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.

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Date Sort ascending	Respondents
Dec. 28, 2017	Abakan, Inc. Car Monkeys Group CN Dragon Corp. Western Graphite, Inc. Release No. 34-82419 File Number: 3-18327
Dec. 27, 2017	Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan Release No. 34-82410 File Number: 3-17791
Dec. 27, 2017	Focus Media Holding Limited and Jason Jiang Release No. 34-82411 See Also: Distribution Plan File Number: 3-16852
Dec. 27, 2017	American Nano Silicon Technologies, Inc. American Soil Technologies, Inc. Andalay Solar, Inc. Crimson Forest Entertainment Group, Inc. Release No. 34-82412 File Number: 3-18326
Dec. 26, 2017	Global Digital Solutions, Inc. Release No. 34-82404 File Number: 3-18325
Dec. 22, 2017	Daniel Rivas Release No. 34-82393 File Number: 3-18321
Dec. 22, 2017	Alan Shortall Release No. 33-10449, 34-82395 File Number: 3-18322
Dec. 22, 2017	Southwind Associates of NJ, Inc. (d/b/a Villafranco Wealth Management), William Villafranco and Anthony LaPeruta Release No. 34-82397, IA-4834 See Also: Administrative Summary File Number: 3-18323
Dec. 22, 2017	Train, Babcock Advisors LLC Release No. 34-82399, IA-4835 File Number: 3-18324
Dec. 22, 2017	Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim Release No. 34-82400 File Number: 3-1513400
Dec. 22, 2017	Team Financial Asset Management, LLC, Team Financial Managers, Inc. and James L. Dailey Release No. 33-10448, IA-4833, IC-32951 File Number: 3-18320
Dec. 21, 2017	TPG Capital Advisors, LLC Release No. IA-4830 File Number: 3-18317
Dec. 21, 2017	Merrill Lynch, Pierce, and Fenner & Smith Incorporated Release No. 34-82382, IA-4831 See Also: Administrative Summary File Number: 3-18318
Dec. 21, 2017	Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. Release No. 34-82383, IA-4832 File Number: 3-18319
Dec. 19, 2017	Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation. Release No. 34-82369 File Number: 3-18219
Dec. 19, 2017	Courtlin L. Holt-Nguyen Release No. IA-4828 File Number: 3-18312
Dec. 19, 2017	Matrix Capital Markets, LLC and Nicholas M. Mitsakos Release No. 34-82361, IA-4829 File Number: 3-18311
Dec. 14, 2017	Derik J. Todd, et al. Release No. 34-82329 File Number: 3-17672
Dec. 14, 2017	Augustine Capital Management LLC (f/k/a Augustine Capital Management Inc.) Porter, John T. Duszynski, Thomas F. , CPA Release No. 34-82330 File Number: 3-17740
Dec. 14, 2017	Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company Release No. 34-82333 File Number: 3-12372
Dec. 13, 2017	Justin D. Meadlin Release No. IA-4827 File Number: 3-18309
Dec. 12, 2017	Provectus Biopharmaceuticals, Inc. Release No. 34-82292 File Number: 3-18306
Dec. 12, 2017	Peter R. Culpepper, CPA Release No. 34-82293, AAER-3916 File Number: 3-18308
Dec. 12, 2017	William J. Peiffer, Esq. Release No. 34-82294 File Number: 3-18307
Dec. 11, 2017	Munchee Inc. Release No. 33-10445 File Number: 3-18304
Dec. 11, 2017	Coastal Equities, Inc. and Coastal Investment Advisors, Inc. Release No. 34-82282, IA-4826 See Also: Administrative Summary File Number: 3-18305
Dec. 8, 2017	Ameriprise Financial Services, Inc. Release No. 34-82244, IA-4822 File Number: 3-18301
Dec. 8, 2017	Horter Investment Management, LLC Release No. IA-4823 File Number: 3-18302
Dec. 8, 2017	Institutional Investor Advisers, Inc. Release No. 33-10443, IA-4824, IC-32937 File Number: 3-18303
Dec. 8, 2017	Robin Glen Charlet Release No. 34-82242 File Number: 3-18299
Dec. 8, 2017	Steven William Sparks Release No. 34-82243 File Number: 3-18300
Dec. 7, 2017	William J. Pulte Release No. 34-82233 See Also: Administrative Summary File Number: 3-18298
Dec. 7, 2017	American Express Financial Corporation (now known as AmeripriseFinancial, Inc.) Release No. 34-82231 File Number: 3-12114
Dec. 5, 2017	Gregory Davis, CPA Release No. 34-82215, AAER-3914 File Number: 3-11890
Dec. 5, 2017	Robert W. Davis (CPA) Release No. 34-82220, AAER-3915 File Number: 3-14113
Dec. 5, 2017	William P. Carlson, Jr. Release No. IA-4821 File Number: 3-18297
Dec. 5, 2017	Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation. Release No. 34-82222 File Number: 3-18219
Dec. 5, 2017	Brahman Capital Corp. Release No. IA-4819 File Number: 3-18295
Dec. 5, 2017	Paritosh Gupta, et al. Release No. IA-4820 File Number: 3-18296
Dec. 4, 2017	Rahuldev Gandhi, CPA Release No. 34-82208, AAER-3913 File Number: 3-18294
Dec. 4, 2017	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. 34-82206, AAER-3911 File Number: 3-18292
Dec. 4, 2017	Richard J. Koch, CPA Release No. 34-82207, AAER-3912 File Number: 3-18293
Dec. 1, 2017	EZTD Inc. Release No. 34-82195 File Number: 3-17673
Dec. 1, 2017	Credit Suisse Securities (USA) LLC; Sanford Michael Katz, Credit Suisse Securities (USA) LLC and Sanford Michael Katz Release No. 34-82200 File Number: 3-17900, 3-17899
Nov. 30, 2017	Ivan J. A. Turrentine Release No. 34-82188 File Number: 3-18291
Nov. 30, 2017	Apex Fund Services (Us), Inc. Release No. 34-82186 File Number: 3-17300
Nov. 30, 2017	Aladdin Capital Management LLC and Aladdin Capital LLC Release No. 34-82183 See Also: Plan of Distribution File Number: 3-15134
Nov. 30, 2017	Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA Release No. 34-82187 File Number: 3-17212
Nov. 30, 2017	Howard Richards, James Goodland and Securus Wealth Management, LLC Release No. 34-82184 File Number: 3-16877, 3-16878
Nov. 30, 2017	Thaddeus Bereday Release No. 33-10441, 34-82179, AAER-3910 File Number: 3-18290
Nov. 30, 2017	Weatherford International PLC, et al., Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Release No. 34-82185 File Number: 3-17582, 3-17628
Nov. 29, 2017	Palladino, James M. Release No. 34-82177 File Number: 3-18119
Nov. 27, 2017	Jon L. Frank Release No. 34-82154, AAER-3909 File Number: 3-18289
Nov. 27, 2017	Edward D. Jones & Co., L.P. Release No. 34-82157 File Number: 3-16751
Nov. 22, 2017	Hartford Investment Financial Services, et al. Release No. 33-10438, 34-82151, IA-4813, IC-32906 File Number: 3-12476
Nov. 22, 2017	Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C., IV Release No. IA-4812, IC-32905 File Number: 3-16554
Nov. 20, 2017	Penn, Lawrence E., III Release No. IA-4811 File Number: 3-18288
Nov. 20, 2017	Weatherford International PLC, et al. Release No. 34-82121 File Number: 3-17582
Nov. 20, 2017	Taberna Capital Management, LLC, Michael Fralin and Raphael Licht Release No. 34-82124 File Number: 3-16776
Nov. 20, 2017	David N. Fuselier Release No. 34-82117 File Number: 3-18287
Nov. 20, 2017	Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC Release No. 34-82133 File Number: 3-11818
Nov. 20, 2017	CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. Release No. 34-82118 File Number: 3-11578
Nov. 17, 2017	Nathan Whitney Drage, Esq. Release No. 34-82106 File Number: 3-18284
Nov. 17, 2017	Michael C. Sabatino, CPA Release No. 34-82110, AAER-3907 File Number: 3-18285
Nov. 16, 2017	UBS Willow Management L.L.C. and UBS Fund Advisor L.L.C. Release No. 34-82096 File Number: 3-16909
Nov. 16, 2017	Integrated Freight Corporation Release No. 34-82104 File Number: 3-18011
Nov. 15, 2017	Experience Art and Design, Inc. Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.) Heavy Earth Resources, Inc. Horne International, Inc. Release No. 34-82089 File Number: 3-18173
Nov. 15, 2017	Gamzio Mobile, Inc. Gold Hill Resources, Inc. Release No. 34-82093 File Number: 3-18170
Nov. 14, 2017	Osunkwo, David I., Esq. Release No. 34-82070 File Number: 3-18280
Nov. 14, 2017	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. 33-10436, 34-82069 File Number: 3-18061
Nov. 14, 2017	Paul Behrens, CPA Release No. 33-10437, 34-82073, AAER-3906 File Number: 3-18281
Nov. 14, 2017	IMK GROUP, INC. Mobilebits Holdings Corporation National Energy Services, Inc. Power of the Dream Ventures Inc. Release No. 34-82079 File Number: 3-18203
Nov. 13, 2017	Wells Fargo Advisors, LLC Release No. 34-82054 See Also: Administrative Summary File Number: 3-18279
Nov. 9, 2017	Millennium Partners, L.P. Millennium Management, L.L.C. Millennium International Management, L.L.C. Englander, Israel Feeney, Terence Stone, Fred Pillai, Kovan Release No. 34-82046 File Number: 3-12116
Nov. 9, 2017	Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. Release No. 34-82047 File Number: 3-16757
Nov. 8, 2017	Feng, Hui, Esq. Law Offices of Feng & Associates P.C. Release No. 34-82039 File Number: 3-18278
Nov. 8, 2017	Baccam, Patric Ken a/k/a Khanh Sengpraseuth Release No. 34-82030, IA-4809 File Number: 3-18276
Nov. 8, 2017	Ferrone, Stephen D. Release No. 34-82033 File Number: 3-18277
Nov. 6, 2017	Donald H. Ellison Release No. 34-82015, IA-4807 File Number: 3-18275
Nov. 6, 2017	IN Media Corporation New Media Insight Group, Inc. Pacific Sands, Inc. Saleen Automotive, Inc. Release No. 34-82023 File Number: 3-18206
Nov. 3, 2017	James P. Kolf Release No. 34-82010, IA-4806 File Number: 3-18274
Nov. 3, 2017	Tamer F. Moumen Release No. IA-4805 File Number: 3-18273
Nov. 3, 2017	American-Swiss Capital, Inc. Aquilarts, Inc. Avalon Holding Group, Inc. Broadstreet Power, Inc. (f/k/a Summer Valley Acquisition Corp.) Release No. 34-82011 File Number: 3-18156
Nov. 2, 2017	Focus Media Holding Limited and Jason Jiang Release No. 34-82002 See Also: Proposed Plan of Distribution Comments Due: 30 days from date of this Notice File Number: 3-16852
Nov. 2, 2017	Southwest Securities, Inc. Release No. 34-82000 File Number: 3-11793
Nov. 2, 2017	Goelzer Investment Management, Inc. and Gregory W. Goelzer Release No. 34-82001 File Number: 3-15400
Oct. 31, 2017	Smith, Jeffrey D. Carswell, Joseph Fullard, Michael W. Release No. 34-81983 File Number: 3-18271
Oct. 31, 2017	Millennium Management LLC Release No. 34-81989 File Number: 3-18272
Oct. 27, 2017	UBS Financial Services, Inc. Release No. 33-10433, 34-81974, IA-4803 See Also: Administrative Summary File Number: 3-18270
Oct. 26, 2017	Kenneth P. Krueger (Corrected) Release No. 33-10430, 34-81964, IA-4802 File Number: 3-18266
Oct. 26, 2017	Canterbury Consulting, Inc. Release No. 34-81959, IA-4801 File Number: 3-18269
Oct. 26, 2017	Artemus Mayor Release No. 33-10431, 34-81965 See Also: Administrative Summary File Number: 3-18267
Oct. 26, 2017	Perry H. Beaumont Release No. 34-81960 File Number: 3-18234
Oct. 26, 2017	Artemus Mayor Release No. 33-10432, 34-81966 See Also: Administrative Summary File Number: 3-18268
Oct. 26, 2017	Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc. Release No. 34-81961 File Number: 3-11814
Oct. 26, 2017	Augustine Capital Management LLC (f/k/a Augustine Capital Management Inc.) Porter, John T. Duszynski, Thomas F. , CPA Release No. IA-4800, IC-32883, AAER-3904 See Also: Administrative Summary File Number: 3-17740
Oct. 26, 2017	YourPeople, Inc., dba Zenefits FTW Insurance Services and Parker Conrad Release No. 33-10429 See Also: Administrative Summary File Number: 3-18263
Oct. 26, 2017	Harold J. Swart, Jr. Release No. 34-81954, AAER-3903 File Number: 3-18264
Oct. 24, 2017	Success Holding Group International, Inc. Release No. 34-81939 File Number: 3-18231
Oct. 23, 2017	Keenan, Brian J. Release No. IA-4799 File Number: 3-18212

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