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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SEC Administrative Proceedings RSS Feed
| Release No. | Date | Respondents |
|---|---|---|
Third Quarter | ||
| 34-78393 | Jul. 22, 2016 | EFP Rotenberg, LLP and Nicholas Bottini, CPA
Other Release No.: AAER-3790 |
| 33-10114 | Jul. 21, 2016 | Dennis Navarra
Other Release No.: IA-4460 See also: Administrative Summary |
| 33-10113 | Jul. 21, 2016 | Concert Global Group Limited, Concert Wealth Management, Inc. and Felipe Luna
Other Release No.: IA-4459 See also: Administrative Summary |
| 34-78370 | Jul. 20, 2016 | CIHC, Inc., Conseco Services, LLC and Conseco Equity Sales, Inc. |
| 34-78366 | Jul. 20, 2016 | Scanner Technologies Corp., et al. |
| IA-4457 | Jul. 19, 2016 | Saving2Retire, LLC and Marian P. Young
See also: Administrative Summary |
| 34-78363 | Jul. 19, 2016 | Great Basin Gold Limited |
| 34-78362 | Jul. 19, 2016 | Algorex Corporation, et al. |
| IA-4456 | Jul. 18, 2016 | Washington Wealth Management, LLC See also: Administrative Summary |
| IA-4455 | Jul. 18, 2016 | Advantage Investment Management, LLC
See also: Administrative Summary |
| 34-78351 | Jul. 15, 2016 | Hewlett-Packard Company |
| 34-78350 | Jul. 15, 2016 | James Anthony Catipay, Esq. |
| 34-78349 | Jul. 15, 2016 | Franklin Bank Corporation |
| 34-78341 | Jul. 15, 2016 | The Phoenix Companies, Inc.
Other Release No.: AAER-3789 See also: Administrative Summary |
| 34-78337 | Jul. 15, 2016 | Mondeo Investments, Inc., MPEG Super Site, Inc. and Myriad International, Inc. |
| 34-78336 | Jul. 15, 2016 | Dot VN, Inc. and Global Health Voyager, Inc. |
| 34-78335 | Jul. 15, 2016 | MIT Holding, Inc. |
| IA-4453 | Jul. 14, 2016 | Riverfront Investment Group, LLC |
| 34-78322 | Jul. 14, 2016 | Gavin L. Hamels
Other Release No.: IA-4451 |
| 33-10111 | Jul. 14, 2016 | RD Legal Capital, LLC and Roni Dersovitz
Other Release Nos.: 34-78325, IA-4452, IC-32176 See also: Administrative Summary |
| 34-78320 | Jul. 14, 2016 | Cascade Technologies Corp., Echo Automotive, Inc. and Vision Industries Corp. |
| 34-78318 | Jul. 13, 2016 | Jeffrey E. Gallagher |
| 34-78307 | Jul. 13, 2016 | HII Technologies, Inc. |
| 34-78296 | Jul. 12, 2016 | Mitchell H. Fillet |
| 34-78291 | Jul. 12, 2016 | Citigroup Global Markets, Inc. |
| 34-78288 | Jul. 11, 2016 | Breitling Energy Corporation |
| 34-78287 | Jul. 11, 2016 | Johnson Controls, Inc.
See also: Administrative Summary |
| 34-78275 | Jul. 11, 2016 | Jason Bo-Alan Beckman
Other Release No.: IA-4450 |
| 34-78282 | Jul. 11, 2016 | Bitcoin Investment Trust and Secondmarket, Inc.
See also: Administrative Summary |
| IA-4449 | Jul. 11, 2016 | William Emery Matthews |
| 34-78274 | Jul. 11, 2016 | Alicia M. Diaz, Esq.
Other Release No.: IA-4448 |
| 34-78273 | Jul. 11, 2016 | Blair D. Ackman, CPA
Other Release Nos.: IA-4447, AAER-3788 |
| 34-78270 | Jul. 8, 2016 | Toni Tong Chen, CPA
Other Release No.: AAER-3787 |
| 34-78269 | Jul. 8, 2016 | Toni Tong Chen, CPA (Corrected) |
| 34-78268 | Jul. 8, 2016 | Cheongwha "Heywood" Chang (Corrected) |
| 34-78258 | Jul. 8, 2016 | Easy Health Technologies Ltd., Neptune Acquisition Corp. and Segway IV Corp. |
| 34-78257 | Jul. 8, 2016 | Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) |
| 34-78256 | Jul. 8, 2016 | Numida, Inc. |
| 34-78255 | Jul. 8, 2016 | Rings to Dine For, Inc. |
| 34-78254 | Jul. 8, 2016 | Essential Telecommunications, Inc., et al. |
| 34-78231 | Jul. 6, 2016 | Dragon Bright Mintai Botanical Technology Cayman Ltd., Jinzanghuang Tibet Pharmaceuticals, Inc. and Macau Resources Group Ltd. |
| 34-78230 | Jul. 5, 2016 | Charles L. Rizzo and Gina M. Hornbogen |
| 34-78229 | Jul. 5, 2016 | Eric David Wanger |
| 34-78224 | Jul. 1, 2016 | Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. |
| 34-78217 | Jul. 1, 2016 | Eric B. Global Ventures, Inc., Parallax Diagnostics, Inc. and Secure Digital, Inc. |
Second Quarter | ||
| 34-78214 | Jun. 30, 2016 | Brady J. Speers |
| 34-78213 | Jun. 30, 2016 | Christopher A. Novinger |
| 34-78212 | Jun. 30, 2016 | Speers Financial Group, LLC |
| 34-78211 | Jun. 30, 2016 | NFS Group, LLC d/b/a Novers Financial a/k/a Safe Retirement Experts |
| 34-78210 | Jun. 30, 2016 | ICAN Investment Group, LLC |
| 34-78197 | Jun. 29, 2016 | Lee D. Weiss
Other Release No.: IA-4442 |
| 34-78190 | Jun. 29, 2016 | Clubhouse Videos, Inc., et al. |
| 34-78189 | Jun. 28, 2016 | WFG Advisors, L.P.
Other Release No.: IA-4441 |
| 33-10108 | Jun. 28, 2016 | Jan E. Helen
Other Release Nos.: 34-78185, IA-4440, IC-32165 See also: Administrative Summary |
| 34-78173 | Jun. 28, 2016 | North East Capital, LLC and Anthony T. Vicidomine |
| 34-78170 | Jun. 28, 2016 | Patrick G. Mackaronis
Other Release No.: IA-4438 |
| 33-10106 | Jun. 27, 2016 | Allen Perres
Other Release No.: 34-78166 |
| 34-78160 | Jun. 27, 2016 | James Anthony Catipay |
| 34-78159 | Jun. 27, 2016 | Longwei Petroleum Investment Holding Limited |
| 34-78147 | Jun. 23, 2016 | Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. Other Release Nos.: IA-4435, IC-32160 |
| 34-78145 | Jun. 23, 2016 | Timothy Quintanilla, CPA
Other Release No.: AAER-3785 |
| 34-78142 | Jun. 23, 2016 | William Tirrell
Other Release Nos.: IA-4434, IC-32159 |
| 34-78141 | Jun. 23, 2016 | Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. |
| 33-10103 | Jun. 23, 2016 | Merrill Lynch, Pierce and Fenner & Smith Incorporated |
| 34-78140 | Jun. 23, 2016 | Rebornne (USA) Inc. |
| 34-78138 | Jun. 23, 2016 | Caspian International Oil Corporation, et al. |
| 34-78136 | Jun. 23, 2016 | Coastal Pacific Mining Corp. and Petaquilla Minerals Ltd. |
| 34-78133 | Jun. 22, 2016 | Computer Sciences Corporation, et al. |
| 34-78128 | Jun. 22, 2016 | Simpson Hughes Financial, LLC and Mark C. Simpson
Other Release Nos.: IA-4433, IC-32158 |
| 34-78118 | Jun. 21, 2016 | Steven J. Muehler, et al. |
| 34-78115 | Jun. 21, 2016 | Galileo Petroleum Ltd., Hyperion Acquisition Corp. and Satori Beverages International, Ltd. |
| 34-78114 | Jun. 21, 2016 | Feltl & Company, Inc. |
| 34-78113 | Jun. 21, 2016 | Analogic Corporation and Lars Frost
Other Release No.: AAER-3784 |
| 34-78100 | Jun. 17, 2016 | North East Capital, LLC and Anthony T. Vicidomine
See also: Amended Plan of Distribution |
| 33-10101 | Jun. 17, 2016 | Larry C. Grossman
Other Release Nos.: 34-78099, IA-4432, IC-32153 |
| 34-78097 | Jun. 17, 2016 | Gregory G. Jones |
| 34-78096 | Jun. 17, 2016 | Gregory G. Jones |
| 34-78095 | Jun. 17, 2016 | Eric David Wanger |
| 34-78092 | Jun. 16, 2016 | Essential Telecommunications, Inc., et al. |
| 34-78087 | Jun. 16, 2016 | Rohit Bansal
Other Release No.: IA-4430 |
| IA-4429 | Jun. 16, 2016 | Apex Fund Services (US), Inc. |
| IA-4428 | Jun. 16, 2016 | Apex Fund Services (US), Inc. |
| IA-4423 | Jun. 15, 2016 | Richard W. Davis Jr. |
| 34-78085 | Jun. 15, 2016 | Clark S. Gardner
Other Release No.: IA-4426 |
| 34-78084 | Jun. 15, 2016 | Jonathan E. Rosenberg
Other Release No.: IA-4425 |
| 34-78083 | Jun. 15, 2016 | David L. Post |
| 33-10097 | Jun. 15, 2016 | Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4427, IC-32150 |
| 33-10096 | Jun. 15, 2016 | Thomas C. Gonnella
Other Release Nos.: 34-78082, IA-4424, IC-32149 |
| 34-78073 | Jun. 15, 2016 | Advanced Life Sciences Holdings, Inc., et al. |
| 34-78072 | Jun. 15, 2016 | CONCERTSBYU.COM, INC., Freedom Bancshares, Inc. and MetaMorphix Inc. |
| 34-78071 | Jun. 15, 2016 | Efim Aksanov |
| 34-78070 | Jun. 15, 2016 | Cascade Technologies Corp., Echo Automotive, Inc. and Vision Industries Corp. |
| 34-78068 | Jun. 15, 2016 | MIT Holding, Inc. |
| IA-4422 | Jun. 14, 2016 | Alan H. Gold |
| 34-78077 | Jun. 14, 2016 | 2 West, Inc., et al. |
| 34-78054 | Jun. 13, 2016 | School Business Consulting, Inc. and Terrance Bradley
Other Release No.: IC-32147 |
| 34-78053 | Jun. 13, 2016 | Keygent LLC, Anthony Hsieh and Chet Wang |
| IC-32151 | Jun. 13, 2016 | The Bank of New York Mellon (Corrected Release Number)
See also: Administrative Summary |
| 34-78042 | Jun. 13, 2016 | American Life, Inc. and Henry G. Liebman |
| 33-10094 | Jun. 13, 2016 | Behruz Afshar, et al.
Other Release Nos.: IC-32144, 34-78043 See also: Administrative Summary |
| IA-4419 | Jun. 10, 2016 | Daniel Thibeault |
| 34-78033 | Jun. 10, 2016 | Alliance Capital Management, LP |
| 34-78030 | Jun. 10, 2016 | ICON Capital LLC f/k/a ICON Capital Corporation
Other Release No.: AAER-3783 See also: Administrative Summary |
| 34-78028 | Jun. 9, 2016 | Focus Media Holding Limited and Jason Jiang |
| 33-10093 | Jun. 8, 2016 | Ethiopian Electric Power |
| 34-78022 | Jun. 8, 2016 | Eric B. Global Ventures, Inc., Parallax Diagnostics, Inc. and Secure Digital, Inc. |
| 34-78021 | Jun. 8, 2016 | Morgan Stanley Smith Barney LLC
Other Release No.: IA-4415 |
| 34-78020 | Jun. 8, 2016 | Galen J. Marsh
Other Release No.: IA-4414 |
| 34-78017 | Jun. 8, 2016 | IEC Electronics Corp., Ronald J. Years, CPA and Donald S. Doody
Other Release No.: AAER-3782 |
| 33-10092 | Jun. 7, 2016 | Frazer Frost, et al.
Other Release Nos.: 34-78010, AAER-3781 |
| 33-10091 | Jun. 7, 2016 | Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78009, AAER-3780 |
| 33-10090 | Jun. 7, 2016 | Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78008, AAER-3779 |
| 33-10089 | Jun. 7, 2016 | Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-78007, AAER-3778 |
| 34-78006 | Jun. 7, 2016 | Focus Media Holding Limited and Jason Jiang |
| 34-78002 | Jun. 7, 2016 | UBS Financial Services Incorporated of Puerto Rico |
| 34-77999 | Jun. 7, 2016 | Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc. |
| 34-77997 | Jun. 6, 2016 | Silberstein Ungar PLLC, et al.
Other Release No.: AAER-3777 See also: Administrative Summary |
| 34-77987 | Jun. 3, 2016 | Joseph Denard Reid (a/k/a Reid Joseph Denard), et al. |
| 34-77986 | Jun. 3, 2016 | Market Data Consultants, Inc., et al. |
| IA-4413 | Jun. 2, 2016 | James Caird Asset Management LLP and Timothy G. Leslie
See also: Administrative Summary |
| 34-77985 | Jun. 2, 2016 | Computer Sciences Corporation, et al. |
| 34-77981 | Jun. 2, 2016 | Steve Koifman |
| 34-77980 | Jun. 2, 2016 | Sandra Dyche |
| 33-10087 | Jun. 2, 2016 | Donald J. Stoecklein, Esq.
Other Release No.: 34-77979 See also: Administrative Summary |
| 34-77972 | Jun. 1, 2016 | Jack H. Halperin |
| 34-77971 | Jun. 1, 2016 | Albert Fried & Company, LLC |
| 34-77968 | Jun. 1, 2016 | Craig Medoff |
| 33-10085 | Jun. 1, 2016 | Jane E. Starrett, CPA
Other Release Nos.: 34-77967, AAER-3776 |
| 34-77959 | Jun. 1, 2016 | Blackstreet Capital Management, LLC and Murry N. Gunty
Other Release No.: IA-4411 |
| 34-77953 | May 31, 2016 | China VantagePoint Acquisition Co., Citizens Community Bancorp, Inc. and Solis Pharma US, Inc. |
| IA-4406 | May 31, 2016 | Steven R. Markusen and Jay C. Cope |
| IA-4401 | May 27, 2016 | Federated Global Investment Management Corp.
See also: Administrative Summary |
| IA-4399 | May 27, 2016 | Biscayne Capital International, LLC, et al.
Other Release No.: IC-32130 See also: Administrative Summary |
| 34-77940 | May 27, 2016 | Elsinore Capital II, Ltd., EPS Solutions Corp., and Free DA Connection Systems, Inc. (a/k/a Free DA Connection Services, Inc., a/k/a Earthshine International Ltd.) |
| 34-77939 | May 27, 2016 | Disaster Preparedness Systems, Inc., Electric Moto Corp. and EMO Corp. |
| 33-10083 | May 26, 2016 | Harding Advisory LLC and Wing F. Chau
Other Release Nos.: IA-4395, IC-32128 |
| IA-4394 | May 26, 2016 | Jacqueline J. Stanfill |
| 34-77924 | May 26, 2016 | Bankrate, Inc. |
| 33-10082 | May 25, 2016 | American Registrar & Transfer Company and Christopher Day Other Release Nos.: 34-77922, IC-32126 |
| 34-77900 | May 25, 2016 | DE Acquisition 5, Inc., DE Acquisition 11, Inc., and GimmeaBid.Com, Inc.(a/k/a Gimmeabid Com Inc.) |
| 34-77894 | May 24, 2016 | Greenpower International Group Ltd. and Hauge Technology, Inc. |
| 34-77893 | May 24, 2016 | China Unistone Acquisition Corp. and Ideal Restaurant Group, Inc. |
| 33-10081 | May 24, 2016 | Swisher Hygiene Inc.
Other Release Nos.: 34-77887, AAER-3775 |
| 34-77882 | May 20, 2016 | John J. Aesoph, CPA and Darren M. Bennett, CPA
Other Release No.: AAER-3774 |
| 34-77868 | May 20, 2016 | Dragon Bright Mintai Botanical Technology Cayman Ltd., JinZangHuang Tibet Pharmaceuticals, Inc. and Macau Resources Group Ltd. |
| 34-77866 | May 20, 2016 | Bodisen Biotech, Inc., et al. |
| 34-77865 | May 20, 2016 | China Rongxin Chemical Holding Group, Inc., and Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.) |
| 34-77864 | May 20, 2016 | Chardan China Acquisition Corp. and Garden Bay International, Ltd. |
| IA-4391 | May 19, 2016 | Brian J. Ourand
Other Release No.: IC-32119 |
| 33-10080 | May 19, 2016 | James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC
Other Release Nos.: 34-77862, IA-4389, IC-32118 See also: Administrative Summary |
| 34-77852 | May 18, 2016 | Salvatore Renaldi |
| 34-77851 | May 18, 2016 | Mark A. Lopez
See also: Administrative Summary |
| 34-77842 | May 16, 2016 | Eric David Wanger |
| 34-77834 | May 16, 2016 | Digiblue Media, Inc., et al. |
| 34-77832 | May 13, 2016 | Stephan Von Hase
Other Release No.: IA-4387 |
| 34-77828 | May 13, 2016 | Shearson Financial Network, Inc., et al. |
| 34-77827 | May 13, 2016 | Easylink Information Technology Co., Ltd. |
| 34-77826 | May 12, 2016 | John Steven Blount
Other Release No.: IA-4386 |
| 34-77816 | May 12, 2016 | American Express Financial Corporation (now known as Ameriprise Financial, Inc.) |
| 34-77806 | May 11, 2016 | GroveWare Technologies Ltd., Luve Sports, Inc. and Northcore Technologies, Inc. |
| 34-77805 | May 11, 2016 | Li-ion Motors Corp. (a/k/a Terra Inventions Corp.), PetroHunter Energy Corp. and Shrink Nanotechnologies, Inc. |
| 34-77802 | May 10, 2016 | Greg Ruehle |
| 34-77788 | May 10, 2016 | Texstar Oil Corporation and Bonamour, Inc. |
| IA-4384 | May 9, 2016 | David Brochu |
| 34-77768 | May 5, 2016 | Stalin Antonio Asenjo |
| 34-77767 | May 5, 2016 | Wentworth IV, Inc., et al. |
| 34-77764 | May 4, 2016 | CelLynx Group, Inc., Dot VN, Inc. and Global Health Voyager, Inc. |
| 34-77763 | May 4, 2016 | RSL Communications Ltd., et al. |
| 34-77762 | May 4, 2016 | Giant Resources, Inc. and Rush Exploration, Inc. |
| 34-77760 | May 4, 2016 | EQCO2, Inc., Hondo Minerals Corp. and Liberty Gold Corp. |
| 34-77755 | May 2, 2016 | MaloneBailey, LLP and Jay Phillip Norris, CPA
Other Release No.: AAER-3773 See also: Administrative Summary |
| 34-77753 | May 2, 2016 | Janice D. Rey |
| 34-77747 | Apr. 29, 2016 | Stanley D. Parrish |
| 34-77745 | Apr. 29, 2016 | Santos, Postal & Company, P.C. and Joseph A. Scolaro, CPA
Other Release Nos.: IA-4380, AAER-3772 |
| 34-77741 | Apr. 29, 2016 | Coyote Resources, Inc., et al. |
| 34-77739 | Apr. 29, 2016 | Pioneer Exploration, Inc., Premier Brands, Inc. and Private Media Group, Inc. |
| IA-4379 | Apr. 27, 2016 | Roger S. Bliss |
| IA-4378 | Apr. 27, 2016 | Professional Investment Management, Inc. (Corrected) |
| 34-77730 | Apr. 27, 2016 | Ernesto Lujan |
| 34-77729 | Apr. 27, 2016 | Jose Alejandro Hurtado |
| 34-77728 | Apr. 27, 2016 | Joseph Flores Demeneses, Jr. |
| 34-77727 | Apr. 27, 2016 | Tomas Alberto Clarke Bethancourt |
| 34-77725 | Apr. 27, 2016 | Benito Chinea |
| 34-77718 | Apr. 26, 2016 | David S. Hall, P.C. d/b/a the Hall Group CPAs, et al.
Other Release No.: AAER-3771 |
| 34-77717 | Apr. 26, 2016 | Cabela's Incorporated and Ralph W. Castner, CPA
Other Release No.: AAER-3770 See also: Administrative Summary |
| 34-77713 | Apr. 26, 2016 | Burrill Capital Management, et al. |
| 34-77712 | Apr. 26, 2016 | North East Capital, LLC and Anthony T. Vicidomine See also: Proposed Amended Plan of Distribution |
| 34-77702 | Apr. 25, 2016 | Malcolm Segal
Other Release No.: IA-4377 |
| 34-77700 | Apr. 25, 2016 | CBC Acquisition Corp. 1, China Renewable Construction Materials, Inc. and Whoopass Poker Corp. |
| 34-77696 | Apr. 22, 2016 | Levi D. Lindemann |
| 34-77689 | Apr. 22, 2016 | Caleb J. White |
| 34-77686 | Apr. 22, 2016 | Bailey Frances Corp., Kingly Chateau Corp. and Lucy's Water World, Inc. |
| 34-77685 | Apr. 22, 2016 | DCI Telecommunications, Inc., et al. |
| 34-77684 | Apr. 22, 2016 | 99 Cent Stuff, Inc., et al. |
| 34-77672 | Apr. 21, 2016 | Gold Hills Mining, Ltd., et al. |
| 34-77670 | Apr. 21, 2016 | CelLynx Group, Inc., Dot VN, Inc. and Global Health Voyager, Inc. |
| 34-77668 | Apr. 21, 2016 | China Ticket Center, Inc., et al. |
| 34-77667 | Apr. 21, 2016 | Oldwebsites.com, Inc., et al. |
| 34-77666 | Apr. 21, 2016 | Eight-Eight Acquisition Corp. I, Eight-Eight Acquisition Corp. II and Eight-Eight Acquisition Corp. III |
| 34-77665 | Apr. 20, 2016 | Gerry G. Zobrist, Esq. |
| IA-4374 | Apr. 20, 2016 | Daniel N. Ginsparg
Other Release No.: IC-32089 |
| 34-77663 | Apr. 20, 2016 | Joann Jackson
Other Release No.: IA-4373 |
| 34-77657 | Apr. 20, 2016 | Laura P. Messenbaugh, CPA
Other Release No.: AAER-3768 |
| 34-77656 | Apr. 20, 2016 | Diversified Health & Fitness, Inc., et al. |
| 34-77653 | Apr. 19, 2016 | Daniel Christian Stanley Powell |
| 34-77649 | Apr. 19, 2016 | TPG Advisors LLC d/b/a The Phillips Group Advisors and Larry M. Phillips
Other Release Nos.: IA-4372, IC-32076 See also: Administrative Summary |
| 34-77648 | Apr. 19, 2016 | Bruce A. Hartshorn
Other Release Nos.: IA-4371, IC-32075 See also: Administrative Summary |
| 34-77646 | Apr. 19, 2016 | Robert D. Hesselgesser, CPA
Other Release No.: AAER-3767 |
| 34-77644 | Apr. 19, 2016 | Logitech International, et al.
Other Release No.: AAER-3765 |
| 33-10068 | Apr. 19, 2016 | Ener1, Inc., et al.
Other Release Nos.: 34-77645, AAER-3766 |
| IA-4370 | Apr. 15, 2016 | Hudson Capital Partners Corporation |
| 34-77630 | Apr. 15, 2016 | Paul Leon White, II
Other Release No.: IA-4369 |
| 34-77627 | Apr. 15, 2016 | Daytona Systems, Inc. and Equitel, Inc. |
| 34-77626 | Apr. 14, 2016 | Devon C. McLean |
| 34-77625 | Apr. 14, 2016 | Reid S. Johnson
Other Release Nos.: IA-4368, IC-32073 See also: Administrative Summary |
| 34-77624 | Apr. 14, 2016 | Citigroup Alternative Investment LLC and Citigroup Global Markets Inc. |
| 34-77622 | Apr. 14, 2016 | Mondeo Investments, Inc., MPEG Super Site, Inc. and Myriad International, Inc. |
| 34-77618 | Apr. 14, 2016 | Arthur F. Jacob, CPA and Innovative Business Solutions, LLC
Other Release Nos.: IA-4367, IC-32072 |
| 34-77616 | Apr. 14, 2016 | DC Brands International, Inc. |
| 34-77615 | Apr. 14, 2016 | China Holdings Group, Inc., et al. |
| 34-77598 | Apr. 13, 2016 | Gregory L. Merrick
Other Release No.: IA-4366 |
| 34-77597 | Apr. 13, 2016 | Map IV Acquisition, Inc., Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc. |
| 34-77596 | Apr. 12, 2016 | INTL FCStone Inc.
Other Release No.: AAER-3764 |
| 34-77595 | Apr. 12, 2016 | Craig Scott Capital, LLC, Craig S. Taddonio and Brent M. Porges
See also: Administrative Summary |
| 34-77566 | Apr. 8, 2016 | Jabari W. Ragas
Other Release No.: IA-4364 |
| 34-77563 | Apr. 8, 2016 | Go Green Smokeless Oil International, Inc., et al. |
| 34-77562 | Apr. 8, 2016 | USA Graphite, Inc. |
| 34-77560 | Apr. 8, 2016 | Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.), et al. |
| 34-77559 | Apr. 7, 2016 | Morgan Stanley & Co. Incorporated |
| 34-77555 | Apr. 7, 2016 | Las Vegas Sands Corp. |
| 34-77546 | Apr. 6, 2016 | Thomas E. Skypeck |
| 34-77544 | Apr. 6, 2016 | Expleo Solutions, Inc. and Numida, Inc. |
| 34-77542 | Apr. 6, 2016 | Thakkar CPA, PLLC, et al.
Other Release No.: AAER-3763 |
| 34-77541 | Apr. 6, 2016 | Levi D. Lindemann |
| 34-77534 | Apr. 6, 2016 | Downer's Gap, Inc. (a/k/a Downers Gap, Inc.), and DST Media, Inc. |
| 34-77533 | Apr. 6, 2016 | Yayi International, Inc. | IA-4363 | Apr. 5, 2016 | Daniel Rivera
See also: Administrative Summary |
| 34-77532 | Apr. 5, 2016 | James A. White Other Release No.: AAER-3762 |
| 34-77531 | Apr. 5, 2016 | William H. Caughran, Esq. |
| 34-77528 | Apr. 5, 2016 | Alexander R. Bastron
Other Release No.: IA-4362 See also: Administrative Summary |
| IA-4361 | Apr. 5, 2016 | Cambridge Investment Research Advisors, Inc.
See also: Administrative Summary |
| 34-77525 | Apr. 5, 2016 | Steve Pappas |
| 34-77519 | Apr. 5, 2016 | Raymon G. Chadwick, Jr. |
| 34-77517 | Apr. 5, 2016 | Terry W. Johnson |
| 34-77515 | Apr. 5, 2016 | Bioject Medical Technologies, Inc., et al. |
| 34-77514 | Apr. 5, 2016 | Bravo Resource Partners, Ltd., et al. |
| 34-77513 | Apr. 4, 2016 | The Application of Kenny Akindemowo for Review of Disciplinary Action Taken by FINRA |
| 34-77498 | Apr. 1, 2016 | American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.) |
| 34-77497 | Apr. 1, 2016 | American Express Financial Corporation (Now Known as Ameriprise Financial, Inc.)
See Also: Proposed Plan of Distribution |
First Quarter | ||
| 34-77496 | Mar. 31, 2016 | Clubhouse Videos, Inc., et al. |
| 33-10061 | Mar. 31, 2016 | Navistar International Corporation
Other Release No.: 34-77490 See Also: Litigation Release |
| 34-77486 | Mar. 31, 2016 | James E. Neilsen |
| 34-77485 | Mar. 31, 2016 | Kevin I. Zinn |
| 34-77482 | Mar. 31, 2016 | Lenco Mobile, Inc. |
| 34-77473 | Mar. 30, 2016 | Burrill Capital Management, et al.
Other Release Nos.: AAER-3761, IA-4360, IC-32060 |
| 34-77472 | Mar. 30, 2016 | Sino Oil & Gas Pipe Holdings Ltd. |
| 34-77471 | Mar. 30, 2016 | Buncombe, Inc., Cotton Bay Holdings, Inc. and Middlesex, Inc. |
| 34-77467 | Mar. 29, 2016 | Rings to Dine For, Inc. |
| 34-77466 | Mar. 29, 2016 | Christopher M. Gibson
Other Release Nos.: IA-4359, IC-32059 |
| 34-77462 | Mar. 28, 2016 | William Maxwell, Esq. |
| 34-77459 | Mar. 28, 2016 | Linda Yoo |
| 34-77453 | Mar. 25, 2016 | Yue Han |
| 34-77447 | Mar. 25, 2016 | Elliot R. Berman, et al.
Other Release No.: AAER-3760 See Also: Administrative Summary |
| 34-77439 | Mar. 24, 2016 | Philip Akel |
| 33-10059 | Mar. 24, 2016 | Canaccord Genuity Inc.
Other Release No.: 34-77436 See Also: Administrative Summary |
| 34-77431 | Mar. 23, 2016 | Novartis AG
Other Release No.: AAER-3759 See also: Administrative Summary |
| IA-4357 | Mar. 23, 2016 | Moazzam "Mark" Malik |
| 34-77423 | Mar. 23, 2016 | Fox Energy Corp. |
| 34-77422 | Mar. 23, 2016 | Zhong Wen International Holding Co., Ltd. |
| 34-77421 | Mar. 23, 2016 | USChina Venture I, Inc. and USChina Venture II, Inc. |
| 34-77397 | Mar. 17, 2016 | Concertsbyu.Com, Inc., Freedom Bancshares, Inc. and Metamorphix Inc. |
| 34-77393 | Mar. 17, 2016 | Kevin L. Dowd
Other Release No.: IA-4353 |
| 34-77383 | Mar. 16, 2016 | Eric J. Wolff |
| 34-77377 | Mar. 16, 2016 | RKO Resources, Inc. (a/k/a Shamika 2 Gold, Inc.) |
| 34-77376 | Mar. 16, 2016 | Cadan Resources Corp. Consolidated Global Minerals Ltd., Doreal Energy Corp. and Geocan Energy Inc. (a/k/a Arsenal Energy Inc.) |
| 34-77373 | Mar. 15, 2016 | Barry B. Clare
Other Release No.: IC-32028 See also: Administrative Summary |
| 33-10055 | Mar. 15, 2016 | ModusLink Global Solutions, et al.
Other Release Nos.: 34-77372, AAER-3758 See also: Administrative Summary |
| 34-77369 | Mar. 15, 2016 | Central States Capital Markets, LLC; Mark R. Detter; David K. Malone; and John D. Stepp
Other Release Nos.: IA-4352, IC-32027 |
| 34-77362 | Mar. 14, 2016 | Royal Alliance Associates, Inc., Sagepoint Financial, Inc. and Fsc Securities Corporation
Other Release No.: IA-4351 |
| 34-77346 | Mar. 10, 2016 | Ronald D. Ormand
Other Release Nos.: AAER-3757 |
| 34-77345 | Mar. 10, 2016 | Magnum Hunter Resources Corporation
Other Release No.: AAER-3756 |
| 34-77344 | Mar. 10, 2016 | David S. Krueger, CPA
Other Release No.: AAER-3755 |
| 34-77343 | Mar. 10, 2016 | Wayne Gray, CPA
Other Release No.: AAER-3754 |
| 34-77342 | Mar. 10, 2016 | Joseph R. Allred, CPA
Other Release No.: AAER-3753 |
| 33-10053 | Mar. 9, 2016 | Westlands Water District, Thomas W. Birmingham and Louie David Ciapponi
Other Release No.: AAER-3752 |
| 34-77327 | Mar. 9, 2016 | Banc de Binary Ltd, et al. |
| 34-77326 | Mar. 8, 2016 | Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) See also: Chinese version |
| 34-77325 | Mar. 8, 2016 | Steven H. Davis, Esq. |
| 33-10051 | Mar. 8, 2016 | Steven Zoernack and Equitystar Capital Management, LLC
Other Release Nos.: 34-77318, IA-4349, IC-32024 |
| 34-77317 | Mar. 8, 2016 | Frederick J. Birks |
| 34-77315 | Mar. 8, 2016 | Dome Holding Corp., et al. |
| 34-77314 | Mar. 8, 2016 | Dewpoint Environmental, Inc., et al. |
| 34-77313 | Mar. 8, 2016 | eCareer Holdings, Inc. |
| 33-10050 | Mar. 7, 2016 | Francis Parisi
Other Release No.: 34-77312 |
| 34-77300 | Mar. 7, 2016 | First Southwest Company, LLC |
| 34-77290 | Mar. 3, 2016 | Nordion (Canada) Inc.
See also: Administrative Summary |
| 34-77288 | Mar. 3, 2016 | Mikhail Gourevitch
See also: Administrative Summary |
| 34-77278 | Mar. 3, 2016 | Joseph Denard Reid (a/k/a Reid Joseph Denard), et al. |
| IA-4348 | Mar. 2, 2016 | Marco Investment Management, LLC and Steven S. Marco |
| 34-77273 | Mar. 2, 2016 | Elsinore Capital II, Ltd., et al. |
| 34-77272 | Mar. 2, 2016 | Natural Resources Corporation |
| 34-77271 | Mar. 1, 2016 | Devon C. Mclean |
| 34-77270 | Mar. 1, 2016 | Janice D. Rey |
| 33-10049 | Mar. 1, 2016 | J.S. Oliver Capital Management, L.P., and Mausner, Ian O.
Other Release Nos.: 34-77263, IA-4347, IC-32016 |
| 34-77262 | Mar. 1, 2016 | Peter Kuperman and QED Benchmark Management, L.L.C. |
| 34-77261 | Mar. 1, 2016 | Qualcomm Incorporated
Other Release No.: AAER-3751 |
| 34-77260 | Mar. 1, 2016 | Map IV Acquisition, Inc., Med-Zone Biotechnologies Acquisition, Inc. and Millennium Direct, Inc. |
| 34-77259 | Mar. 1, 2016 | Craig N. Salamone
See also: Administrative Summary |
| 34-77258 | Mar. 1, 2016 | Lawrence M. Gincel
See also: Administrative Summary |
| 34-77257 | Mar. 1, 2016 | Patricia Zajick Metzler, Daniel P. Metzler and Donald C. Zajick
See also: Administrative Summary |
| 34-77255 | Mar. 1, 2016 | Downer's Gap, Inc. (a/k/a Downers Gap, Inc.), et al. |
| 34-77254 | Feb. 29, 2016 | Keybanc Capital Markets Inc.
Other Release No.: AAER-3750 |
| 34-77253 | Feb. 29, 2016 | Maximillian Santos
Other Release Nos.: IA-4346, IC-32012 |
| 34-77250 | Feb. 29, 2016 | Ben Franklin Financial, Inc. (a/k/a Franklin Ben Financial, Inc.), et al. |
| 34-77244 | Feb. 26, 2016 | Joseph A. Giordano |
| 34-77238 | Feb. 25, 2016 | Chardan China Acquisition Corp. and Garden Bay International, Ltd. |
| 34-77237 | Feb. 25, 2016 | De Acquisition 5, Inc., et al. |
| 34-77231 | Feb. 25, 2016 | Timothy Quintanilla, CPA
Other Release No.: AAER-3748 |
| 34-77228 | Feb. 24, 2016 | Texstar Oil Corporation and Bonamour, Inc. |
| 34-77227 | Feb. 24, 2016 | Infrastructure International, Inc. |
| 34-77225 | Feb. 24, 2016 | Mark A. Lopez |
| 34-77224 | Feb. 24, 2016 | David S. Lee, Esq., CPA
Other Release Nos.: IA-4344, AAER-3747 |
| IA-4343 | Feb. 24, 2016 | Emanuel L. Sarris, Sr. |
| 34-77223 | Feb. 24, 2016 | Computer Sciences Corporation, et al. |
| 34-77220 | Feb. 24, 2016 | CBC Acquisition Corp. 1, et al. |
| 34-77219 | Feb. 24, 2016 | Equity Ventures Group, Inc., Games On Demand International, Inc. (a/k/a Firmware Technologies Inc.) |
| 34-77207 | Feb. 23, 2016 | Jason Maiher
Other Release No.: AAER-3746 |
| IA-4338 | Feb. 23, 2016 | Cantella & Co.
See also: Administrative Summary |
| 34-77208 | Feb. 23, 2016 | Sandra Dyche |
| 34-77206 | Feb. 23, 2016 | UBS Financial Services Incorporated of Puerto Rico |
| 33-10042 | Feb. 19, 2016 | IBC Funds, LLC
Other Release No.: 34-77195 |
| 34-77185 | Feb. 19, 2016 | Nicholas A. Prezioso |
| 34-77176 | Feb. 18, 2016 | Crucible Capital Group, Inc. and Charles Moore
Other Release No.: IC-31998 |
| 34-77167 | Feb. 17, 2016 | Ceyoniq AG (n/k/a CEYONIQ, Inc.), et al.
See Also: German Version |
| 34-77166 | Feb. 17, 2016 | Digiblue Media, Inc., et al. |
| 34-77162 | Feb. 17, 2016 | Julieta Favela Barcenas
Other Release No.: AAER-3745 |
| 34-77161 | Feb. 17, 2016 | Donald J. Glidewell, CPA
Other Release No.: AAER-3744 |
| 34-77151 | Feb. 17, 2016 | Inelco Corp. and Teliphone Corp. |
| 34-77150 | Feb. 17, 2016 | Charles P. Grom
Other Release Nos.: IA-4335, IC-31997 |
| 34-77145 | Feb. 16, 2016 | PTC Inc.
Other Release No.: AAER-3743 See Also: Deferred Prosecution Agreement for Yu Kai Yuan |
| 34-77139 | Feb. 16, 2016 | Riverdale Mining Inc. and Tresoro Mining Corp. |
| 34-77138 | Feb. 16, 2016 | African Copper Corp. and Genmed Holding Corp. |
| 34-77136 | Feb. 12, 2016 | Gregory L. Merrick
Other Release No.: IA-4334 |
| 34-77135 | Feb. 12, 2016 | China Rongxin Chemical Holding Group, Inc. and Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.) |
| 34-77134 | Feb. 12, 2016 | Louis V. Schooler |
| 34-77133 | Feb. 12, 2016 | Shearson Financial Network, Inc., et al. |
| 34-77132 | Feb. 12, 2016 | Wentworth IV, Inc., et al. |
| 34-77131 | Feb. 12, 2016 | Sandra Dyche |
| 34-77130 | Feb. 12, 2016 | UBS Financial Services Incorporated of Puerto Rico |
| 34-77115 | Feb. 11, 2016 | Aegis Capital, LLC, et al.
Other Release Nos.: IA-4333, IC-31994 |
| 33-10039 | Feb. 11, 2016 | Frazer Frost, et al.
Other Release Nos.: 34-77114, AAER-3742 See Also: Administrative Summary |
| 34-77109 | Feb. 10, 2016 | Abdallah Fadel |
| 34-77108 | Feb. 10, 2016 | Spring Hill Capital Markets, LLC, et al. |
| 34-77102 | Feb. 10, 2016 | Disaster Preparedness Systems, Inc., Electric Moto Corp. and EMO Corp. |
| 34-77101 | Feb. 10, 2016 | DE Acquisition 7, Inc., et al. |
| 34-77100 | Feb. 10, 2016 | Echelon Acquisition Corp. and FirstChina Capital, Inc. |
| 34-77099 | Feb. 9, 2016 | Phillip Cory Roberts and Bay Peak, LLC
Other Release No.: IC-31991 |
| IA-4332A | Feb. 9, 2016 | Nicholas Rowe (Corrected) See Also: Administrative Summary |
| 34-77094 | Feb. 9, 2016 | Jarrod L. Spector |
| 33-10037 | Feb. 9, 2016 | Monsanto Company, et al.
Other Release Nos.: 34-77087, AAER-3741 |
| 34-77083 | Feb. 8, 2016 | Tyson D. Williams |
| IA-4331 | Feb. 5, 2016 | Edgar R. Page and Pageone Financial, Inc.
Other Release No.: IC-31987 |
| 34-77075 | Feb. 5, 2016 | Joseph Stilwell and Stilwell Value LLC |
| 33-10036 | Feb. 5, 2016 | Bioelectronics Corp., et al.
Other Release Nos.: 34-77073, AAER-3740 |
| 34-77063 | Feb. 4, 2016 | Morgan Stanley, Co. LLC; Morgan Stanley ABS Capital I Inc.; and Morgan Stanley Mortgage Capital Holdings LLC |
| 34-77061 | Feb. 4, 2016 | CBC Acquisition Corp. 1, et al. |
| 34-77060 | Feb. 4, 2016 | Bailey Frances Corp., Kingly Chateau Corp. and Lucy's Water World, Inc. |
| 34-77059 | Feb. 4, 2016 | Mohammed Riad and Kevin Timothy Swanson
Other Release Nos.: IA-4328, IC-31984 |
| 34-77058 | Feb. 4, 2016 | SciClone Pharmaceuticals, Inc.
Other Release No.: AAER-3739 See Also: Administrative Summary |
| 34-77057 | Feb. 4, 2016 | Ignacio Cueto Plaza
Other Release No.: AAER-3738 See Also: Administrative Summary |
| 34-77056 | Feb. 4, 2016 | E.S. Financial Services, Inc. n/k/a Brickell Global Markets, Inc. |
| 34-77052 | Feb. 4, 2016 | Michael Donnelly
Other Release No.: IA-4327 |
| 34-77048 | Feb. 3, 2016 | Sarkauskas, Associates, Inc. and James M. Sarkauskas
Other Release Nos.: IA-4326, IC-31983 See Also: Plan of Distribution |
| 34-77046 | Feb. 3, 2016 | Credit Suisse Alternative Capital, et al. |
| 33-10033 | Feb. 3, 2016 | George N. Krinos, Krisnos Holdings, Inc. and Fordgate Acquisition Corp.
Other Release Nos.: 34-77040, IA-4325, IC-31979 |
| 34-77017 | Feb. 2, 2016 | Jason Bo-Alan Beckman
Other Release No.: IA-4324 |
| 34-77016 | Feb. 2, 2016 | Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds |
| 33-10029 | Feb. 2, 2016 | United Bankers' Bank
Other Release No.: 34-77031 See Also: Waiver Release No.: 33-10030 |
| 33-10028 | Feb. 2, 2016 | Wells Fargo Bank and N.A. Municipal Products Group
Other Release No.: 34-77030 See Also: Waiver Release No.: 33-10030 |
| 33-10027 | Feb. 2, 2016 | Roosevelt & Cross, Incorporated
Other Release No.: 34-77029 See Also: Waiver Release No.: 33-10030 |
| 33-10026 | Feb. 2, 2016 | Mitsubishi UFJ Securities (USA), Inc.
Other Release No.: 34-77028 See Also: Waiver Release No.: 33-10030 |
| 33-10025 | Feb. 2, 2016 | Municipal Capital Markets Group, Inc.
Other Release Nos.: 34-77026, 34-77027 See Also: Waiver Release No.: 33-10030 |
| 33-10024 | Feb. 2, 2016 | TD Securities (USA) LLC
Other Release No.: 34-77026 See Also: Waiver Release No.: 33-10030 |
| 33-10023 | Feb. 2, 2016 | Hilltop Securities Inc.
Other Release No.: 34-77025 See Also: Waiver Release No.: 33-10030 |
| 33-10022 | Feb. 2, 2016 | Janney Montgomery Scott LLC
Other Release No.: 34-77024 See Also: Waiver Release No.: 33-10030 |
| 33-10021 | Feb. 2, 2016 | Keybanc Capital Markets Inc.
Other Release No.: 34-77023 See Also: Waiver Release No.: 33-10030 |
| 33-10020 | Feb. 2, 2016 | Jefferies LLC
Other Release No.: 34-77022 See Also: Waiver Release No.: 33-10030 |
| 33-10019 | Feb. 2, 2016 | D.A. Davidson & Co.
Other Release No.: 34-77021 See Also: Waiver Release No.: 33-10030 |
| 33-10018 | Feb. 2, 2016 | Boenning & Scattergood, Inc.
Other Release No.: 34-77020 See Also: Waiver Release No.: 33-10030 |
| 33-10017 | Feb. 2, 2016 | First Midstate Incorporated
Other Release No.: 34-77019 See Also: Waiver Release No.: 33-10030 |
| 33-10016 | Feb. 2, 2016 | Barclays Capital Inc.
Other Release No.: 34-77018 See Also: Waiver Release No.: 33-10030 |
| 34-77013 | Feb. 2, 2016 | American Power Corp. and Locan, Inc. |
| 34-77012 | Feb. 2, 2016 | CodeSmart Holdings, Inc. |
| 34-77011 | Feb. 1, 2016 | DCI Telecommunications, Inc., et al. |
| 34-77010 | Feb. 1, 2016 | RSL Communications Ltd., et al. |
| 34-77005 | Feb. 1, 2016 | SAP SE
Other Release No.: AAER-3736 |
| 34-77004 | Feb. 1, 2016 | Bravo Resource Partners, Ltd., et al. |
| 33-10014 | Jan. 31, 2016 | Credit Suisse Securities (USA) LLC
Other Release No.: 34-77003 |
| 33-10013 | Jan. 31, 2016 | Credit Suisse Securities (USA) LLC
Other Release No.: 34-77002 |
| 33-10010 | Jan. 31, 2016 | Barclays Capital Inc.
Other Release No.: 34-77001 See Also: Waiver Release Nos.: 33-10011 and 33-10012 |
| 33-10009 | Jan. 28, 2016 | Peter Kuperman and QED Benchmark Management, L.L.C.
Other Release Nos.: 34-76991, IA-4323, IC-31973 |
| 34-76988 | Jan. 28, 2016 | Eight-Eight Acquisition Corp. I, Eight-Eight Acquisition Corp. II and Eight-Eight Acquisition Corp. III |
| 34-76987 | Jan. 28, 2016 | Diversified Health & Fitness, Inc., et al. |
| 34-76986 | Jan. 28, 2016 | Kevin A. Boyles (corrected) |
| 34-76985 | Jan. 28, 2016 | Philip A. Dressner (corrected) |
| 34-76980 | Jan. 27, 2016 | Diane D. Dalmy, Esq. |
| 34-76979 | Jan. 27, 2016 | 3C Advisors & Associates, Inc., Stephen Jones and David Prolman |
| IA-4321 | Jan. 27, 2016 | Moazzam "Mark" Malik |
| 33-10008 | Jan. 27, 2016 | J.S. Oliver Capital Management, L.P. and Mausner, Ian O.
Other Release Nos.: 34-76976, IA-4322, IC-31972 |
| 34-76978 | Jan. 27, 2016 | Justin Moongyu Lee, Esq., CPA
Other Release No.: AAER-3735 |
| 34-76977 | Jan. 27, 2016 | Salvatore Renaldi |
| 34-76964 | Jan. 22, 2016 | Oldwebsites.Com, Inc., et al. |
| 34-76962 | Jan. 22, 2016 | 99 Cent Stuff, Inc., et al. |
| 34-76951 | Jan. 21, 2016 | Daytona Systems, Inc. and Equitel, Inc. |
| 33-10007 | Jan. 21, 2016 | Edward H. Spiegel and ARRG Corp.
Other Release No.: 34-76949 |
| 33-10006 | Jan. 21, 2016 | Bernerd E. Young
Other Release Nos.: 34-76948, IA-4320, IC-31971 |
| 34-76943 | Jan. 21, 2016 | Modern City Entertainment, Inc. |
| 34-76942 | Jan. 21, 2016 | Orgral Technologies Corp., Professional Services Network, Inc. and UBX Technologies, Inc. |
| 34-76941 | Jan. 21, 2016 | Oriental Nonferrous Metals Technology Co., Ltd., et al. |
| 34-76940 | Jan. 21, 2016 | China Ticket Center, Inc., et al. |
| 34-76938 | Jan. 20, 2016 | Ocwen Financial Corp.
Other Release No.: AAER-3733 |
| 34-76932 | Jan. 19, 2016 | Michael T. Snedeker
Other Release No.: IA-4317 |
| 34-76930 | Jan. 19, 2016 | Success Trade Securities, Inc. and Fuad Ahmed |
| 33-10004 | Jan. 19, 2016 | Equinox Fund Management, LLC
Other Release Nos.: 34-76927, IA-4315 |
| 34-76926 | Jan. 19, 2016 | Pan Asia Mining Corp., Petro Horizon Energy Corp. and Powerhouse Energy Corp. |
| 34-76925 | Jan. 19, 2016 | Friendly Energy Exploration, Public Media Works, Inc. and Zoro Mining Corp. |
| 34-76924 | Jan. 19, 2016 | China Printing & Packaging, Inc. and Silvan Industries, Inc. |
| 34-76919 | Jan. 15, 2016 | Accentia Biopharmaceuticals, Inc. and Biostem U.S. Corp. |
| 34-76918 | Jan. 15, 2016 | New Leaf Brands, Inc. |
| 34-76917 | Jan. 15, 2016 | Arrin Corporation, et al. |
| 34-76916 | Jan. 14, 2016 | Invent Ventures, Inc. and Bryce M. Knight
Other Release No.: IC-31957 |
| 34-76905 | Jan. 14, 2016 | State Street Bank and Trust Company See also: Litigation Release |
| 34-76904 | Jan. 14, 2016 | Vincent J. Debaggis See also: Litigation Release |
| 34-76899 | Jan. 14, 2016 | Goldman and Sachs & Co. |
| 34-76898 | Jan. 14, 2016 | Andain, Inc. |
| 34-76897 | Jan. 14, 2016 | Everhart Financial Group, Inc., Richard Scott Everhart and Matthew James Romeo
Other Release No.: IA-4314 |
| 34-76896 | Jan. 13, 2016 | Jonathan Warren Brooks
Other Release No.: IA-4313 |
| IA-4312 | Jan. 13, 2016 | Hudson Capital Partners Corporation |
| 34-76885 | Jan. 13, 2016 | Rahfco Management Group, LLC
Other Release No.: IA-4311 |
| 34-76882 | Jan. 13, 2016 | Champion Enterprises, Inc. (a/k/a CEI Liquidation Estate) |
| 34-76879 | Jan. 12, 2016 | Reid A. Hackney, CPA
Other Release No.: AAER-3732 |
| 34-76878 | Jan. 12, 2016 | Richard M. Higgins
Other Release No.: IA-4310 |
| 34-76877 | Jan. 12, 2016 | VCAP Securities, LLC and Brett Thomas Graham
See also: Plan of Distribution |
| 33-10002 | Jan. 12, 2016 | Miller Energy Resources, Inc., et al.
Other Release Nos.: 34-76876, AAER-3731 |
| IA-4309 | Jan. 11, 2016 | Aubrey Lee Price |
| 34-76873 | Jan. 11, 2016 | NHS Financial, Inc. |
| 34-76872 | Jan. 11, 2016 | Go Green Smokeless Oil International, Inc., et al. |
| 34-76866 | Jan. 11, 2016 | Paul D. Crawford |
| 34-76861 | Jan. 11, 2016 | DC Brands International Inc. |
| 34-76859 | Jan. 8, 2016 | John Olivia (corrected) |
| IA-4307 | Jan. 8, 2016 | Steven A. Cohen |
| 34-76847 | Jan. 7, 2016 | Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.), et al. |
| 34-76846 | Jan. 7, 2016 | China Holdings Group, Inc., et al. |
| 34-76843 | Jan. 6, 2016 | Wayne L. Palmer |
| 33-10001 | Jan. 6, 2016 | J.P. Morgan Securities LLC
Other Release Nos.: 34-76839, IA-4306 |
| 34-76838 | Jan. 5, 2016 | Shreyans Desai
Other Release No.: IA-4305 |
| 34-76837 | Jan. 5, 2016 | Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC Comments due: 30 days from publication of this Notice See also: Proposed Amended Plan of Distribution |
| 34-76827 | Jan. 5, 2016 | Jeffrey A. King |
| 34-76818 | Jan. 4, 2016 | Vivian S. Shields |