Administrative Proceedings Archive 2017
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.
The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Additional Archives
2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
SEC Administrative Proceedings RSS Feed
| Release No. | Date | Respondents |
|---|---|---|
Fourth Quarter | ||
| 34-82419 | Dec. 28, 2017 | Abakan, Inc., et al. |
| 34-82412 | Dec. 27, 2017 | American Nano Silicon Technologies, Inc., et al. |
| 34-82411 | Dec. 27, 2017 | Focus Media Holding Limited and Jason Jiang
See also: Distribution Plan |
| 34-82410 | Dec. 27, 2017 | Orthofix International N.V., Jeffrey Hammel, CPA, Brian McCollum, and Kenneth Mack and Bryan McMillan |
| 34-82404 | Dec. 26, 2017 | Global Digital Solutions, Inc. |
| 34-82400 | Dec. 22, 2017 | Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim |
| 34-82399 | Dec. 22, 2017 | Train, Babcock Advisors LLC
Other Release No.: IA-4835 |
| 34-82397 | Dec. 22, 2017 | Southwind Associates of NJ, Inc. (d/b/a Villafranco Wealth Management), William Villafranco and Anthony LaPeruta
Other Release No.: IA-4834 See also: Administrative Summary |
| 33-10448 | Dec. 22, 2017 | Team Financial Asset Management, LLC, Team Financial Managers, Inc. and James L. Dailey
Other Release Nos.: IA-4833, IC-32951 |
| 33-10449 | Dec. 22, 2017 | Alan Shortall
Other Release No.: 34-82395 |
| 34-82393 | Dec. 22, 2017 | Daniel Rivas |
| IA-4830 | Dec. 21, 2017 | TPG Capital Advisors, LLC |
| 34-82383 | Dec. 21, 2017 | Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.
Other Release No.: IA-4832 |
| 34-82382 | Dec. 21, 2017 | Merrill Lynch, Pierce, and Fenner & Smith Incorporated
Other Release No.: IA-4831 See also: Administrative Summary |
| IA-4828 | Dec. 19, 2017 | Courtlin L. Holt-Nguyen |
| 34-82369 | Dec. 19, 2017 | Next Galaxy Corp., et al. |
| 34-82361 | Dec. 19, 2017 | Matrix Capital Markets, LLC and Nicholas M. Mitsakos
Other Release No.: IA-4829 |
| 34-82333 | Dec. 14, 2017 | Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company |
| 34-82330 | Dec. 14, 2017 | Augustine Capital Management, LLC, (f/k/a Augustine Capital Management, Inc.), et al. |
| 34-82329 | Dec. 14, 2017 | Derik J. Todd, et al. |
| IA-4827 | Dec. 13, 2017 | Justin D. Meadlin |
| 34-82294 | Dec. 12, 2017 | William J. Peiffer, Esq. |
| 34-82293 | Dec. 12, 2017 | Peter R. Culpepper, CPA
Other Release No.: AAER-3916 |
| 34-82292 | Dec. 12, 2017 | Provectus Biopharmaceuticals, Inc. |
| 34-82282 | Dec. 11, 2017 | Coastal Equities, Inc. and Coastal Investment Advisors, Inc.
Other Release No.: IA-4826 See also: Administrative Summary |
| 33-10445 | Dec. 11, 2017 | Munchee Inc. |
| IA-4823 | Dec. 8, 2017 | Horter Investment Management, LLC |
| 34-82244 | Dec. 8, 2017 | Ameriprise Financial Services, Inc.
Other Release No.: IA-4822 |
| 34-82243 | Dec. 8, 2017 | Steven William Sparks |
| 34-82242 | Dec. 8, 2017 | Robin Glen Charlet |
| 33-10443 | Dec. 8, 2017 | Institutional Investor Advisers, Inc.
Other Release Nos.: IA-4824, IC-32937 |
| 34-82233 | Dec. 7, 2017 | William J. Pulte
See also: Administrative Summary |
| 34-82231 | Dec. 7, 2017 | American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.) |
| 34-82222 | Dec. 5, 2017 | Next Galaxy Corp., et al. |
| IA-4821 | Dec. 5, 2017 | William P. Carlson, Jr. |
| 34-82220 | Dec. 5, 2017 | Robert W. Davis, CPA
Other Release No.: AAER-3915 |
| IA-4820 | Dec. 5, 2017 | Paritosh Gupta, et al. |
| IA-4819 | Dec. 5, 2017 | Brahman Capital Corp. |
| 34-82215 | Dec. 5, 2017 | Gregory Davis, CPA
Other Release No.: AAER-3914 |
| 34-82208 | Dec. 4, 2017 | Rahuldev Gandhi, CPA
Other Release No.: AAER-3913 |
| 34-82207 | Dec. 4, 2017 | Richard J. Koch, CPA
Other Release No.: AAER-3912 |
| 34-82206 | Dec. 4, 2017 | Anton & Chia, LLP, et al.
Other Release No.: AAER-3911 |
| 34-82200 | Dec. 1, 2017 | Credit Suisse Securities (USA) LLC; Sanford Michael Katz |
| 34-82195 | Dec. 1, 2017 | EZTD, Inc. |
| 33-10441 | Nov. 30, 2017 | Thaddeus Bereday
Other Release Nos.: 34-82179, AAER-3910 |
| 34-82187 | Nov. 30, 2017 | Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA |
| 34-82186 | Nov. 30, 2017 | Apex Fund Services (US), Inc. |
| 34-82188 | Nov. 30, 2017 | Ivan J. A. Turrentine |
| 34-82185 | Nov. 30, 2017 | Weatherford International PLC, et al.; Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA |
| 34-82184 | Nov. 30, 2017 | Howard Richards; James Goodland and Securus Wealth Management, LLC |
| 34-82183 | Nov. 30, 2017 | Aladdin Capital Management LLC and Aladdin Capital LLC
See also: Plan of Distribution |
| 34-82177 | Nov. 29, 2017 | James M. Palladino |
| 34-82157 | Nov. 27, 2017 | Edward D. Jones & Co., L.P. |
| 34-82154 | Nov. 27, 2017 | Jon L. Frank
Other Release No.: AAER-3909 |
| IA-4812 | Nov. 22, 2017 | Gray Financial Group, Inc., et al.
Other Release No.: IC-32905 |
| 33-10438 | Nov. 22, 2017 | Hartford Investment Financial Services, et al.
Other Release Nos.: 34-82151, IA-4813, IC-32906 |
| 34-82133 | Nov. 20, 2017 | Banc of America Capital Management, LLC, Bacap Distributors, LLC and Banc of America Securities, LLC |
| 34-82124 | Nov. 20, 2017 | Taberna Capital Management, LLC, Michael Fralin and Raphael Licht |
| 34-82121 | Nov. 20, 2017 | Weatherford International PLC, et al. |
| IA-4811 | Nov. 20, 2017 | Lawrence E. Penn III |
| 34-82118 | Nov. 20, 2017 | CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc. |
| 34-82117 | Nov. 20, 2017 | David N. Fuselier |
| 34-82110 | Nov. 17, 2017 | Michael C. Sabatino, CPA
Other Release No.: AAER-3907 |
| 34-82106 | Nov. 17, 2017 | Nathan Whitney Drage, Esq. |
| 34-82104 | Nov. 16, 2017 | Integrated Freight Corporation |
| 34-82096 | Nov. 16, 2017 | UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C. |
| 34-82093 | Nov. 15, 2017 | Gamzio Mobile, Inc. and Gold Hill Resources, Inc. |
| 34-82089 | Nov. 15, 2017 | Experience Art and Design, Inc., et al. |
| 34-82079 | Nov. 14, 2017 | IMK GROUP, INC., et al. |
| 33-10437 | Nov. 14, 2017 | Paul Behrens, CPA
Other Release Nos.: 34-82073, AAER-3906 |
| 33-10436 | Nov. 14, 2017 | Retirement Surety LLC, et al.
Other Release No.: 34-82069 |
| 34-82070 | Nov. 14, 2017 | David I. Osunkwo, Esq. |
| 34-82054 | Nov. 13, 2017 | Wells Fargo Advisors, LLC
See also: Administrative Summary |
| 34-82047 | Nov. 9, 2017 | Citigroup Alternative Investment LLC and Citigroup Global Markets Inc. |
| 34-82046 | Nov. 9, 2017 | Millennium Partners, L.P., et al. |
| 34-82039 | Nov. 8, 2017 | Hui Feng, Esq. and Law Offices of Feng & Associates P.C. |
| 34-82033 | Nov. 8, 2017 | Stephen D. Ferrone |
| 34-82030 | Nov. 8, 2017 | Patric Ken Baccam, a/k/a Khanh Sengpraseuth
Other Release No.: IA-4809 |
| 34-82023 | Nov. 6, 2017 | IN Media Corporation, et al. |
| 34-82015 | Nov. 6, 2017 | Donald H. Ellison
Other Release No.: IA-4807 |
| 34-82011 | Nov. 3, 2017 | American-Swiss Capital, Inc., et al. |
| IA-4805 | Nov. 3, 2017 | Tamer F. Moumen |
| 34-82010 | Nov. 3, 2017 | James P. Kolf
Other Release No.: IA-4806 |
| 34-82002 | Nov. 2, 2017 | Focus Media Holding Limited and Jason Jiang
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-82001 | Nov. 2, 2017 | Goelzer Investment Management, Inc. and Gregory W. Goelzer |
| 34-82000 | Nov. 2, 2017 | Southwest Securities, Inc., et al. |
| 34-81989 | Oct. 31, 2017 | Millennium Management LLC |
| 34-81983 | Oct. 31, 2017 | Jeffrey D. Smith, Joseph Carswell and Michael W. Fullard |
| 33-10433 | Oct. 27, 2017 | UBS Financial Services, Inc.
Other Release Nos.: 34-81974, IA-4803 See also: Administrative Summary |
| 33-10432 | Oct. 26, 2017 | Artemus Mayor
Other Release No.: 34-81966 See also: Administrative Summary |
| 33-10431 | Oct. 26, 2017 | Henry Lin-Han Jan
Other Release No.: 34-81965 See also: Administrative Summary |
| 33-10430 | Oct. 26, 2017 | Kenneth P. Krueger (Corrected)
Other Release Nos.: 34-81964, IA-4802 |
| 33-10429 | Oct. 26, 2017 | YourPeople, Inc., dba Zenefits FTW Insurance Services and Parker Conrad
See also: Administrative Summary |
| 34-81961 | Oct. 26, 2017 | Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. |
| 34-81960 | Oct. 26, 2017 | Six Financial Information Inc. |
| 34-81959 | Oct. 26, 2017 | Canterbury Consulting, Inc.
Other Release No.: IA-4801 |
| 34-81954 | Oct. 26, 2017 | Harold J. Swart, Jr.
Other Release No.: AAER-3903 |
| IA-4800 | Oct. 26, 2017 | Augustine Capital Management, et al.
Other Release Nos.: IC-32883, AAER-3904 See also: Administrative Summary |
| 34-81939 | Oct. 24, 2017 | Success Holding Group International, Inc. |
| IA-4799 | Oct. 23, 2017 | Brian J. Keenan |
| IA-4798 | Oct. 23, 2017 | Kevin J. Amell |
| 34-81912 | Oct. 19, 2017 | Hampshire Group, Limited, United Mortgage Trust, Inc. and Zoom Companies, Inc. |
| 34-81911 | Oct. 19, 2017 | Mayank Gupta, CPA
Other Release No.: AAER-3902 |
| 34-81910 | Oct. 19, 2017 | Aladdin Capital Management LLC and Aladdin Capital LLC
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-81908 | Oct. 19, 2017 | Jeffrey W. Tomz, CPA
Other Release No.: AAER-3901 |
| 34-81898 | Oct. 19, 2017 | Loop Capital Markets, LLC |
| 34-81905 | Oct. 19, 2017 | BOKF, NA and Lawson Financial Corporation and Robert Lawson |
| 34-81904 | Oct. 19, 2017 | American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.) |
| 34-81897 | Oct. 19, 2017 | New Western Energy Corp. and Primco Management, Inc. |
| 34-81896 | Oct. 18, 2017 | Kun De International Holdings, Inc., New Colombia Resources, Inc. and Sutor Technology Group Limited |
| 34-81886 | Oct. 17, 2017 | Leonard Vincent Lombardo |
| 34-81884 | Oct. 16, 2017 | BioPharma Manufacturing Solutions Inc., et al. |
| 33-10426 | Oct. 16, 2017 | Mergenet Medical Inc., et al. |
| 34-81877 | Oct. 16, 2017 | Brandon P. Long
Other Release No.: IA-4796 |
| 34-81875 | Oct. 16, 2017 | Joseph Vitale |
| 34-81874 | Oct. 16, 2017 | Packetport.com, Inc., et al. |
| 34-81873 | Oct. 13, 2017 | Hampshire Group, Limited, United Mortgage Trust, Inc. and Zoom Companies, Inc. |
| IA-4795 | Oct. 13, 2017 | Jeffery S. Preston |
| 34-81869 | Oct. 12, 2017 | IN Media Corporation, et al. |
| 34-81861 | Oct. 12, 2017 | Mark Megalli
Other Release No.: IA-4793 |
| 34-81865 | Oct. 12, 2017 | Matthew T. Mellon II |
| 34-81858 | Oct. 12, 2017 | William B. Fretz, Jr., et al. |
| 34-81847 | Oct. 11, 2017 | Danny S. Hood
Other Release No.: IA-4790 |
| IA-4792 | Oct. 11, 2017 | Sam Sadeghi |
| 34-81846 | Oct. 10, 2017 | Cibolan Gold Corporation, et al. |
| 34-81845 | Oct. 10, 2017 | Experience Art, et al. |
| 34-81843 | Oct. 10, 2017 | Christopher Castaldo |
| 34-81834 | Oct. 5, 2017 | StationDigital Corp. |
| 34-81833 | Oct. 5, 2017 | Evolucia, Inc. and OSL Holdings, Inc. |
| 34-81832 | Oct. 5, 2017 | A.C. Simmonds and Sons, Inc., Game Plan Holdings, Inc., and HashingSpace Corp. |
| 34-81831 | Oct. 5, 2017 | Axesstel, Inc. |
| 34-81830 | Oct. 5, 2017 | Cono Italiano, Inc., et al. |
| 34-81829 | Oct. 5, 2017 | Evolucia, Inc., et al. |
| 34-81821 | Oct. 5, 2017 | Bryce Stirton |
| 34-81820 | Oct. 5, 2017 | Bilal Basrai |
| 34-81817 | Oct. 4, 2017 | Wen Chen Hwang aka "Wendy Lee" |
| 34-81813 | Oct. 3, 2017 | GS EnviroServices, Inc., IPOWorld and Parabel, Inc. |
| 34-81812 | Oct. 3, 2017 | Atomic Paintball, Inc., North American Oil & Gas Corp. and VelaTel Global Communications, Inc. |
| 34-81811 | Oct. 3, 2017 | Biovest International, Inc. |
| 34-81810 | Oct. 3, 2017 | Prospect Ventures, Inc., et al. |
| 34-81809 | Oct. 3, 2017 | Intellicell Biosciences, Inc. |
| 34-81793 | Oct. 2, 2017 | Martin T. Cantu |
| 34-81790 | Oct. 2, 2017 | Maroof Miyana |
Third Quarter | ||
| 33-10422 | Sep. 29, 2017 | Daniel C. Caravette
Other Release No.: 34-81769 |
| 34-81763 | Sep. 29, 2017 | Louis F. Petrossi |
| 34-81762 | Sep. 29, 2017 | Pranav V. Patel |
| 34-81758 | Sep. 28, 2017 | Jeffrey Timothy Kluge
Other Release No.: IA-4782 |
| 33-10419 | Sep. 28, 2017 | Laurence M. Torres
Other Release No.: 34-81752 |
| 33-10418 | Sep. 28, 2017 | Success Holding Group International, Inc.
Other Release No.: 34-81750 |
| 34-81757 | Sep. 28, 2017 | Bobby D. Jones |
| 34-81751 | Sep. 28, 2017 | Success Holding Group International, Inc. |
| 34-81743 | Sep. 28, 2017 | Demitrios Hallas |
| 33-10417 | Sep. 28, 2017 | Alere Inc.
Other Release No.: 34-81742 |
| 34-81744 | Sep. 28, 2017 | Fengjiu Zhang and Xianli Kong
See also: Administrative Summary |
| IC-32840 | Sep. 28, 2017 | Honeysuckle Research Inc. |
| IA-4781 | Sep. 28, 2017 | Perry H. Beaumont
Other Release No.: IC-32841 See also: Administrative Summary |
| IA-4780 | Sep. 28, 2017 | SIX Financial Information USA Inc.
See also: Administrative Summary |
| 34-81741 | Sep. 27, 2017 | Avaneesh Krishnamoorthy
Other Release No.: IA-4779 |
| 34-81740 | Sep. 27, 2017 | Robert K. Stewart, CPA
Other Release No.: AAER-3900 |
| 34-81736 | Sep. 27, 2017 | Brian C. Jensen |
| 34-81732 | Sep. 27, 2017 | Louis J. Spina |
| 34-81735 | Sep. 27, 2017 | Dearborn Bancorp, Inc., et al. |
| 34-81731 | Sep. 26, 2017 | Guardian 8 Holdings, et al. |
| 34-81728 | Sep. 26, 2017 | Hydrogen Future Corporation, et al. |
| 34-81726 | Sep. 26, 2017 | Next Galaxy Corp., et al. |
| 34-81723 | Sep. 26, 2017 | Infinity Real Estate Holdings Corporation, et al. |
| 34-81724 | Sep. 26, 2017 | Cecil Franklin Speight |
| 34-81719 | Sep. 26, 2017 | LBMZ Securities, Inc. |
| 34-81718 | Sep. 26, 2017 | Naris Chamroonrat |
| IA-4778 | Sep. 26, 2017 | VisionPoint Advisory Group, LLC |
| IA-4777 | Sep. 26, 2017 | 360 Financial, Inc. |
| IA-4776 | Sep. 26, 2017 | TRH Financial LLC |
| IA-4775 | Sep. 26, 2017 | Brian J. Keenan |
| 34-81712 | Sep. 25, 2017 | Icon Vapor, Inc., et al. |
| 34-81711 | Sep. 25, 2017 | Hui Feng and Law Offices of Feng & Associates P.C. |
| 34-81707 | Sep. 25, 2017 | HydroPhi Technologies Group, Inc., et al. |
| 34-81706 | Sep. 25, 2017 | KollagenX Corp., et al. |
| 34-81704 | Sep. 25, 2017 | IN Media Corporation, et al. |
| IA-4774 | Sep. 25, 2017 | Aletheia Research and Management, Inc. |
| 34-81703 | Sep. 25, 2017 | Credit Suisse Securities USA (LLC), et al. |
| 34-81702 | Sep. 25, 2017 | Credit Suisse Securities USA (LLC), et al. |
| 34-81701 | Sep. 25, 2017 | Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke |
| 34-81700 | Sep. 25, 2017 | Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. |
| 34-81698 | Sep. 25, 2017 | Fred Alger Management, Inc. and Fred Alger & Company, Incorporated |
| 34-81696 | Sep. 25, 2017 | Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich
See also: Plan of Distribution |
| 34-81695 | Sep. 25, 2017 | G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC |
| 34-81694 | Sep. 25, 2017 | GO EZ Corporation, et al. |
| 34-81692 | Sep. 22, 2017 | IMK Group, Inc., et al. |
| 34-81690 | Sep. 22, 2017 | Penny Auction Solutions, Inc., Sebring Software, Inc. and Studio II Brands, Inc. |
| 34-81688 | Sep. 22, 2017 | Hampshire Group, Limited, United Mortgage Trust, Inc. and Zoom Companies, Inc. |
| IA-4773 | Sep. 22, 2017 | Marshall G. Eichenauer, Jr. and Sagent Wealth Management, LLC |
| 34-81685 | Sep. 22, 2017 | Aervision Holdings, Inc., et al. |
| 34-81684 | Sep. 22, 2017 | Abio Financial Group, Inc. |
| 34-81678 | Sep. 21, 2017 | Paritz & Company, P.A., et al.
Other Release No.: AAER-3899 See also: Administrative Summary |
| 34-81677 | Sep. 21, 2017 | Joel P. Zingerman
See also: Administrative Summary |
| 34-81674 | Sep. 21, 2017 | Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. |
| 34-81669 | Sep. 21, 2017 | Telia Company AB
Other Release No.: AAER-3898 |
| IA-4772 | Sep. 21, 2017 | Platinum Equity Advisors, LLC
See also: Administrative Summary |
| 34-81666 | Sep. 21, 2017 | JuQun, Inc., et al. |
| 34-81664 | Sep. 20, 2017 | Joseph H. Craft, CPA
Other Release No.: AAER-3897 |
| 34-81663 | Sep. 20, 2017 | Engage Eco Solutions, Inc., et al. |
| 34-81660 | Sep. 19, 2017 | Axiom Oil & Gas Corp., et al. |
| 34-81658 | Sep. 19, 2017 | Immunoclin Corp., Intelligent Living America, Inc. and Ivanhoe Energy, Inc. |
| 34-81656 | Sep. 19, 2017 | Creator Capital Ltd. |
| 34-81649 | Sep. 18, 2017 | Meridian Co., Ltd. |
| 34-81647 | Sep. 18, 2017 | Huixin Waste Water Solutions, Inc. |
| 34-81645 | Sep. 18, 2017 | Gerald J. (a/k/a Gerry) Cocuzzo |
| 34-81643 | Sep. 18, 2017 | ARX Gold Corporation |
| 34-81631 | Sep. 15, 2017 | Herschel C. (a/k/a Tres) Knippa |
| 34-81637 | Sep. 15, 2017 | George Russell Thoreson
Other Release No.: IA-4771 |
| 33-10414 | Sep. 15, 2017 | Mark A. Gomes
Other Release Nos.: 34-81636, IA-4770, IC-32819 See also: Administrative Summary |
| 34-81634 | Sep. 14, 2017 | Citigroup Global Markets, Inc. (Corrected) |
| 34-81625 | Sep. 14, 2017 | Neurologix, Inc., Organic Alliance, Inc. and Zinco do Brasil, Inc. |
| 34-81621 | Sep. 14, 2017 | CellCyte Genetics Corp., China Pediatric Pharmaceuticals, Inc. and Hawker Energy, Inc. |
| 34-81624 | Sep. 14, 2017 | Brian McCollum |
| 34-81623 | Sep. 14, 2017 | Kenneth Mack and Bryan Mcmillan |
| 34-81622 | Sep. 14, 2017 | Jeffrey Hammel, CPA |
| 34-81620 | Sep. 14, 2017 | Orthofix International N.V. |
| 34-81633 | Sep. 14, 2017 | Morgan Stanley Smith Barney LLC (Corrected) |
| 34-81619 | Sep. 14, 2017 | Thomas C. Tekulve, Jr., CPA
Other Release No.: AAER-3896 |
| 34-81627 | Sep. 14, 2017 | Institutional Investors Advisory Company |
| 34-81618 | Sep. 14, 2017 | China Hefeng Rescue Equipment, Inc., et al. |
| 34-81611 | Sep. 14, 2017 | Suntrust Investment Services, Inc.
Other Release No.: IA-4769 |
| 34-81609 | Sep. 13, 2017 | Cono Italiano, Inc., et al. |
| 34-81607 | Sep. 13, 2017 | ANV Security Group, Inc. |
| 34-81593 | Sep. 13, 2017 | Daryl G. Bank |
| 34-81589 | Sep. 12, 2017 | Chile Mining Technologies Inc. |
| 34-81587 | Sep. 12, 2017 | Experience Art and Design, Inc., et al. |
| 34-81585 | Sep. 12, 2017 | Howarth Financial Services, LLC and Gary S. Howarth
Other Release Nos.: IA-4768, IC-32816 See also: Administrative Summary |
| 34-81584 | Sep. 12, 2017 | Jeremy A. Licht d/b/a JL Capital Management
Other Release Nos.: IA-4767, IC-32815 See also: Administrative Summary |
| 34-81577 | Sep. 11, 2017 | Gamzio Mobile, Inc. and Gold Hill Resources, Inc. |
| 34-81575 | Sep. 11, 2017 | Kun De International Holdings, Inc., New Colombia Resources, Inc. and Sutor Technology Group Limited |
| IA-4766 | Sep. 11, 2017 | Potomac Asset Management Company, Inc. and Goodloe E. Byron, Jr. |
| 34-81570 | Sep. 11, 2017 | Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice Comments received are available for this proposed plan. |
| 34-81566 | Sep. 11, 2017 | William D. Veasey, IV |
| 34-81565 | Sep. 11, 2017 | Javier Alvarado, Jr. |
| 34-81571 | Sep. 11, 2017 | G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC |
| 34-81564 | Sep. 11, 2017 | Gary Yin
Other Release No.: IA-4765 |
| 34-81563 | Sep. 8, 2017 | Olie, Inc., et al. |
| IA-4764 | Sep. 8, 2017 | Envoy Advisory, Inc. |
| 34-81559 | Sep. 8, 2017 | John R. Holtzhauser, CPA
Other Release No.: AAER-3895 |
| 34-81557 | Sep. 8, 2017 | Mike Lundy a/k/a Barkley J.W. Lundy
Other Release No.: IA-4763 |
| 34-81553 | Sep. 7, 2017 | Blink Technologies, Inc. (f/k/a ePunk, Inc.) |
| 34-81552 | Sep. 7, 2017 | New Western Energy Corp., Preferred Restaurant Brands, Inc. and Primco Management, Inc. |
| 34-81551 | Sep. 7, 2017 | Century Acquisition Corp. and Eastern Acquisition Corp. |
| 34-81546 | Sep. 7, 2017 | Brian K. Rabinovitz, CPA
Other Release No.: AAER-3894 |
| 34-81544 | Sep. 7, 2017 | Waldemar Grab
Other Release No.: AAER-3893 |
| 34-81542 | Sep. 7, 2017 | Adrian D. Beamish, CPA (Corrected)
Other Release No.: AAER-3892 |
| 33-10411 | Sep. 7, 2017 | State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC and State Street Bank and Trust Company
Other Release No.: 34-81543 |
| 33-10410 | Sep. 7, 2017 | State Street Bank and Trust Company |
| 34-81540 | Sep. 6, 2017 | Tintic Gold Mining Company |
| 34-81536 | Sep. 6, 2017 | Hall Tees, Inc., et al. |
| 34-81535 | Sep. 6, 2017 | American-Swiss Capital, Inc., et al. |
| 34-81534 | Sep. 6, 2017 | Steven C. Scudder
Other Release No.: IA-4762 |
| 34-81533 | Sep. 5, 2017 | GeoGlobal Resources, Inc. and USA Synthetic Fuel Corp. |
| 34-81529 | Sep. 5, 2017 | China Precision Steel, Inc. and Golden River Resources Corp. |
| 34-81527 | Sep. 5, 2017 | Bohai Pharmaceuticals Group Inc. |
| 34-81525 | Sep. 5, 2017 | Mackenzie Taylor Minerals, Inc., et al. |
| 34-81524 | Sep. 5, 2017 | BioPharma Manufacturing Solutions Inc., et al. |
| 34-81523 | Sep. 5, 2017 | Alan M. Stark, Esq. |
| 34-81522 | Sep. 5, 2017 | Accelerated Aquisition XVII, et al. |
| 34-81521 | Sep. 1, 2017 | William Tirrell |
| 34-81519 | Aug. 31, 2017 | Aja Cannafacturing, Inc., et al. |
| 34-81518 | Aug. 31, 2017 | Cibolan Gold Corporation, et al. |
| 34-81514 | Aug. 31, 2017 | 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 |
| 34-81513 | Aug. 31, 2017 | J. Michael Scarborough and Royal Alliance Associates, Inc. |
| 34-81509 | Aug. 30, 2017 | International Building Concepts Ltd. (n/k/a Home Builders International), et al. |
| 34-81508 | Aug. 30, 2017 | Solar Shore One, Inc., et al. |
| 34-81492 | Aug. 28, 2017 | Circle Star Energy Corp. and Energy Holdings International, Inc. |
| 34-81489 | Aug. 28, 2017 | CellCyte Genetics Corp., China Pediatric Pharmaceuticals, Inc. and Hawker Energy, Inc.
See also: Chinese Version |
| 34-81480 | Aug. 24, 2017 | John Abio (a/k/a Tre Brandenberg) |
| 34-81475 | Aug. 24, 2017 | Municipal Finance Services, Inc., Rick A. Smith and Jon G. Wolff
Other Release No.: IA-4758 See also: Administrative Summary |
| 34-81477 | Aug. 24, 2017 | Taberna Capital Management, LLC, Michael Fralin and Raphael Licht |
| 34-81473 | Aug. 23, 2017 | T3 Holdings, Inc. and Vortronnix Technologies, Inc. |
| 34-81472 | Aug. 23, 2017 | Sylvester King, Jr.
Other Release Nos.: IA-4757, IC-32795 |
| 34-81471 | Aug. 23, 2017 | Aaron R. Parthemer
Other Release Nos.: IA-4756, IC-32794 |
| 34-81467 | Aug. 23, 2017 | Jack Sini |
| 34-81466 | Aug. 23, 2017 | Jason Hershberger |
| 34-81465 | Aug. 23, 2017 | Juan M. Perez Ortega |
| 34-81464 | Aug. 23, 2017 | Shawna Leigh Lynch |
| 34-81463 | Aug. 23, 2017 | Martin Miller |
| 33-10406 | Aug. 23, 2017 | Beaumont Financing Authority |
| 33-10405 | Aug. 23, 2017 | O'Connor & Company Securities, Inc. and Anthony Michael Wetherbee
Other Release Nos.: 34-81462, IC-32789 |
| IA-4753 | Aug. 22, 2017 | Martin Shkreli |
| 33-10404 | Aug. 22, 2017 | Vertical Capital Asset Management, LLC, et al.
Other Release Nos.: 34-81456, IA-4751, IC-32788 See also: Administrative Summary |
| 34-81461 | Aug. 22, 2017 | Jeffrey Gainer
Other Release No.: IA-4755 |
| 34-81460 | Aug. 22, 2017 | Brian Michael Berger
Other Release No.: IA-4754 |
| 34-81459 | Aug. 22, 2017 | Paul Elvidge |
| 34-81458 | Aug. 22, 2017 | Gerardo E. Reyes
Other Release No.: IA-4752 |
| 34-81455 | Aug. 22, 2017 | Paul E. Renfroe |
| 34-81452 | Aug. 22, 2017 | Matthew Gamsey, CPA
Other Release No.: AAER-3891 |
| 34-81451 | Aug. 22, 2017 | Edward Dimaria
Other Release No.: AAER-3890 |
| 34-81450 | Aug. 21, 2017 | Ubiquity, Inc. |
| 34-81449 | Aug. 21, 2017 | Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-81447 | Aug. 21, 2017 | Allen Chi |
| 34-81445 | Aug. 21, 2017 | Laurence I. Balter d/b/a Oracle Investment Research |
| 34-81444 | Aug. 21, 2017 | Prudential Equity Group, LLC, formerly known as Prudential Securities, Inc. |
| 34-81443 | Aug. 21, 2017 | Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
See also: Administrative Summary |
| IA-4749 | Aug. 21, 2017 | Deerfield Management Company, L.P. |
| 34-81441 | Aug. 18, 2017 | Spring Hill Capital Markets, et al. |
| 34-81426 | Aug. 18, 2017 | Joshua F. McAlees |
| 34-81425 | Aug. 18, 2017 | John W. Boyer |
| 34-81430 | Aug. 18, 2017 | James M. Palladino |
| 33-10401 | Aug. 18, 2017 | Banca IMI Securities Corp.
Other Release No.: 34-81427 |
| 34-81424 | Aug. 17, 2017 | Attitude Drinks Incorporated, et al. |
| 34-81423 | Aug. 17, 2017 | Valdor Technology International Inc. |
| 34-81421 | Aug. 17, 2017 | Aurios Inc., et al. |
| 34-81417 | Aug. 17, 2017 | Stephen S. Eubanks
Other Release No.: IA-4748 |
| 34-81416 | Aug. 17, 2017 | Sarkauskas, Associates, Inc. and James M. Sarkauskas |
| 34-81412 | Aug. 16, 2017 | Aquentium, Inc., et al. |
| IA-4747 | Aug. 16, 2017 | Institutional Investors Advisory Company |
| IA-4746 | Aug. 16, 2017 | Capital Dynamics, Inc.
See also: Administrative Summary |
| 34-81397 | Aug. 15, 2017 | Lisa Pavelka McAlister, CPA
Other Release No.: AAER-3889 |
| IA-4744 | Aug. 15, 2017 | Diane W. Lamm
Other Release No.: IC-32782 |
| 34-81405 | Aug. 15, 2017 | David I. Osunkwo
Other Release Nos.: IA-4745, IC-32783 |
| 34-81396 | Aug. 15, 2017 | KPMG LLP and John Riordan, CPA
Other Release No.: AAER-3888 |
| 34-81395 | Aug. 14, 2017 | Aquentium, Inc., et al. |
| 34-81394 | Aug. 14, 2017 | Aquentium, Inc., et al. |
| IA-4743 | Aug. 14, 2017 | Coachman Energy Partners LLC and Randall D. Kenworthy |
| 34-81385 | Aug. 14, 2017 | Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich |
| 34-81383 | Aug. 11, 2017 | JP Morgan Chase & Co. |
| 34-81380 | Aug. 11, 2017 | Bryan Wayne Anderson
Other Release No.: IA-4742 |
| 34-81378 | Aug. 10, 2017 | AV Therapeutics, Inc., et al. |
| 34-81377 | Aug. 10, 2017 | Aquentium, Inc., et al. |
| 34-81375 | Aug. 10, 2017 | E-Waste Systems, Inc. |
| 34-81356 | Aug. 8, 2017 | China Du Kang Co., Ltd. |
| 34-81335 | Aug. 7, 2017 | American Magna Corp., et al. |
| 34-81333 | Aug. 7, 2017 | Altovida Inc., et al. |
| 34-81331 | Aug. 7, 2017 | BOLDFACE Group, Inc., et al. |
| 34-81330 | Aug. 7, 2017 | Donald J. Lester
Other Release No.: IA-4741 |
| 34-81329 | Aug. 7, 2017 | Steven V. McClatchey
Other Release No.: IA-4740 |
| 34-81319 | Aug. 4, 2017 | Valdor Technology International, Inc. |
| IA-4739 | Aug. 4, 2017 | Black Diamond Asset Management LLC and Robert Wilson
Other Release No.: IC-32776 |
| 34-81313 | Aug. 3, 2017 | Cibolan Gold Corporation, et al. |
| 34-81308 | Aug. 3, 2017 | Alfred C. Teran
Other Release No.: IC-32773 |
| 34-81307 | Aug. 3, 2017 | Moore Stephens Wurth Frazer & Torbet LLP and K. Dean Yamagata, CPA |
| 34-81300 | Aug. 2, 2017 | China Greenstar Corporation, et al. |
| 34-81298 | Aug. 2, 2017 | Axiom Oil & Gas Corp., et al. |
| 34-81297 | Aug. 2, 2017 | Cardinal Resources, Inc., et al. |
| 34-81295 | Aug. 2, 2017 | AV Therapeutics, Inc., et al. |
| 34-81287 | Aug. 2, 2017 | Middlecove Capital, LLC and Noah L. Myers |
| 33-10397 | Aug. 2, 2017 | Joe Yiu Cheung (a/k/a Dylon De Lu Zhang)
Other Release No.: 34-81285 |
| 34-81283 | Aug. 1, 2017 | Aurios Inc., et al. |
| 34-81281 | Aug. 1, 2017 | Kung Fu Dragon Group Limited |
| 33-10396 | Aug. 1, 2017 | Michael S. Shore
Other Release Nos.: 34-81277, AAER-3886 |
| 33-10395 | Aug. 1, 2017 | Anastasios P. "Tommy" Belesis
Other Release Nos.: 34-81276, IC-32772 |
| 34-81279 | Aug. 1, 2017 | Bradley T. Smegal
Other Release No.: IA-4737 |
| 34-81274 | Aug. 1, 2017 | Cadaret and Grant & Co., Inc.
Other Release No.: IA-4736 See also: Administrative Summary |
| 34-81273 | Jul. 31, 2017 | Kenneth Mack and Bryan McMillan |
| 34-81272 | Jul. 31, 2017 | Brian McCollum |
| 34-81271 | Jul. 31, 2017 | Jeffrey Hammel, CPA |
| 34-81257 | Jul. 31, 2017 | Orthofix International N.V. |
| 33-10394 | Jul. 31, 2017 | Sterling Craig Barton
Other Release No.: 34-81259 |
| 33-10393 | Jul. 31, 2017 | Karen F. Aalders
Other Release No.: 34-81258 |
| IA-4734 | Jul. 28, 2017 | Columbia River Advisors, LLC, Benjamin J. Addink and Donald A. Foy
See also: Administrative Summary |
| 33-10392 | Jul. 28, 2017 | Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) and John David Telfer
Other Release No.: 34-81254 See also: Administrative Summary |
| 34-81244 | Jul. 27, 2017 | Taberna Capital Management, LLC, Michael Fralin and Raphael Licht |
| 34-81243 | Jul. 27, 2017 | Shallbetter Industries, Inc., et al. |
| 34-81242 | Jul. 27, 2017 | GCA I Acquisition Corp., et al. |
| 34-81241 | Jul. 27, 2017 | Resource Services, Inc., et al. |
| 34-81239 | Jul. 27, 2017 | Aquentium, Inc., et al. |
| 34-81237 | Jul. 27, 2017 | CNK Global, Inc. (a/k/a American Life Holding Co., Inc.) |
| 34-81235 | Jul. 27, 2017 | Medicus Homecare Inc. |
| 34-81222 | Jul. 27, 2017 | Halliburton Company and Jeannot Lorenz
Other Release No.: AAER-3884 |
| 34-81219 | Jul. 26, 2017 | Attitude Drinks Incorporated, et al. |
| 34-81217 | Jul. 26, 2017 | Aja Cannafacturing, Inc., et al. |
| 34-81216 | Jul. 26, 2017 | Cibolan Gold Corporation, et al. |
| 34-81221 | Jul. 26, 2017 | Tilden Loucks & Woodnorth, LLC, Lasalle St. Securities, LLC and Ralph B. Loucks |
| 34-81214 | Jul. 26, 2017 | Dwight Shane Baldwin |
| 34-81210 | Jul. 26, 2017 | Wade D. Huettel, Esq. |
| 34-81209 | Jul. 26, 2017 | Luis J. Carrillo |
| IA-4733 | Jul. 25, 2017 | Brian Kimball Case, Bradway Financial, LLC and Bradway Capital Management, LLC
Other Release No.: IC-32741 |
| 33-10391 | Jul. 25, 2017 | Joey Giamichael and Umbrella Research, LLC
Other Release No.: 34-81202 See also: Administrative Summary |
| 34-81173 | Jul. 19, 2017 | Enviso Capital, LLC, Ryan Bowers and Jeffrey Laberge, CPA
Other Release Nos.: IA-4731, IC-32737, AAER-3883 See also: Administrative Summary |
| 34-81172 | Jul. 19, 2017 | David Lubin |
| 34-81169 | Jul. 19, 2017 | KMS Financial Services, Inc.
Other Release No.: IA-4730 See also: Administrative Summary |
| 34-81160 | Jul. 18, 2017 | John F. Stimpson
See also: Administrative Summary |
| 34-81154 | Jul. 17, 2017 | Scott A. Doak |
| IA-4729 | Jul. 14, 2017 | Vincent Puma |
| 34-81141 | Jul. 13, 2017 | Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. |
| 34-81135 | Jul. 13, 2017 | ABN AMRO Clearing Chicago LLC |
| 34-81127 | Jul. 11, 2017 | China Biopharma, Inc., et al. |
| 34-81126 | Jul. 11, 2017 | Sidewinder Explorations Inc. |
| 34-81125 | Jul. 11, 2017 | Ross Technology, Inc., et al. |
| 34-81124 | Jul. 11, 2017 | Double Crown Resources, Inc. and GMCI Corp. |
| 34-81111 | Jul. 10, 2017 | Eric David Wanger
Other Release No.: IA-4728 |
| IA-4727 | Jul. 10, 2017 | Charles A. Banks, IV |
| 34-81101 | Jul. 7, 2017 | Diana P. Lovera |
| 34-81100 | Jul. 7, 2017 | UBS Financial Services Incorporated of Puerto Rico
See also: Plan of Distribution |
| 34-81082 | Jul. 6, 2017 | Ronald S. Hunt |
| 33-10388 | Jul. 6, 2017 | Ronald Howard Wills
Other Release No.: 34-81089 See also: Administrative Summary |
| 33-10387 | Jul. 6, 2017 | Randal Wallis
Other Release No.: 34-81088 See also: Administrative Summary |
| 33-10386 | Jul. 6, 2017 | Retirement Surety LLC, et al.
Other Release Nos.: 34-81087, IC-32728 See also: Administrative Summary |
| 34-81086 | Jul. 6, 2017 | Folger Nolan Fleming Douglas Capital Management, Inc., Neil C. Folger and David M. Brown |
| IA-4726 | Jul. 6, 2017 | Paramount Group Real Estate Advisor LLC
See also: Administrative Summary |
| IA-4725 | Jul. 6, 2017 | Landwin Management, LLC and Martin Landis |
Second Quarter | ||
| 33-10384 | Jun. 30, 2017 | Bantry Bay Capital, LLC and Timothy F. Sexton, Jr.
Other Release Nos.: 34-81071, IA-4724, IC-32721 See also: Administrative Summary |
| 34-81064 | June 30, 2017 | In the Matter of Certain Disgorgement and Fair Funds in Administrative Proceedings: Notice of Name Change of Appointed Tax Administrator File Nos.: 3-11292, 3-11359, 3-11393, 3-11450, 3-11498, 3-11514, 3-11515, 3-11538, 3-11578, 3-11645, 3-11676, 3-11793, 3-11814, 3-11818, 3-11914, 3-11915, 3-11916, 3-11935, 3-11940, 3-11987, 3-12114, 3-12115, 3-12116, 3-12238, 3-12372, 3-12400, 3-12540, 3-12554, 3-12678, 3-12737, 3-12805, 3-12868, 3-13199, 3-13675, 3-13847, 3-14191, 3-14192, 3-14594, 3-14641, 3-14854, 3-14863, 3-14899, 3-14909, 3-14950, 3-14982, 3-15014, 3-15098, 3-15134, 3-15135, 3-15211, 3-15429, 3-15471, 3-15507, 3-15526, 3-15641, 3-15982, 3-16014, 3-16017, 3-16163, 3-16175, 3-16203, 3-16389, 3-16398, 3-16575, 3-16755, 3-16757, 3-16786, 3-16829, 3-16846, 3-16852, 3-16955, 3-17075, and 3-17186 |
| 34-81057 | Jun. 30, 2017 | Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds |
| IA-4721 | Jun. 29, 2017 | Resilience Management, LLC, Bassem Mansour and George Ammar
Other Release No.: IC-32716 |
| 33-10381 | Jun. 29, 2017 | Marilyn Stark
Other Release No.: 34-81050 |
| 33-10380 | Jun. 29, 2017 | Nigel G. Lindsay
Other Release No.: 34-81049 |
| 33-10379 | Jun. 29, 2017 | Sarah E. Keck
Other Release No.: 34-81048 |
| 33-10378 | Jun. 29, 2017 | Andrew S. Keck
Other Release No.: 34-81047 |
| 33-10377 | Jun. 29, 2017 | Matthew L. Egna
Other Release No.: 34-81046 |
| 33-10376 | Jun. 29, 2017 | Christopher A. Conley
Other Release No.: 34-81045 |
| 34-81042 | Jun. 28, 2017 | Double Crown Resources, Inc. and GMCI Corp. |
| 34-81033 | Jun. 27, 2017 | Michael L. Hudson |
| 34-81026 | Jun. 26, 2017 | Ibex Advanced Mortgage Technology, Inc. |
| 34-81025 | Jun. 26, 2017 | Wm Smith & Co. and William S. Smith
See also: Administrative Summary |
| 34-81006 | Jun. 22, 2017 | Conolog Corp. and World Surveillance Group, Inc. |
| 34-81005 | Jun. 22, 2017 | Myriad Entertainment & Resorts, Inc., National Real Estate Limited Partnership VI and Paradise Communications Services, Inc. |
| 34-81004 | Jun. 22, 2017 | Hydrocarb Energy Corp. |
| 34-81003 | Jun. 22, 2017 | Norrell L. Walker |
| IA-4718 | Jun. 22, 2017 | Serofim Muroff |
| 34-80996 | Jun. 22, 2017 | Anthony Portelli |
| 34-80995 | Jun. 21, 2017 | A.C. Simmonds, et al. |
| 34-80993 | Jun. 21, 2017 | Bonwick Capital Partners, LLC and Devin Wicker |
| 34-80992 | Jun. 21, 2017 | New York REIT, Inc. and New York Recovery Advisors, LLC |
| 34-80991 | Jun. 21, 2017 | Christopher K. Brenner, Esq. (CPA)
Other Release No.: AAER-3880 See also: Litigation Release |
| 34-80984 | Jun. 20, 2017 | Energy Edge Technologies Corp., Focus Gold Corp. and New York Sub Co. |
| 34-80981 | Jun. 20, 2017 | dELiA*s Inc. and Global Energy, Inc. |
| 34-80980 | Jun. 20, 2017 | International Building Concepts Ltd. (n/k/a Home Builders International, Inc.), et al. |
| IA-4716 | Jun. 19, 2017 | Mark C. Northrop |
| 33-10371 | Jun. 19, 2017 | Mark C. Northrop, CPA
Other Release Nos.: 34-80963, IA-4717, AAER-3879 |
| 34-80962 | Jun. 19, 2017 | Ann M. Hiskey |
| 34-80961 | Jun. 19, 2017 | Harold Bailey "B.J." Gallison, II (a.k.a. Bart Williams) |
| 34-80960 | Jun. 19, 2017 | Michael J. Randles |
| 34-80959 | Jun. 19, 2017 | Jurojin, Inc. |
| 34-80958 | Jun. 19, 2017 | Club Consultants, Inc. |
| 34-80957 | Jun. 19, 2017 | Bastille Advisors, Inc. |
| 34-80956 | Jun. 19, 2017 | Vanilla Sky, S.A. |
| 34-80955 | Jun. 19, 2017 | Sandias Azucaradas CR, S.A. |
| 34-80954 | Jun. 19, 2017 | Moneyline Brokers |
| 34-80951 | Jun. 15, 2017 | AVT, Inc., et al. |
| 34-80947 | Jun. 15, 2017 | Eric W. Kirchner and Richard G. Rodick
Other Release No.: AAER-3877 See also: Administrative Summary |
| 34-80943 | Jun. 15, 2017 | T3 Holdings, Inc. and Vortronnix Technologies, Inc. |
| 34-80932 | Jun. 15, 2017 | James R. Trolice |
| 34-80918 | Jun. 14, 2017 | Edward Richardson Jr., CPA and Edward Richardson Jr.
Other Release No.: AAER-3876 See also: Administrative Summary |
| 34-80910 | Jun. 12, 2017 | George Joseph Palathinkal, CPA |
| 34-80908 | Jun. 12, 2017 | Windsor Street Capital, et al. (Corrected)
See also: Administrative Summary |
| 34-80904 | Jun. 12, 2017 | Lisa Hanmer, CPA
Other Release No.: AAER-3875 |
| 34-80896 | Jun. 9, 2017 | Stephanie Lee |
| 33-10369 | Jun. 9, 2017 | Michael B. Hayford, et al.
Other Release Nos.: 34-80901, AAER-3874 |
| 34-80894 | Jun. 9, 2017 | Fredrick J. Todd |
| 34-80892 | Jun. 8, 2017 | Can-Cal Resources Ltd., China Fruits Corp. and Skystar Bio-Pharmaceutical Co. |
| 34-80889 | Jun. 8, 2017 | Abida Khan
Other Release No.: IA-4713 |
| 34-80887 | Jun. 8, 2017 | Sanford Michael Katz |
| 34-80886 | Jun. 8, 2017 | Credit Suisse Securities (USA) LLC |
| 34-80884 | Jun. 8, 2017 | Christopher David Scott
Other Release No.: IC-32674 |
| 34-80880 | Jun. 7, 2017 | Evolucia, Inc., Legend International Holdings, Inc. and OSL Holdings, Inc. |
| 34-80872 | Jun. 7, 2017 | Dan (“Alice”) Zhang, CPA,
Other Release No.: AAER-3873 See also: Administrative Summary |
| 34-80863 | Jun. 5, 2017 | Integrated Freight Corporation |
| 34-80855 | Jun. 5, 2017 | Bret H. Gardner |
| 34-80846 | Jun. 1, 2017 | New Western Energy Corp., Preferred Restaurant Brands, Inc. and Primco Management, Inc. |
| IA-4712 | Jun. 1, 2017 | Marc D. Broidy |
| IA-4711 | Jun. 1, 2017 | Ronald J. Fernandes |
| 33-10368 | Jun. 1, 2017 | David R. Humphrey, CPA
Other Release Nos.: 34-80839, AAER-3872 |
| 34-80842 | Jun. 1, 2017 | Howard Richards; James Goodland and Securus Wealth Management, LLC |
| 34-80829 | May 31, 2017 | Cardinal Resources, Inc. and StationDigital Corp. |
| 34-80817 | May 31, 2017 | Harrison Katzen |
| 33-10367 | May 26, 2017 | Laurence I. Balter d/b/a Oracle Investment Research |
| 34-80778 | May 25, 2017 | Ciralight Global, Inc., et al. |
| 34-80776 | May 25, 2017 | Christopher Cervino |
| 34-80775 | May 25, 2017 | Gregory Scott Weisman |
| 34-80774 | May 25, 2017 | Everette L. Scott, Jr. |
| 34-80765 | May 24, 2017 | A.C. Simmonds and Sons, Inc. et al. |
| 34-80764 | May 24, 2017 | Double Crown Resources, Inc. and GMCI Corp. |
| 34-80750 | May 23, 2017 | Lisa Hanmer, CPA
Other Release No.: AAER-3871 |
| 34-80749 | May 23, 2017 | Daniel Millmann, CPA
Other Release No.: AAER-3870 |
| 34-80742 | May 22, 2017 | Aladdin Capital Management LLC and Aladdin Capital LLC |
| 33-10365 | May 22, 2017 | In re: Pending Administrative Proceedings
Other Release No.: 34-80741, IA-4708, IC-32643 |
| 34-80739 | May 22, 2017 | Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. |
| 34-80733 | May 19, 2017 | Corey J. Brinson, Esq. |
| 34-80732 | May 19, 2017 | Kee Chan |
| 34-80712 | May 18, 2017 | William J. Wells
Other Release No.: IA-4707 |
| 34-80711 | May 18, 2017 | William B. Fretz, Jr., et al.
See also: Plan of Distribution |
| 34-80703 | May 16, 2017 | Atomic Paintball, Inc., North American Oil & Gas Corp. and VelaTel Global Communications, Inc. |
| 34-80701 | May 16, 2017 | Digital Brand Media & Marketing Group, Inc. and Intellicell Biosciences, Inc. |
| 33-10363 | May 12, 2017 | Lion Print Corp. |
| 33-10362 | May 12, 2017 | Formous Corp. |
| 33-10361 | May 12, 2017 | Lorilay Corp. |
| 33-10360 | May 12, 2017 | Universal Movers Corp. |
| 33-10359 | May 12, 2017 | Privoz |
| 33-10358 | May 12, 2017 | Canso Enterprises Ltd. |
| 33-10356 | May 12, 2017 | Emerald Isle Exploration, Ltd., Samuell Eads and Lloyd C. Brewer
Other Release No.: 34-80668 See also: Administrative Summary |
| 34-80652 | May 11, 2017 | Miles S. Nadal |
| 34-80643 | May 10, 2017 | Robert B. Crowe, Esq. |
| 33-10355 | May 10, 2017 | Barclays Capital Inc.
Other Release Nos.: 34-80639, IA-4705 |
| 34-80633 | May 9, 2017 | Ciralight Global, Inc., et al. |
| 34-80628 | May 8, 2017 | Frederick Eugene Monroe, Jr.
Other Release No.: IA-4704 |
| 34-80626 | May 8, 2017 | Bankrate, Inc. |
| 34-80625 | May 8, 2017 | Steven H. Sharaf |
| 34-80624 | May 8, 2017 | Edward R. Sachs |
| 34-80623 | May 8, 2017 | Frank Penaloza |
| 34-80622 | May 8, 2017 | Victor Lovera |
| 34-80621 | May 8, 2017 | Joseph Loish |
| 34-80620 | May 8, 2017 | Steven L. Goldstein |
| 34-80617 | May 5, 2017 | Real Hip-Hop Network, Inc., et al. |
| IA-4702 | May 5, 2017 | Source Financial Advisors, LLC and Michelle M. Smith |
| IA-4701 | May 5, 2017 | Tellone Management Group, Inc. and Dean C. Tellone |
| 34-80604 | May 5, 2017 | PA Fund Management LLC, Pea Capital LLC and PA Distributors LLC
Other Release Nos.: IA-4700, IC-32626 |
| 34-80603 | May 5, 2017 | 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
Other Release Nos.: IA-4699, IC-32625 |
| 34-80602 | May 4, 2017 | Yasuo Oda |
| 34-80601 | May 4, 2017 | Griffith Thomas Ellis |
| 34-80589 | May 3, 2017 | Portus Corporation |
| 34-80588 | May 3, 2017 | Fibercorp International, Inc., Hygenics Pharmaceuticals, Inc. and Investors Trust, Inc. |
| 34-80587 | May 3, 2017 | Delverton Resorts International Inc. |
| 34-80582 | May 3, 2017 | AlphaBridge Capital Management, LLC, Thomas T. Kutzen and Michael J. Carino |
| 34-80578 | May 2, 2017 | Sanomedics, Inc. |
| IA-4696 | May 2, 2017 | Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.
Other Release No.: IC-32624 See also: Administrative Summary |
| 34-80575 | May 2, 2017 | Lu Zhang
Other Release No.: IC-32623 |
| 34-80572 | May 2, 2017 | David Michael Burke |
| IA-4695 | May 1, 2017 | William Blair & Company, L.L.C.
See also: Administrative Summary |
| 34-80568 | May 1, 2017 | Gregory Reyftmann |
| 33-10352 | May 1, 2017 | MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
Other Release Nos.: 34-80564, AAER-3869 |
| 34-80565 | May 1, 2017 | Michael Andre Jones |
| 34-80562 | May 1, 2017 | David F. Wong
Other Release No.: IC-32618 See also: Administrative Summary |
| 34-80561 | May 1, 2017 | Yoon Seok Lee
Other Release No.: IC-32617 See also: Administrative Summary |
| 34-80560 | May 1, 2017 | Barclays Capital Inc.
See also: Administrative Summary |
| 34-80559 | Apr. 28, 2017 | Computer Sciences Corporation, et al. See also: Plan of Distribution |
| 34-80557 | Apr. 28, 2017 | Lebenthal & Co., LLC |
| 34-80548 | Apr. 28, 2017 | David Pruitt, CPA
Other Release No.: AAER-3868 |
| 34-80547 | Apr. 28, 2017 | Mark Wentlent
Other Release No.: AAER-3867 |
| 34-80544 | Apr. 27, 2017 | Focus Media Holding Limited and Jason Jiang |
| 34-80543 | Apr. 27, 2017 | Bear, Stearns & Co. and Bear, Stearns Securities Corp. |
| 34-80539 | Apr. 27, 2017 | Abida Khan
Other Release No.: IA-4694 |
| 34-80538 | Apr. 27, 2017 | Christopher Cervino |
| IA-4693 | Apr. 27, 2017 | Yul L. Pinto Ayala |
| 34-80535 | Apr. 27, 2017 | UBS Financial Services Incorporated of Puerto Rico
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-80533 | Apr. 26, 2017 | Wilson-Davis & Company, Inc. See also: Administrative Summary |
| 34-80532 | Apr. 26, 2017 | Prospect Ventures, Inc., et al. |
| IC-32613 | Apr. 25, 2017 | Blackrock Fund Advisors
See also: Administrative Summary |
| 34-80528 | Apr. 25, 2017 | Alliance Capital Management, L.P. |
| 34-80527 | Apr. 25, 2017 | Harold Ray Smith |
| 34-80519 | Apr. 24, 2017 | Axesstel, Inc. |
| 34-80513 | Apr. 24, 2017 | Jared M. Galanis |
| 34-80507 | Apr. 21, 2017 | Mark McKinnies, CPA
Other Release No.: AAER-3866 |
| 34-80493 | Apr. 20, 2017 | Biovest International, Inc., et al. |
| 34-80492 | Apr. 19, 2017 | 6D Global Technologies, Inc. the NASDAQ Stock Market LLC |
| 34-80488 | Apr. 19, 2017 | ABN AMRO Clearing Chicago LLC |
| IA-4688 | Apr. 19, 2017 | Mark J. Varacchi |
| 34-80480 | Apr. 18, 2017 | Michael D. Shumway |
| 34-80476 | Apr. 18, 2017 | Jeffory Churchfield |
| 34-80469 | Apr. 17, 2017 | Anthony Coronati and Bidtoask LLC
See also: Distribution Plan |
| 34-80464 | Apr. 14, 2017 | Prestige Financial Corp., et al. |
| 34-80463 | Apr. 14, 2017 | Paul Leon White, II
Other Release No.: IA-4687 |
| 34-80460 | Apr. 14, 2017 | Joseph J. Fox |
| 34-80459 | Apr. 13, 2017 | Mark D. Holt and (a/k/a Mark D. Holthusen)
Other Release No.: IA-4686 |
| 34-80452 | Apr. 13, 2017 | CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc. |
| 34-80446 | Apr. 13, 2017 | Solar Shore One, Inc., et al. |
| 34-80444 | Apr. 12, 2017 | Anthony G. Sciarra
Other Release No.: IA-4685 |
| 34-80442 | Apr. 12, 2017 | Travis A. Wetzel
Other Release No.: IA-4684 |
| 34-80436 | Apr. 11, 2017 | Focus Media Holding Limited and Jason Jiang |
| IA-4683 | Apr. 11, 2017 | Clayton A. Cohn |
| 34-80426 | Apr. 11, 2017 | Andrew C. Powell |
| 34-80424 | Apr. 10, 2017 | Robert N. Tricarico
Other Release No.: IA-4682 |
| 33-10347 | Apr. 10, 2017 | Christopher French
Other Release No.: 34-80413 |
| 33-10346 | Apr. 10, 2017 | Manish Singh and Lavos, LLC
Other Release No.: 34-80412 |
| 33-10345 | Apr. 10, 2017 | Cytrx Corporation |
| 33-10344 | Apr. 10, 2017 | Ciaran Thornton
Other Release No.: 34-80414 |
| 33-10343 | Apr. 10, 2017 | Michael A. McCarthy, et al. |
| 33-10342 | Apr. 10, 2017 | Stephen Ramey
Other Release No.: 34-80411 |
| 33-10341 | Apr. 10, 2017 | Edward Borrelli and Dunedin, Inc. |
| 33-10340 | Apr. 10, 2017 | Lion Biotechnologies, Inc.
Other Release No.: 34-80410 |
| 33-10339 | Apr. 10, 2017 | Craig Keolanui
Other Release No.: 34-80409 |
| 33-10338 | Apr. 10, 2017 | ImmunoCellular Therapeutics, Ltd.
Other Release No.: 34-80408 |
| 33-10337 | Apr. 10, 2017 | Galena Biopharma, Inc. and Mark J. Ahn
Other Release Nos.: 34-80407, AAER-3865 |
| 33-10336 | Apr. 10, 2017 | Joel Corenman
Other Release No.: 34-80406 |
| 34-80402 | Apr. 7, 2017 | Anthony C. Zufelt |
| 34-80392 | Apr. 6, 2017 | William B. Fretz, Jr., et al.
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-80390 | Apr. 6, 2017 | Dustin S. Smith |
| 34-80389 | Apr. 6, 2017 | Ashif Jiwa |
| 33-10335 | Apr. 5, 2017 | John T. Lynch, Jr.
Other Release Nos.: 34-80377, IC-32592 |
| 33-10334 | Apr. 5, 2017 | Lawson Financial Corporation and Robert Lawson
Other Release Nos.: 34-80376, IC-32591 |
| IA-4679 | Apr. 4, 2017 | Sanford Michael Katz
See also: Administrative Summary |
| 34-80373 | Apr. 4, 2017 | Credit Suisse Securities (USA) LLC
See also: Administrative Summary |
| 34-80370 | Apr. 4, 2017 | William Joseph Kouser Jr., CPA and Ryan James Dougherty, CPA
Other Release No.: AAER-3864 |
| 34-80365 | Apr. 3, 2017 | International Building Concepts Ltd. (n/k/a Home Builders International, Inc.), et al. |
First Quarter | ||
| 34-80356 | Mar. 31, 2017 | Cygs, LLC |
| 34-80354 | Mar. 31, 2017 | Kenneth Mack and Bryan McMillan |
| 34-80353 | Mar. 31, 2017 | Orthofix International N.V. |
| 34-80352 | Mar. 31, 2017 | Brian McCollum |
| 34-80351 | Mar. 31, 2017 | Jeffrey Hammel, CPA |
| 34-80344 | Mar. 30, 2017 | Real Hip-Hop Network, Inc., et al. |
| 34-80343 | Mar. 30, 2017 | Thomas H. Caniford
Other Release No.: IA-4675 |
| 34-80342 | Mar. 30, 2017 | Paul L. Gomez |
| 34-80345 | Mar. 30, 2017 | Vincent Mehdizadeh |
| IA-4672 | Mar. 29, 2017 | Covenant Financial Services, LLC and Stephen Shafer |
| 34-80332 | Mar. 29, 2017 | Louis Capital Markets, LP
See also: Administrative Summary |
| 34-80335 | Mar. 29, 2017 | Alison, LLC and Stephen D. Alison
Other Release Nos.: IA-4673, IC-32582 |
| 33-10329 | Mar. 29, 2017 | Advanced Emissions Solutions, Inc.
Other Release No.: 34-80333 |
| 34-80317 | Mar. 27, 2017 | CirTran Corp., et al. |
| 33-10327 | Mar. 24, 2017 | William Quigley
Other Release No.: 34-80307 |
| 34-80302 | Mar. 23, 2017 | Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
See also: Plan of Distribution |
| 33-10325 | Mar. 23, 2017 | Sheldon Rose and MKJJ Consulting LLC
Other Release No.: 34-80301 |
| 34-80299 | Mar. 22, 2017 | William D. Bucci
Other Release No.: IA-4670 |
| 34-80294 | Mar. 21, 2017 | Sen Yu International Holdings, Inc. |
| 34-80293 | Mar. 21, 2017 | China Biopharma, Inc., et al. |
| 34-80291 | Mar. 21, 2017 | Vampt America, Inc. and Westport Energy Holdings, Inc. |
| 34-80290 | Mar. 21, 2017 | Aquanatural Co., Bullet Sports International, Inc. and Pearce Systems International, Inc. |
| 34-80289 | Mar. 21, 2017 | PAB Bankshares, Inc. and USABG Corp. |
| 34-80288 | Mar. 21, 2017 | Ben Franklin Retail Stores, Inc., Enrotek Corp. and Spectre Gaming, Inc. |
| 34-80278 | Mar. 20, 2017 | David P. Hobson
Other Release No.: IA-4669 |
| 34-80276 | Mar. 20, 2017 | Ubiquity, Inc. |
| 34-80273 | Mar. 17, 2017 | Ernst & Young LLP, et al. |
| 34-80263 | Mar. 16, 2017 | Warren D. Nadel
Other Release No.: IA-4668 |
| 34-80261 | Mar. 16, 2017 | Shallbetter Industries, Inc., et al. |
| 34-80238 | Mar. 14, 2017 | Nima Hedayati
Other Release No.: AAER-3863 |
| IA-4665 | Mar. 13, 2017 | Stifel and Nicolaus & Company, Incorporated |
| 34-80233 | Mar. 13, 2017 | Computer Sciences Corporation, et al.
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-80232 | Mar. 13, 2017 | G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC |
| 34-80231 | Mar. 13, 2017 | Jeremy S. Hixson
Other Release No.: IA-4666 |
| 34-80221 | Mar. 13, 2017 | Aaron R. Parthemer
Other Release Nos.: IA-4664, IC-32531 |
| IA-4663 | Mar. 13, 2017 | Michael J. Breton |
| 34-80198 | Mar. 10, 2017 | Victor Alfaya |
| 34-80197 | Mar. 10, 2017 | Talman Harris |
| 34-80196 | Mar. 10, 2017 | Ronald Loshin |
| 34-80195 | Mar. 9, 2017 | Mark M. George |
| 34-80183 | Mar. 9, 2017 | Patrick Churchville
Other Release No.: IA-4662 |
| 34-80177 | Mar. 8, 2017 | Voya Financial Advisors, Inc.
Other Release No.: IA-4661 See also: Administrative Summary |
| 34-80176 | Mar. 8, 2017 | Adam L. Plumer |
| 34-80174 | Mar. 8, 2017 | GCA I Acquisition Corp., et al. |
| 34-80170 | Mar. 7, 2017 | Harrison W. Schumacher, II |
| 34-80160 | Mar. 6, 2017 | Naveed A. (a/k/a Nick) Khan |
| 34-80159 | Mar. 6, 2017 | Lustros, Inc. and Med-X Systems, Inc. |
| 34-80158 | Mar. 6, 2017 | All-Pro Products, Inc., et al. |
| 34-80157 | Mar. 6, 2017 | Cala Corporation, China Huaren Organic Products, Inc. and Daystar Technologies, Inc. |
| 34-80156 | Mar. 6, 2017 | Mars Acquisitions, Inc. and Softnet Technology Corp. |
| 34-80145 | Mar. 3, 2017 | CirTran Corp., et al. |
| 33-10319 | Feb. 28, 2017 | Walter V. Gerasimowicz
Other Release Nos.: 34-80127, IA-4655, IC-32517 |
| 33-10317 | Feb. 28, 2017 | Eric David Wanger
Other Release Nos.: 34-80124, IC-32516 |
| 33-10316 | Feb. 28, 2017 | Web Debt Solutions, LLC
See also: Notice from the Division of Enforcement, Administrative Summary, and Order |
| 33-10315 | Feb. 27, 2017 | Nova Smart Solutions Inc. |
| 33-10314 | Feb. 27, 2017 | Arc Lifestyle Group Inc. |
| 33-10313 | Feb. 27, 2017 | Go EZ Corporation |
| 34-80113 | Feb. 24, 2017 | Myriad Entertainment & Resorts, Inc., National Real Estate Limited Partnership VI and Paradise Communications Services, Inc. |
| 34-80112 | Feb. 24, 2017 | Prestige Financial Corp., et al. |
| 34-80111 | Feb. 24, 2017 | Sidewinder Explorations Inc. |
| 34-80103 | Feb. 24, 2017 | Edward Richardson Jr., CPA and Edward Richardson Jr.
Other Release No.: AAER-3860 |
| 34-80095 | Feb. 23, 2017 | John Austin Gibson, Jr.
Other Release No.: IA-4654 |
| 34-80092 | Feb. 23, 2017 | Lee P. Vaccaro
Other Release No.: IA-4653 |
| 34-80091 | Feb. 23, 2017 | Brian S. Hudnall |
| 34-80087 | Feb. 22, 2017 | Anthony Coronati and Bidtoask LLC
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-80083 | Feb. 22, 2017 | Gregory J. Smith
Other Release No.: IC-32505 |
| 34-80078 | Feb. 22, 2017 | G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC |
| 34-80070 | Feb. 21, 2017 | UBS Financial Services Inc. of Puerto Rico
See also: Plan of Distribution; Exhibit A; Exhibit B |
| 34-80069 | Feb. 21, 2017 | Kalex Corp. |
| 34-80068 | Feb. 21, 2017 | BioNovo, Inc. InterAamerican Gaming, Inc. and Spot Mobile International Ltd. |
| 34-80067 | Feb. 21, 2017 | Accel Brands, Inc. |
| 34-80066 | Feb. 21, 2017 | MFN Technologies, Inc. |
| 34-80065 | Feb. 17, 2017 | Christopher M. Cunningham
Other Release No.: IA-4652 |
| 34-80063 | Feb. 17, 2017 | Joseph L. Pittera, Esq. |
| 34-80058 | Feb. 17, 2017 | Hydrocarb Energy Corp. |
| 33-10310 | Feb. 17, 2017 | Edward M. Daspin and a/k/a "Edward (Ed) Michael"
Other Release No.: 34-80057 |
| 33-10309 | Feb. 17, 2017 | Jay T. Comeaux
Other Release Nos.: 34-80056, IA-4651, IC-32482 |
| 34-80054 | Feb. 16, 2017 | James P. Griffin |
| 34-80053 | Feb. 16, 2017 | Angel Oak Capital Partners, LLC, et al.
See also: Administrative Summary |
| 34-80048 | Feb. 15, 2017 | Morgan Asset Management, Inc., et al. |
| 34-80039 | Feb. 14, 2017 | CVR Energy, Inc. |
| 34-80038 | Feb. 14, 2017 | Jeffrey E. Eberwein; Lone Star Value Management, et al. |
| IA-4649 | Feb. 14, 2017 | Morgan Stanley Smith Barney, LLC |
| 33-10307 | Feb. 13, 2017 | Thomas R. Stanley, II
Other Release Nos.: 34-80033, IC-32476 See also: Administrative Summary |
| 34-80027 | Feb. 13, 2017 | Sidoti & Company, LLC |
| 34-80026 | Feb. 13, 2017 | Joseph A. Nelson |
| 34-80016 | Feb. 10, 2017 | Columbia Management Investment Services Corp.
See also: Administrative Summary |
| 34-80006 | Feb. 10, 2017 | Sylvester King Jr.
Other Release Nos.: IA-4648, IC-32475 |
| 34-80005 | Feb. 9, 2017 | Jaypee International, Inc. and Sorabh Arora |
| 34-80001 | Feb. 9, 2017 | William G. Goode |
| 34-80000 | Feb. 9, 2017 | Raymond H. Barton |
| 34-79997 | Feb. 9, 2017 | Credit Suisse Alternative Capital, et al.
See also: Plan of Distribution |
| 34-79991 | Feb. 8, 2017 | Ash Narayan |
| 34-79990 | Feb. 8, 2017 | Darren Goodrich |
| IA-4647 | Feb. 8, 2017 | Jeffrey Slocum & Associates, Inc. and Jeffrey C. Slocum
See also: Administrative Summary |
| IA-4645 | Feb. 8, 2017 | Thomas A. Guerriero |
| 34-79986 | Feb. 8, 2017 | Oxford City Football Club, Inc. |
| 33-10304 | Feb. 8, 2017 | Oxford City Football Club, Inc. |
| IA-4644 | Feb. 7, 2017 | Gregg D. Caplitz |
| IA-4643 | Feb. 7, 2017 | Rosalind Herman |
| 33-10303 | Feb. 7, 2017 | Olde Monmouth Stock Transfer Co., Inc. and Matthew J. Troster
Other Release No.: 34-79985 |
| IA-4641 | Feb. 7, 2017 | SLRA Inc. as Successor Entity to Liquid Realty Advisors III, LLC and Scott M. Landress
Other Release No.: IC-32470 |
| 34-79980 | Feb. 7, 2017 | Robert S. McGregor |
| 34-79977 | Feb. 6, 2017 | Aaron Nash Kazinec
Other Release No.: IA-4640 |
| 34-79973 | Feb. 6, 2017 | Dynamic Response Group, Inc., Eagle Telephonics, Inc. and Far East Energy Corporation |
| 34-79972 | Feb. 6, 2017 | Questrust Ventures, Inc. and Zaring Homes, Inc. |
| 33-10302 | Feb. 3, 2017 | Ixia and Victor Alston
Other Release Nos.: 34-79971, AAER-3858 |
| 34-79969 | Feb. 3, 2017 | Karl E. Hahn
Other Release No.: IA-4639 |
| 34-79968 | Feb. 3, 2017 | Kirk D. Porter |
| 34-79952 | Feb. 2, 2017 | Thomas H. Caniford
Other Release No.: IA-4638 |
| 34-79943 | Feb. 2, 2017 | Fibercorp International, Inc., Hygenics Pharmaceuticals, Inc. and Investors Trust, Inc. |
| 34-79941 | Feb. 2, 2017 | AVT, Inc., et al. |
| 34-79939 | Feb. 2, 2017 | Delverton Resorts International Inc. |
| 34-79903 | Jan. 31, 2017 | David A. Aronson, CPA
Other Release No.: AAER-3857 |
| 34-79893 | Jan. 30, 2017 | Bill the Butcher, Inc. |
| IA-4630 | Jan. 30, 2017 | GL Investment Services, LLC |
| IA-4629 | Jan. 30, 2017 | GL Capital Partners, LLC |
| IA-4627 | Jan. 27, 2017 | Harvey Altholtz |
| 34-79888 | Jan. 27, 2017 | Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
See also: Proposed Plan of Distribution |
| 34-79882 | Jan. 26, 2017 | Citigroup Global Markets, Inc.
Other Release No.: IA-4626 |
| 34-79881 | Jan. 26, 2017 | Sandra Dyche |
| 34-79880 | Jan. 26, 2017 | Anderson Bradshaw PLLC, et al.
Other Release No.: AAER-3856 |
| 34-79879 | Jan. 26, 2017 | Palestra Capital Management LLC
Other Release No.: IA-4625 |
| 34-79875 | Jan. 25, 2017 | Richard Medina, Jr. |
| 33-10294 | Jan. 25, 2017 | Infeed Medica Corp. |
| 33-10293 | Jan. 25, 2017 | Windsor Street Capital, et al.
Other Release Nos.: 34-79877, IC-32451 |
| IA-4624 | Jan. 24, 2017 | Hans Peter Black and Interinvest Corporation, Inc. |
| 33-10291 | Jan. 24, 2017 | Jan E. Helen
Other Release Nos.: 34-79870, IA-4623, IC-32434 |
| 34-79867 | Jan. 24, 2017 | Geoffrey J. Block
Other Release Nos.: IA-4622, IC-32430 |
| 34-79866 | Jan. 24, 2017 | Sandra Dyche See also: Plan of Distribution |
| 33-10290 | Jan. 24, 2017 | Morgan Stanley Smith Barney LLC |
| 33-10288 | Jan. 24, 2017 | Citigroup Global Markets, Inc. |
| 34-79856 | Jan. 23, 2017 | Donald P. Jones, CPA
Other Release No.: AAER-3854 |
| 34-79855 | Jan. 23, 2017 | Shelly R. McGuire, CPA
Other Release No.: AAER-3853 |
| 34-79854 | Jan. 23, 2017 | Ane Plate
Other Release No.: IA-4621 |
| 33-10286 | Jan. 23, 2017 | Overseas Shipholding Group, Inc. and Myles Robert Itkin
Other Release Nos.: 34-79857, AAER-3855 |
| IA-4620 | Jan. 19, 2017 | Bob Brakeman Enterprises, LLC and Robert D. Brakeman
Other Release No.: IC-32429 |
| 34-79850 | Jan. 19, 2017 | VCAP Securities, LLC and Brett Thomas Graham |
| 34-79848 | Jan. 19, 2017 | Susan M. Diamond
Other Release Nos.: IA-4619, IC-32428 See also: Administrative Summary |
| 34-79847 | Jan. 19, 2017 | Andrew Scott Jensen |
| 34-79844 | Jan. 19, 2017 | HomeStreet, Inc. and Darrell Van Amen
Other Release No.: AAER-3852 |
| 33-10285 | Jan. 18, 2017 | Mer Telemanagement Solutions Ltd.
Other Release No.: 34-79827 See also: Administrative Summary |
| 33-10284 | Jan. 18, 2017 | Eytan Bar
Other Release No.: 34-79826 See also: Administrative Summary |
| 34-79828 | Jan. 18, 2017 | Orthofix International N.V.
Other Release No.: AAER-3851 |
| 34-79825 | Jan. 18, 2017 | General Motors Company
Other Release Nos.: AAER-3850 |
| 34-79820 | Jan. 18, 2017 | Kenneth Mack and Bryan McMillan
Other Release No.: AAER-3848 |
| 34-79819 | Jan. 18, 2017 | Brian McCollum
Other Release No.: AAER-3847 |
| 33-10283 | Jan. 18, 2017 | MDC Partners Inc.
Other Release Nos.: 34-79823, AAER-3849 |
| 33-10282 | Jan. 18, 2017 | Jeffrey Hammel, CPA
Other Release Nos.: 34-79817, AAER-3846 |
| 33-10281 | Jan. 18, 2017 | Orthofix International N.V.
Other Release Nos.: 34-79815, AAER-3845 |
| 34-79824 | Jan. 18, 2017 | Charles A. Bennett |
| 34-79814 | Jan. 17, 2017 | Allergan, Inc. |
| 34-79813 | Jan. 17, 2017 | Abraham M. Fisch, Esq. |
| 34-79804 | Jan. 17, 2017 | BlackRock, Inc. |
| IA-4618 | Jan. 17, 2017 | Gregory W. Gray, Jr. |
| IA-4617 | Jan. 17, 2017 | Adams Capital Management, Inc. |
| IA-4616 | Jan. 17, 2017 | Aisling Capital LLC |
| IA-4615 | Jan. 17, 2017 | Commonwealth Venture Management Corp. |
| IA-4614 | Jan. 17, 2017 | Alta Communications, Inc. |
| IA-4613 | Jan. 17, 2017 | Cypress Advisors, Inc. |
| IA-4612 | Jan. 17, 2017 | NGN Capital LLC |
| IA-4611 | Jan. 17, 2017 | Lime Rock Management LP |
| IA-4610 | Jan. 17, 2017 | FFL Partners, LLC |
| IA-4609 | Jan. 17, 2017 | The Banc Funds Company, L.L.C. |
| IA-4608 | Jan. 17, 2017 | Pershing Square Capital Management, L.P. |
| 34-79803 | Jan. 13, 2017 | Haidar Capital Management, LLC, Haidar Capital Advisors, LLC and Said N. Haidar |
| 34-79799 | Jan. 13, 2017 | Gregg R. Mulholland |
| 34-79795 | Jan. 13, 2017 | Sociedad Quimica Y Minera De Chile and S.A. |
| 34-79794 | Jan. 13, 2017 | Morgan Stanley Smith Barney, LLC
Other Release No.: IA-4607 |
| 33-10280 | Jan. 13, 2017 | Citadel Securities LLC
Other Release No.: 34-79790 |
| 34-79789 | Jan. 13, 2017 | Q Lotus Holdings, Inc. and Spare Backup, Inc. |
| 34-79788 | Jan. 13, 2017 | AIC International Resources Corp. and Stellar Metals, Inc. |
| 34-79787 | Jan. 13, 2017 | Cantab Pharmaceuticals PLC, et al. |
| 34-79786 | Jan. 13, 2017 | Sierra Resource Group, Inc. |
| 34-79785 | Jan. 13, 2017 | Global Earth Energy, Inc. |
| 34-79777 | Jan. 12, 2017 | The Bank of New York Mellon Corporation |
| 34-79780 | Jan. 12, 2017 | Biomet, Inc.
Other Release No.: AAER-3843 |
| 33-10279 | Jan. 12, 2017 | ITG Inc.
Other Release No.: 34-79776 |
| 34-79772 | Jan. 11, 2017 | L3 Technologies, Inc.
Other Release No.: AAER-3844 |
| IA-4604 | Jan. 10, 2017 | Centre Partners Management, LLC
See also: Administrative Summary |
| 33-10278 | Jan. 10, 2017 | The Port Authority of New York, New Jersey |
| 34-79765 | Jan. 10, 2017 | Larry Lee Crawford, CPA
Other Release No.: AAER-3842 |
| 34-79757 | Jan. 9, 2017 | Essex Financial Services, Inc.
Other Release No.: IA-4603 |
| 34-79756 | Jan. 9, 2017 | Peter Hershman, Esq.
Other Release Nos.: IA-4602, IC-32417 |
| 34-79755 | Jan. 9, 2017 | John W. Rafal
Other Release Nos.: IA-4601, IC-32416 |
| 34-79754 | Jan. 6, 2017 | UBS Financial Services Inc. of Puerto Rico See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice Comments received are available for this proposed plan. |
| 34-79753 | Jan. 6, 2017 | Cadbury Limited and Mondelez International, Inc.
Other Release No.: AAER-3841 See also: Administrative Summary |
| 34-79727 | Jan. 4, 2017 | Capital Preferred Yield Fund-III, LP, Clearly Canadian Beverage Corp. and Diversinet Corp. |
| 34-79723 | Jan. 3, 2017 | Elliot R. Berman, CPA and Berman & Company, P.A.
See also: Administrative Summary |