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

 First Quarter

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Release No. Date Respondents

First Quarter

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