IA-4584 | Dec. 7, 2016 | Harold D. Garrison
Other Release No.: IC-32380 See also: Administrative Summary |
| 34-79490 | Dec. 7, 2016 | Grace Development, Inc., Luxeyard, Inc. and SuperDirectories, Inc. |
| 34-79489 | Dec. 7, 2016 | Curlew Lake Resources, Inc. |
| 34-79487 | Dec. 6, 2016 | Aquanatural Co., Bullet Sports International Inc. and Pearce Systems International, Inc. |
| 34-79484 | Dec. 6, 2016 | Roy D. Kessel, Esq. |
| 34-79483 | Dec. 6, 2016 | KPMG LLP
See also: Administrative Summary |
| 33-10262 | Dec. 6, 2016 | Equidate, Inc. and Equidate Holdings LLC
Other Release No.: 34-79481 |
| 34-79472 | Dec. 6, 2016 | Ilio, Inc., Industrial Imaging Corporation and Jackray Corporation |
| 34-79471 | Dec. 6, 2016 | Foxwedge, Inc., et al. |
| 34-79470 | Dec. 6, 2016 | Dynamic Ventures Corp. |
| 34-79463 | Dec. 5, 2016 | Boreal Water Collection, Inc. |
| 34-79461 | Dec. 2, 2016 | Bruce A. Cole, Esq. |
| 34-79460 | Dec. 2, 2016 | Marc Winters |
| 34-79454 | Dec. 2, 2016 | United Continental Holdings, Inc.
Other Release No.: AAER-3833 |
| 34-79453 | Dec. 2, 2016 | Daniel P. McKelvey
Other Release No.: IA-4582 |
| 34-79452 | Dec. 2, 2016 | Harvey Westbury Corp., InterCore, Inc. and Kalex Corp. |
| 34-79451 | Dec. 1, 2016 | Thomas A. Flowers |
| 34-79449 | Dec. 1, 2016 | Howard Richards; James Goodland and Securus Wealth Management, LLC |
| IA-4577 | Dec. 1, 2016 | Pacific Investment Management Company LLC
Other Release No.: IC-32376 |
| 34-79440 | Dec. 1, 2016 | GMB Capital Management LLC (Currently Known as "Clearstream Investments LLC"), et al. See also: Plan of Distribution |
| 34-79434 | Nov. 30, 2016 | Mars Acquisitions, Inc. and SoftNet Technology Corp. |
| 34-79427 | Nov. 29, 2016 | Michael S. Wilson, et al.
See also: Plan of Distribution |
| IA-4575 | Nov. 29, 2016 | Shervin Neman and Neman Financial, Inc. |
| 34-79419 | Nov. 29, 2016 | Safecode Drug Technologies Corp. |
| 34-79418 | Nov. 29, 2016 | Ameralink, Inc., et al. |
| 34-79417 | Nov. 29, 2016 | Odyssey Pictures Corporation, et al. |
| 34-79415 | Nov. 29, 2016 | Capitol City Bancshares, Inc. and Powder River Coal Corp. |
| 34-79414 | Nov. 29, 2016 | Algorex Corporation, et al. |
| IA-4574 | Nov. 28, 2016 | James Michael Murray |
| 33-10259 | Nov. 23, 2016 | Dennis Ira Ringer |
| 34-79397 | Nov. 23, 2016 | Stephen Hozie
Other Release No.: AAER-3832 |
| 34-79396 | Nov. 23, 2016 | Brian Zucker, CPA
Other Release No.: AAER-3831 |
| 34-79395 | Nov. 23, 2016 | Mark David Shapiro, CPA
Other Release No.: AAER-3830 |
| 34-79394 | Nov. 23, 2016 | Michael K. Krohn, CPA
Other Release No.: AAER-3829 |
| 34-79393 | Nov. 23, 2016 | Kendall G. Merkley, CPA
Other Release No.: AAER-3828 |
| 34-79372 | Nov. 22, 2016 | American Mortgage and Investment Co. |
| 34-79371 | Nov. 22, 2016 | Bill the Butcher, Inc., Hitor Group, Inc. and Xun Energy, Inc. |
| 34-79369 | Nov. 21, 2016 | Gary R. Purwin, CPA
Other Release Nos.: IA-4573, AAER-3827 |
| 34-79368 | Nov. 21, 2016 | Grassi & Co., CPAs and P.C.
Other Release Nos.: IA-4572, AAER-3826 See also: Administrative Summary |
| 34-79367 | Nov. 21, 2016 | Sean P. Finn and M. Dwyer LLC |
| 34-79365 | Nov. 21, 2016 | All-Pro Products, Inc., et al. |
| 34-79364 | Nov. 21, 2016 | PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA
Other Release No.: AAER-3825 |
| 34-79359 | Nov. 21, 2016 | MGN Technologies, Inc. |
| 34-79349 | Nov. 18, 2016 | Nicholas R. Hamilton |
| 34-79348 | Nov. 18, 2016 | Cody M. Winters |
| IA-4571 | Nov. 17, 2016 | James Y. Lee |
| IA-4570 | Nov. 17, 2016 | Randy G. Ruhl |
| 34-79338 | Nov. 17, 2016 | Mark D. Holt (a/ka Mark D. Holthusen)
Other Release No.: IA-4569 |
| 34-79335 | Nov. 17, 2016 | JP Morgan Chase & Co.
Other Release No.: AAER-3824 |
| 34-79334 | Nov. 17, 2016 | Harvey Westbury Corp., InterCore, Inc. and Kalex Corp. |
| 34-79332 | Nov. 17, 2016 | Altair Nanotechnologies, Inc. |
| 34-79325 | Nov. 16, 2016 | Bryan Wayne Anderson
Other Release No.: IA-4568 |
| 34-79321 | Nov. 16, 2016 | Kogeto, Inc., Lustros, Inc. and Med-X Systems, Inc. |
| 34-79319 | Nov. 15, 2016 | Questrust Ventures, Inc. and Zaring Homes, Inc. |
| 33-10256 | Nov. 15, 2016 | Christopher Egan
Other Release No.: AAER-3823 See also: Administrative Summary |
| 34-79302 | Nov. 14, 2016 | Kimberly Springsteen-Abbott |
| 33-10254 | Nov. 14, 2016 | OTC Global Partners, LLC and Raimundo Dias
Other Release No.: 34-79300 |
| 33-10253 | Nov. 14, 2016 | Casey Cummings
Other Release No.: 34-79299 |
| 33-10252 | Nov. 14, 2016 | Alexander Kon
Other Release No.: 34-79298 |
| 33-10251 | Nov. 10, 2016 | EZTD Inc.
Other Release No.: 34-79292 |
| 33-10250 | Nov. 10, 2016 | Derik J. Todd, et al.
Other Release Nos.: 34-79280, IA-4567, IC-32356 |
| 34-79278 | Nov. 10, 2016 | Cala Corporation, et al. |
| 33-10249 | Nov. 8, 2016 | Glenn Johnson and William Sinish
Other Release No.: 34-79271 |
| 34-79256 | Nov. 7, 2016 | Powersecure International, Inc.
Other Release No.: AAER-3822 |
| 34-79254 | Nov. 7, 2016 | Philip E. Moriarty II
Other Release No.: IA-4565 |
| 34-79248 | Nov. 4, 2016 | Linkbrokers Derivatives LLC See also: Plan of Distribution |
| 34-79247 | Nov. 4, 2016 | Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. |
| 33-10248 | Nov. 4, 2016 | The Registration Statement of Instride, Inc. |
| 33-10247 | Nov. 4, 2016 | The Registration Statement of Zubra Inc. |
| 33-10246 | Nov. 4, 2016 | The Registration Statement of Iloan Inc. |
| 33-10245 | Nov. 4, 2016 | The Registration Statement of Flaster Corporation |
| 34-79243 | Nov. 4, 2016 | Kent W. Easter |
| IA-4564 | Nov. 3, 2016 | Harvey Altholtz |
| 34-79235 | Nov. 3, 2016 | G-Trade Services LLC, ConvergEx Global Markets Limited and ConvergEx Execution Solutions LLC |
| 34-79230 | Nov. 3, 2016 | Capitol City Bancshares, Inc., et al. |
| 34-79227 | Nov. 3, 2016 | UBS Financial Services Incorporated of Puerto Rico |
| 34-79226 | Nov. 3, 2016 | Patrick Reagan Beason |
| 34-79223 | Nov. 3, 2016 | Affordable Green Homes International, et al. |
| 34-79219 | Nov. 2, 2016 | Bill the Butcher, Inc., Hitor Group, Inc. and Xun Energy, Inc. |
| 33-10243 | Nov. 1, 2016 | Edward M. Daspin, a/k/a "Edward (Ed) Michael"; Luigi Agostini; and Lawrence R. Lux |
| 34-79208 | Nov. 1, 2016 | Ronald D. Morley and the New Wealth, LLC
Other Release No.: IC-32346 |
| 34-79207 | Nov. 1, 2016 | Gregory J. Smith
Other Release No.: IC-32345 |
| 34-79206 | Nov. 1, 2016 | Franklin Bank Corporation |
| 34-79205 | Nov. 1, 2016 | Eastland Financial Corp., Granite Cliffs, Incorporated and Greater Asia Realty Holdings, Ltd. |
| 34-79204 | Nov. 1, 2016 | Scanner Technologies Corp., Seville Ventures Corp. and the Digital Development Group Corp. |
| 34-79203 | Nov. 1, 2016 | Breitling Energy Corporation |
| 34-79202 | Oct. 31, 2016 | Joel Pensley, Esq. |
| 34-79199 | Oct. 31, 2016 | Wade James Lawrence
Other Release No.: IA-4562 |
| 34-79195 | Oct. 31, 2016 | Nicholas H. Shermeta and Napa Properties, LLC
Other Release No.: IC-32344 |
| 33-10241 | Oct. 31, 2016 | Michael L. Reger
Other Release No.: 34-79194 |
| 34-79193 | Oct. 31, 2016 | Adrian D. Beamish, CPA
Other Release No.: AAER-3820 |
| 33-10242 | Oct. 31, 2016 | Domenick F. Consolo, CPA and PKF O'Connor Davies, LLP
Other Release Nos.: 34-79196, AAER-3821 |
| 34-79186 | Oct. 28, 2016 | Joe Lawler |
| 34-79181 | Oct. 28, 2016 | BioNovo, Inc., InterAmerican Gaming, Inc. and Spot Mobile International Ltd. |
| 34-79179 | Oct. 28, 2016 | Q Lotus Holdings, Inc. and Spare Backup, Inc. |
| 34-79176 | Oct. 27, 2016 | BioElectronics Corp., et al.
Other Release No.: AAER-3819 |
| 34-79175 | Oct. 27, 2016 | Henning-Carey Proprietary Trading, LLC
See also: Administrative Summary |
| 33-10239 | Oct. 27, 2016 | Curt Kramer and Hope Capital, Inc.
See also: Administrative Summary |
| 34-79170 | Oct. 27, 2016 | Michael S. Cain |
| 34-79169 | Oct. 27, 2016 | Gary C. Snisky Other Release No.: IA-4560 |
| 34-79168 | Oct. 26, 2016 | Joseph L. Pittera, Esq. (corrected) |
| 34-79166 | Oct. 26, 2016 | Focus Media Holding Limited and Jason Jiang |
| 34-79160 | Oct. 26, 2016 | Michael Eppy |
| 34-79147 | Oct. 24, 2016 | David S. Hall, P.C. d/b/a the Hall Group CPAs, et al.
Other Release No.: AAER-3818 |
| 34-79144 | Oct. 24, 2016 | Cala Corporation, et al. |
| 34-79142 | Oct. 24, 2016 | Dynamic Response Group, Inc., Eagle Telephonics, Inc. and Far East Energy Corporation |
| 34-79140 | Oct. 24, 2016 | All Energy Corp. and As Seen On TV, Inc. |
| 34-79139 | Oct. 21, 2016 | GMB Capital Management LLC (Currently Known as "Clearstream Investments LLC"), et al.
|
| 34-79137 | Oct. 21, 2016 | Julianne M. Chandler
Other Release No.: AAER-3817 |
| 34-79136 | Oct. 21, 2016 | Strong Capital Management, Inc., et al. |
| 33-10237 | Oct. 21, 2016 | Navagate, Inc. and Gregory Rorke
Other Release No.: 34-79134 |
| 34-79127 | Oct. 20, 2016 | FMC Technologies, Inc., Jeffrey Favret, CPA and Steven K. Croft, CPA
Other Release No.: AAER-3816 |
| 34-79126 | Oct. 20, 2016 | John Leo Valentine
Other Release No.: IA-4557 See also: Administrative Summary |
| 34-79124 | Oct. 19, 2016 | Lia Yaffar-Pena
See also: Administrative Summary |
| 34-79123 | Oct. 19, 2016 | Miguel Mesa |
| 34-79121 | Oct. 19, 2016 | Craig V. Sizer |
| IA-4556 | Oct. 19, 2016 | Mark J. Aubry |
| 34-79120 | Oct. 19, 2016 | David A. Aronson, CPA
Other Release No.: AAER-3815 |
| 34-79117 | Oct. 19, 2016 | John M. Leonard |
| 34-79113 | Oct. 18, 2016 | Bank Leumi le-Israel B.M., Leumi Private Bank and Bank Leumi (Luxembourg) S.A.
Other Release No.: IA-4555 |
| IA-4554 | Oct. 18, 2016 | Calvert Investment Management, Inc.
Other Release No.: IC-32321 See also: Administrative Summary |
| 33-10236 | Oct. 18, 2016 | Paul T. Lebel
Other Release Nos.: 34-79112, IA-4553, IC-32320 |
| 34-79109 | Oct. 18, 2016 | Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Other Release No.: AAER-3814 |
| IA-4552 | Oct. 17, 2016 | Matthew D. Haab |
| 34-79104 | Oct. 17, 2016 | Caspian International Oil Corporation, et al. |
| 34-79102 | Oct. 14, 2016 | Keith Michael Rogers
Other Release No.: IA-4551 |
| 34-79098 | Oct. 14, 2016 | Galileo Petroleum Ltd., Hyperion Acquisition Corp. and Satori Beverages International, Ltd |
| 34-79097 | Oct. 14, 2016 | Great Basin Gold Limited |
| 33-10232 | Oct. 13, 2016 | Forcerank LLC
Other Release No.: 34-79093 |
| IA-4550 | Oct. 13, 2016 | Artis Capital Management, L.P. and Michael W. Harden |
| IA-4549 | Oct. 12, 2016 | Nicholas S. Savva |
| 34-79083 | Oct. 12, 2016 | Deutsche Bank Securities Inc.
Other Release No.: IA-4548 |
| 34-79079 | Oct. 11, 2016 | Pamella B. Watson
Other Release No.: IA-4547 |
| 34-79067 | Oct. 6, 2016 | Andrew Stitt |
| 34-79066 | Oct. 6, 2016 | Jeffery B. Risinger, Esq. |
| 34-79065 | Oct. 6, 2016 | Jeffery B. Risinger |
| 34-79058 | Oct. 6, 2016 | Computer Sciences Corporation, et al. |
| 33-10230 | Oct. 5, 2016 | Rolf Bögli
Other Release No.: 34-79045 |
| 33-10229 | Oct. 5, 2016 | Credit Suisse AG
Other Release No.: 34-79044 |
| IA-4546 | Oct. 5, 2016 | Dupree Financial Group, LLC |
| 34-79043 | Oct. 5, 2016 | Boreal Water Collection, Inc. |
| 34-79033 | Oct. 4, 2016 | Rebornne (USA) Inc. |
| 34-79032 | Oct. 4, 2016 | Scanner Technologies Corp., et al. |
| 33-10228 | Oct. 4, 2016 | Laurence I. Balter d/b/a Oracle Investment Research
Other Release Nos.: 34-79032, IA-4545, IC-32301 |
Third Quarter | ||
| 34-79021 | Sep. 30, 2016 | Steven M. Brazile, CPA Other Release No.: AAER-3813 See also: Administrative Summary |
| 34-79020 | Sep. 30, 2016 | Dennis Duban, CPA Other Release Nos.: IA-4544, AAER-3812 See also: Administrative Summary |
| 34-79019 | Sep. 30, 2016 | Alan Ritter, CPA Other Release No.: AAER-3811 See also: Administrative Summary |
| 34-79015 | Sep. 30, 2016 | Jonathan Greenfield |
| 34-79011 | Sep. 30, 2016 | Elray Resources, Inc. |
| 34-79006 | Sep. 30, 2016 | Kona Jones Barbera |
| 34-79005 | Sep. 30, 2016 | GlaxoSmithKline plc
Other Release No.: AAER-3810 See also: Administrative Summary |
| 34-79004 | Sep. 30, 2016 | D'Arelli Pruzansky, et al.
Other Release No.: AAER-3809 |
| 34-79003 | Sep. 30, 2016 | Moloney Securities Co., Inc., Joseph R. Medley, Jr.
Other Release No.: IA-4542 See also: Administrative Summary |
| 33-10226 | Sep. 30, 2016 | Rainbow International, Corp. (a/k/a Raintree Brands Incorporated) and Donald R. Corn
Other Release No.: 34-79002 See also: Administrative Summary |
| 34-78999 | Sep. 29, 2016 | Jason Cope |
| 34-78998 | Sep. 29, 2016 | Altair Nanotechnologies, Inc.
See also: Administrative Summary |
| 34-78997 | Sep. 29, 2016 | Altair Nanotechnologies, Inc.
See also: Administrative Summary |
| 34-78996 | Sep. 29, 2016 | Mason D. Newman
Other Release No.: IC-32295 |
| 34-78995 | Sep. 29, 2016 | Jason M. Ganton
Other Release No.: IC-32296 |
| 34-78994 | Sep. 29, 2016 | James E. Cleary, Jr.
Other Release No.: IC-32297 |
| 34-78991 | Sep. 29, 2016 | International Game Technology |
| 34-78989 | Sep. 29, 2016 | Och-Ziff Capital Management Group LLC, et al.
Other Release No.: IA-4540 |
| IA-4539 | Sep. 29, 2016 | Sheren Tsai |
| IA-4538 | Sep. 29, 2016 | Colin Whelehan |
| 34-78976 | Sep. 29, 2016 | Kenneth S. Whitehead |
| 34-78973 | Sep. 29, 2016 | Sierra Resource Group, Inc. |
| IA-4537 | Sep. 28, 2016 | Jan Gleisner and Keith D. Pagan
See also: Administrative Summary |
| 34-78971 | Sep. 28, 2016 | Telestone Technologies Corp., US Fuel Corp. and Victory Eagle Resources Corp. |
| 34-78970 | Sep. 28, 2016 | Cantab Pharmaceuticals PLC, et al. |
| 34-78958 | Sep. 28, 2016 | UBS Financial Services Inc. | 34-78957 | Sep. 28, 2016 | Anheuser-Busch InBev SA/NV
Other Release No.: AAER-3808 |
| 34-78956 | Sep. 28, 2016 | All Energy Corp. and As Seen On TV, Inc. |
| 34-78955 | Sep. 27, 2016 | Bluefire Renewables, Inc. |
| 33-10223 | Sep. 27, 2016 | Jeffrey A. Silverman and Anthony Silverman
Other Release Nos.: 34-78948, IC-32290 See also: Administrative Summary |
| 33-10222 | Sep. 27, 2016 | Orrstown Financial Services, Inc., et al.
Other Release Nos.: 34-78947, AAER-3807 See also: Administrative Summary |
| 33-10221 | Sep. 27, 2016 | Weatherford International plc, et al.
Other Release Nos.: 34-78944, AAER-3806 |
| 34-78943 | Sep. 27, 2016 | Easy Health Technologies Ltd., Neptune Acquisition Corp. and Segway IV Corp. |
| 34-78940 | Sep. 26, 2016 | Syed A. Hashim
See also: Administrative Summary |
| 34-78939 | Sep. 26, 2016 | Vijay S. Rajan
See also: Administrative Summary |
| 34-78938 | Sep. 26, 2016 | Frank P. Barucci
See also: Administrative Summary |
| 34-78937 | Sep. 26, 2016 | Frank S. Barucci
See also: Administrative Summary |
| 34-78936 | Sep. 26, 2016 | Robert Seibert |
| 34-78934 | Sep. 26, 2016 | Connexus Corporation |
| 34-78933 | Sep. 26, 2016 | Accel Brands, Inc. |
| 34-78932 | Sep. 26, 2016 | Nicholas M. Bonacci
Other Release No.: IC-32286 See also: Administrative Summary |
| 34-78929 | Sep. 26, 2016 | Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release No.: IA-4536 |
| 34-78927 | Sep. 23, 2016 | Jack Tagliaferro
Other Release No.: IA-4535 |
| 34-78924 | Sep. 23, 2016 | Matthew T. Mellon, II |
| 34-78923 | Sep. 23, 2016 | Medient Studios, Inc. a/k/a Moon River Studios, Inc. |
| 34-78922 | Sep. 23, 2016 | Charles A. Koppelman |
| 34-78921 | Sep. 23, 2016 | David A. Paterson |
| IA-4534 | Sep. 23, 2016 | Aviva Investors Americas, LLC and as Successor Entity to Aviva Investors North America, Inc.
Other Release No.: IC-32280 |
| 34-78911 | Sep. 23, 2016 | Coastal Pacific Mining Corp. and Petaquilla Minerals Ltd. |
| 34-78910 | Sep. 23, 2016 | REON Holdings, Inc. |
| 34-78906 | Sep. 22, 2016 | Wilmington Savings Fund Society, FSB
See also: Administrative Summary |
| 34-78905 | Sep. 22, 2016 | Capital Preferred Yield Fund-III, LP, Clearly Canadian Beverage Corp. and Diversinet Corp. |
| 34-78904 | Sep. 22, 2016 | Amarillo Mesquite Grill, Inc., et al. |
| 34-78903 | Sep. 22, 2016 | AIC International Resources Corp. and Stellar Metals, Inc. |
| 34-78897 | Sep. 21, 2016 | Robert A. Waegelein, CPA
Other Release No.: AAER-3805 See also: Administrative Summary |
| 34-78896 | Sep. 21, 2016 | Park National Corporation
Other Release No.: AAER-3804 See also: Administrative Summary |
| 34-78895 | Sep. 21, 2016 | Karl E. Hahn
Other Release No.: IA-4533 |
| 33-10218 | Sep. 21, 2016 | Sheldon Rose and MKJJ Consulting LLC
Other Release No.: 34-78894 |
| 34-78891 | Sep. 20, 2016 | Bluforest, Inc. |
| 34-78890 | Sep. 20, 2016 | Roger G. Coleman, Sr. |
| 34-78889 | Sep. 20, 2016 | Sandra Dyche See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice Comments received are available for this proposed plan. |
| 34-78884 | Sep. 20, 2016 | Nu Skin Enterprises, Inc.
See also: Administrative Summary |
| 34-78880 | Sep. 20, 2016 | Medisys Technologies, Inc., New Day Financial Management, Inc. and Pivotal Group, Inc. |
| 34-78879 | Sep. 20, 2016 | Caspian International Oil Corporation, et al. |
| 34-78878 | Sep. 20, 2016 | Multi-Corp. International, Inc., Pan American Goldfields Ltd. and Sky Harvest Energy Corp. |
| 34-78877 | Sep. 19, 2016 | 3C Advisors & Associates, Inc., Stephen Jones and David Prolman |
| 34-78876 | Sep. 19, 2016 | Kenny Phu
Other Release No.: IC-32266 |
| 34-78875 | Sep. 19, 2016 | David A. Zimmerman |
| 34-78873 | Sep. 19, 2016 | Ernst & Young LLP, et al.
Other Release No.: AAER-3803 |
| 34-78872 | Sep. 19, 2016 | Ernst & Young LLP and Gregory S. Bednar, CPA
Other Release No.: AAER-3802 |
| 34-78871 | Sep. 19, 2016 | Anoteros, Inc., et al. |
| 34-78870 | Sep. 19, 2016 | Echo Automotive, Inc. and Vision Industries Corp. |
| 34-78869 | Sep. 19, 2016 | Eric B. Global Ventures, Inc. and Secure Digital, Inc. |
| 33-10216 | Sep. 16, 2016 | Med-X, Inc.
See also: Administrative Summary and Order |
| 33-10215 | Sep. 16, 2016 | Tod A. Ditommaso, Esq. |
| 33-10214 | Sep. 16, 2016 | Cliffe R. Bodden
Other Release No.: 34-78867 |
| 33-10213 | Sep. 16, 2016 | Microcap Management LLC, Bayside Realty Holdings LLC and Meadpoint Venture Partners, LLC
Other Release No.: 34-78866 |
| 33-10212 | Sep. 16, 2016 | William J. Sears
Other Release No.: 34-78865 |
| 33-10211 | Sep. 16, 2016 | Scott M. Dittman, CPA
Other Release Nos.: 34-78864, AAER-3801 |
| 33-10210 | Sep. 16, 2016 | Fusion Pharm, Inc.
Other Release No.: 34-78863 |
| 34-78858 | Sep. 16, 2016 | Affordable Green Homes International, Jilco Industries, Inc., and TMP Land Mortgage Fund, Ltd., a California Limited Partnership |
| 34-78857 | Sep. 16, 2016 | All Energy Corp. and As Seen On TV, Inc. |
| 34-78854 | Sep. 15, 2016 | Theodore P. Sweeten |
| 34-78853 | Sep. 15, 2016 | Gordon W. Jenkins |
| 34-78852 | Sep. 15, 2016 | Francis W. Kreais |
| 34-78848 | Sep. 15, 2016 | Michael S. Wilson, et al. and James T. Budden and Alexander W. Budden
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| IA-4529 | Sep. 14, 2016 | First Reserve Management, L.P.
See also: Administrative Summary |
| 34-78842 | Sep. 14, 2016 | Andrew W.W. Caspersen |
| 34-78841 | Sep. 14, 2016 | Joseph J. Fox |
| 34-78832 | Sep. 13, 2016 | Richard Weed, Esq. |
| 34-78825 | Sep. 13, 2016 | Jun Ping Zhang
Other Release No.: AAER-3800 See also: Administrative Summary |
| 34-78824 | Sep. 13, 2016 | Portugal Telecom, et al.
Other Release No.: AAER-3799 |
| IA-4527 | Sep. 12, 2016 | George Charles Cody Price |
| 34-78810 | Sep. 12, 2016 | Capitol City Bancshares, Inc., et al. |
| 33-10204 | Sep. 9, 2016 | BOKF, NA
Other Release No.: 34-78794 |
| IA-4526 | Sep. 8, 2016 | Robert W. Baird & Co. Incorporated |
| IA-4525 | Sep. 8, 2016 | Raymond James & Associates, Inc. |
| 34-78783 | Sep. 8, 2016 | Marius Morariu |
| 34-78776 | Sep. 7, 2016 | Eduardo Guillermo Diaz
Other Release No.: IA-4524 |
| 34-78775 | Sep. 7, 2016 | Aaron Nash Kazinec
Other Release No.: IA-4523 |
| 34-78768 | Sep. 2, 2016 | William Scholander |
| 34-78756 | Sep. 1, 2016 | Robert D. Milligan |
| 34-78754 | Sep. 1, 2016 | Jilbert Tahmazian, Esq. |
| IA-4517 | Aug. 31, 2016 | David Kayatta |
| IA-4516 | Aug. 31, 2016 | Mario Pincheira |
| 34-78736 | Aug. 31, 2016 | Paul Mata
Other Release No.: IA-4518 |
| 34-78735 | Aug. 31, 2016 | RBC Capital Markets, LLC |
| 34-78734 | Aug. 31, 2016 | Grace Development, Inc., Luxeyard, Inc. and SuperDirectories, Inc. |
| 34-78732 | Aug. 31, 2016 | Multi-Corp. International, Inc., Pan American Goldfields Ltd. and Sky Harvest Energy Corp. |
| 34-78730 | Aug. 30, 2016 | AstraZeneca PLC
Other Release No.: AAER-3798 See also: Administrative Summary |
| 34-78725 | Aug. 30, 2016 | Angelique De Maison |
| 34-78723 | Aug. 30, 2016 | Ilio, Inc., Industrial Imaging Corporation and JackRay Corporation |
| 34-78722 | Aug. 30, 2016 | Fairfield Minerals, Ltd. and Metal Storm Limited |
| 34-78717 | Aug. 29, 2016 | Pamella B. Watson
Other Release No.: IA-4515 |
| 34-78711 | Aug. 29, 2016 | Thomas Dulek, CPA
Other Release No.: AAER-3797 See also: Administrative Summary |
| 34-78709 | Aug. 29, 2016 | Dominion Minerals Corp., et al. |
| 34-78708 | Aug. 26, 2016 | Michael Ralph Casey, Esq. |
| 34-78707 | Aug. 26, 2016 | Michael Ralph Casey, Esq. |
| 34-78699 | Aug. 26, 2016 | Joseph L. Pittera, Esq. |
| 34-78690 | Aug. 26, 2016 | JinZangHuang Tibet Pharmaceuticals, Inc. |
| 34-78689 | Aug. 26, 2016 | China VantagePoint Acquisition Co., Citizens Community Bancorp, Inc. and Solis Pharma US, Inc. |
| 34-78688 | Aug. 26, 2016 | Bodisen Biotech, Inc., et al. |
| IA-4513 | Aug. 25, 2016 | Orinda Asset Management, LLC
Other Release No.: IC-32238 See also: Administrative Summary |
| 34-78682 | Aug. 25, 2016 | Kieran T. Kuhn |
| IA-4508 | Aug. 25, 2016 | AssetMark, Inc. (f/k/a Genworth Financial Wealth Management, Inc.) |
| IA-4507 | Aug. 25, 2016 | Congress Wealth Management LLC |
| IA-4506 | Aug. 25, 2016 | BB&T Securities, LLC |
| IA-4505 | Aug. 25, 2016 | Constellation Wealth Advisors LLC |
| IA-4504 | Aug. 25, 2016 | Risk Paradigm Group, LLC |
| IA-4503 | Aug. 25, 2016 | Executive Monetary Management, LLC |
| IA-4502 | Aug. 25, 2016 | J.J.B. Hilliard and W.L. Lyons, LLC |
| IA-4501 | Aug. 25, 2016 | Ladenburg Thalmann Asset Management Inc. |
| IA-4500 | Aug. 25, 2016 | HT Partners LLC |
| IA-4499 | Aug. 25, 2016 | Banyan Partners, LLC |
| IA-4498 | Aug. 25, 2016 | Prospera Financial Services, Inc. |
| IA-4497 | Aug. 25, 2016 | Schneider Downs Wealth Management Advisors, LP |
| IA-4496 | Aug. 25, 2016 | Shamrock Asset Management LLC |
| IA-4494 | Aug. 24, 2016 | WL Ross & Co. LLC
See also: Administrative Summary |
| 34-78659 | Aug. 24, 2016 | Credit Suisse Alternative, et al. See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-78658 | Aug. 24, 2016 | Martin J. Lawler |
| 34-78657 | Aug. 24, 2016 | Mark A. Ivener and Ivener & Fullmer, LLP |
| 34-78656 | Aug. 24, 2016 | Thomas T. M. Ho |
| 33-10197 | Aug. 24, 2016 | Yukon Municipal Authority, Yukon, Oklahoma |
| 33-10196 | Aug. 24, 2016 | Wyoming Community Development Authority |
| 33-10195 | Aug. 24, 2016 | Westchester County Health Care Corporation |
| 33-10194 | Aug. 24, 2016 | Unified School District No. 418, McPherson County, Kansas |
| 33-10193 | Aug. 24, 2016 | Township of East Brunswick, New Jersey |
| 33-10192 | Aug. 24, 2016 | Town of York, Maine |
| 33-10191 | Aug. 24, 2016 | Town of Hilton Head Island, South Carolina |
| 33-10190 | Aug. 24, 2016 | Town of Fairfield, Connecticut |
| 33-10189 | Aug. 24, 2016 | Thompson School District No. R2-J |
| 33-10188 | Aug. 24, 2016 | The Ohio State University |
| 33-10187 | Aug. 24, 2016 | The Municipal Authority of the City of McKeesport |
| 33-10186 | Aug. 24, 2016 | The County Commission of Ohio County, West Virginia |
| 33-10185 | Aug. 24, 2016 | Tea Area School District 41-5, South Dakota |
| 33-10184 | Aug. 24, 2016 | Syracuse University |
| 33-10183 | Aug. 24, 2016 | State of Montana Department of Transportation |
| 33-10182 | Aug. 24, 2016 | State of Minnesota |
| 33-10181 | Aug. 24, 2016 | State of Hawaii |
| 33-10180 | Aug. 24, 2016 | Southern New Hampshire University |
| 33-10179 | Aug. 24, 2016 | Sanitary District of the City of Gary, Indiana |
| 33-10178 | Aug. 24, 2016 | Public Utility District No. 1 of Whatcom County, Washington |
| 33-10177 | Aug. 24, 2016 | Pecos County, Texas |
| 33-10176 | Aug. 24, 2016 | Palatine Park District, Cook County, Illinois |
| 33-10175 | Aug. 24, 2016 | Oklahoma Housing Finance Agency |
| 33-10174 | Aug. 24, 2016 | North Slope Borough, Alaska |
| 33-10173 | Aug. 24, 2016 | North Carolina Eastern Municipal Power Agency |
| 33-10172 | Aug. 24, 2016 | Montgomery College |
| 33-10171 | Aug. 24, 2016 | Montgomery College Foundation, Inc. |
| 33-10170 | Aug. 24, 2016 | Metropolitan Airport Authority of Peoria, Peoria County, Illinois |
| 33-10169 | Aug. 24, 2016 | Lawrence & Memorial Hospital, Inc. and Lawrence & Memorial Corp. |
| 33-10168 | Aug. 24, 2016 | Lauderdale County, Mississippi |
| 33-10167 | Aug. 24, 2016 | Kentucky Housing Corporation |
| 33-10166 | Aug. 24, 2016 | Idaho Housing and Finance Association |
| 33-10165 | Aug. 24, 2016 | Hazleton Area School District |
| 33-10164 | Aug. 24, 2016 | Heber Light & Power Company, Utah |
| 33-10163 | Aug. 24, 2016 | Fulton County, Georgia |
| 33-10162 | Aug. 24, 2016 | Electric and Water Plant Board of the City of Frankfort, Kentucky |
| 33-10161 | Aug. 24, 2016 | El Castillo Retirement Residences |
| 33-10160 | Aug. 24, 2016 | East Ouachita Parish School District of the Parish of Ouachita, State of Louisiana |
| 33-10159 | Aug. 24, 2016 | Delaware Transportation Authority |
| 33-10158 | Aug. 24, 2016 | The County of Franklin, New York |
| 33-10157 | Aug. 24, 2016 | County of Berrien, Michigan |
| 33-10156 | Aug. 24, 2016 | County of Adams, Pennsylvania |
| 33-10155 | Aug. 24, 2016 | Community Unit School District Number 18 (Blue Ridge) |
| 33-10154 | Aug. 24, 2016 | Colorado Department of the Treasury and State Treasurer On Behalf of the Colorado Department of Transportation |
| 33-10153 | Aug. 24, 2016 | Collegium Charter School |
| 33-10152 | Aug. 24, 2016 | City of West Des Moines, Iowa |
| 33-10151 | Aug. 24, 2016 | City of Vestavia Hills, Alabama |
| 33-10150 | Aug. 24, 2016 | City of South Bend, Indiana |
| 33-10149 | Aug. 24, 2016 | The City of Oconomowoc, Wisconsin |
| 33-10148 | Aug. 24, 2016 | City of Nichols Hills, Oklahoma |
| 33-10147 | Aug. 24, 2016 | City of Memphis, Tennessee |
| 33-10146 | Aug. 24, 2016 | City of Ithaca, New York |
| 33-10145 | Aug. 24, 2016 | City of Gary, Indiana |
| 33-10144 | Aug. 24, 2016 | City of Devils Lake, North Dakota |
| 33-10143 | Aug. 24, 2016 | City of Columbia, South Carolina |
| 33-10142 | Aug. 24, 2016 | City of Chelsea, Massachusetts |
| 33-10141 | Aug. 24, 2016 | City of Cedar Rapids, Iowa |
| 33-10140 | Aug. 24, 2016 | City of Bainbridge Island, Washington |
| 33-10139 | Aug. 24, 2016 | City of Andover, Kansas |
| 33-10138 | Aug. 24, 2016 | City of Alliance, Nebraska |
| 33-10137 | Aug. 24, 2016 | Casella Waste Systems, Inc. |
| 33-10136 | Aug. 24, 2016 | Carilion Clinic |
| 33-10135 | Aug. 24, 2016 | Boulder County, Colorado |
| 33-10134 | Aug. 24, 2016 | Borough of Roselle Park in the County of Union, New Jersey |
| 33-10133 | Aug. 24, 2016 | Board of Trustees of Arkansas Tech University |
| 33-10132 | Aug. 24, 2016 | Board of Education of Madison County, Alabama |
| 33-10131 | Aug. 24, 2016 | Blair Oaks R-II School District, Missouri |
| 33-10130 | Aug. 24, 2016 | Black Jack Fire Protection District of St. Louis County, Missouri |
| 33-10129 | Aug. 24, 2016 | Ascension Health Alliance |
| 33-10128 | Aug. 24, 2016 | City of Alameda |
| 34-78655 | Aug. 23, 2016 | Douglas Kuber |
| 34-78651 | Aug. 23, 2016 | Christopher J. Borgo |
| 34-78650 | Aug. 23, 2016 | Michael T. Angeletti |
| 34-78649 | Aug. 23, 2016 | Michael J. Calash |
| 34-78648 | Aug. 23, 2016 | Chazon Stein |
| 34-78647 | Aug. 23, 2016 | Gary X. Schultz |
| 34-78646 | Aug. 23, 2016 | Alan D. Messina |
| 34-78645 | Aug. 23, 2016 | David Anthony Eratostene |
| 34-78639 | Aug. 23, 2016 | Curtis A. Peterson |
| IA-4493 | Aug. 23, 2016 | Apollo Management V, L.P., et al. |
| 34-78625 | Aug. 22, 2016 | Li-Lin Hsu |
| 34-78624 | Aug. 22, 2016 | Global Earth Energy, Inc. |
| 34-78623 | Aug. 22, 2016 | John W.R. Miller |
| 34-78608 | Aug. 18, 2016 | Bay City Transfer Agency and Registrar, Inc. and Nitin M. Amersey |
| 34-78607 | Aug. 17, 2016 | Jason Maiher
Other Release No.: AAER-3795 See also: Administrative Summary |
| 34-78606 | Aug. 17, 2016 | Justin Esposito |
| 34-78603 | Aug. 17, 2016 | Delaney Equity Group LLC |
| IA-4490 | Aug. 17, 2016 | Paul J. Jackson |
| 34-78599 | Aug. 17, 2016 | Gregory Goldstein |
| 34-78591 | Aug. 16, 2016 | Michael J. Oppenheim
Other Release No.: IA-4489 |
| 33-10122 | Aug. 16, 2016 | Delaney Equity Group LLC, David C. Delaney and Ian C. Kass
Other Release No.: 34-78594 |
| 34-78590 | Aug. 16, 2016 | Health Net, Inc. |
| IA-4488 | Aug. 16, 2016 | Anthony Tyrone Jones, Jr. |
| 34-78585 | Aug. 16, 2016 | Edwin K. Chin
Other Release Nos.: IA-4487, IC-32217 |
| 34-78583 | Aug. 16, 2016 | Joshua M. Beauregard and Jennifer M. Beauregard |
| 34-78582 | Aug. 16, 2016 | John L. Shipley |
| 34-78581 | Aug. 16, 2016 | Daniel J. Bean |
| 34-78580 | Aug. 16, 2016 | Jeremy D. Barnes |
| 34-78579 | Aug. 16, 2016 | Damon M. Barnes and Cathy S. Barnes |
| 34-78577 | Aug. 15, 2016 | Linkbrokers Derivatives LLC See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-78574 | Aug. 15, 2016 | Barry B. Clare
Other Release No.: IC-32215 See also: Administrative Summary |
| 34-78571 | Aug. 15, 2016 | Tianyu Zhou
Other Release Nos.: IA-4484, IC-32213 See also: Administrative Summary |
| 33-10120 | Aug. 15, 2016 | Donald F. ("Jay") Lathen, et al.
Other Release Nos.: 34-78572, IA-4485, IC-32214 |
| IA-4483 | Aug. 15, 2016 | Fortius Financial Advisors, LLC, Jeff M. Bollinger and Gary E. Oliver
Other Release No.: IC-32212 See also: Administrative Summary |
| 34-78569 | Aug. 12, 2016 | Izak Zirk De Maison (f/k/a) Izak Zirk Engelbrecht |
| 34-78563 | Aug. 12, 2016 | Dynamic Ventures Corp. |
| 34-78562 | Aug. 12, 2016 | Triumph Ventures Corp. |
| 34-78561 | Aug. 12, 2016 | Safecode Drug Technologies Corp. |
| 34-78559 | Aug. 11, 2016 | Stephen Wilshinsky
Other Release No.: IA-4481 |
| 34-78558 | Aug. 11, 2016 | Key Energy Services, Inc.
Other Release No.: AAER-3794 See also: Administrative Summary |
| 34-78551 | Aug. 11, 2016 | Ricky T. Meyer
Other Release No.: IA-4480 |
| IA-4479 | Aug. 11, 2016 | Randall W. McKee |
| 34-78541 | Aug. 11, 2016 | Morgan Asset Management, Inc., et al. |
| 34-78540 | Aug. 10, 2016 | Eastland Financial Corp., Granite Cliffs, Incorporated and Greater Asia Realty Holdings, Ltd. |
| IA-4478 | Aug. 10, 2016 | Brad R. Hawkins |
| 34-78539 | Aug. 10, 2016 | Ameralink, Inc., et al. |
| 34-78538 | Aug. 10, 2016 | Dominion Minerals Corp., et al. |
| 34-78537 | Aug. 10, 2016 | Island Trader LLC and Richard H. Nickles
Other Release No.: IA-4477 |
| 34-78528 | Aug. 10, 2016 | BlueLinx Holdings Inc. |
| 34-78518 | Aug. 9, 2016 | Merle G. Walter
Other Release No.: IA-4475 |
| 34-78516 | Aug. 9, 2016 | David R. Gray, II
Other Release No.: IA-4474 |
| 34-78515 | Aug. 9, 2016 | Terry Pickering Lobelsky |
| IA-4473 | Aug. 9, 2016 | Perry S. Sawano |
| 34-78507 | Aug. 9, 2016 | Capitol City Bancshares, Inc., et al. |
| IA-4472 | Aug. 8, 2016 | Alan H. Gold |
| 34-78496 | Aug. 8, 2016 | China Unistone Acquisition Corp. and Ideal Restaurant Group, Inc. |
| 34-78495 | Aug. 8, 2016 | Eqco2, Inc., Hondo Minerals Corp. and Liberty Gold Corp. |
| 34-78494 | Aug. 8, 2016 | Li-Ion Motors Corp. (a/k/a Terra Inventions Corp.), Petrohunter Energy Corp. and Shrink Nanotechnologies, Inc. |
| 34-78493 | Aug. 8, 2016 | Greenpower International Group Ltd. and Hauge Technology, Inc. |
| 34-78492 | Aug. 8, 2016 | Groveware Technologies Ltd., Luve Sports, Inc. and Northcore Technologies, Inc. |
| 34-78491 | Aug. 8, 2016 | Giant Resources, Inc. and Rush Exploration, Inc. |
| 34-78476 | Aug. 3, 2016 | Greg Ruehle |
| 34-78471 | Aug. 2, 2016 | Eric David Wanger |
| 34-78457 | Aug. 2, 2016 | Alison, LLC and Stephen D. Alison
Other Release Nos.: IA-4468, IC-32202, IA-4468, IC-32202 See also: Administrative Summary |
| 33-10117 | Jul. 29, 2016 | Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4467, IC-32200 |
| 34-78439 | Jul. 29, 2016 | Dragon Bright Mintai Botanical Technology Cayman Ltd., Jinzanghuang Tibet Pharmaceuticals, Inc. and Macau Resources Group Ltd. |
| IA-4465 | Jul. 28, 2016 | Louis Martin Blazer III |
| 34-78430 | Jul. 27, 2016 | Sand International, Inc. |
| 34-78418 | Jul. 26, 2016 | Nathan Schleifer |
| 34-78413 | Jul. 26, 2016 | Yi Chen, CPA
Other Release No.: AAER-3793 See also: Administrative Summary |
| 34-78411 | Jul. 25, 2016 | Timothy A. Nemeckay |
| 34-78410 | Jul. 25, 2016 | Samuel Braslau |
| 34-78409 | Jul. 25, 2016 | Samuel Braslau |
| 34-78402 | Jul. 25, 2016 | LAN Airlines S.A.
Other Release No.: AAER-3792 |
| 34-78401 | Jul. 25, 2016 | Pioneer Exploration, Inc., Premier Brands, Inc. and Private Media Group, Inc. |
| 34-78400 | Jul. 25, 2016 | Coyote Resources, Inc., et al. |
| 34-78399 | Jul. 25, 2016 | Gold Hills Mining, Ltd., et al. |
| 34-78398 | Jul. 22, 2016 | John Steven Blount
Other Release No.: IA-4462 |
| 34-78395 | Jul. 22, 2016 | James M. Schneider, CPA
Other Release No.: AAER-3791 |
| 34-78393 | Jul. 22, 2016 | EFP Rotenberg, LLP and Nicholas Bottini, CPA
Other Release No.: AAER-3790 |
| 33-10114 | Jul. 21, 2016 | Dennis Navarra
Other Release No.: IA-4460 See also: Administrative Summary |
| 33-10113 | Jul. 21, 2016 | Concert Global Group Limited, Concert Wealth Management, Inc. and Felipe Luna
Other Release No.: IA-4459 See also: Administrative Summary |
| 34-78370 | Jul. 20, 2016 | CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc. |
| 34-78366 | Jul. 20, 2016 | Scanner Technologies Corp., et al. |
| IA-4457 | Jul. 19, 2016 | Saving2Retire, LLC and Marian P. Young
See also: Administrative Summary |
| 34-78363 | Jul. 19, 2016 | Great Basin Gold Limited |
| 34-78362 | Jul. 19, 2016 | Algorex Corporation, et al. |
| IA-4456 | Jul. 18, 2016 | Washington Wealth Management, LLC See also: Administrative Summary |
| IA-4455 | Jul. 18, 2016 | Advantage Investment Management, LLC
See also: Administrative Summary |
| 34-78351 | Jul. 15, 2016 | Hewlett-Packard Company |
| 34-78350 | Jul. 15, 2016 | James Anthony Catipay, Esq. |
| 34-78349 | Jul. 15, 2016 | Franklin Bank Corporation |
| 34-78341 | Jul. 15, 2016 | The Phoenix Companies, Inc.
Other Release No.: AAER-3789 See also: Administrative Summary |
| 34-78337 | Jul. 15, 2016 | Mondeo Investments, Inc., MPEG Super Site, Inc. and Myriad International, Inc. |
| 34-78336 | Jul. 15, 2016 | Dot VN, Inc. and Global Health Voyager, Inc. |
| 34-78335 | Jul. 15, 2016 | MIT Holding, Inc. |
| IA-4453 | Jul. 14, 2016 | Riverfront Investment Group, LLC |
| 34-78322 | Jul. 14, 2016 | Gavin L. Hamels
Other Release No.: IA-4451 |
| 33-10111 | Jul. 14, 2016 | RD Legal Capital, LLC and Roni Dersovitz
Other Release Nos.: 34-78325, IA-4452, IC-32176 See also: Administrative Summary |
| 34-78320 | Jul. 14, 2016 | Cascade Technologies Corp., Echo Automotive, Inc. and Vision Industries Corp. |
| 34-78318 | Jul. 13, 2016 | Jeffrey E. Gallagher |
| 34-78307 | Jul. 13, 2016 | HII Technologies, Inc. |
| 34-78296 | Jul. 12, 2016 | Mitchell H. Fillet |
| 34-78291 | Jul. 12, 2016 | Citigroup Global Markets, Inc. |
| 34-78288 | Jul. 11, 2016 | Breitling Energy Corporation |
| 34-78287 | Jul. 11, 2016 | Johnson Controls, Inc.
See also: Administrative Summary |
| 34-78275 | Jul. 11, 2016 | Jason Bo-Alan Beckman
Other Release No.: IA-4450 |
| 34-78282 | Jul. 11, 2016 | Bitcoin Investment Trust and Secondmarket, Inc.
See also: Administrative Summary |
| IA-4449 | Jul. 11, 2016 | William Emery Matthews |
| 34-78274 | Jul. 11, 2016 | Alicia M. Diaz, Esq.
Other Release No.: IA-4448 |
| 34-78273 | Jul. 11, 2016 | Blair D. Ackman, CPA
Other Release Nos.: IA-4447, AAER-3788 |
| 34-78270 | Jul. 8, 2016 | Toni Tong Chen, CPA
Other Release No.: AAER-3787 |
| 34-78269 | Jul. 8, 2016 | Toni Tong Chen, CPA (Corrected) |
| 34-78268 | Jul. 8, 2016 | Cheongwha "Heywood" Chang (Corrected) |
| 34-78258 | Jul. 8, 2016 | Easy Health Technologies Ltd., Neptune Acquisition Corp. and Segway IV Corp. |
| 34-78257 | Jul. 8, 2016 | Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) |
| 34-78256 | Jul. 8, 2016 | Numida, Inc. |
| 34-78255 | Jul. 8, 2016 | Rings to Dine For, Inc. |
| 34-78254 | Jul. 8, 2016 | Essential Telecommunications, Inc., et al. |
| 34-78231 | Jul. 6, 2016 | Dragon Bright Mintai Botanical Technology Cayman Ltd., Jinzanghuang Tibet Pharmaceuticals, Inc. and Macau Resources Group Ltd. |
| 34-78230 | Jul. 5, 2016 | Charles L. Rizzo and Gina M. Hornbogen |
| 34-78229 | Jul. 5, 2016 | Eric David Wanger |
| 34-78224 | Jul. 1, 2016 | Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. |
| 34-78217 | Jul. 1, 2016 | Eric B. Global Ventures, Inc., Parallax Diagnostics, Inc. and Secure Digital, Inc. |
Second Quarter | ||
| 34-78214 | Jun. 30, 2016 | Brady J. Speers |
| 34-78213 | Jun. 30, 2016 | Christopher A. Novinger |
| 34-78212 | Jun. 30, 2016 | Speers Financial Group, LLC |
| 34-78211 | Jun. 30, 2016 | NFS Group, LLC d/b/a Novers Financial a/k/a Safe Retirement Experts |
| 34-78210 | Jun. 30, 2016 | ICAN Investment Group, LLC |
| 34-78197 | Jun. 29, 2016 | Lee D. Weiss
Other Release No.: IA-4442 |
| 34-78190 | Jun. 29, 2016 | Clubhouse Videos, Inc., et al. |
| 34-78189 | Jun. 28, 2016 | WFG Advisors, L.P.
Other Release No.: IA-4441 |
| 33-10108 | Jun. 28, 2016 | Jan E. Helen
Other Release Nos.: 34-78185, IA-4440, IC-32165 See also: Administrative Summary |
| 34-78173 | Jun. 28, 2016 | North East Capital, LLC and Anthony T. Vicidomine |
| 34-78170 | Jun. 28, 2016 | Patrick G. Mackaronis
Other Release No.: IA-4438 |
| 33-10106 | Jun. 27, 2016 | Allen Perres
Other Release No.: 34-78166 |
| 34-78160 | Jun. 27, 2016 | James Anthony Catipay |
| 34-78159 | Jun. 27, 2016 | Longwei Petroleum Investment Holding Limited |
| 34-78147 | Jun. 23, 2016 | Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. Other Release Nos.: IA-4435, IC-32160 |
| 34-78145 | Jun. 23, 2016 | Timothy Quintanilla, CPA
Other Release No.: AAER-3785 |
| 34-78142 | Jun. 23, 2016 | William Tirrell
Other Release Nos.: IA-4434, IC-32159 |
| 34-78141 | Jun. 23, 2016 | Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. |
| 33-10103 | Jun. 23, 2016 | Merrill Lynch, Pierce and Fenner & Smith Incorporated |
| 34-78140 | Jun. 23, 2016 | Rebornne (USA) Inc. |
| 34-78138 | Jun. 23, 2016 | Caspian International Oil Corporation, et al. |
| 34-78136 | Jun. 23, 2016 | Coastal Pacific Mining Corp. and Petaquilla Minerals Ltd. |
| 34-78133 | Jun. 22, 2016 | Computer Sciences Corporation, et al. |
| 34-78128 | Jun. 22, 2016 | Simpson Hughes Financial, LLC and Mark C. Simpson
Other Release Nos.: IA-4433, IC-32158 |
| 34-78118 | Jun. 21, 2016 | Steven J. Muehler, et al. |
| 34-78115 | Jun. 21, 2016 | Galileo Petroleum Ltd., Hyperion Acquisition Corp. and Satori Beverages International, Ltd. |
| 34-78114 | Jun. 21, 2016 | Feltl & Company, Inc. |
| 34-78113 | Jun. 21, 2016 | Analogic Corporation and Lars Frost
Other Release No.: AAER-3784 |
| 34-78100 | Jun. 17, 2016 | North East Capital, LLC and Anthony T. Vicidomine
See also: Amended Plan of Distribution |
| 33-10101 | Jun. 17, 2016 | Larry C. Grossman
Other Release Nos.: 34-78099, IA-4432, IC-32153 |
| 34-78097 | Jun. 17, 2016 | Gregory G. Jones |
| 34-78096 | Jun. 17, 2016 | Gregory G. Jones |
| 34-78095 | Jun. 17, 2016 | Eric David Wanger |
| 34-78092 | Jun. 16, 2016 | Essential Telecommunications, Inc., et al. |
| 34-78087 | Jun. 16, 2016 | Rohit Bansal
Other Release No.: IA-4430 |
| IA-4429 | Jun. 16, 2016 | Apex Fund Services (US), Inc. |
| IA-4428 | Jun. 16, 2016 | Apex Fund Services (US), Inc. |
| IA-4423 | Jun. 15, 2016 | Richard W. Davis Jr. |
| 34-78085 | Jun. 15, 2016 | Clark S. Gardner
Other Release No.: IA-4426 |
| 34-78084 | Jun. 15, 2016 | Jonathan E. Rosenberg
Other Release No.: IA-4425 |
| 34-78083 | Jun. 15, 2016 | David L. Post |
| 33-10097 | Jun. 15, 2016 | Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4427, IC-32150 |
| 33-10096 | Jun. 15, 2016 | Thomas C. Gonnella
Other Release Nos.: 34-78082, IA-4424, IC-32149 |
| 34-78073 | Jun. 15, 2016 | Advanced Life Sciences Holdings, Inc., et al. |
| 34-78072 | Jun. 15, 2016 | CONCERTSBYU.COM, INC., Freedom Bancshares, Inc. and MetaMorphix Inc. |
| 34-78071 | Jun. 15, 2016 | Efim Aksanov |
| 34-78070 | Jun. 15, 2016 | Cascade Technologies Corp., Echo Automotive, Inc. and Vision Industries Corp. |
| 34-78068 | Jun. 15, 2016 | MIT Holding, Inc. |
| IA-4422 | Jun. 14, 2016 | Alan H. Gold |
| 34-78077 | Jun. 14, 2016 | 2 West, Inc., et al. |
| 34-78054 | Jun. 13, 2016 | School Business Consulting, Inc. and Terrance Bradley
Other Release No.: IC-32147 |
| 34-78053 | Jun. 13, 2016 | Keygent LLC, Anthony Hsieh and Chet Wang |
| IC-32151 | Jun. 13, 2016 | The Bank of New York Mellon (Corrected Release Number)
See also: Administrative Summary |
| 34-78042 | Jun. 13, 2016 | American Life, Inc. and Henry G. Liebman |
| 33-10094 | Jun. 13, 2016 | Behruz Afshar, et al.
Other Release Nos.: IC-32144, 34-78043 See also: Administrative Summary |
| IA-4419 | Jun. 10, 2016 | Daniel Thibeault |
| 34-78033 | Jun. 10, 2016 | Alliance Capital Management, LP |
| 34-78030 | Jun. 10, 2016 | ICON Capital LLC f/k/a ICON Capital Corporation
Other Release No.: AAER-3783 See also: Administrative Summary |
| 34-78028 | Jun. 9, 2016 | Focus Media Holding Limited and Jason Jiang |
| 33-10093 | Jun. 8, 2016 | Ethiopian Electric Power |
| 34-78022 | Jun. 8, 2016 | Eric B. Global Ventures, Inc., Parallax Diagnostics, Inc. and Secure Digital, Inc. |
| 34-78021 | Jun. 8, 2016 | Morgan Stanley Smith Barney LLC
Other Release No.: IA-4415 |
| 34-78020 | Jun. 8, 2016 | Galen J. Marsh
Other Release No.: IA-4414 |
| 34-78017 | Jun. 8, 2016 | IEC Electronics Corp., Ronald J. Years, CPA and Donald S. Doody
Other Release No.: AAER-3782 |
| 33-10092 | Jun. 7, 2016 | Frazer Frost, et al.
Other Release Nos.: 34-78010, AAER-3781 |
| 33-10091 | Jun. 7, 2016 | Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78009, AAER-3780 |
| 33-10090 | Jun. 7, 2016 | Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78008, AAER-3779 |
| 33-10089 | Jun. 7, 2016 | Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78007, AAER-3778 |
| 34-78006 | Jun. 7, 2016 | Focus Media Holding Limited and Jason Jiang |
| 34-78002 | Jun. 7, 2016 | UBS Financial Services Incorporated of Puerto Rico |
| 34-77999 | Jun. 7, 2016 | Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc. |
| 34-77997 | Jun. 6, 2016 | Silberstein Ungar PLLC, et al.
Other Release No.: AAER-3777 See also: Administrative Summary |
| 34-77987 | Jun. 3, 2016 | Joseph Denard Reid (a/k/a Reid Joseph Denard), et al. |
| 34-77986 | Jun. 3, 2016 | Market Data Consultants, Inc., et al. |
| IA-4413 | Jun. 2, 2016 | James Caird Asset Management LLP and Timothy G. Leslie
See also: Administrative Summary |
| 34-77985 | Jun. 2, 2016 | Computer Sciences Corporation, et al. |
| 34-77981 | Jun. 2, 2016 | Steve Koifman |
| 34-77980 | Jun. 2, 2016 | Sandra Dyche |
| 33-10087 | Jun. 2, 2016 | Donald J. Stoecklein, Esq.
Other Release No.: 34-77979 See also: Administrative Summary |
| 34-77972 | Jun. 1, 2016 | Jack H. Halperin |
| 34-77971 | Jun. 1, 2016 | Albert Fried & Company, LLC |
| 34-77968 | Jun. 1, 2016 | Craig Medoff |
| 33-10085 | Jun. 1, 2016 | Jane E. Starrett, CPA
Other Release Nos.: 34-77967, AAER-3776 |
| 34-77959 | Jun. 1, 2016 | Blackstreet Capital Management, LLC and Murry N. Gunty
Other Release No.: IA-4411 |
| 34-77953 | May 31, 2016 | China VantagePoint Acquisition Co., Citizens Community Bancorp, Inc. and Solis Pharma US, Inc. |
| IA-4406 | May 31, 2016 | Steven R. Markusen and Jay C. Cope |
| IA-4401 | May 27, 2016 | Federated Global Investment Management Corp.
See also: Administrative Summary |
| IA-4399 | May 27, 2016 | Biscayne Capital International, LLC, et al.
Other Release No.: IC-32130 See also: Administrative Summary |
| 34-77940 | May 27, 2016 | Elsinore Capital II, Ltd., EPS Solutions Corp., and Free DA Connection Systems, Inc. (a/k/a Free DA Connection Services, Inc., a/k/a Earthshine International Ltd.) |
| 34-77939 | May 27, 2016 | Disaster Preparedness Systems, Inc., Electric Moto Corp. and EMO Corp. |
| 33-10083 | May 26, 2016 | Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4395, IC-32128 |
| IA-4394 | May 26, 2016 | Jacqueline J. Stanfill |
| 34-77924 | May 26, 2016 | Bankrate, Inc. |
| 33-10082 | May 25, 2016 | American Registrar & Transfer Company and Christopher Day Other Release Nos.: 34-77922, IC-32126 |
| 34-77900 | May 25, 2016 | DE Acquisition 5, Inc., DE Acquisition 11, Inc., and GimmeaBid.Com, Inc.(a/k/a Gimmeabid Com Inc.) |
| 34-77894 | May 24, 2016 | Greenpower International Group Ltd. and Hauge Technology, Inc. |
| 34-77893 | May 24, 2016 | China Unistone Acquisition Corp. and Ideal Restaurant Group, Inc. |
| 33-10081 | May 24, 2016 | Swisher Hygiene Inc.
Other Release Nos.: 34-77887, AAER-3775 |
| 34-77882 | May 20, 2016 | John J. Aesoph, CPA and Darren M. Bennett, CPA
Other Release No.: AAER-3774 |
| 34-77868 | May 20, 2016 | Dragon Bright Mintai Botanical Technology Cayman Ltd., JinZangHuang Tibet Pharmaceuticals, Inc. and Macau Resources Group Ltd. |
| 34-77866 | May 20, 2016 | Bodisen Biotech, Inc., et al. |
| 34-77865 | May 20, 2016 | China Rongxin Chemical Holding Group, Inc., and Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.) |
| 34-77864 | May 20, 2016 | Chardan China Acquisition Corp. and Garden Bay International, Ltd. |
| IA-4391 | May 19, 2016 | Brian J. Ourand
Other Release No.: IC-32119 |
| 33-10080 | May 19, 2016 | James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC
Other Release Nos.: 34-77862, IA-4389, IC-32118 See also: Administrative Summary |
| 34-77852 | May 18, 2016 | Salvatore Renaldi |
| 34-77851 | May 18, 2016 | Mark A. Lopez
See also: Administrative Summary |
| 34-77842 | May 16, 2016 | Eric David Wanger |
| 34-77834 | May 16, 2016 | Digiblue Media, Inc., et al. |
| 34-77832 | May 13, 2016 | Stephan Von Hase
Other Release No.: IA-4387 |
| 34-77828 | May 13, 2016 | Shearson Financial Network, Inc., et al. |
| 34-77827 | May 13, 2016 | Easylink Information Technology Co., Ltd. |
| 34-77826 | May 12, 2016 | John Steven Blount
Other Release No.: IA-4386 |
| 34-77816 | May 12, 2016 | American Express Financial Corporation (now known as Ameriprise Financial, Inc.) |
| 34-77806 | May 11, 2016 | GroveWare Technologies Ltd., Luve Sports, Inc. and Northcore Technologies, Inc. |
| 34-77805 | May 11, 2016 | Li-ion Motors Corp. (a/k/a Terra Inventions Corp.), PetroHunter Energy Corp. and Shrink Nanotechnologies, Inc. |
| 34-77802 | May 10, 2016 | Greg Ruehle |
| 34-77788 | May 10, 2016 | Texstar Oil Corporation and Bonamour, Inc. |
| IA-4384 | May 9, 2016 | David Brochu |
| 34-77768 | May 5, 2016 | Stalin Antonio Asenjo |
| 34-77767 | May 5, 2016 | Wentworth IV, Inc., et al. |
| 34-77764 | May 4, 2016 | CelLynx Group, Inc., Dot VN, Inc. and Global Health Voyager, Inc. |
| 34-77763 | May 4, 2016 | RSL Communications Ltd., et al. |
| 34-77762 | May 4, 2016 | Giant Resources, Inc. and Rush Exploration, Inc. |
| 34-77760 | May 4, 2016 | EQCO2, Inc., Hondo Minerals Corp. and Liberty Gold Corp. |
| 34-77755 | May 2, 2016 | MaloneBailey, LLP and Jay Phillip Norris, CPA
Other Release No.: AAER-3773 See also: Administrative Summary |
| 34-77753 | May 2, 2016 | Janice D. Rey |
| 34-77747 | Apr. 29, 2016 | Stanley D. Parrish |
| 34-77745 | Apr. 29, 2016 | Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA
Other Release Nos.: IA-4380, AAER-3772 |
| 34-77741 | Apr. 29, 2016 | Coyote Resources, Inc., et al. |
| 34-77739 | Apr. 29, 2016 | Pioneer Exploration, Inc., Premier Brands, Inc. and Private Media Group, Inc. |
| IA-4379 | Apr. 27, 2016 | Roger S. Bliss |
| IA-4378 | Apr. 27, 2016 | Professional Investment Management, Inc. (Corrected) |
| 34-77730 | Apr. 27, 2016 | Ernesto Lujan |
| 34-77729 | Apr. 27, 2016 | Jose Alejandro Hurtado |
| 34-77728 | Apr. 27, 2016 | Joseph Flores Demeneses, Jr. |
| 34-77727 | Apr. 27, 2016 | Tomas Alberto Clarke Bethancourt |
| 34-77725 | Apr. 27, 2016 | Benito Chinea |
| 34-77718 | Apr. 26, 2016 | David S. Hall, P.C. d/b/a the Hall Group CPAs, et al.
Other Release No.: AAER-3771 |
| 34-77717 | Apr. 26, 2016 | Cabela's Incorporated and Ralph W. Castner, CPA
Other Release No.: AAER-3770 See also: Administrative Summary |
| 34-77713 | Apr. 26, 2016 | Burrill Capital Management, et al. |
| 34-77712 | Apr. 26, 2016 | North East Capital, LLC and Anthony T. Vicidomine See also: Proposed Amended Plan of Distribution |
| 34-77702 | Apr. 25, 2016 | Malcolm Segal
Other Release No.: IA-4377 |
| 34-77700 | Apr. 25, 2016 | CBC Acquisition Corp. 1, China Renewable Construction Materials, Inc. and Whoopass Poker Corp. |
| 34-77696 | Apr. 22, 2016 | Levi D. Lindemann |
| 34-77689 | Apr. 22, 2016 | Caleb J. White |
| 34-77686 | Apr. 22, 2016 | Bailey Frances Corp., Kingly Chateau Corp. and Lucy's Water World, Inc. |
| 34-77685 | Apr. 22, 2016 | DCI Telecommunications, Inc., et al. |
| 34-77684 | Apr. 22, 2016 | 99 Cent Stuff, Inc., et al. |
| 34-77672 | Apr. 21, 2016 | Gold Hills Mining, Ltd., et al. |
| 34-77670 | Apr. 21, 2016 | CelLynx Group, Inc., Dot VN, Inc. and Global Health Voyager, Inc. |
| 34-77668 | Apr. 21, 2016 | China Ticket Center, Inc., et al. |
| 34-77667 | Apr. 21, 2016 | Oldwebsites.com, Inc., et al. |
| 34-77666 | Apr. 21, 2016 | Eight-Eight Acquisition Corp. I, Eight-Eight Acquisition Corp. II and Eight-Eight Acquisition Corp. III |
| 34-77665 | Apr. 20, 2016 | Gerry G. Zobrist, Esq. |
| IA-4374 | Apr. 20, 2016 | Daniel N. Ginsparg
Other Release No.: IC-32089 |
| 34-77663 | Apr. 20, 2016 | Joann Jackson
Other Release No.: IA-4373 |
| 34-77657 | Apr. 20, 2016 | Laura P. Messenbaugh, CPA
Other Release No.: AAER-3768 |
| 34-77656 | Apr. 20, 2016 | Diversified Health & Fitness, Inc., et al. |
| 34-77653 | Apr. 19, 2016 | Daniel Christian Stanley Powell |
| 34-77649 | Apr. 19, 2016 | TPG Advisors LLC d/b/a The Phillips Group Advisors and Larry M. Phillips
Other Release Nos.: IA-4372, IC-32076 See also: Administrative Summary |
| 34-77648 | Apr. 19, 2016 | Bruce A. Hartshorn
Other Release Nos.: IA-4371, IC-32075 See also: Administrative Summary |
| 34-77646 | Apr. 19, 2016 | Robert D. Hesselgesser, CPA
Other Release No.: AAER-3767 |
| 34-77644 | Apr. 19, 2016 | Logitech International, et al.
Other Release No.: AAER-3765 |
| 33-10068 | Apr. 19, 2016 | Ener1, Inc., et al.
Other Release Nos.: 34-77645, AAER-3766 |
| IA-4370 | Apr. 15, 2016 | Hudson Capital Partners Corporation |
| 34-77630 | Apr. 15, 2016 | Paul Leon White, II
Other Release No.: IA-4369 |
| 34-77627 | Apr. 15, 2016 | Daytona Systems, Inc. and Equitel, Inc. |
| 34-77626 | Apr. 14, 2016 | Devon C. McLean |
| 34-77625 | Apr. 14, 2016 | Reid S. Johnson
Other Release Nos.: IA-4368, IC-32073 See also: Administrative Summary |
| 34-77624 | Apr. 14, 2016 | Citigroup Alternative Investment LLC and Citigroup Global Markets Inc. |
| 34-77622 | Apr. 14, 2016 | Mondeo Investments, Inc., MPEG Super Site, Inc. and Myriad International, Inc. |
| 34-77618 | Apr. 14, 2016 | Arthur F. Jacob, CPA and Innovative Business Solutions, LLC
Other Release Nos.: IA-4367, IC-32072 |
| 34-77616 | Apr. 14, 2016 | DC Brands International, Inc. |
| 34-77615 | Apr. 14, 2016 | China Holdings Group, Inc., et al. |
| 34-77598 | Apr. 13, 2016 | Gregory L. Merrick
Other Release No.: IA-4366 |
| 34-77597 | Apr. 13, 2016 | Map IV Acquisition, Inc., Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc. |
| 34-77596 | Apr. 12, 2016 | INTL FCStone Inc.
Other Release No.: AAER-3764 |
| 34-77595 | Apr. 12, 2016 | Craig Scott Capital, LLC, Craig S. Taddonio and Brent M. Porges
See also: Administrative Summary |
| 34-77566 | Apr. 8, 2016 | Jabari W. Ragas
Other Release No.: IA-4364 |
| 34-77563 | Apr. 8, 2016 | Go Green Smokeless Oil International, Inc., et al. |
| 34-77562 | Apr. 8, 2016 | USA Graphite, Inc. |
| 34-77560 | Apr. 8, 2016 | Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.), et al. |
| 34-77559 | Apr. 7, 2016 | Morgan Stanley & Co. Incorporated |
| 34-77555 | Apr. 7, 2016 | Las Vegas Sands Corp. |
| 34-77546 | Apr. 6, 2016 | Thomas E. Skypeck |
| 34-77544 | Apr. 6, 2016 | Expleo Solutions, Inc. and Numida, Inc. |
| 34-77542 | Apr. 6, 2016 | Thakkar CPA, PLLC, et al.
Other Release No.: AAER-3763 |
| 34-77541 | Apr. 6, 2016 | Levi D. Lindemann |
| 34-77534 | Apr. 6, 2016 | Downer's Gap, Inc. (a/k/a Downers Gap, Inc.), and DST Media, Inc. |
| 34-77533 | Apr. 6, 2016 | Yayi International, Inc. | IA-4363 | Apr. 5, 2016 | Daniel Rivera
See also: Administrative Summary |
| 34-77532 | Apr. 5, 2016 | James A. White Other Release No.: AAER-3762 |
| 34-77531 | Apr. 5, 2016 | William H. Caughran, Esq. |
| 34-77528 | Apr. 5, 2016 | Alexander R. Bastron
Other Release No.: IA-4362 See also: Administrative Summary |
| IA-4361 | Apr. 5, 2016 | Cambridge Investment Research Advisors, Inc.
See also: Administrative Summary |
| 34-77525 | Apr. 5, 2016 | Steve Pappas |
| 34-77519 | Apr. 5, 2016 | Raymon G. Chadwick, Jr. |
| 34-77517 | Apr. 5, 2016 | Terry W. Johnson |
| 34-77515 | Apr. 5, 2016 | Bioject Medical Technologies, Inc., et al. |
| 34-77514 | Apr. 5, 2016 | Bravo Resource Partners, Ltd., et al. |
| 34-77513 | Apr. 4, 2016 | The Application of Kenny Akindemowo for Review of Disciplinary Action Taken by FINRA |
| 34-77498 | Apr. 1, 2016 | American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.) |
| 34-77497 | Apr. 1, 2016 | American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.)
See Also: Proposed Plan of Distribution |
First Quarter | ||
| 34-77496 | Mar. 31, 2016 | Clubhouse Videos, Inc., et al. |
| 33-10061 | Mar. 31, 2016 | Navistar International Corporation
Other Release No.: 34-77490 See Also: Litigation Release |
| 34-77486 | Mar. 31, 2016 | James E. Neilsen |
| 34-77485 | Mar. 31, 2016 | Kevin I. Zinn |
| 34-77482 | Mar. 31, 2016 | Lenco Mobile, Inc. |
| 34-77473 | Mar. 30, 2016 | Burrill Capital Management, et al.
Other Release Nos.: AAER-3761, IA-4360, IC-32060 |
| 34-77472 | Mar. 30, 2016 | Sino Oil & Gas Pipe Holdings Ltd. |
| 34-77471 | Mar. 30, 2016 | Buncombe, Inc., Cotton Bay Holdings, Inc. and Middlesex, Inc. |
| 34-77467 | Mar. 29, 2016 | Rings to Dine For, Inc. |
| 34-77466 | Mar. 29, 2016 | Christopher M. Gibson
Other Release Nos.: IA-4359, IC-32059 |
| 34-77462 | Mar. 28, 2016 | William Maxwell, Esq. |
| 34-77459 | Mar. 28, 2016 | Linda Yoo |
| 34-77453 | Mar. 25, 2016 | Yue Han |
| 34-77447 | Mar. 25, 2016 | Elliot R. Berman, et al.
Other Release No.: AAER-3760 See Also: Administrative Summary |
| 34-77439 | Mar. 24, 2016 | Philip Akel |
| 33-10059 | Mar. 24, 2016 | Canaccord Genuity Inc.
Other Release No.: 34-77436 See Also: Administrative Summary |
| 34-77431 | Mar. 23, 2016 | Novartis AG
Other Release No.: AAER-3759 See also: Administrative Summary |
| IA-4357 | Mar. 23, 2016 | Moazzam "Mark" Malik |
| 34-77423 | Mar. 23, 2016 | Fox Energy Corp. |
| 34-77422 | Mar. 23, 2016 | Zhong Wen International Holding Co., Ltd. |
| 34-77421 | Mar. 23, 2016 | USChina Venture I, Inc. and USChina Venture II, Inc. |
| 34-77397 | Mar. 17, 2016 | Concertsbyu.Com, Inc., Freedom Bancshares, Inc. and Metamorphix Inc. |
| 34-77393 | Mar. 17, 2016 | Kevin L. Dowd
Other Release No.: IA-4353 |
| 34-77383 | Mar. 16, 2016 | Eric J. Wolff |
| 34-77377 | Mar. 16, 2016 | RKO Resources, Inc. (a/k/a Shamika 2 Gold, Inc.) |
| 34-77376 | Mar. 16, 2016 | Cadan Resources Corp. Consolidated Global Minerals Ltd., Doreal Energy Corp. and Geocan Energy Inc. (a/k/a Arsenal Energy Inc.) |
| 34-77373 | Mar. 15, 2016 | Barry B. Clare
Other Release No.: IC-32028 See also: Administrative Summary |
| 33-10055 | Mar. 15, 2016 | ModusLink Global Solutions, et al.
Other Release Nos.: 34-77372, AAER-3758 See also: Administrative Summary |
| 34-77369 | Mar. 15, 2016 | Central States Capital Markets, LLC; Mark R. Detter; David K. Malone; and John D. Stepp
Other Release Nos.: IA-4352, IC-32027 |
| 34-77362 | Mar. 14, 2016 | Royal Alliance Associates, Inc., Sagepoint Financial, Inc. and Fsc Securities Corporation
Other Release No.: IA-4351 |
| 34-77346 | Mar. 10, 2016 | Ronald D. Ormand
Other Release Nos.: AAER-3757 |
| 34-77345 | Mar. 10, 2016 | Magnum Hunter Resources Corporation
Other Release No.: AAER-3756 |
| 34-77344 | Mar. 10, 2016 | David S. Krueger, CPA
Other Release No.: AAER-3755 |
| 34-77343 | Mar. 10, 2016 | Wayne Gray, CPA
Other Release No.: AAER-3754 |
| 34-77342 | Mar. 10, 2016 | Joseph R. Allred, CPA
Other Release No.: AAER-3753 |
| 33-10053 | Mar. 9, 2016 | Westlands Water District, Thomas W. Birmingham and Louie David Ciapponi
Other Release No.: AAER-3752 |
| 34-77327 | Mar. 9, 2016 | Banc de Binary Ltd, et al. |
| 34-77326 | Mar. 8, 2016 | Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) See also: Chinese version |
| 34-77325 | Mar. 8, 2016 | Steven H. Davis, Esq. |
| 33-10051 | Mar. 8, 2016 | Steven Zoernack and Equitystar Capital Management, LLC
Other Release Nos.: 34-77318, IA-4349, IC-32024 |
| 34-77317 | Mar. 8, 2016 | Frederick J. Birks |
| 34-77315 | Mar. 8, 2016 | Dome Holding Corp., et al. |
| 34-77314 | Mar. 8, 2016 | Dewpoint Environmental, Inc., et al. |
| 34-77313 | Mar. 8, 2016 | eCareer Holdings, Inc. |
| 33-10050 | Mar. 7, 2016 | Francis Parisi
Other Release No.: 34-77312 |
| 34-77300 | Mar. 7, 2016 | First Southwest Company, LLC |
| 34-77290 | Mar. 3, 2016 | Nordion (Canada) Inc.
See also: Administrative Summary |
| 34-77288 | Mar. 3, 2016 | Mikhail Gourevitch
See also: Administrative Summary |
| 34-77278 | Mar. 3, 2016 | Joseph Denard Reid (a/k/a Reid Joseph Denard), et al. |
| IA-4348 | Mar. 2, 2016 | Marco Investment Management, LLC and Steven S. Marco |
| 34-77273 | Mar. 2, 2016 | Elsinore Capital II, Ltd., et al. |
| 34-77272 | Mar. 2, 2016 | Natural Resources Corporation |
| 34-77271 | Mar. 1, 2016 | Devon C. Mclean |
| 34-77270 | Mar. 1, 2016 | Janice D. Rey |
| 33-10049 | Mar. 1, 2016 | J.S. Oliver Capital Management, L.P., and Mausner, Ian O.
Other Release Nos.: 34-77263, IA-4347, IC-32016 |
| 34-77262 | Mar. 1, 2016 | Peter Kuperman and QED Benchmark Management, L.L.C. |
| 34-77261 | Mar. 1, 2016 | Qualcomm Incorporated
Other Release No.: AAER-3751 |
| 34-77260 | Mar. 1, 2016 | Map IV Acquisition, Inc., Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc. |
| 34-77259 | Mar. 1, 2016 | Craig N. Salamone
See also: Administrative Summary |
| 34-77258 | Mar. 1, 2016 | Lawrence M. Gincel
See also: Administrative Summary |
| 34-77257 | Mar. 1, 2016 | Patricia Zajick Metzler, Daniel P. Metzler and Donald C. Zajick
See also: Administrative Summary |
| 34-77255 | Mar. 1, 2016 | Downer's Gap, Inc. (a/k/a Downers Gap, Inc.), et al. |
| 34-77254 | Feb. 29, 2016 | Keybanc Capital Markets Inc.
Other Release No.: AAER-3750 |
| 34-77253 | Feb. 29, 2016 | Maximillian Santos
Other Release Nos.: IA-4346, IC-32012 |
| 34-77250 | Feb. 29, 2016 | Ben Franklin Financial, Inc. (a/k/a Franklin Ben Financial, Inc.), et al. |
| 34-77244 | Feb. 26, 2016 | Joseph A. Giordano |
| 34-77238 | Feb. 25, 2016 | Chardan China Acquisition Corp. and Garden Bay International, Ltd. |
| 34-77237 | Feb. 25, 2016 | De Acquisition 5, Inc., et al. |
| 34-77231 | Feb. 25, 2016 | Timothy Quintanilla, CPA
Other Release No.: AAER-3748 |
| 34-77228 | Feb. 24, 2016 | Texstar Oil Corporation and Bonamour, Inc. |
| 34-77227 | Feb. 24, 2016 | Infrastructure International, Inc. |
| 34-77225 | Feb. 24, 2016 | Mark A. Lopez |
| 34-77224 | Feb. 24, 2016 | David S. Lee, Esq., CPA
Other Release Nos.: IA-4344, AAER-3747 |
| IA-4343 | Feb. 24, 2016 | Emanuel L. Sarris, Sr. |
| 34-77223 | Feb. 24, 2016 | Computer Sciences Corporation, et al. |
| 34-77220 | Feb. 24, 2016 | CBC Acquisition Corp. 1, et al. |
| 34-77219 | Feb. 24, 2016 | Equity Ventures Group, Inc., Games On Demand International, Inc. (a/k/a Firmware Technologies Inc.) |
| 34-77207 | Feb. 23, 2016 | Jason Maiher
Other Release No.: AAER-3746 |
| IA-4338 | Feb. 23, 2016 | Cantella & Co.
See also: Administrative Summary |
| 34-77208 | Feb. 23, 2016 | Sandra Dyche |
| 34-77206 | Feb. 23, 2016 | UBS Financial Services Incorporated of Puerto Rico |
| 33-10042 | Feb. 19, 2016 | IBC Funds, LLC
Other Release No.: 34-77195 |
| 34-77185 | Feb. 19, 2016 | Nicholas A. Prezioso |
| 34-77176 | Feb. 18, 2016 | Crucible Capital Group, Inc. and Charles Moore
Other Release No.: IC-31998 |
| 34-77167 | Feb. 17, 2016 | Ceyoniq AG (n/k/a CEYONIQ, Inc.), et al.
See Also: German Version |
| 34-77166 | Feb. 17, 2016 | Digiblue Media, Inc., et al. |
| 34-77162 | Feb. 17, 2016 | Julieta Favela Barcenas
Other Release No.: AAER-3745 |
| 34-77161 | Feb. 17, 2016 | Donald J. Glidewell, CPA
Other Release No.: AAER-3744 |
| 34-77151 | Feb. 17, 2016 | Inelco Corp. and Teliphone Corp. |
| 34-77150 | Feb. 17, 2016 | Charles P. Grom
Other Release Nos.: IA-4335, IC-31997 |
| 34-77145 | Feb. 16, 2016 | PTC Inc.
Other Release No.: AAER-3743 See Also: Deferred Prosecution Agreement for Yu Kai Yuan |
| 34-77139 | Feb. 16, 2016 | Riverdale Mining Inc. and Tresoro Mining Corp. |
| 34-77138 | Feb. 16, 2016 | African Copper Corp. and Genmed Holding Corp. |
| 34-77136 | Feb. 12, 2016 | Gregory L. Merrick
Other Release No.: IA-4334 |
| 34-77135 | Feb. 12, 2016 | China Rongxin Chemical Holding Group, Inc. and Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.) |
| 34-77134 | Feb. 12, 2016 | Louis V. Schooler |
| 34-77133 | Feb. 12, 2016 | Shearson Financial Network, Inc., et al. |
| 34-77132 | Feb. 12, 2016 | Wentworth IV, Inc., et al. |
| 34-77131 | Feb. 12, 2016 | Sandra Dyche |
| 34-77130 | Feb. 12, 2016 | UBS Financial Services Incorporated of Puerto Rico |
| 34-77115 | Feb. 11, 2016 | Aegis Capital, LLC, et al.
Other Release Nos.: IA-4333, IC-31994 |
| 33-10039 | Feb. 11, 2016 | Frazer Frost, et al.
Other Release Nos.: 34-77114, AAER-3742 See Also: Administrative Summary |
| 34-77109 | Feb. 10, 2016 | Abdallah Fadel |
| 34-77108 | Feb. 10, 2016 | Spring Hill Capital Markets, LLC, et al. |
| 34-77102 | Feb. 10, 2016 | Disaster Preparedness Systems, Inc., Electric Moto Corp. and EMO Corp. |
| 34-77101 | Feb. 10, 2016 | DE Acquisition 7, Inc., et al. |
| 34-77100 | Feb. 10, 2016 | Echelon Acquisition Corp. and FirstChina Capital, Inc. |
| 34-77099 | Feb. 9, 2016 | Phillip Cory Roberts and Bay Peak, LLC
Other Release No.: IC-31991 |
| IA-4332 | Feb. 9, 2016 | Nicholas Rowe (Corrected) See Also: Administrative Summary |
| 34-77094 | Feb. 9, 2016 | Jarrod L. Spector |
| 33-10037 | Feb. 9, 2016 | Monsanto Company, et al.
Other Release Nos.: 34-77087, AAER-3741 |
| 34-77083 | Feb. 8, 2016 | Tyson D. Williams |
| IA-4331 | Feb. 5, 2016 | Edgar R. Page and Pageone Financial, Inc.
Other Release No.: IC-31987 |
| 34-77075 | Feb. 5, 2016 | Joseph Stilwell and Stilwell Value LLC |
| 33-10036 | Feb. 5, 2016 | Bioelectronics Corp., et al.
Other Release Nos.: 34-77073, AAER-3740 |
| 34-77063 | Feb. 4, 2016 | Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC |
| 34-77061 | Feb. 4, 2016 | CBC Acquisition Corp. 1, et al. |
| 34-77060 | Feb. 4, 2016 | Bailey Frances Corp., Kingly Chateau Corp. and Lucy's Water World, Inc. |
| 34-77059 | Feb. 4, 2016 | Mohammed Riad and Kevin Timothy Swanson
Other Release Nos.: IA-4328, IC-31984 |
| 34-77058 | Feb. 4, 2016 | SciClone Pharmaceuticals, Inc.
Other Release No.: AAER-3739 See Also: Administrative Summary |
| 34-77057 | Feb. 4, 2016 | Ignacio Cueto Plaza
Other Release No.: AAER-3738 See Also: Administrative Summary |
| 34-77056 | Feb. 4, 2016 | E.S. Financial Services, Inc. n/k/a Brickell Global Markets, Inc. |
| 34-77052 | Feb. 4, 2016 | Michael Donnelly
Other Release No.: IA-4327 |
| 34-77048 | Feb. 3, 2016 | Sarkauskas, Associates, Inc. and James M. Sarkauskas
Other Release Nos.: IA-4326, IC-31983 See Also: Plan of Distribution |
| 34-77046 | Feb. 3, 2016 | Credit Suisse Alternative Capital, et al. |
| 33-10033 | Feb. 3, 2016 | George N. Krinos, Krisnos Holdings, Inc. and Fordgate Acquisition Corp.
Other Release Nos.: 34-77040, IA-4325, IC-31979 |
| 34-77017 | Feb. 2, 2016 | Jason Bo-Alan Beckman
Other Release No.: IA-4324 |
| 34-77016 | Feb. 2, 2016 | Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds |
| 33-10029 | Feb. 2, 2016 | United Bankers' Bank
Other Release No.: 34-77031 See Also: Waiver Release No.: 33-10030 |
| 33-10028 | Feb. 2, 2016 | Wells Fargo Bank and N.A. Municipal Products Group
Other Release No.: 34-77030 See Also: Waiver Release No.: 33-10030 |
| 33-10027 | Feb. 2, 2016 | Roosevelt & Cross, Incorporated
Other Release No.: 34-77029 See Also: Waiver Release No.: 33-10030 |
| 33-10026 | Feb. 2, 2016 | Mitsubishi UFJ Securities (USA), Inc.
Other Release No.: 34-77028 See Also: Waiver Release No.: 33-10030 |
| 33-10025 | Feb. 2, 2016 | Municipal Capital Markets Group, Inc.
Other Release Nos.: 34-77026, 34-77027 See Also: Waiver Release No.: 33-10030 |
| 33-10024 | Feb. 2, 2016 | TD Securities (USA) LLC
Other Release No.: 34-77026 See Also: Waiver Release No.: 33-10030 |
| 33-10023 | Feb. 2, 2016 | Hilltop Securities Inc.
Other Release No.: 34-77025 See Also: Waiver Release No.: 33-10030 |
| 33-10022 | Feb. 2, 2016 | Janney Montgomery Scott LLC
Other Release No.: 34-77024 See Also: Waiver Release No.: 33-10030 |
| 33-10021 | Feb. 2, 2016 | Keybanc Capital Markets Inc.
Other Release No.: 34-77023 See Also: Waiver Release No.: 33-10030 |
| 33-10020 | Feb. 2, 2016 | Jefferies LLC
Other Release No.: 34-77022 See Also: Waiver Release No.: 33-10030 |
| 33-10019 | Feb. 2, 2016 | D.A. Davidson & Co.
Other Release No.: 34-77021 See Also: Waiver Release No.: 33-10030 |
| 33-10018 | Feb. 2, 2016 | Boenning & Scattergood, Inc.
Other Release No.: 34-77020 See Also: Waiver Release No.: 33-10030 |
| 33-10017 | Feb. 2, 2016 | First Midstate Incorporated
Other Release No.: 34-77019 See Also: Waiver Release No.: 33-10030 |
| 33-10016 | Feb. 2, 2016 | Barclays Capital Inc.
Other Release No.: 34-77018 See Also: Waiver Release No.: 33-10030 |
| 34-77013 | Feb. 2, 2016 | American Power Corp. and Locan, Inc. |
| 34-77012 | Feb. 2, 2016 | CodeSmart Holdings, Inc. |
| 34-77011 | Feb. 1, 2016 | DCI Telecommunications, Inc., et al. |
| 34-77010 | Feb. 1, 2016 | RSL Communications Ltd., et al. |
| 34-77005 | Feb. 1, 2016 | SAP SE
Other Release No.: AAER-3736 |
| 34-77004 | Feb. 1, 2016 | Bravo Resource Partners, Ltd., et al. |
| 33-10014 | Jan. 31, 2016 | Credit Suisse Securities (USA) LLC
Other Release No.: 34-77003 |
| 33-10013 | Jan. 31, 2016 | Credit Suisse Securities (USA) LLC
Other Release No.: 34-77002 |
| 33-10010 | Jan. 31, 2016 | Barclays Capital Inc.
Other Release No.: 34-77001 See Also: Waiver Release Nos.: 33-10011 and 33-10012 |
| 33-10009 | Jan. 28, 2016 | Peter Kuperman and QED Benchmark Management, L.L.C.
Other Release Nos.: 34-76991, IA-4323, IC-31973 |
| 34-76988 | Jan. 28, 2016 | Eight-Eight Acquisition Corp. I, Eight-Eight Acquisition Corp. II and Eight-Eight Acquisition Corp. III |
| 34-76987 | Jan. 28, 2016 | Diversified Health & Fitness, Inc., et al. |
| 34-76986 | Jan. 28, 2016 | Kevin A. Boyles (corrected) |
| 34-76985 | Jan. 28, 2016 | Philip A. Dressner (corrected) |
| 34-76980 | Jan. 27, 2016 | Diane D. Dalmy, Esq. |
| 34-76979 | Jan. 27, 2016 | 3C Advisors & Associates, Inc., Stephen Jones and David Prolman |
| IA-4321 | Jan. 27, 2016 | Moazzam "Mark" Malik |
| 33-10008 | Jan. 27, 2016 | J.S. Oliver Capital Management, L.P. and Mausner, Ian O.
Other Release Nos.: 34-76976, IA-4322, IC-31972 |
| 34-76978 | Jan. 27, 2016 | Justin Moongyu Lee, Esq., CPA
Other Release No.: AAER-3735 |
| 34-76977 | Jan. 27, 2016 | Salvatore Renaldi |
| 34-76964 | Jan. 22, 2016 | Oldwebsites.Com, Inc., et al. |
| 34-76962 | Jan. 22, 2016 | 99 Cent Stuff, Inc., et al. |
| 34-76951 | Jan. 21, 2016 | Daytona Systems, Inc. and Equitel, Inc. |
| 33-10007 | Jan. 21, 2016 | Edward H. Spiegel and ARRG Corp.
Other Release No.: 34-76949 |
| 33-10006 | Jan. 21, 2016 | Bernerd E. Young
Other Release Nos.: 34-76948, IA-4320, IC-31971 |
| 34-76943 | Jan. 21, 2016 | Modern City Entertainment, Inc. |
| 34-76942 | Jan. 21, 2016 | Orgral Technologies Corp., Professional Services Network, Inc. and UBX Technologies, Inc. |
| 34-76941 | Jan. 21, 2016 | Oriental Nonferrous Metals Technology Co., Ltd., et al. |
| 34-76940 | Jan. 21, 2016 | China Ticket Center, Inc., et al. |
| 34-76938 | Jan. 20, 2016 | Ocwen Financial Corp.
Other Release No.: AAER-3733 |
| 34-76932 | Jan. 19, 2016 | Michael T. Snedeker
Other Release No.: IA-4317 |
| 34-76930 | Jan. 19, 2016 | Success Trade Securities, Inc. and Fuad Ahmed |
| 33-10004 | Jan. 19, 2016 | Equinox Fund Management, LLC
Other Release Nos.: 34-76927, IA-4315 |
| 34-76926 | Jan. 19, 2016 | Pan Asia Mining Corp., Petro Horizon Energy Corp. and Powerhouse Energy Corp. |
| 34-76925 | Jan. 19, 2016 | Friendly Energy Exploration, Public Media Works, Inc. and Zoro Mining Corp. |
| 34-76924 | Jan. 19, 2016 | China Printing & Packaging, Inc. and Silvan Industries, Inc. |
| 34-76919 | Jan. 15, 2016 | Accentia Biopharmaceuticals, Inc. and Biostem U.S. Corp. |
| 34-76918 | Jan. 15, 2016 | New Leaf Brands, Inc. |
| 34-76917 | Jan. 15, 2016 | Arrin Corporation, et al. |
| 34-76916 | Jan. 14, 2016 | Invent Ventures, Inc. and Bryce M. Knight
Other Release No.: IC-31957 |
| 34-76905 | Jan. 14, 2016 | State Street Bank and Trust Company See also: Litigation Release |
| 34-76904 | Jan. 14, 2016 | Vincent J. Debaggis See also: Litigation Release |
| 34-76899 | Jan. 14, 2016 | Goldman and Sachs & Co. |
| 34-76898 | Jan. 14, 2016 | Andain, Inc. |
| 34-76897 | Jan. 14, 2016 | Everhart Financial Group, Inc., Richard Scott Everhart and Matthew James Romeo
Other Release No.: IA-4314 |
| 34-76896 | Jan. 13, 2016 | Jonathan Warren Brooks
Other Release No.: IA-4313 |
| IA-4312 | Jan. 13, 2016 | Hudson Capital Partners Corporation |
| 34-76885 | Jan. 13, 2016 | Rahfco Management Group, LLC
Other Release No.: IA-4311 |
| 34-76882 | Jan. 13, 2016 | Champion Enterprises, Inc. (a/k/a CEI Liquidation Estate) |
| 34-76879 | Jan. 12, 2016 | Reid A. Hackney, CPA
Other Release No.: AAER-3732 |
| 34-76878 | Jan. 12, 2016 | Richard M. Higgins
Other Release No.: IA-4310 |
| 34-76877 | Jan. 12, 2016 | VCAP Securities, LLC and Brett Thomas Graham
See also: Plan of Distribution |
| 33-10002 | Jan. 12, 2016 | Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-76876, AAER-3731 |
| IA-4309 | Jan. 11, 2016 | Aubrey Lee Price |
| 34-76873 | Jan. 11, 2016 | NHS Financial, Inc. |
| 34-76872 | Jan. 11, 2016 | Go Green Smokeless Oil International, Inc., et al. |
| 34-76866 | Jan. 11, 2016 | Paul D. Crawford |
| 34-76861 | Jan. 11, 2016 | DC Brands International Inc. |
| 34-76859 | Jan. 8, 2016 | John Olivia (corrected) |
| IA-4307 | Jan. 8, 2016 | Steven A. Cohen |
| 34-76847 | Jan. 7, 2016 | Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.), et al. |
| 34-76846 | Jan. 7, 2016 | China Holdings Group, Inc., et al. |
| 34-76843 | Jan. 6, 2016 | Wayne L. Palmer |
| 33-10001 | Jan. 6, 2016 | J.P. Morgan Securities LLC
Other Release Nos.: 34-76839, IA-4306 |
| 34-76838 | Jan. 5, 2016 | Shreyans Desai
Other Release No.: IA-4305 |
| 34-76837 | Jan. 5, 2016 | Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC Comments due: 30 days from publication of this Notice See also: Proposed Amended Plan of Distribution |
| 34-76827 | Jan. 5, 2016 | Jeffrey A. King |
| 34-76818 | Jan. 4, 2016 | Vivian S. Shields |