Administrative Proceedings

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

Third Quarter | Second Quarter | First Quarter

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Release No. Date Respondents

Third Quarter

34-83627 Jul. 13, 2018 Genesis Associates Limited Partnership
34-83626 Jul. 13, 2018 FP Resources USA Inc. and Lobster Point Holdings Limited
34-83622 Jul. 12, 2018 Anton & Chia, LLP, et al.
Other Release No.: AAER-3951
IA-4967 Jul. 12, 2018 John B. Engebretson
34-83621 Jul. 12, 2018 Credit Suisse Securities (USA) LLC; Sanford Michael Katz
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-83620 Jul. 12, 2018 Patrick J. Gray
Other Release No.: AAER-3950
34-83615 Jul. 10, 2018 Ralph Willard Savoie
Other Release No.: IA-4966
IA-4964 Jul. 10, 2018 Leonard S. Schwartz
See also: Administrative Summary
IA-4963 Jul. 10, 2018 HBA Advisors, LLC and Jaime Enrique Biel
See also: Administrative Summary
IA-4962 Jul. 10, 2018 Brian S. Eyster
See also: Administrative Summary
IA-4961 Jul. 10, 2018 William M. Greenfield
See also: Administrative Summary
IA-4960 Jul. 10, 2018 Oaktree Capital Management, L.P.
IA-4959 Jul. 10, 2018 EnCap Investments L.P.
IA-4958 Jul. 10, 2018 Sofinnova Ventures, Inc.
34-83613 Jul. 10, 2018 Romano Brothers & Company
Other Release No.: IA-4965
See also: Administrative Summary
34-83611 Jul. 10, 2018 Matthew C. Woodard
Other Release No.: IA-4957
33-10517 Jul. 10, 2018 Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA
Other Release Nos.: 34-83612, AAER-3949
See also: Administrative Summary
34-83610 Jul. 9, 2018 Egan-Jones Ratings Company
34-83608 Jul. 9, 2018 Porter B. Bingham
34-83607 Jul. 9, 2018 Malachi Financial Products, Inc.
34-83606 Jul. 9, 2018 Andrew B Calhoun Jr.
34-83605 Jul. 9, 2018 Andrew B Calhoun IV
34-83604 Jul. 6, 2018 Eugene Terracciano
Other Release Nos.: IA-4956, IC-33151
34-83603 Jul. 6, 2018 Roger S. Zullo
Other Release No.: IA-4955
34-83602 Jul. 6, 2018 Michael Johnson
Other Release Nos.: IA-4954, IC-33150
34-83598 Jul. 6, 2018 Daniel Burgess
34-83593 Jul. 5, 2018 Credit Suisse Group AG
Other Release No.: AAER-3948
34-83581 Jul. 2, 2018 The Dow Chemical Company
Other Release No.: AAER-3947
See also: Administrative Summary
33-10516 Jul. 2, 2018 KBR, Inc.
Other Release Nos.: 34-83578, AAER-3946
34-83575 Jul. 2, 2018 Beam Inc., n/k/a Beam Suntory Inc.
Other Release No.: AAER-3944
See also: Administrative Summary
34-83574 Jun. 29, 2018 Green Parts International, Inc., et al.

Second Quarter

IA-4952 Jun. 29, 2018 THL Managers V, LLC and THL Managers VI, LLC
IA-4951 Jun. 29, 2018 Aisling Capital LLC
See also: Administrative Summary
IA-4950 Jun. 29, 2018 Bruce A. Hauptman and Grand Teton Capital Management, LLC
Other Release No.: IC-33143
See also: Administrative Summary
34-83571 Jun. 29, 2018 Morgan Stanley Smith Barney LLC
Other Release No.: IA-4953
34-83565 Jun. 29, 2018 Cantor Fitzgerald & Co.
34-83564 Jun. 29, 2018 Barry T. Eisenberg
34-83563 Jun. 29, 2018 Philip A. Noto II
34-83562 Jun. 29, 2018 Alexander Capital, L.P.
34-83556 Jun. 28, 2018 Bayes Capital, LLC
34-83552 Jun. 28, 2018 Jon B. Schmidhammer
Other Release No.: IA-4949
33-10511 Jun. 25, 2018 Wells Fargo Advisors, LLC
Other Release Nos.: 34-83508, IA-4947
34-83503 Jun. 25, 2018 Derik J. Todd, et al.
34-83502 Jun. 25, 2018 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
34-83497 Jun. 22, 2018 Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan
See also: Distribution Plan
34-83496 Jun. 22, 2018 Apex Fund Services (US), Inc.
34-83488 Jun. 20, 2018 Development Capital Group, Inc., et al.
34-83487 Jun. 20, 2018 FuelNation, Inc. and 3D Total Solutions, Inc.
34-83473 Jun. 19, 2018 California Mines Corp., Cindisue Mining Corp. and Dune Energy, Inc.
34-83472 Jun. 19, 2018 Canwealth Minerals Corp., Cubed, Inc. and Enviro Cleanse, Inc.
34-83470 Jun. 19, 2018 Escalera Resources Co. and Force Minerals Corp.
34-83469 Jun. 19, 2018 Radiant Oil & Gas, Inc., Tungsten Corp. and Well Power, Inc.
34-83461 Jun. 19, 2018 Pasquale Rubbo
34-83460 Jun. 19, 2018 Nicholas Rubbo
33-10507 Jun. 19, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release Nos.: 34-83462, IA-4944
34-83434 Jun. 19, 2018 Ronald A. Fossum Jr.
Other Release No.: IA-4943
34-83459 Jun. 18, 2018 Bryan Lee Addington
Other Release No.: IA-4942
34-83448 Jun. 14, 2018 Joseph Mangiapane, Jr.
34-83443 Jun. 14, 2018 DeVere USA, Inc.
34-83437 Jun. 14, 2018 MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
34-83436 Jun. 14, 2018 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
See also: Distribution Plan
34-83428 Jun. 14, 2018 RSM US LLP
Other Release No.: AAER-3943
See also: Administrative Summary
34-83433 Jun. 14, 2018 MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
IA-4941 Jun. 14, 2018 William Jordan
34-83427 Jun. 13, 2018 America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc.
IA-4940 Jun. 13, 2018 Eric Erb
34-83420 Jun. 12, 2018 Solo International, Inc., Urban Hydroponics, Inc. and Your Event, Inc.
34-83408 Jun. 12, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated
IA-4939 Jun. 8, 2018 Larry Werbel (Corrected)
34-83399 Jun. 8, 2018 Nachman Aaron Troodler, Esq.
IA-4938 Jun. 7, 2018 Richard W. Kessler
34-83394 Jun. 7, 2018 Jason A. Halek
34-83391 Jun. 6, 2018 Michael J. Mona, Jr.
Other Release No.: AAER-3942
34-83382 Jun. 5, 2018 Gary W. Freeman
Other Release Nos.: IA-4935, IC-33116
33-10504 Jun. 5, 2018 Constant Contact, Inc. and Endurance International Group Holdings, Inc.
Other Release No.: 34-83377
See also: Administrative Summary
34-83375 Jun. 4, 2018 China Education Alliance, Inc., DoMark International, Inc. and East Coast Diversified Corp.
34-83374 Jun. 4, 2018 Altona Resources, Inc., Apex 10, Inc. and Clone Algo, Inc.
34-83373 Jun. 4, 2018 Fern Holdings Corp., et al.
34-83371 Jun. 4, 2018 Christopher C. Burtraw
Other Release No.: IA-4936
34-83364 Jun. 4, 2018 MiddleCove Capital, LLC and Noah L. Myers
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
IA-4934 Jun. 4, 2018 Barbara A. Endres
IA-4933 Jun. 4, 2018 deVere USA, Inc.
IA-4932 Jun. 4, 2018 Lyxor Asset Management, Inc.
See also: Administrative Summary
IA-4931 Jun. 1, 2018 Veteri Place Corporation
IA-4930 Jun. 1, 2018 Rose Park Advisors, LLC
IA-4929 Jun. 1, 2018 RLJ Equity Partners, LLC
IA-4928 Jun. 1, 2018 Prescott General Partners LLC
IA-4927 Jun. 1, 2018 HEP Management Corporation
IA-4926 Jun. 1, 2018 Elm Partners Management LLC
IA-4925 Jun. 1, 2018 Ecosystem Investment Partners LLC
IA-4924 Jun. 1, 2018 Cherokee Investment Partners LLC
IA-4923 Jun. 1, 2018 CAI Managers & Co., L.P.
IA-4922 Jun. 1, 2018 Bristol Group, Inc.
IA-4921 Jun. 1, 2018 Brahma Management, Ltd.
IA-4920 Jun. 1, 2018 Biglari Capital LLC
IA-4919 Jun. 1, 2018 Bachrach Asset Management Inc.
34-83358 May 31, 2018 George Doumanis
34-83354 May 31, 2018 Earnest H. (Woody) Delong, Esq.
34-83348 May 30, 2018 Emanuel Pantelakis
IA-4916 May 29, 2018 Gregory M. Bercowy
33-10501 May 29, 2018 Alexander Kon
Other Release No.: 34-83336
34-83335 May 29, 2018 Content Checked Holdings, Inc., e.Digital Corp. and Liberty Coal Energy Corp.
34-83334 May 25, 2018 Mullan Agritech, Inc., ReliaBrand, Inc. and UBL Interactive, Inc.
34-83333 May 25, 2018 Maxwell Technologies, Inc., et al.
34-83331 May 25, 2018 Tobin J. Senefeld
IA-4915 May 24, 2018 Perry A. Gruss
34-83329 May 24, 2018 Radiant Oil & Gas, Inc., Tungsten Corp. and Well Power, Inc.
34-83327 May 24, 2018 Mass Hysteria Entertainment Company, Inc., Stark Naked Bobbers and TOA Holdings, Inc.
IA-4914 May 24, 2018 Aberon Capital Management, LLC and Joseph Krigsfeld
Other Release No.: IC-33107
33-10500 May 24, 2018 Arthur Kaplan
34-83316 May 24, 2018 John C. Knight
34-83314 May 23, 2018 Mullan Agritech, Inc., ReliaBrand, Inc. and UBL Interactive, Inc.
34-83312 May 23, 2018 Solo International, Inc., Urban Hydroponics, Inc. and Your Event, Inc.
34-83304 May 23, 2018 Adam S. Tracy, Esq.
IA-4913 May 22, 2018 Tibor Klein
34-83301 May 21, 2018 Baltia Air Lines, Inc., et al.
34-83299 May 21, 2018 Green Parts International, Inc., et al.
34-83297 May 21, 2018 COPsync, Inc., et al.
34-83291 May 21, 2018 Lisa A. Esposito
34-83283 May 17, 2018 American Nano Silicon Technologies, Inc.
34-83288 May 17, 2018 Prospect Ventures, Inc., Starnet Pacific Co. Ltd. and Sunburst Acquisitions VI, Inc.
34-83287 May 17, 2018 Arrow Cars International, Inc., CDEX, Inc. and EFactor Group Corp.
34-83285 May 17, 2018 Apptigo International, Inc., et al.
34-83281 May 17, 2018 Play La Inc. and Titan Trading Analytics, Inc.
33-10497 May 17, 2018 Manhattan Transfer Registrar Company and John C. Ahearn
Other Release No.: 34-83267
See also: Administrative Summary
34-83266 May 16, 2018 Abakan, Inc., Car Monkeys Group and Western Graphite, Inc.
34-83264 May 16, 2018 America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc.
34-83262 May 16, 2018 Solaris Power Cells, Inc., Stragenics, Inc. and Ultimate Rack Inc.
34-83261 May 16, 2018 CN Dragon Corp.
34-83260 May 16, 2018 China Precision Steel, Inc.
34-83253 May 16, 2018 Industrial and Commercial Bank of China Financial Services, LLC
34-83252 May 16, 2018 Jerard Basmagy
34-83251 May 16, 2018 Chardan Capital Markets, LLC
34-83249 May 15, 2018 Sonora Resources Corp.
34-83245 May 15, 2018 Hedgebrook, JayHawk Energy, Inc. and Rubicon Financial, Inc.
34-83234 May 15, 2018 Angela Rubbo Beckcom Monaco
33-10496 May 15, 2018 Timothy C. Scarpino
Other Release Nos.: 33-83236, IC-33097
33-10495 May 15, 2018 Mark A. Karow and Legend Securities, Inc.
Other Release Nos.: 33-83235, IC-33096
34-83232 May 14, 2018 Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.), Green Innovations Ltd. and Red Giant Entertainment, Inc.
34-83215 May 11, 2018 Steven J. Dykes
34-83213 May 10, 2018 Longwei Petroleum Investment Holding Limited
34-83212 May 10, 2018 Jason J. Lee and Law Offices of Jason J. Lee & Associates
IA-4911 May 10, 2018 Yasuna Murakami
34-83191 May 9, 2018 Barcelona Strategies, LLC and Mario Hinojosa
Other Release No.: IC-33093
34-83189 May 8, 2018 Content Checked Holdings, Inc., e.Digital Corp. and Liberty Coal Energy Corp.
IA-4910 May 8, 2018 Steven Ku
33-10494 May 8, 2018 Visium Asset Management, LP
Other Release Nos.: 34-83186, IA-4909
34-83184 May 7, 2018 Baltia Air Lines, Inc., et al.
34-83180 May 7, 2018 Keith Houlihan
34-83179 May 7, 2018 Anthony Coronati and Bidtoask, LLC
34-83178 May 7, 2018 Paul W. Smith
Other Release No.: IA-4908
34-83176 May 4, 2018 Joseph A. Rubbo
34-83173 May 4, 2018 Daniel H. Glick, CPA
Other Release No.: IA-4907
34-83172 May 4, 2018 Gray Financial Group, Inc., et al.
33-10492 May 4, 2018 Shae Yatta Harper, Esq.
Other Release No.: 34-83171
34-83170 May 4, 2018 David T. Leboe, CPA
Other Release No.: AAER-3941
34-83169 May 4, 2018 Kevin W. McAleer, CPA
Other Release No.: AAER-3940 
34-83168 May 4, 2018 Winter, Kloman, Moter & Repp, S.C., et al.
Other Release Nos.: IA-4906, AAER-3939
34-83164 May 3, 2018 Gary Yin
Other Release No.: IA-4905
34-83162 May 3, 2018 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
IA-4903 May 2, 2018 Lauramarie Colangelo
34-83151 May 2, 2018 Douglas A. McClain, Jr.
34-83140 May 1, 2018 Kevin Hamilton
Other Release No.: IA-4901
34-83136 Apr. 30, 2018 Revolutionary Concepts, Inc.
34-83135 Apr. 30, 2018 Universal Bioenergy, Inc.
34-83133 Apr. 30, 2018 Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-83131 Apr. 30, 2018 Apex Fund Services (US), Inc.
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-83128 Apr. 30, 2018 Panasonic Corporation
Other Release No.: AAER-3938
34-83130 Apr. 30, 2018 David Alcorn
IA-4900 Apr. 27, 2018 Howard B. Present
34-83123 Apr. 27, 2018 Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
See also: Distribution Plan
34-83121 Apr. 26, 2018 Tobin J. Senefeld
IC-33087 Apr. 26, 2018 SEI Investments Global Funds Services
34-83111 Apr. 26, 2018 Ikenna Ikokwu
Other Release No.: IA-4899
34-83110 Apr. 26, 2018 Winning the Money Game with Ike, Inc.
IA-4898 Apr. 26, 2018 Christopher M. Lee, aka Rashid K. Khalfani
33-10489 Apr. 25, 2018 ChinAmerica Andy Movie Entertainment Media Company
Other Release No.: 34-83109
33-10488 Apr. 25, 2018 AF Ocean Investment Management Company
Other Release No.: 34-83108
33-10487 Apr. 25, 2018 Andy Z. Fan
Other Release No.: 34-83107
34-83099 Apr. 25, 2018 Oriental Dragon Corp.
IA-4896 Apr. 24, 2018 WCAS Management Corporation
See also: Administrative Summary
33-10485 Apr. 24, 2018 Altaba Inc. and f/d/b/a Yahoo! Inc.
Other Release Nos.: 34-83096, AAER-3937
34-83095 Apr. 23, 2018 Ambicom Holdings, Inc., et al.
IA-4895 Apr. 23, 2018 Martin Shkreli
34-83090 Apr. 23, 2018 Gregory John Tuthill
IA-4894 Apr. 23, 2018 Jeremy R. Lundin
34-83088 Apr. 23, 2018 The Dun & Bradstreet Corporation
Other Release No.: AAER-3936
See also: Administrative Summary
34-83087 Apr. 23, 2018 Marilynjean Interactive Inc.
34-83078 Apr. 20, 2018 Mark P. French
Other Release No.: IA-4892
IA-4890 Apr. 20, 2018 Steven M. Simmons
34-83070 Apr. 19, 2018 Gemini Fund Services, LLC
34-83069 Apr. 19, 2018 Gemini Fund Services, LLC
34-83068 Apr. 19, 2018 Jeremy A. Licht d/b/a JL Capital Management
34-83067 Apr. 19, 2018 Medifirst Solutions, Inc. and Bruce J. Schoengood
Other Release No.: AAER-3935
See also: Administrative Summary
34-83056 Apr. 17, 2018 Scott Newsholme
Other Release No.: IA-4886
34-83052 Apr. 16, 2018 Jason A. Wallace
34-83053 Apr. 16, 2018 Douglas Nelson
IA-4885 Apr. 16, 2018 Arlington Capital Management, Inc. and Joseph F. LoPresti
IA-4884 Apr. 12, 2018 Michael S. Moses
33-10482 Apr. 12, 2018 Li, Company, PC and Tony Zhicong Li, CPA
Other Release Nos.: 34-83036, AAER-3934
33-10481 Apr. 12, 2018 Wellness Center USA, Inc.
Other Release No.: 34-83035
33-10480 Apr. 12, 2018 Matthew T. Mushlin
Other Release Nos.: 34-83034, IC-33072
34-83030 Apr. 10, 2018 Laura Pendergest-Holt
Other Release No.: IA-4883
34-83023 Apr. 9, 2018 Guardian 8 Holdings, et al.
34-83013 Apr. 9, 2018 Troy C. Baldridge
Other Release No.: IA-4882
33-10478 Apr. 9, 2018 Philip John James, CA and Kevin Silverwood, CA
Other Release Nos.: 34-83017, AAER-3933
34-83011 Apr. 9, 2018 Daryl G. Bank and Bobby D. Jones
IA-4880 Apr. 6, 2018 Charles G. Preston
IA-4879 Apr. 6, 2018 Tobias J. Preston
IA-4876 Apr. 6, 2018 Securities America Advisors, Inc.
34-83009 Apr. 6, 2018 Caleb J. Preston
Other Release No.: IA-4881
34-83004 Apr. 6, 2018 PNC Investments LLC
Other Release No.: IA-4878
34-83003 Apr. 6, 2018 Geneos Wealth Management, Inc.
Other Release No.: IA-4877
34-82998 Apr. 5, 2018 Joshua D. Mosshart
Other Release No.: IA-4874
IA-4875 Apr. 5, 2018 Clayborne Group, LLC and Dean A. Heinemann
Other Release No.: IC-33067
See also: Administrative Summary
34-82987 Apr. 4, 2018 Gregory John Tuthill
34-82986 Apr. 3, 2018 NextGlass Technologies Corporation
34-82977 Apr. 2, 2018 James Moodhe

First Quarter

34-82972 Mar. 30, 2018 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
IA-4870 Mar. 29, 2018 Howard B. Present
34-82963 Mar. 29, 2018 Kent Maerki
34-82958 Mar. 28, 2018 Eugene Terracciano
34-82957 Mar. 28, 2018 Kevin Mckenna and Robert Eide
34-82956 Mar. 28, 2018 Aegis Capital Corporation
34-82954 Mar. 27, 2018 Wedbush Securities, Inc. (Corrected)
34-82953 Mar. 27, 2018 Timary Delorme
34-82951 Mar. 27, 2018 JH Darbie & Co., Inc. and Robert Y. Rabinowitz
See also: Administrative Summary
33-10472 Mar. 27, 2018 Maxwell Technologies, Inc., et al.
Other Release Nos.: 34-82950, AAER-3932
34-82946 Mar. 26, 2018 Kinross Gold Corporation
Other Release No.: AAER-3930
34-82933 Mar. 22, 2018 Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan
33-10471 Mar. 22, 2018 Robert L. Baker, et al.
Other Release Nos.: 34-82929, IC-33050
34-82902 Mar. 19, 2018 Howard Richards; James Goodland, and Securus Wealth Management, LLC
34-82898 Mar. 19, 2018 Electronic Transaction Clearing, Inc.
34-82893 Mar. 16, 2018 New Global Energy, Inc.
34-82882 Mar. 15, 2018 John W. Adams and AIP, LLC
34-82880 Mar. 15, 2018 David Gray
34-82877 Mar. 14, 2018 Edmund W. Bailey
34-82862 Mar. 13, 2018 KPMG
Other Release No.: AAER-3929
34-82861 Mar. 13, 2018 Deloitte & Touche Chartered Accountants
Other Release No.: AAER-3928
34-82860 Mar. 13, 2018 KPMG Inc.
Other Release No.: AAER-3927
34-82859 Mar. 13, 2018 BDO Canada LLP (f/k/a BDO Dunwoody LLP)
Other Release No.: AAER-3926
33-10469 Mar. 12, 2018 Credit Karma, Inc.
See also: Administrative Summary
34-82849 Mar. 9, 2018 Elbit Imaging Ltd.
Other Release No.: AAER-3925
See also: Administrative Summary
34-82839 Mar. 9, 2018 Gregg Z. Schonhorn
34-82838 Mar. 9, 2018 Deborah D. Kelley
34-82840 Mar. 9, 2018 Robert Joseph Ritch
34-82837 Mar. 8, 2018 Voya Investments, LLC and Directed Services LLC
Other Release No.: IA-4868
34-82835 Mar. 8, 2018 Howard Richards; James Goodland and Securus Wealth Management, LLC
33-10465 Mar. 8, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release No.: 34-82826
See also: Waiver, Release No. 33-10466
IA-4866 Mar. 7, 2018 DMS Advisors, Inc.
34-82818 Mar. 7, 2018 Peter R. Kohli
Other Release No.: IA-4865
34-82821 Mar. 7, 2018 Eric Lovy f/k/a Eric Beltran
34-82816 Mar. 6, 2018 Valor Capital Asset Management, LLC and Robert Mark Magee
Other Release Nos.: IA-4864, IC-33039
33-10463 Mar. 6, 2018 New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc.
Other Release No.: 34-82808
34-82806 Mar. 5, 2018 Jacob W. L. Stocking
IA-4863 Mar. 5, 2018 Financial Fiduciaries, LLC and Thomas Batterman
34-82805 Mar. 5, 2018 Edwin Shaw, LLC
33-10462 Feb. 28, 2018 Ameriprise Financial Services, Inc.
Other Release Nos.: 34-82792, IA-4862
IA-4861 Feb. 28, 2018 Stefan Lumiere
34-82783 Feb. 27, 2018 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
33-10461 Feb. 26, 2018 Steven Zoernack and Equitystar Capital Management, LLC
Other Release Nos.: 34-82773, IA-4859, IC-33034
34-82768 Feb. 23, 2018 Derik J. Todd, et al.
34-82767 Feb. 23, 2018 Stephen M. Hicks
Other Release No.: IA-4858
34-82764 Feb. 22, 2018 Blacksands Petroleum, Inc., et al.
34-82762 Feb. 22, 2018 Affirmative Insurance Holdings, Inc., et al.
See also: Chinese Version
IA-4857 Feb. 22, 2018 Commonwealth Advisors, Inc. and Walter A. Morales
34-82745 Feb. 21, 2018 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
34-82744 Feb. 21, 2018 Alan Weinberg, CPA and Weinberg & Baer LLC
Other Release No.: AAER-3924
34-82743 Feb. 21, 2018 Jonathan Strum, Esq.
34-82742 Feb. 20, 2018 American Nano Silicon Technologies, Inc., et al.
33-10458 Feb. 16, 2018 Barry Mcknight Skinner and Dynamic Intelligence, Inc.
34-82736 Feb. 16, 2018 Simcha Baer, CPA
Other Release No.: AAER-3922
34-82722 Feb. 15, 2018 Credit Suisse Securities (USA) LLC; Sanford Michael Katz
34-82718 Feb. 14, 2018 China Precision Steel, Inc. and Golden River Resources Corp.
34-82717 Feb. 14, 2018 Canwealth Minerals Corp., et al.
34-82711 Feb. 14, 2018 Daryl G. Bank and Bobby D. Jones
34-82710 Feb. 14, 2018 Brian S. Block, CPA
Other Release No.: AAER-3920
34-82707 Feb. 13, 2018 Ambicom Holdings, Inc., et al.
34-82703 Feb. 13, 2018 James R.J. Scheltema
34-82695 Feb. 13, 2018 Altona Resources, Inc., et al.
34-82694 Feb. 12, 2018 Ara Chackerian
34-82691 Feb. 12, 2018 Jay Mac Rust, Esq.
34-82688 Feb. 12, 2018 Jay Mac Rust, Esq.
34-82686 Feb. 12, 2018 Deutsche Bank Securities Inc. and Benjamin Solomon
34-82681 Feb. 9, 2018 Thomas J. Buck
Other Release No.: IA-4856
34-82680 Feb. 9, 2018 Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
34-82677 Feb. 9, 2018 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
See also: Distribution Plan
34-82668 Feb. 8, 2018 Victor M. Dandridge, III
Other Release No.: IA-4855
34-82651 Feb. 7, 2018 Thomas Osmonde Russell, III Esq.
IA-4854 Feb. 7, 2018 Banc One Investment Advisors Corporation and Mark A. Beeson
Other Release No.: IC-33004
IA-4853 Feb. 7, 2018 Michael S. Moses
34-82639 Feb. 6, 2018 California Mines Corp., Cindisue Mining Corp. and Dune Energy, Inc.
34-82634 Feb. 6, 2018 John T. Lynch, Jr.
Other Release No.: IC-33001
See also: Administrative Summary
34-82632 Feb. 5, 2018 Andrew H. Wilson, Esq.
34-82630 Feb. 5, 2018 Wedbush Securities Inc.
Other Release No.: IA-4852
See also: Administrative Summary and Waiver Order
34-82624 Feb. 2, 2018 Craig Karlis
34-82621 Feb. 1, 2018 Scott Walter Christensen
34-82619 Feb. 1, 2018 Thomas Edward Andrews
34-82610 Feb. 1, 2018 Canwealth Minerals Corp., et al.
IA-4851 Jan. 31, 2018 Mohlman Asset Management, LLC and Louis G. Mohlman, Jr.
34-82605 Jan. 30, 2018 American Nano Silicon Technologies, Inc., et al.
34-82603 Jan. 30, 2018 Daniel T. Fischer
34-82595 Jan. 29, 2018 Credit Suisse Securities (USA) LLC; Sanford Michael Katz
34-82590 Jan. 26, 2018 Augustine Capital Management, et al.
33-10454 Jan. 23, 2018 Americafirst Capital Management, LLC, Rick A. Gonsalves and Robert L. Clark
Other Release No.: IA-4848
See also: Administrative Summary
IA-4847 Jan. 22, 2018 Gemini Fund Services, LLC
34-82557 Jan. 22, 2018 Brian Sweet, CPA
Other Release No.: AAER-3919
34-82556 Jan. 22, 2018 Cynthia Holder, CPA, et al.
Other Release No.: AAER-3918
34-82554 Jan. 19, 2018 Justin Samuel Cary, CPA
Other Release No.: AAER-3917
34-82539 Jan. 19, 2018 John V. Bivona
Other Release No.: IA-4846
34-82536 Jan. 18, 2018 EMRISE Corp.
34-82535 Jan. 18, 2018 Bankrate, Inc.; Hyunjin Lerner, CPA
34-82533 Jan. 18, 2018 Industrial and Commercial Bank of China Financial Services LLC
See also: Administrative Summary
34-82528 Jan. 18, 2018 Frank G. Mazzola
Other Release No.: IA-4845
34-82527 Jan. 18, 2018 Altona Resources, Inc., et al.
34-82525 Jan. 17, 2018 American Nano Silicon Technologies, Inc., et al.
34-82511 Jan. 17, 2018 David B. Kaplan, Esq.
34-82510 Jan. 17, 2018 David B. Kaplan, Esq.
34-82509 Jan. 17, 2018 John Tarpinian
Other Release No.: IA-4844
34-82507 Jan. 17, 2018 Ambicom Holdings, Inc., et al.
34-82485 Jan. 11, 2018 Anthony P. Chiera and Jeffrey R. Belfiore
Other Release No.: IA-4843
See also: Administrative Summary
33-10452 Jan. 9, 2018 Punch TV Studios, Inc.
34-82463 Jan. 8, 2018 Blacksands Petroleum, Inc., et al.
34-82454 Jan. 8, 2018 James C. Tao
Other Release No.: IA-4841
34-82453 Jan. 8, 2018 Donna Boyd (f/k/a Donna Chen)
Other Release No.: IA-4840
34-82443 Jan. 5, 2018 Anthony A. Stovall
34-82438 Jan. 3, 2018 Khaled "Kal" Bassily
Other Release No.: IA-4837
IA-4836 Jan. 3, 2018 LKL Investment Counsel LLC (a/k/a LKL Investments, LLC) and Mark H. Love
Other Release No.: IC-32958
See also: Administrative Summary