Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Date	Respondents
Date: Oct. 23, 2013	Respondents: Stephen Derby Gisclair Release No. 34-70742, IA-3703 File Number: 3-15584
Date: Oct. 23, 2013	Respondents: Equitas Capital Advisors, LLC, et al. Release No. 34-70743, IA-3704 File Number: 3-15585
Date: Oct. 23, 2013	Respondents: Modern Portfolio Management, Inc., G. Thomas Damasco Ii, and Bryan F. Ohm Release No. IA-3702 File Number: 3-15583
Date: Oct. 23, 2013	Respondents: Huakang Zhou (a/k/a David Zhou), et al. Release No. 34-70749 File Number: 3-15586
Date: Oct. 22, 2013	Respondents: China Ritar Power Corp. Release No. 34-70729 File Number: 3-15551
Date: Oct. 22, 2013	Respondents: Aleksey P. Koval a/k/a Alexei P. Koval Release No. 34-70737, IA-3701 File Number: 3-15582
Date: Oct. 22, 2013	Respondents: OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern Release No. 34-70739 File Number: 3-14853
Date: Oct. 22, 2013	Respondents: OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern Release No. 34-70740, IC-30753 File Number: 3-14853
Date: Oct. 21, 2013	Respondents: Newtech Resources Ltd. Release No. 34-70722 File Number: 3-15576
Date: Oct. 21, 2013	Respondents: High End Ventures, Inc. Release No. 34-70724 File Number: 3-15577
Date: Oct. 21, 2013	Respondents: Peter C. Orthos Release No. 34-70727 File Number: 3-15578
Date: Oct. 21, 2013	Respondents: Gagnon, Stephen E. Release No. IA-3697 File Number: 3-15579
Date: Oct. 21, 2013	Respondents: Chiasson, Anthony Release No. IA-3698 File Number: 3-15580
Date: Oct. 21, 2013	Respondents: Newman, Todd Release No. IA-3699 File Number: 3-15581
Date: Oct. 18, 2013	Respondents: AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-70710 File Number: 3-15517
Date: Oct. 18, 2013	Respondents: Harding Advisory LLC Chau, Wing F. Release No. 33-9467, IA-3696, IC-30746 File Number: 3-15574
Date: Oct. 18, 2013	Respondents: Gallagher, Daniel J. Release No. 33-9468, 34-70712 File Number: 3-14630
Date: Oct. 18, 2013	Respondents: Philbrook, James A. Release No. 34-70716 File Number: 3-15575
Date: Oct. 17, 2013	Respondents: Anhui Taiyang Poultry Co., Inc., a/k/a The Parkview Group, Inc., et al. Release No. 34-70699 File Number: 3-15452
Date: Oct. 17, 2013	Respondents: American Energy Production, Inc. Best Energy Services, Inc. Community Central Bank Corporation Explortex Energy, Inc. HemoBioTech, Inc. Larrea Biosciences Corporation MBI Financial, Inc. Million Dollar Saloon, Inc. Release No. 34-70700 File Number: 3-15496
Date: Oct. 17, 2013	Respondents: Gignesh Movalia Release No. IA-3694 File Number: 3-15572
Date: Oct. 17, 2013	Respondents: Edwin V. Gaw Release No. IA-3695 File Number: 3-15573
Date: Oct. 16, 2013	Respondents: Bonanza One, Inc. China Century Dragon Media, Inc. Farrallon, Inc. Ora Electronics, Inc. Tia I, Inc. Tia II, Inc. Release No. 34-70690 File Number: 3-15516
Date: Oct. 16, 2013	Respondents: Knight Capital Americas LLC Release No. 34-70694 File Number: 3-15570
Date: Oct. 16, 2013	Respondents: Credit Suisse Securities USA (LLC); DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation Release No. 34-70695 File Number: 3-15098
Date: Oct. 16, 2013	Respondents: Michael J. Fulcher Release No. IA-3692 File Number: 3-15571
Date: Oct. 15, 2013	Respondents: John Micciola Release No. 34-70686 File Number: 3-15569
Date: Oct. 11, 2013	Respondents: Anasazi Capital Corp. Certified Diabetic Services, Inc. Chartwell International, Inc. (n/k/a Covalent Energy International, Inc.) China Junlian Integrated Surveillance, Inc. First Sun South Corp. FirstPlus Financial Group, Inc. Great American Hotels & Resorts, Inc. Release No. 34-70660 File Number: 3-15439
Date: Oct. 11, 2013	Respondents: Crescent Moon, Inc., et al. Release No. 34-70661 File Number: 3-15449
Date: Oct. 11, 2013	Respondents: Burton Douglas Morriss Release No. IA-3690 File Number: 3-15565
Date: Oct. 11, 2013	Respondents: Jonathan Fraiman Release No. 34-70678, IA-3691 File Number: 3-15566
Date: Oct. 11, 2013	Respondents: James C. Mulholland, Jr. Release No. 34-70679 File Number: 3-15567
Date: Oct. 11, 2013	Respondents: Thomas S. Mulholland Release No. 34-70680 File Number: 3-15568
Date: Oct. 10, 2013	Respondents: Mark Gasarch Release No. 34-70656 File Number: 3-15562
Date: Oct. 10, 2013	Respondents: John Lazorchak (CPA) Release No. 34-70658, AAER-3506 File Number: 3-15563
Date: Oct. 10, 2013	Respondents: Mark S. Cupo (CPA) Release No. 34-70659, AAER-3507 File Number: 3-15564
Date: Oct. 9, 2013	Respondents: HydroGen Corp., et al. Release No. 34-70634 File Number: 3-15464
Date: Oct. 9, 2013	Respondents: Anasazi Capital Corp. Certified Diabetic Services, Inc. Chartwell International, Inc. (n/k/a Covalent Energy International, Inc.) China Junlian Integrated Surveillance, Inc. First Sun South Corp. FirstPlus Financial Group, Inc. Great American Hotels & Resorts, Inc. Release No. 34-70635 File Number: 3-15439
Date: Oct. 9, 2013	Respondents: Mark Steven Berg Release No. 34-70640 File Number: 3-15554
Date: Oct. 9, 2013	Respondents: Martin E. Weisberg Release No. 34-70641 File Number: 3-15555
Date: Oct. 9, 2013	Respondents: Geidel, Timothy J. Release No. 34-70642, IA-3689 File Number: 3-15556
Date: Oct. 9, 2013	Respondents: Robert Petrozzo Release No. 34-70645 File Number: 3-15557
Date: Oct. 9, 2013	Respondents: Jones, Corbin Release No. 34-70646 File Number: 3-15558
Date: Oct. 9, 2013	Respondents: Morgan Stanley & Co. Incorporated Release No. 34-70648 File Number: 3-12907
Date: Oct. 9, 2013	Respondents: Peter D. Kirschner Release No. 34-70649 File Number: 3-15559
Date: Oct. 9, 2013	Respondents: Moore, Shawn H. Release No. 34-70650 File Number: 3-15560
Date: Oct. 9, 2013	Respondents: Stuart M. Rubens Release No. 34-70651 File Number: 3-15561
Date: Oct. 8, 2013	Respondents: American Energy Production, Inc. Best Energy Services, Inc. Community Central Bank Corporation Explortex Energy, Inc. HemoBioTech, Inc. Larrea Biosciences Corporation MBI Financial, Inc. Million Dollar Saloon, Inc. Release No. 34-70622 File Number: 3-15496
Date: Oct. 8, 2013	Respondents: Arn Wilson Release No. 34-70633 File Number: 3-15553
Date: Oct. 8, 2013	Respondents: Richard Lee Release No. IA-3688 File Number: 3-15552
Date: Oct. 7, 2013	Respondents: Municipal Mortgage & Equity LLC, et al. Release No. 34-70616 File Number: 3-15498
Date: Oct. 4, 2013	Respondents: China Ritar Power Corp. Release No. 34-70610 File Number: 3-15551
Date: Oct. 4, 2013	Respondents: JPMorgan Chase & Co. Release No. 34-70615 File Number: 3-15507
Date: Oct. 3, 2013	Respondents: Anasazi Capital Corp. Certified Diabetic Services, Inc. Chartwell International, Inc. (n/k/a Covalent Energy International, Inc.) China Junlian Integrated Surveillance, Inc. First Sun South Corp. FirstPlus Financial Group, Inc. Great American Hotels & Resorts, Inc. Release No. 34-70604 File Number: 3-15439
Date: Oct. 2, 2013	Respondents: GBS Com-Tech Corp. Gentia Software PLC Glengarry Holdings, Ltd. Global TeleSystems, Inc. Golden Health Holdings, Inc. Golden Vista International, Inc. Goolu, Inc. Release No. 34-70594 File Number: 3-15410
Date: Oct. 2, 2013	Respondents: Jing Xie Release No. 34-70602, AAER-3505 File Number: 3-15550
Date: Oct. 2, 2013	Respondents: Manarin Investment Counsel, Ltd., et al. Release No. 33-9462, 34-70595, IA-3686, IC-30740 File Number: 3-15549
Date: Oct. 1, 2013	Respondents: Axcess International, Inc., et al. Release No. 34-70582 File Number: 3-15470
Date: Oct. 1, 2013	Respondents: Big Bear Mining Corp., et al. Release No. 34-70583 File Number: 3-15465
Date: Oct. 1, 2013	Respondents: G-Cats Acquisition Corp. GalaGen, Inc. Galena Acquisition Corp. Garment Graphics, Inc. Release No. 34-70584 File Number: 3-15431
Date: Oct. 1, 2013	Respondents: K’s Media Release No. 34-70585 File Number: 3-15451
Date: Oct. 1, 2013	Respondents: Big Bear Mining Corp., et al. Release No. 34-70586 File Number: 3-15465
Date: Oct. 1, 2013	Respondents: Altus Pharmaceuticals, Inc., et al. Release No. 34-70587 File Number: 3-15418
Date: Oct. 1, 2013	Respondents: GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran Release No. 34-70591, 34-68869, 34-68774, 33-9315 File Number: 3-14854
Date: Oct. 1, 2013	Respondents: Cain, Philip Mark Release No. 34-70592, IA-3685 File Number: 3-15548
Date: Oct. 1, 2013	Respondents: Brewer Investment Advisor, LLC (Corrected) Release No. IA-3684 File Number: 3-15547
Date: Sept. 30, 2013	Respondents: Colorado 2001B Limited Partnership, et al. Release No. 34-70550 File Number: 3-15467
Date: Sept. 30, 2013	Respondents: Municipal Mortgage & Equity LLC, et al. Release No. 34-70551 File Number: 3-15498
Date: Sept. 30, 2013	Respondents: Rick D. Snow, CPA Release No. 34-70553, AAER-3497 File Number: 3-15531
Date: Sept. 30, 2013	Respondents: Brian D. Fox Release No. 34-70556 File Number: 3-15191
Date: Sept. 30, 2013	Respondents: John W. Jacobsen, CPA Release No. 34-70557, AAER-3498 File Number: 3-13739
Date: Sept. 30, 2013	Respondents: Michael McGrath, CPA Release No. 34-70561, AAER-3499 File Number: 3-15532
Date: Sept. 30, 2013	Respondents: Patrizio & Zhao LLC and Xinggeng (John) Zhao, CPA Release No. 34-70562, AAER-3500 File Number: 3-15534
Date: Sept. 30, 2013	Respondents: Massimo L. Martinucci Release No. 34-70563 File Number: 3-15533
Date: Sept. 30, 2013	Respondents: Malcolm L. Pollard, CPA and Malcolm L. Pollard, Inc. Release No. 34-70564, AAER-3501 File Number: 3-15535
Date: Sept. 30, 2013	Respondents: Kinross-Kennedy, John, CPA Release No. 34-70566, AAER-3502 File Number: 3-15536
Date: Sept. 30, 2013	Respondents: Wilfred W. Hanson, CPA Release No. 34-70567, AAER-3503 File Number: 3-15537
Date: Sept. 30, 2013	Respondents: McCoy, Lawrence Maxwell Release No. 34-70571, IA-3683 File Number: 3-15538
Date: Sept. 30, 2013	Respondents: Geoffrey H. Lunn Release No. 34-70572 File Number: 3-15539
Date: Sept. 30, 2013	Respondents: Adam Troy Dooly Release No. 33-9460 File Number: 3-15540
Date: Sept. 30, 2013	Respondents: Robert Patrick Stephens Release No. 33-9461, 34-70578 File Number: 3-15543
Date: Sept. 30, 2013	Respondents: Steven Scarcella Release No. 34-70576 File Number: 3-15541
Date: Sept. 30, 2013	Respondents: Craig Shapiro Release No. 34-70577 File Number: 3-15542
Date: Sept. 30, 2013	Respondents: Charles L. Rizzo and Gina M. Hornbogen Release No. 34-70573 See Also: Proposed Distribution Plan Comments received are available: https://www.sec.gov/comments/3-14641/3-14641.shtml File Number: 3-14641
Date: Sept. 30, 2013	Respondents: China Ruitai International Holdings Co., Ltd. Ma, Dian Min Ma, Gang Tian, Jin Release No. 34-70579, AAER-3504 File Number: 3-15544
Date: Sept. 30, 2013	Respondents: China Ruitai International Holdings Co., Ltd. Release No. 34-70580 File Number: 3-15545
Date: Sept. 30, 2013	Respondents: Brandolino, James L. Release No. 34-70581 File Number: 3-15546
Date: Sept. 27, 2013	Respondents: Universal Travel Group Release No. 34-70536 File Number: 3-15528
Date: Sept. 27, 2013	Respondents: Axcess International, Inc., et al. Release No. 34-70537 File Number: 3-15470
Date: Sept. 27, 2013	Respondents: Commonwealth Income & Growth Fund, Inc. and KimberlySpringsteen-Abbott Release No. 33-9459, 34-70547 File Number: 3-15529
Date: Sept. 27, 2013	Respondents: Scott London, CPA Release No. 34-70549, AAER-3496 File Number: 3-15530
Date: Sept. 26, 2013	Respondents: Camelot Entertainment Group, Inc. Cavico Corp. Global 8 Environmental Technologies, Inc. GTC Telecom Corp. ICF Corporation New NRG, Inc. Release No. 34-70506 File Number: 3-15387
Date: Sept. 26, 2013	Respondents: Colorado 2001B Limited Partnership, et al. Release No. 34-70507 File Number: 3-15467
Date: Sept. 26, 2013	Respondents: Nova Dean Pack, Esq. Release No. 34-70526 File Number: 3-15524
Date: Sept. 26, 2013	Respondents: Brian G. Elrod Release No. 34-70527, IA-3681 File Number: 3-15525
Date: Sept. 26, 2013	Respondents: Franz, George B., III Ruby Corporation Release No. 34-70533, IA-3682, IC-30736 File Number: 3-15526
Date: Sept. 26, 2013	Respondents: Ferraro, Alan Release No. 34-70534 File Number: 3-15527
Date: Sept. 25, 2013	Respondents: Axius, Inc. Release No. 34-70493 File Number: 3-15456
Date: Sept. 25, 2013	Respondents: Left Behind Games, Inc. Release No. 34-70494 File Number: 3-15522
Date: Sept. 25, 2013	Respondents: Yusaf Jawed Release No. IA-3680 File Number: 3-15523