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Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.
Third Quarter | Second Quarter | First Quarter
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 SEC Administrative Proceedings RSS Feed
| Release No. |
Date |
Respondents |
| Third Quarter |
| 34-58548 |
Sep. 15, 2008 |
Moon Capital Management, LP
Other Release No.: IA-2777
|
| 34-58545 |
Sep. 15, 2008 |
Webservices Innovations, Ltd., Westar Financial Services, Inc., Winsor & Eton Golf Concepts, Inc., and Wiskers Acquisition Corp.
Note: See also the Order in this matter
|
| IA-2776 |
Sep. 15, 2008 |
Mark J.P. Boucher |
| 34-58544 |
Sep. 15, 2008 |
Mark A. Peterson (CPA)
Other Release No.: AAER-2878
|
| 34-58543 |
Sep. 15, 2008 |
Walking Stick Oil & Gas Corp., Waycool3D, Inc., Wineshares International, Inc., World Callnet, Inc., and World Container Corp.
|
| 34-58542 |
Sep. 15, 2008 |
Karting International, Inc., KDGsports.com, Inc., Keystone Mortgage Fund, Keystone Mortgage Fund II, and KwikWeb.com, Inc.
|
| 34-58541 |
Sep. 15, 2008 |
Reorganized Sale OKWD, Inc.
|
| 34-58540 |
Sep. 15, 2008 |
B.B. Walker Co., Bellatrix International, Inc., Belmont Resources, Inc., Beres Industries, Inc., Best Products Co., Inc., Bethlehem Corp., and Bogue Electric Manufacturing Co. (n/k/a Bogue International, Inc.)
Note: See also the Order in this matter
|
| 34-58538 |
Sep. 15, 2008 |
SunBank Resorts International, Inc. (f/k/a Kaufman & Hurtz, Inc.)
|
| 34-58537 |
Sep. 12, 2008 |
Curecom.com, Inc., Edlam Acquisition Corp., Five Star Broadband Wireless, Inc., LeBlanc & Associates, Inc., New River Investments, Inc., Olympus International, Inc., Provence Capital Corp., Vertical Solutions, Inc., and Waistech International, Inc.
Note: See also the Order in this matter
|
| 34-58535 |
Sep. 12, 2008 |
Nicole Industries, Inc., Outer Banks Investments, Inc., Point Arena Group, Inc., Russian Athena, Inc., Skyframes, Inc. (n/k/a Helsinki Scientific, Inc.) (CIK No. 919602), Skyframes, Inc. (CIK No. 1097900), and Sonoma Marine Technologies, Inc.
Note: See also the Order in this matter
|
| 34-58534 |
Sep. 12, 2008 |
Mark David Shapiro (CPA)
Other Release No.: AAER-2876
|
| 34-58531 |
Sep. 12, 2008 |
Donald H. Allen
|
| 34-58530 |
Sep. 12, 2008 |
AD Art Electronic Sign Corp., Homenet Corp., Little River Ventures, Inc., and Webquest International, Inc.
Note: See also the Order in this matter
|
| 34-58529 |
Sep. 12, 2008 |
Walking Stick Oil & Gas Corp., Waycool3D, Inc., Wineshares International, Inc., World Callnet, Inc., and World Container Corp.
|
| 34-58528 |
Sep. 12, 2008 |
HomeBanc Corp.
|
| 34-58527 |
Sep. 12, 2008 |
American Environmental Corp. (n/k/a TrackBets International, Inc.), BAM! Entertainment, Inc., and Rudy Nutrition; Entertainment Technologies & Programs, Inc., Inter Con PC, Inc., Trans Global Services, Inc., XCL Ltd., and ZymeTx, Inc.
Note: See also the Orders in this matter: American Environmental Corp and Entertainment Technologies
|
| 34-58525 |
Sep. 11, 2008 |
California Service Stations, Inc., Cozumel Corp., Jenson International, Inc., Meditecnic, Inc. (f/k/a Viking Broadcasting Corp.), and Space Launches Financing, Inc.
Note: See also the Order in this matter
|
| 34-58524 |
Sep. 11, 2008 |
Omni Nutraceuticals, Inc., Omnipower, Inc., Ontro, Inc., Onvantage, Inc., Opal Technologies, Inc., and Optical Specialties, Inc.
Note: See also the Order in this matter
|
| 34-58523 |
Sep. 11, 2008 |
Bay Area Holdings, Inc., BCC Acquisitions Corp., Be, Inc., Bear Aerospace, Inc., and Bermuda Acquisitions, Inc.
Note: See also the Order in this matter
|
| 34-58515 |
Sep. 11, 2008 |
LPL Financial Corporation, Formerly Known as Linsco/Private Ledger Corp.
Other Release No.: IA-2775
|
| 34-58511 |
Sep. 11, 2008 |
OVM International Holding Corp.
|
| 34-58510 |
Sep. 11, 2008 |
SUMmedia.com, Inc.
|
| 34-58508 |
Sep. 10, 2008 |
NASDAQ Stock Market, LLC
|
| 34-58507 |
Sep. 10, 2008 |
Patrick A. Rossetti, CPA
Other Release No.: AAER-2875
|
| 34-58506 |
Sep. 10, 2008 |
Alamo Financial Services, Inc., Incubus Acquisitions, Inc. (n/k/a ECS Industries, Inc.), Particle 1, Inc., Particle 2, Inc., Particle 3, Inc., Particle 4, Inc., Particle 5, Inc., Particle 6, Inc., Source One, Inc., and 2TheMax.Com, Inc.
Note: See also the Order in this matter
|
| 34-58505 |
Sep. 10, 2008 |
Oil City Petroleum, Inc., Oil Retrieval Systems, Inc., OIS Optical Imaging Systems, Inc., Oliver Transportation, Inc., On Marine Services Co., and OnCourse Technologies, Inc.
Note: See also the Order in this matter
|
| 34-58504 |
Sep. 10, 2008 |
Boochm Systems, Inc., J.S.J. Capital Corp., National Asset Acquisition, Inc., and Park Hill Capital II Corp.
Note: See also the Order in this matter
|
| 34-58503 |
Sep. 10, 2008 |
Odessa Foods International, Inc., Omega Dynamics, Inc., Omni Investors Group, Inc., Omnicorp Ltd., and Ongard Systems, Inc.
Note: See also the Order in this matter
|
| 34-58501 |
Sep. 10, 2008 |
Open EC Technologies, Inc.
|
| 34-58498 |
Sep. 9, 2008 |
Argyle Ventures, Inc., California Investment Co., Goldcrest Corp., Molecular Robotics, Inc., Ponderosa Partners, Inc. and Taking Life By Storm, Inc.
Note: See also the Order in this matter
|
| 34-58497 |
Sep. 9, 2008 |
Camtek Technologies, Inc., Challedon, Inc., Cutty Sark Management, Inc., DMFI, Inc., Far Reach Holdings Ltd., For Sale.com, Inc., Hitchin Post, Inc., Mining, Milling, Manufacturing, & Marketing, Inc. of Nevada, and Western Mountain Mining, Inc.
Note: See also the Order in this matter
|
| 34-58496 |
Sep. 9, 2008 |
Stylesite Marketing, Inc. and Supreme Equipment & Systems Corp.
Note: See also the Order in this matter
|
| 34-58495 |
Sep. 9, 2008 |
Amenity Zone, Inc., American ATM Corp. (n/k/a American Wireless Web Corp.), Digitec 2000, Inc., and 3 E International Corp.
Note: See also the Order in this matter
|
| 34-58494 |
Sep. 9, 2008 |
Axyn Corp., Boss Media, Inc., Nexstage Corp., Platinum Pearls, Inc., and Quintalinux, Ltd.
Note: See also the Order in this matter
|
| 34-58493 |
Sep. 9, 2008 |
Sunbase Asia, Inc. (n/k/a Centire International, Inc.), Supply Chain Services, Inc., Sustainable Development International, Inc. (n/k/a Clean Energy, Inc.), SWI Steelworks, Inc. (f/k/a ESC Envirotech Systems Corp.), and Symphony Telecom Corp.
|
| 34-58492 |
Sep. 8, 2008 |
Paladin International Corp., Pantheon Industries, Inc., Parts.com, Inc., Pathfinder Data Group, Inc., and Pavichevich Brewing Co.
Note: See also the Order in this matter
|
| 34-58491 |
Sep. 8, 2008 |
ARM Financial Group, Inc., and Calex Acquisition Corp.
Note: See also the Order in this matter
|
| 34-58483 |
Sep. 8, 2008 |
John R. Blot (a/k/a Victor Morgan)
Other Release No.: IA-2775
Note: See also the Order in this matter
|
| 34-58482 |
Sep. 8, 2008 |
Viktor Novosselov (a/k/a David Markowitz)
Note: See also the Order in this matter
|
| 34-58481 |
Sep. 8, 2008 |
Leslie A. James (a/k/a Les James and Daryl McKinney)
Note: See also the Order in this matter
|
| 34-58480 |
Sep. 8, 2008 |
Scott A. Ciappetta (a/k/a Steven Stiles and Steven Markowitz)
|
| 34-58479 |
Sep. 8, 2008 |
Digby M. Ferrera (a/k/a Casper Weiss)
|
| 34-58478 |
Sep. 8, 2008 |
Dmitry Kuperman (a/k/a James Kaufman, a/k/a Jimmy Kaufman)
|
| 34-58477 |
Sep. 8, 2008 |
Shawn F. Haber (a/k/a Leo Schwartz)
Other Release No.: IA-2774
|
| 34-58476 |
Sep. 8, 2008 |
Igor Malyar (a/k/a George Falcone and Michael Safir)
|
| 34-58475 |
Sep. 8, 2008 |
Janus Capital Management LLC
|
| 34-58472 |
Sep. 8, 2008 |
Timothy L. Bradshaw
|
| 34-58471 |
Sep. 8, 2008 |
Birman Managed Care, Inc. (n/k/a Alcar Chemical Group, Inc.), Cluster Technology Corp., Global Network, Inc., Micro-Integration Corp., Montt International Corp., and NewCare Health Corp.
|
| 34-58470 |
Sep. 5, 2008 |
MAII Holdings, Inc., Tandycrafts, Inc., and Transportation Equities, Inc.
Note: See also the Order in this matter
|
| 34-58468 |
Sep. 5, 2008 |
Karts International, Inc., Keith Group of Companies, Inc., and KMS Industries, Inc.
Note: See also the Order in this matter
|
| 34-58464 |
Sep. 4, 2008 |
Joseph Yurkin
Note: See also the Order in this matter
|
| 34-58463 |
Sep. 4, 2008 |
Franklin Advisers, Inc.
|
| 34-58459 |
Sep. 4, 2008 |
Walking Stick Oil & Gas Corp., Waycool3D, Inc., Wineshares International, Inc., World Callnet, Inc., and World Container Corp.
|
| 34-58453 |
Sep. 3, 2008 |
Continental Beverage and Nutrition, Inc.
Note: See also the Order in this matter
|
| 34-58451 |
Sep. 3, 2008 |
Tracinda Corporation
|
| 34-58449 |
Sep. 2, 2008 |
Daryl Anderson
Note: See also the Order in this matter
|
| 34-58448 |
Sep. 2, 2008 |
Kaleidoscope Media Group, Inc., Keo International, Inc., Kideo Productions, Inc., Kiwi International Air Lines, Inc., KP Wingate Insured Partners LP, Krisch American Inns, Inc., Krupp Realty L.P. IV, and Krupp Realty L.P. VII
Note: See also the Order in this matter
|
| 34-58447 |
Sep. 2, 2008 |
Struthers Industries, Inc., Sun River Development Co., Sun River Investment Co., Sun West Enterprises, Inc. (n/k/a Natural Alternative Products, Inc.), SunBank Resorts International, Inc. (f/k/a Kaufman & Hurtz, Inc.), Surecare, Inc., and Symbolics, Inc.
Note: See also the Order in this matter
|
| 34-58446 |
Sep. 2, 2008 |
Wall Street Deli, Inc., Wamex Holdings, Inc., Waterfalls Corp., WebMedicalServices.com, Inc., and World Media Group, Inc.
Note: See also the Order in this matter
|
| 34-58442 |
Aug. 29, 2008 |
William K. Boston, Jr.
|
| 34-58441 |
Aug. 29, 2008 |
Jerry L. Burdick, CPA
Other Release No.: AAER-2870
|
| 34-58439 |
Aug. 28, 2008 |
Alvin L. Dahl (CPA)
Other Release No.: AAER-2869
|
| 34-58438 |
Aug. 28, 2008 |
Shane H. Traveller (CPA)
Other Release No.: AAER-2868
|
| 33-8954 |
Aug. 28, 2008 |
Alexander & Wade, Inc., and James Y. Lee
|
| 34-58433 |
Aug. 27, 2008 |
Con-way Inc.
Other Release No.: AAER-2867
|
| 34-58427 |
Aug. 27, 2008 |
Markland Technologies, Inc.
Note: See also the Order in this matter
|
| 33-8953 |
Aug. 26, 2008 |
Euro Capital Incorporated
|
| 34-58419 |
Aug. 25, 2008 |
Viragen, Inc. and Viragen International, Inc.
|
| 34-58423 |
Aug. 25, 2008 |
Robert L. Carver and Robert L. Carver, II
Other Release No.: IA-2771
|
| 34-58418 |
Aug. 25, 2008 |
William Clark Davis
|
| 34-58417 |
Aug. 25, 2008 |
Weiss Research, Inc., Martin Weiss, and Lawrence Edelson
|
| 34-58412 |
Aug. 22, 2008 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| 34-58409 |
Aug. 22, 2008 |
Raymond L. Leonard, Jr.
|
| 34-58403 |
Aug. 21, 2008 |
vFinance Investments, Inc., Nicholas Thompson and Richard Campanella
|
| 34-58402 |
Aug. 21, 2008 |
Warren T. Chambers
|
| 34-58393 |
Aug. 20, 2008 |
Aqua Vie Beverage Corp., Asia Biotechnology Group, Inc., Caravan Acquisition Corp., Century Investments International, Inc., Diversified Holdings International, Inc., Milinx Business Group, Inc., and MSC Group, Inc.
Note: See also the Order in this matter
|
| 34-58391 |
Aug. 20, 2008 |
Consolidated Growers and Processors, Inc., Monsoon International Manufacturing & Distribution, Inc., Pony Express U. S. A., Inc., SUMmedia.com, Inc., and Sunflower USA, Ltd.
Note: See also the Order in this matter
|
| 34-58390 |
Aug. 20, 2008 |
Birman Managed Care, Inc. (n/k/a Alcar Chemical Group, Inc.), Cluster Technology Corp., Global Network, Inc., Micro-Integration Corp., Montt International Corp, and NewCare Health Corp.
Note: See also the Order in this matter
|
| 34-58388 |
Aug. 19, 2008 |
American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.)
|
| 34-58384 |
Aug. 19, 2008 |
Ocean Resources, Inc., Officeland, Inc., Online Gaming Systems, Inc. (n/k/a Advanced Resources Group Ltd.), Open EC Technologies, Inc., and OVM International Corp.
Note: See also the Order in this matter
|
| 34-58382 |
Aug. 19, 2008 |
Atomic Burrito, Inc., Earthcare Co., Global Concepts, Ltd., New York Bagel Enterprises, Inc., Precept Business Services, Inc., Reorganized Sale OKWD, Inc., Villageworld.com, Inc. (n/k/a Biometrics 2000 Corp.), and Wireless Webconnect!, Inc.
Note: See also the Order in this matter
|
| 34-58374 |
Aug. 18, 2008 |
Heritage American Resource Corp. (n/k/a St Andrew Goldfields Ltd.)
|
| 34-58373 |
Aug. 18, 2008 |
Ajay Sports, Inc.
|
| 34-58372 |
Aug. 18, 2008 |
Pacific Coast Apparel Co., Inc., Pacific Gateway Exchange, Inc., Pacific International Services Corp., Pallet Management Systems, Inc., Palm Desert Art, Inc., Panaco, Inc., Paragon Financial Corp. (n/k/a NewMarket Latin America, Inc.), and Patriot Motorcycle Corp.
Note: See also the Order in this matter
|
| 34-58369 |
Aug. 15, 2008 |
Putnam Investment Management, LLC
|
| 34-58368 |
Aug. 15, 2008 |
Sunbase Asia, Inc. (n/k/a Centire International, Inc.), Supply Chain Services, Inc., Sustainable Development International, Inc. (n/k/a Clean Energy, Inc.), SWI Steelworks, Inc. (f/k/a ESC Envirotech Systems Corp.), and Symphony Telecom Corp.
Note: See also the Order in this matter
|
| 34-58366 |
Aug. 15, 2008 |
Walking Stick Oil & Gas Corp., Waycool3D, Inc., Wineshares International, Inc., World Callnet, Inc., and World Container Corp.
Note: See also the Order in this matter
|
| 34-58360 |
Aug. 14, 2008 |
Bryan S. Behrens
Other Release No.: IA-2769
|
| 34-58359 |
Aug. 14, 2008 |
Mark T. Duboise and Mid Western Natural Gas, Inc.
|
| 34-58356 |
Aug. 13, 2008 |
Christopher L. Martin
|
| 34-58355 |
Aug. 13, 2008 |
Scott Hirth
Other Release No.: AAER-2863
|
| 34-58348 |
Aug. 12, 2008 |
Jeffrey P. Jorissen (CPA)
Other Release No.: AAER-2862
|
| 34-58339 |
Aug. 11, 2008 |
Mark G. Meyer
|
| 34-58338 |
Aug. 11, 2008 |
James M. Jordan
|
| 34-58337 |
Aug. 11, 2008 |
Timothy J. Ward
|
| 34-58336 |
Aug. 11, 2008 |
Acclaim Entertainment, Inc., Family Golf Centers, Inc., Graham-Field Health Products, Inc., Lechters, Inc., and Texfi Industries, Inc.
|
| 34-58330 |
Aug. 8, 2008 |
WarpRadio.com, Inc., WellnessAmerica Online, Inc., (n/k/a General Ventures, Inc.), Wireless Frontier Internet, Inc. and World Associates, Inc.
|
| IA-2768 |
Aug. 7, 2008 |
George J. Sandhu
|
| 33-8951 |
Aug. 7, 2008 |
Alexander & Wade, Inc. and James Y. Lee
Note: See also the Order in this matter
|
| 33-8950 |
Aug. 7, 2008 |
Finance 500, Inc.
Other Release No.: 34-58325
|
| 34-58322 |
Aug. 6, 2008 |
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
|
| 34-58320 |
Aug. 6, 2008 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| IA-2767A |
Aug. 6, 2008 |
Martin A. Armstrong
Note: See also the Order in this matter
|
| 34-58319 |
Aug. 6, 2008 |
Marc Willis
Note: See also the Order in this matter
|
| 34-58318 |
Aug. 6, 2008 |
Simon Chong
|
| 34-58317 |
Aug. 6, 2008 |
Peter In Cho
Note: See also the Order in this matter
|
| 34-58316 |
Aug. 6, 2008 |
Scott B. Hollenbeck
Note: See also the Order in this matter
|
| 34-58313 |
Aug. 5, 2008 |
Timothy L. Bradshaw
Note: See also the Order in this matter
|
| 34-58310 |
Aug. 5, 2008 |
Mark C. Thompson
Other Release No.: AAER-2859
|
| 34-58309 |
Aug. 5, 2008 |
Ernst & Young LLP, John F. Ferraro, CPA, and Michael G. Lutze, CPA
Other Release No.: AAER-2858
|
| 34-58304 |
Aug. 5, 2008 |
Benguet Corp., Clean Systems Technology Group, Ltd., Lumenon Innovative Lightwave Technology, Inc., Symbiat, Inc., Uniroyal Technology Corp., and Value Holdings, Inc. (n/k/a Galea Life Sciences, Inc.)
|
| 34-58294 |
Aug. 1, 2008 |
Janus Capital Management LLC
|
| 34-58293 |
Aug. 1, 2008 |
Gordon R. Moore
Other Release No.: IA-2766
|
| IA-2765 |
Aug. 1, 2008 |
Kent D. Nelson
Other Release No.: 34-58287
Note: See also the Order in this matter
|
| 34-58280 |
Aug. 1, 2008 |
Jeffrey Bacsik, CPA
Other Release No.: AAER-2856
|
| 34-58274 |
Jul. 31, 2008 |
National Fruit and Vegetable Technology Corp., National Properties Investment Trust, National Record Mart, Inc., National Sorbents, Inc., Nations Flooring, Inc., Netcare Health Group, Inc., and Netgain Development, Inc. |
| 34-58273 |
Jul. 31, 2008 |
James B. Kinney, CMA
Other Release No.: AAER-2855
|
| IA-2764 |
Jul. 31, 2008 |
Kevin Kelley
|
| 33-8948 |
Jul. 31, 2008 |
Lexington Resources, Inc., Grant Atkins and Gordon Brent Pierce
Other Release No.: 34-58270
Note: See also the Order in this matter
|
| 34-58260 |
Jul. 30, 2008 |
Ritchie Capital Management LLC, Ritchie Multi-Strategy Global Trading Ltd., A.R. Thane Ritchie and Warren Louis DeMaio
Note: See also Proposed Distribution Plan
Submit comments on Proposed Distribution Plan
|
| 34-58257 |
Jul. 30, 2008 |
Phillip R. Bennett
Other Release Nos.: IA-2762, AAER-2854
|
| IA-2761 |
Jul. 30, 2008 |
Pax World Management Corp.
Other Release No.: 34-28344
|
| 34-58250 |
Jul. 30, 2008 |
E*Trade Clearing LLC and E*Trade Securities LLC
|
| 34-58249 |
Jul. 30, 2008 |
K-2 Logistics.Com, Inc.
|
| 34-58247 |
Jul. 29, 2008 |
Karting International, Inc., KDGsports.com, Inc., Keystone Mortgage Fund, Keystone Mortgage Fund II, and KwikWeb.com, Inc.
Note: See also the Order in this matter
|
| 34-58242 |
Jul. 29, 2008 |
Jay J. Shapiro, CPA, P.C. and Jay J. Shapiro, CPA
Other Release No.: AAER-2852
|
| 34-58241 |
Jul. 29, 2008 |
Banker & Co. and Jitendra S. Banker
Other Release No.: AAER-2851
|
| 34-58240 |
Jul. 29, 2008 |
Michael Deutchman, CPA
Other Release No.: AAER-2850
|
| 34-58239 |
Jul. 29, 2008 |
Choi Dow Ian Hong & Lee Accountancy Corporation and Ernest E. Dow, CPA
Other Release No.: AAER-2849
|
| 34-58238 |
Jul. 29, 2008 |
Stephen H. Roebuck
|
| 34-58233 |
Jul. 25, 2008 |
Robin A. Friedman, Esq.
|
| 34-58232 |
Jul. 25, 2008 |
Frances M. Jewels
Other Release No.: AAER-2848
|
| 34-58231 |
Jul. 25, 2008 |
Viragen, Inc., and Viragen International, Inc.
Note: See also the Order in this matter
|
| 34-58229 |
Jul. 25, 2008 |
The National Capital Companies, Inc., National Environmental Controls, Inc., National Real Estate Limited Partnership Income Properties, National Real Estate Limited Partnership Income Properties II, Navarone, Inc., NBG Radio Network, Inc., and Net-Matrix Limited
Note: See also the Order in this matter
|
| 34-58225 |
Jul. 25, 2008 |
General American Life Insurance Company, Inc. and William C. Thater
Note: See also Distribution Plan
|
| 33-8946 |
Jul. 25, 2008 |
Newbridge Securities Corp., Guy S. Amico, Scott H. Goldstein, Eric M. Vallejo, and Daniel M. Kantrowitz
Other Release No.: 34-58223
Note: See also the Order in this matter
|
| 34-58222 |
Jul. 25, 2008 |
WarpRadio.com, Inc.
|
| IA-2760 |
Jul. 24, 2008 |
Rubin Chen a/k/a Ruben Chen a/k/a Ruopian Chen
|
| 34-58220 |
Jul. 24, 2008 |
Jennifer Xujia Wang
Other Release No.: IA-2759
|
| IA-2758 |
Jul. 24, 2008 |
Diversified Financial Corporation
|
| 34-58219 |
Jul. 24, 2008 |
Brian Fabrizzi
|
| 34-58214 |
Jul. 23, 2008 |
Donald G. Ryan
|
| 34-58213 |
Jul. 23, 2008 |
Richard McGill, William Sanders, Michael Tuchman, and Danny Rayburn
|
| IA-2757 |
Jul. 23, 2008 |
Thomas C. Palmer and Aeneas Capital Management, L.P.
|
| 34-58210 |
Jul. 23, 2008 |
21st Century Technologies, Inc.
|
| 34-58202 |
Jul. 22, 2008 |
K-2 Logistics.Com, Inc., Kafus Industries, Ltd., Kakkimon Acquisitions Corp., Kevco, Inc., Kings Road Entertainment, Inc., and Kingsfield Capital Corp. (n/k/a Kingsfield Entertainment Corp.)
|
| 34-58198 |
Jul. 21, 2008 |
National Properties Investment Trust
|
| 33-8945 |
Jul. 18, 2008 |
Michael Sassano, Dogan Baruh, Robert Okin, and R. Scott Abry
Other Release No.: 34-58193, IA-2756, IC-28333
|
| 34-58188 |
Jul. 18, 2008 |
American Ship Building Co.
|
| 34-58186 |
Jul. 17, 2008 |
Michael J. Delargy, CPA
Other Release No.: AAER-2845
|
| 34-58177 |
Jul. 17, 2008 |
Benguet Corp.
|
| IA-2755 |
Jul. 16, 2008 |
Francis J. Saldutti
|
| 33-8944 |
Jul. 16, 2008 |
Gerard T. Hayes
Other Release No.: 34-58170
|
| 34-58169 |
Jul. 16, 2008 |
Warren E. Turk
|
| 34-58167 |
Jul. 16, 2008 |
Struthers, Inc. (n/k/a Global Marine, Ltd.), Sun Vacation Properties Corp., Sunshine Mining & Refining Co., and Surrey, Inc. (n/k/a Wow Holdings, Inc.)
|
| 34-58163 |
Jul. 15, 2008 |
K-2 Logistics.com, Inc., Kafus Industries, Ltd., Kakkimon Acquisitions Corp., Kevco, Inc., Kings Road Entertainment, Inc., and Kingsfield Capital Corp. (n/k/a Kingsfield Entertainment Corp.)
|
| 34-58159 |
Jul. 15, 2008 |
Borough Corp., Canticle Corp., Emerald Acquisition Corp., Erebus Corp., Forward Acquisition Corp., Hercules Acquisition Corp., Jubilee Acquisition Corp., Proteque Corp., and Tecnomatic International Corp.
|
| 34-58155 |
Jul. 15, 2008 |
GSI Securitization Ltd. (n/k/a GSI Securitization, Inc.), Interliant, Inc., (n/k/a I Successor Corp.), Namibian Minerals Corp., Nix Co., Ltd., Number Nine Visual Technology Corp., and Oncor, Inc.
|
| IA-2754 |
Jul. 14, 2008 |
Amit Mathur
|
| 34-58151 |
Jul. 14, 2008 |
GSI Securitization Ltd. (n/k/a GSI Securitization, Inc.)
|
| 33-8943A |
Jul. 11, 2008 |
Michael Sassano, Dogan Baruh, Robert Okin, and R. Scott Abry
Other Release No.: 34-58150A, IA-2753A, IC-28330A
|
| 34-58148 |
Jul. 11, 2008 |
Alex Rabinovich
Other Release No.: IA-2752
|
| 34-58141 |
Jul. 11, 2008 |
National Fruit and Vegetable Technology Corp.
|
| 34-58133 |
Jul. 10, 2008 |
Uniroyal Technology Corp.
|
| 34-58132 |
Jul. 10, 2008 |
Harbour Intermodal, Ltd.
|
| 34-58120 |
Jul. 8, 2008 |
Baroque Corp., Mother Lode Gold Mines Consolidated, and Solvis Group, Inc.
|
| 34-58106 |
Jul. 7, 2008 |
Franklin Advisers, Inc. and Franklin/ Templeton Distributors, Inc.
|
| 34-58105 |
Jul. 7, 2008 |
Phillip Offill, Jr., Esq.
|
| 34-58090 |
Jul. 2, 2008 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| 34-58080 |
Jul. 2, 2008 |
National Manufacturing Technologies, Inc., Natural Solutions Corp., Natural Wonders, Inc., Net Nanny Software International, Inc., Netcentives, Inc., and Netcruise.com, Inc.
|
| 34-58077 |
Jul. 2, 2008 |
WarpRadio.com, Inc., Wellness America Online, Inc. (n/k/a General Ventures, Inc.), Wireless Frontier Internet, Inc., and World Associates, Inc.
Note: See also the Order in this matter
|
| Second Quarter |
| 34-58065 |
Jun. 30, 2008 |
American Kiosk Corp., American Motorcyle Corp. (f/k/a Scope Industries, Inc.), Austin's International, Inc., BusinessMall.Com, Inc., CCM Manufacturing Technologies, Inc., and Emerging Markets Corp.
|
| IA-2749 |
Jun. 30, 2008 |
Stephen L. Hochberg, CPA
|
| 34-58054 |
Jun. 27, 2008 |
American Motorcycle Corp.
|
| 34-58046 |
Jun. 27, 2008 |
Steven Sirianni
Note: See also the Order in this matter
|
| 34-58035 |
Jun. 26, 2008 |
Bear Wagner Specialists LLC, Fleet Specialist, Inc., LaBranche & Co. LLC, Spear, Leeds & Kellogg Specialists LLC, Van der Moolen Specialists USA, LLC, Performance Specialist Group LLC, SIG Specialists, Inc.
|
| 33-8936 |
Jun. 26, 2008 |
Rubin Investment Group, Inc., Scott Halperin, Daniel Rubin, Andrew Saksa, and Robert Lomonaco
Other Release No.: 34-58032
|
| 34-58031 |
Jun. 26, 2008 |
Joshua M. Eudowe
Other Release No.: IA-2748
|
| 34-58027 |
Jun. 26, 2008 |
Surrey, Inc. (n/k/a WOW Holdings, Inc.)
|
| 34-58026 |
Jun. 25, 2008 |
Borough Corp., Canticle Corp., Emerald Acquisition Corp., Erebus Corp., Forward Acquisition Corp., Hercules Acquisition Corp., Jubilee Acquisition Corp., Proteque Corp., and Tecnomatic International Corp.
Note: See also the Order in this matter
|
| 34-58023 |
Jun. 25, 2008 |
William E. Caswell, CPA
Other Release No.: AAER-2842
|
| 34-58015 |
Jun. 25, 2008 |
Certified Services, Inc.
|
| 34-58012 |
Jun. 24, 2008 |
Scottrade, Inc.
|
| 34-58011 |
Jun. 24, 2008 |
K.W. Brown & Company, 21st Century Advisors, Inc., K.W. Brown Investments, Inc., Kenneth Brown, Wendy Brown, and Michael Cimilluca, Jr.
Other Release No.: IA-2747
|
| 34-58010 |
Jun. 24, 2008 |
K.W. Brown & Company, 21st Century Advisors, Inc., K.W. Brown Investments, Inc., Kenneth Brown, Wendy Brown, and Michael Cimilluca, Jr.
Other Release No.: IA-2746
|
| 34-58009 |
Jun. 24, 2008 |
National Fruit and Vegetable Technology Corp., National Properties Investment Trust, National Record Mart, Inc., National Sorbents, Inc., Nations Flooring, Inc., Netcare Health Group, Inc., and Netgain Development, Inc.
Note: See also the Order in this matter
|
| 34-57999 |
Jun. 23, 2008 |
Acclaim Entertainment, Inc., Family Golf Centers, Inc., Graham-Field Health Products, Inc., Lechters, Inc., and Texfi Industries, Inc.; Benguet Corp., Clean Systems Technology Group, Ltd., Lumenon Innovative Lightwave Technology, Inc., Symbiat, Inc., Uniroyal Technology Corp., and Value Holdings, Inc. (n/k/a Galea Life Sciences, Inc.)
Note: See also the Orders in this matter: 3-13078 and 3-13079
|
| 34-57995 |
Jun. 20, 2008 |
Baroque Corp., Mother Lode Gold Mines Consolidated, and Solvis Group, Inc.
Note: See also the Order in this matter
|
| 34-57992 |
Jun. 20, 2008 |
Cardinal Communications, Inc.
|
| 34-57989 |
Jun. 19, 2008 |
K-2 Logistics.Com, Inc., Kafus Industries, Ltd., Kakkimon Acquisitions Corp., Kevco, Inc., Kings Road Entertainment, Inc., and Kingsfield Capital Corp. (n/k/a Kingsfield Entertainment Corp.)
Note: See also the Order in this matter
|
| 34-57985 |
Jun. 18, 2008 |
Stanislav Shpigelman
|
| 34-57984 |
Jun. 18, 2008 |
e.Spire Communications, Inc., Empire of Carolina, Inc., Genfinity Corp., NVID International, Inc., and USCI, Inc.
|
| 34-57983 |
Jun. 18, 2008 |
Wavo Corp.
|
| 34-57980 |
Jun. 17, 2008 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| 33-8931 |
Jun. 17, 2008 |
Tamela Pallas
Other Release Nos.: 34-57979, AAER-2841
|
| 33-8930 |
Jun. 17, 2008 |
Preston D. Hopper, CPA
Other Release Nos.: 34-57978, AAER-2840
|
| 34-57976 |
Jun. 17, 2008 |
Founding Partners Capital Management Company and William Gunlicks
|
| 34-57974 |
Jun. 17, 2008 |
NEC Corporation
Other Release No.: AAER-2839
|
| 34-57971 |
Jun. 16, 2008 |
American Golden Century Investments, Inc., Growtex, Inc.(n/k/a Canadexx, Inc.), and Information Highway.com, Inc.
|
| 34-57970 |
Jun. 16, 2008 |
Citigroup Inc.
Other Release No.: AAER-2838
|
| 34-57969 |
Jun. 16, 2008 |
Richard E. Riner
|
| 34-57968 |
Jun. 16, 2008 |
John E. Tencza
|
| 34-57961 |
Jun. 12, 2008 |
DKR Oasis Management Company, L.P.
Other Release No.: IA-2744
|
| 34-57960 |
Jun. 12, 2008 |
Jamie L. Solow
Note: See also the Order in this matter
|
| 34-57956 |
Jun. 12, 2008 |
American Ship Building Co. and Harbour Intermodal, Ltd.
Note: See also the Order in this matter
|
| 34-57948 |
Jun. 11, 2008 |
Terry E. Provence
|
| 34-57947 |
Jun. 11, 2008 |
Michael K. Brugman
Other Release Nos.: IA-2743, IC-28299
Note: See also the Order in this matter
|
| 34-57944 |
Jun. 10, 2008 |
Salvatore LaGreca, CPA
Other Release No.: AAER-2837
|
| 34-57943 |
Jun. 10, 2008 |
Empyrean Bioscience, Inc., Languageware.net Co. Ltd., and Uncle B's Bakery, Inc.
|
| 34-57941 |
Jun. 10, 2008 |
Struthers, Inc. (n/k/a Global Marine, Ltd.), Sun Vacation Properties Corp., Sunshine Mining & Refining Co., and Surrey, Inc. (n/k/a WOW Holdings, Inc.)
Note: See also the Order in this matter
|
| 33-8928 |
Jun. 5, 2008 |
EKN Financial Services, Inc. f/k/a Ehrenkrantz King Nussbaum, Inc., and Anthony Ottimo
Other Release No.: 34-57934
|
| 34-57933 |
Jun. 5, 2008 |
Faro Technologies, Inc.
Other Release No.: AAER-2836
|
| 34-57931 |
Jun. 5, 2008 |
James G. Marquez
Other Release No.: IA-2741
|
| 34-57926 |
Jun. 5, 2008 |
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
|
| 34-57919 |
Jun. 4, 2008 |
Robert Durant
|
| 34-57915 |
Jun. 4, 2008 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| IA-2740 |
Jun. 4, 2008 |
Douglas Ballew
|
| IA-2739 |
Jun. 4, 2008 |
Amit Mathur
Note: See also the Order in this matter
|
| 34-57908 |
Jun. 3, 2008 |
Gerald Kingston
|
| 34-57907 |
Jun. 3, 2008 |
Playstar Wyoming Holding Corp.
|
| 33-8925 |
Jun. 2, 2008 |
Allixon International Corporation
|
| IA-2738 |
Jun. 2, 2008 |
Robert Wildeman
|
| 34-57898 |
Jun. 2, 2008 |
Health Professionals, Inc.
|
| 34-57897 |
May 30, 2008 |
Dover Petroleum Corp., Paradigm Advanced Technologies, Inc., and Playstar Wyoming Holding Corp.
|
| 34-57893 |
May 30, 2008 |
Banc of America Securities LLC |
| 33-8923 |
May 30, 2008 |
Analog Devices, Inc. and Jerald G. Fishman |
| 34-57891 |
May 30, 2008 |
Dennis L. Hynson, CPA
Other Release No.: AAER-2834
|
| 34-57890 |
May 30, 2008 |
Christopher W. Kelford
Other Release No.: AAER-2833
|
| 34-57889 |
May 30, 2008 |
Paula J. Norbom, CPA
Other Release No.: AAER-2832
|
| 34-57886 |
May 30, 2008 |
American Kiosk Corp., American Motorcycle Corp. (f/k/a Scope Industries, Inc.), Austin�s International, Inc., BusinessMall.Com, Inc., CCM Manufacturing Technologies, Inc., and Emerging Markets Corp. |
| 34-57885 |
May 30, 2008 |
ABS Group, Inc., Accrue Software, Inc., iAsiaworks, Inc., Premier Laser Systems, Inc., Siskon Gold Corp., And Syquest Technology, Inc. (n/k/a SYQT, Inc.) |
| 34-57880 |
May 28, 2008 |
Michael Sassano, Dogan Baruh, Robert Okin, and R. Scott Abry
|
| 34-57879 |
May 28, 2008 |
Michael Sassano, Dogan Baruh, Robert Okin, and R. Scott Abry
|
| 33-8919 |
May 27, 2008 |
First Southwest Company
Other Release No.: 34-57869
Note: See also the Order Granting Waiver
|
| 34-57868 |
May 27, 2008 |
e.Spire Communications, Inc., Empire of Carolina, Inc., Genfinity Corp., NVID International, Inc., and USCI, Inc.; GSI Securitization Ltd. (n/k/a GSI Securitization, Inc.), Interliant, Inc. (n/k/a I Successor Corp.), Namibian Minerals Corp., Nix Co., Ltd., Number Nine Visual Technology Corp., and Oncor, Inc.
Note: See also the Orders in this matter 3-13045 and 3-13044
|
| 34-57863 |
May 23, 2008 |
General American Life Insurance Company and William C. Thater
Note: See also Proposed Distribution Plan
Submit comments on Proposed Distribution Plan
|
| 34-57860 |
May 23, 2008 |
Invesco Funds Group, Inc.
Note: See also the Modified Distribution Plan
|
| 34-57859 |
May 23, 2008 |
AIM Advisors, Inc. and AIM Distributors, Inc.
Note: See also the Modified Distribution Plan
|
| 34-57853 |
May 23, 2008 |
American Kiosk Corp.
|
| 34-57846 |
May 21, 2008 |
Michael Resnick, CPA
Other Release No.: AAER-2831
|
| 34-57843 |
May 21, 2008 |
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty
|
| 34-57835 |
May 19, 2008 |
William B. Deakins
|
| 34-57832 |
May 19, 2008 |
Dover Petroleum Corp.
|
| 34-57825 |
May 15, 2008 |
Alliance Capital Management, L.P.
Note: See also Distribution Plan
|
| IA-2735 |
May 12, 2008 |
John A. Baldo
|
| 34-57814 |
May 12, 2008 |
Wendy Brown
|
| 34-57811 |
May 9, 2008 |
Michael McCormack
|
| 34-57810 |
May 9, 2008 |
Joseph Miller
|
| 34-57809 |
May 9, 2008 |
Achieva Development Corp., Acme Metals, Inc., Act International, Inc., Active Assets & Associates, Inc., ADM Enterprises, Inc., and Advanced Interactive, Inc.
|
| 34-57808 |
May 9, 2008 |
Franklin Advisers, Inc.
Note: See also the Modified Distribution Plan
|
| 34-57807 |
May 9, 2008 |
Founding Partners Capital Management Company and William Gunlicks
|
| 34-57804 |
May 8, 2008 |
Quogue Capital LLC and Wayne P. Rothbaum
|
| 34-57799 |
May 8, 2008 |
Advanced Precision Technology, Inc., (n/k/a Exact Identification Corp.), Alta Gold Co., Decisionlink, Inc., Enviro Energy Corp., and Wavo Corp.
|
| 34-57798 |
May 8, 2008 |
American Kiosk Corp., American Motorcycle Corp. (f/k/a Scope Industries, Inc.), Austin's International, Inc., BusinessMall.Com, Inc., CCM Manufacturing Technologies, Inc., and Emerging Markets Corp.
Note: See also the Order in this matter
|
| 34-57796 |
May 7, 2008 |
Gabelli Funds, LLC
|
| 34-57791 |
May 7, 2008 |
Anscott Industries, Inc.
|
| 34-57789 |
May 7, 2008 |
ABS Group, Inc., Accrue Software, Inc., iAsiaworks, Inc., Premier Laser Systems, Inc., Siskon Gold Corp., and Syquest Technology, Inc. (n/k/a SYQT, Inc.)
Note: See also the Order in this matter
|
| 34-57788 |
May 7, 2008 |
Enviro Energy Corp.
|
| 34-57783 |
May 6, 2008 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| 34-57780 |
May 6, 2008 |
National Manufacturing Technologies, Inc., Natural Solutions Corp., Natural Wonders, Inc., Net Nanny Software International, Inc., Netcentives, Inc., and Netcruise.com, Inc.
Note: See also the Order in this matter
|
| 34-57774 |
May 5, 2008 |
Paul S. Berliner
|
| 34-57772 |
May 5, 2008 |
Health Professionals, Inc.
Note: See also the Order in this matter
|
| 34-57756 |
May 1, 2008 |
Savvides & Partners/PKF Cyprus
Other Release No.: AAER-2823
|
| 34-57755 |
May 1, 2008 |
A. Carlos Martinez
|
| 34-57754 |
May 1, 2008 |
UTStarcom, Inc., Hong Liang Lu and Michael J. Sophie
Other Release No.: AAER-2821
|
| 33-8913 |
May 1, 2008 |
Banc of America Investment Services, Inc. and Columbia Management Advisors, LLC, as successor in interest to Banc of America Capital Management, LLC
Other Release Nos.: 34-57748, IA-2733, IC-28261
Note: See also Orders Granting Waiver33-8914A; 33-8915
|
| 34-57745 |
Apr. 29, 2008 |
Robert MacGregor
|
| 34-57733 |
Apr. 29, 2008 |
Michael J. Nolan
Other Release No.: AAER-2816
|
| 34-57732 |
Apr. 29, 2008 |
Weiss Research, Inc., Martin Weiss, and Lawrence Edelson
|
| 34-57731 |
Apr. 29, 2008 |
American Golden Century Investments, Inc., Growtex, Inc. (n/k/a Canadexx, Inc.), and Information Highway.com, Inc.
Note: See also the Order in this matter
|
| IA-2730 |
Apr. 29, 2008 |
Diversified Financial Corporation
Note: See also the Order in this matter
|
| IA-2728 |
Apr. 28, 2008 |
Alexander James Trabulse
|
| 34-57729 |
Apr. 28, 2008 |
Joseph A. Ferona, Jr.
Other Release No.: IA-2729
|
| 34-57728 |
Apr. 28, 2008 |
Ryan G. Leeds
|
| 34-57727 |
Apr. 28, 2008 |
vFinance Investments, Inc.
|
| 34-57726 |
Apr. 28, 2008 |
Arthur Scheinert
|
| 33-8912 |
Apr. 28, 2008 |
Robert A. Putnam, CPA
Other Release Nos.: 34-57725, AAER-2815
|
| 34-57724 |
Apr. 28, 2008 |
Calvin Kirk French, CPA
Other Release No.: AAER-2814
|
| 34-57723 |
Apr. 28, 2008 |
Morgan Stanley & Co. Incorporated
|
| 34-57722 |
Apr. 25, 2008 |
Amir Rosenthal, Esq.
|
| 34-57721 |
Apr. 25, 2008 |
Janus Capital Management LLC
Note: See also Modified Distribution Plan
|
| 34-57710A |
Apr. 24, 2008 |
First Montauk Securities Corp. and Herbert Kurinsky
|
| 34-57709 |
Apr. 24, 2008 |
Kevin R. Andersen, CPA
Other Release No.: AAER-2813
|
| IA-2727 |
Apr. 24, 2008 |
Gabelli Funds LLC
Other Release No.: IC-28253
Note: See also Order Granting Waivers |
| 34-57705 |
Apr. 23, 2008 |
Claude Fernandez (CPA)
Other Release No.: AAER-2812
|
| 34-57704 |
Apr. 23, 2008 |
Pritchard Capital Partners, LLC, Thomas Ward Pritchard, Joseph John Vancook, and Elizabeth Ann McMahon
Other Release No.: IC-28251
|
| 34-57698 |
Apr. 23, 2008 |
Achieva Development Corp., Acme Metals, Inc., Act International, Inc., Active Assets & Associates, Inc., ADM Enterprises, Inc., and Advanced Interactive, Inc.
|
| 34-57694 |
Apr. 21, 2008 |
Clarence Friend
Note: See also the Order in this matter
|
| 34-57692 |
Apr. 21, 2008 |
Advanced Precision Technology, Inc. (n/k/a Exact Identification Corp.), Alta Gold Co., Decisionlink, Inc., Enviro Energy Corp., and Wavo Corp.; Dover Petroleum Corp., Paradigm Advanced Technologies, Inc., and Playstar Wyoming Holding Corp.; Empyrean Bioscience, Inc., Languageware.net Co. Ltd., and Uncle B's Bakery, Inc.
Note: See also the Orders in this matter: Advanced Precision Technology, et al.; Dover Petroleum Corp., et al.; Empyrean Bioscience, et al.
|
| 34-57690 |
Apr. 21, 2008 |
Achieva Development Corp.
|
| 34-57689 |
Apr. 21, 2008 |
Active Assets & Associates, Inc.
|
| 34-57687 |
Apr. 18, 2008 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| 34-57680 |
Apr. 17, 2008 |
Sidney Mondschein
|
| 34-57678 |
Apr. 17, 2008 |
Robert T. Reese
|
| 34-57677 |
Apr. 17, 2008 |
Gary L. Lancaster
Other Release No.: IA-2726
|
| 34-57676 |
Apr. 17, 2008 |
Peter A. Perez
|
| 34-57674 |
Apr. 17, 2008 |
Scott B. Gann
Other Release No.: IA-2725
Note: See also the Order in this matter
|
| 34-57673 |
Apr. 17, 2008 |
Aaro Broadband Wireless Communications, Inc., Agri Bio-Sciences, Inc., Alabaster Corp., and Alchemy Holdings, Inc.
|
| IA-2724 |
Apr. 16, 2008 |
Mitchell M. Maynard and Dorice A. Maynard
Note: See also the Order in this matter
|
| 34-57663 |
Apr. 14, 2008 |
Kenneth M. Avery, CPA
Other Release No.: AAER-2809
|
| 34-57662 |
Apr. 14, 2008 |
Melvin Dick, CPA
Other Release No.: AAER-2808
|
| 34-57661 |
Apr. 14, 2008 |
RS Investment Management, Inc.; RS Investment Management, L.P.; G. Randall Hecht and Steven M. Cohen
|
| 34-57657 |
Apr. 11, 2008 |
21st Century Technologies, Inc.
Note: See also the Order in this matter
|
| 34-57651 |
Apr. 11, 2008 |
Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison
|
| 34-57639 |
Apr. 9, 2008 |
American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.)
|
| 34-57637 |
Apr. 8, 2008 |
Douglas G. Frederick
Note: See also the Order in this matter
|
| 34-57635 |
Apr. 8, 2008 |
Craig J. Shaber
|
| 34-57628 |
Apr. 7, 2008 |
Machine Technology, Inc., Madrona International, Inc., Mangum Acquisitions Corp., Magnum Sports & Entertainment, Inc., Majestic Companies, Ltd., Management of Environmental Solutions & Technology Corp., Maple Corp., Mariculture Systems, Inc., and Marina Capital, Inc.
|
| 34-57612 |
Apr. 3, 2008 |
John Luczycki, CPA
Other Release No.: AAER-2806
|
| 34-57607 |
Apr. 2, 2008 |
Charles W. Crouse and Norman R. Hess
|
| 34-57606 |
Apr. 2, 2008 |
Fidelity National Capital Investors, Inc.
|
| 34-57605 |
Apr. 2, 2008 |
Chicago Stock Exchange
|
| 34-57590 |
Apr. 1, 2008 |
Achieva Development Corp., Acme Metals, Inc., Act International, Inc., Active Assets & Associates, Inc., ADM Enterprises, Inc., and Advanced Interactive, Inc.
Note: See also the Order in this matter
|
| First Quarter |
| 34-57580 |
Mar. 31, 2008 |
Aimsi Technologies, Inc., Formerly Known as Advanced Integrated Management Services, Inc.
|
| 33-8906 |
Mar. 27, 2008 |
JPMorgan Chase & Co.
Note: See also the Order granting waiver
|
| 34-57569 |
Mar. 27, 2008 |
Val E. Southwick
|
| 34-57565 |
Mar. 26, 2008 |
Rochelle Roman
|
| 34-57563 |
Mar. 26, 2008 |
Steven H. Barry, CPA
Other Release No.: AAER-2805
|
| 34-57560 |
Mar. 26, 2008 |
Lynn R. Michl, CPA
Other Release No.: AAER-2804
|
| 34-57554 |
Mar. 26, 2008 |
Alabaster Corp.
|
| 34-57552 |
Mar. 25, 2008 |
Hollinger Inc.
|
| 34-57549 |
Mar. 24, 2008 |
Ritchie Capital Management, LLC; Ritchie Multi-Strategy Global Trading Ltd.; A.R. Thane Ritchie; and Warren Louis Demaio
|
| 34-57548 |
Mar. 24, 2008 |
Randgold & Exploration Company, Limited
|
| 34-57536 |
Mar. 20, 2008 |
Bruce Chet Rothenberg
|
| 33-8904 |
Mar. 18, 2008 |
Robert LoMonaco
Other Release No.: 34-57518
|
| 33-8903 |
Mar. 18, 2008 |
Andrew Saksa
Other Release No.: 34-57517
|
| 34-57516 |
Mar. 18, 2008 |
Robert T. Bassman
Other Release No.: AAER-2800
|
| 34-57510 |
Mar. 17, 2008 |
Anscott Industries, Inc.
Note: See also the Order in this matter
|
| 34-57501 |
Mar. 14, 2008 |
Marc J. Bilotti
Other Release No.: IA-2722
|
| 34-57496 |
Mar. 14, 2008 |
Roanoke Technology Corp.
|
| 34-57495 |
Mar. 14, 2008 |
Aero Group, Inc.
|
| 34-57491 |
Mar. 13, 2008 |
Jeffrey A. Richie
Other Release No.: IA-2721
|
| 34-57490 |
Mar. 13, 2008 |
Gary Thomas Scherping, CPA
Other Release No.: AAER-2797
|
| 34-57489 |
Mar. 13, 2008 |
Alliance Capital Management, L.P.
Note: See also Proposed Distribution Plan
Submit comments on Proposed Distribution Plan
|
| IA-2720 |
Mar. 12, 2008 |
Frank J. Russo
|
| 34-57477 |
Mar. 12, 2008 |
Airtech International Group, Inc.
|
| 34-57471 |
Mar. 11, 2008 |
A Novo Broadband, Inc., Acadia Group, Inc., Adva International, Inc., AHT Corp., Airtech International Group, Inc., Alliance Environmental Technologies, Inc. (f/k/a Spacial Corp.), and Allou Healthcare, Inc. (f/k/a Allou Health & Beauty Care, Inc.)
|
| IA-2718 |
Mar. 11, 2008 |
Michael R. Donnell
Other Release No.: IC-28192
|
| 34-57457 |
Mar. 10, 2008 |
Advanced Products Group, Inc. (n/k/a Cloudtech Sensors, Inc.)
|
| 34-57453 |
Mar. 7, 2008 |
Aaro Broadband Wireless Communications, Inc., Agri Bio-Sciences, Inc., Alabaster Corp., and Alchemy Holdings, Inc.
Note: See also the Order in this matter
|
| 34-57444 |
Mar. 6, 2008 |
Richard D. Nye, CPA
Other Release No.: AAER-2796 |
| 34-57443 |
Mar. 6, 2008 |
William J. Rauwerdink, CPA
Other Release No.: AAER-2795 |
| 34-57440 |
Mar. 6, 2008 |
Certified Services, Inc.
Note: See also the Order in this matter
|
| 34-57439 |
Mar. 6, 2008 |
Charles J. Spinelli, Esq. |
| 34-57435 |
Mar. 5, 2008 |
John R. Glushko |
| IC-28189 |
Mar. 5, 2008 |
Peter S. Lynch |
| IA-2716 |
Mar. 5, 2008 |
Marc C. Beran
Other Release No.: IC-28188
|
| IA-2715 |
Mar. 5, 2008 |
Scott E. Desano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci, and Kirk C. Smith
Other Release No.: IC-28187
Note: See also Order in this matter |
| IA-2714 |
Mar. 5, 2008 |
Bart A. Grenier
Other Release No.: IC-28186
|
| IA-2713 |
Mar. 5, 2008 |
Fidelity Management & Research Company and FMR Co., Inc.
Other Release No.: IC-28185
Note: See also Attorney Report and Trustees Report |
| 34-57432 |
Mar. 5, 2008 |
Machine Technology, Inc., Madrona International, Inc., Mangum Acquisition Corp., Magnum Sports & Entertainment, Inc., Majestic Companies, Ltd., Management of Environmental Solutions & Technology Corp., Maple Corp., Mariculture Systems, Inc., and Marina Capital, Inc.
Note: See also the Order in this matter
|
| 34-57428 |
Mar. 4, 2008 |
Richard E. Fresia, CPA
Other Release No.: AAER-2794
|
| 34-57423 |
Mar. 3, 2008 |
Founding Partners Capital Management Company and William Gunlicks
Note: See also Proposed Distribution Plan
Submit comments on Proposed Distribution Plan
|
| 34-57422 |
Mar. 3, 2008 |
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.
|
| 34-57403 |
Feb. 29, 2008 |
Michael Cimilluca, Jr.
Other Release No.: IA-2710
|
| IA-2709 |
Feb. 29, 2008 |
Vincent A. Lenarcic, Jr.
|
| 34-57402 |
Feb. 29, 2008 |
Paul N. Germain
|
| 34-57396 |
Feb. 28, 2008 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| 34-57381 |
Feb. 26, 2008 |
Nicholas Difazio, CPA
Other Release No.: AAER-2792
|
| 34-57380 |
Feb. 26, 2008 |
Duane Higgins, CPA
Other Release No.: AAER-2791
|
| 33-8899 |
Feb. 25, 2008 |
Pamela J. Thompson
Other Release No.: 34-57379
|
| 34-57378 |
Feb. 25, 2008 |
Accent Color Sciences, Inc., Actfit.com, Inc. (n/k/a Telum International Corp.), Adpads, Inc., Advanced Products Group, Inc. (n/k/a Cloudtech Sensors, Inc.), Aero Group, Inc., and Alford Refrigerated Warehouses, Inc.
|
| 34-57372 |
Feb. 22, 2008 |
Robert A. Loffredi
|
| IA-2707 |
Feb. 22, 2008 |
Edward Sewon Ehee
|
| 34-57371 |
Feb. 22, 2008 |
Executive Registrar & Transfer, Inc. and John J. Donnelly
Note: See also the Order in this matter
|
| 34-57370 |
Feb. 22, 2008 |
TelcoBlue, Inc.
Note: See also the Order in this matter
|
| 34-57353 |
Feb. 19, 2008 |
Michael K. Openshaw, CPA
Other Release No.: AAER-2789
|
| 34-57351 |
Feb. 19, 2008 |
Roanoke Technology Corporation
|
| 34-57346 |
Feb. 19, 2008 |
Greater China Corp.
|
| 34-57345 |
Feb. 19, 2008 |
Enova Holdings, Inc.
|
| 34-57344 |
Feb. 19, 2008 |
Azur International, Inc.
|
| 34-57341 |
Feb. 15, 2008 |
American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.)
Note: See also Proposed Distribution Plan
Submit comments on Proposed Distribution Plan
|
| 34-57339 |
Feb. 15, 2008 |
Jeffrey M. Yonkers, CPA
Other Release No.: AAER-2787
|
| IA-2706 |
Feb. 15, 2008 |
Peter J. Dawson
|
| 34-57338 |
Feb. 15, 2008 |
Stephen Ziegler
|
| 34-57337 |
Feb. 15, 2008 |
Raquel Kohler, CPA
Other Release No.: AAER-2786
|
| 34-57334 |
Feb. 14, 2008 |
Kangsan Kim
Other Release No.: IA-2705
|
| 34-57333 |
Feb. 14, 2008 |
Westinghouse Air Brake Technologies Corporation
Other Release No.: AAER-2785
|
| IA-2704 |
Feb. 14, 2008 |
James A. Jeffery and Thomas E. Repke
|
| 34-57330 |
Feb. 14, 2008 |
AXM Pharma, Inc.
Other Release No.: AAER-2784
|
| 34-57329 |
Feb. 14, 2008 |
Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot
Other Release Nos.: IC-28154
|
| 33-8895 |
Feb. 14, 2008 |
Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot
Other Release Nos.: 34-57328, IC-28153
|
| 33-8894 |
Feb. 14, 2008 |
Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot
Other Release Nos.: 34-57327, IC-28152
|
| 34-57310 |
Feb. 12, 2008 |
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; James X. McCarty
|
| 34-57309 |
Feb. 12, 2008 |
AdPads, Inc.
|
| 34-57307 |
Feb. 11, 2008 |
Justin M. Paperny
Other Release No.: IA-2703
|
| 34-57303 |
Feb. 11, 2008 |
Robert A. Fish, CPA
Other Release No.: AAER-2783
|
| 34-57292 |
Feb. 7, 2008 |
Mitchell S. Drucker
|
| 34-57288 |
Feb. 7, 2008 |
Maximum Dynamics, Inc.
|
| 33-8892 |
Feb. 7, 2008 |
Kenneth M. Christison, Esq.
|
| 34-57282 |
Feb. 6, 2008 |
William Patrick Borchard (CPA)
Other Release No.: AAER-2782
|
| 34-57276 |
Feb. 6, 2008 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| 34-57275 |
Feb. 6, 2008 |
TAM Restaurants, Inc. (n/k/a Aerofoam Metals, Inc.)
|
| 33-8890 |
Feb. 5, 2008 |
Ritchie Capital Management L.L.C., Ritchie Multi-Strategy Global Trading, Ltd., A.R. Thane Ritchie, and Warren Louis DeMaio
Other Release Nos.: 34-57271, IA-2701, IC-28142
|
| IC-28141 |
Feb. 5, 2008 |
Michael Mauriello
|
| 34-57267 |
Feb. 4, 2008 |
A Novo Broadband, Inc., Acadia Group, Inc., Adva International, Inc., AHT Corp., Airtech International Group, Inc., Alliance Environmental Technologies, Inc. (f/k/a Spacial Corp.), and Allou Healthcare, Inc. (f/k/a Allou Health & Beauty Care, Inc.)
Note: See also the Order in this matter
|
| 34-57245 |
Jan. 31, 2008 |
Aimsi Technologies, Inc., formerly known as Advanced Integrated Management Services, Inc.
Note: See also the Order in this matter
|
| 34-57240 |
Jan. 30, 2008 |
Steven Altman, Esq.
Note: See also the Order in this matter
|
| 33-8886 |
Jan. 30, 2008 |
Thomas J. Dudchik and Rodney R. Schoemann
Note: See also the Order in this matter
|
| 34-57234 |
Jan. 30, 2008 |
David B. Duncan, CPA
Other Release No.: AAER-2778
|
| 34-57222 |
Jan. 29, 2008 |
Knight Securities L.P.
Note: See also Amended Fair Fund Distribution Plan
|
| 34-57215 |
Jan. 28, 2008 |
Clifton Curtis Sneed, Jr.
|
| 34-57211 |
Jan. 28, 2008 |
Thomas H. Bauer, CPA
Other Release No.: AAER-2776
|
| 34-57210 |
Jan. 28, 2008 |
Michael Lowther, CPA
Other Release No.: AAER-2775
|
| 34-57209 |
Jan. 28, 2008 |
Michael Odom, CPA
Other Release No.: AAER-2774
|
| 34-57208 |
Jan. 28, 2008 |
ABC Dispensing Technologies, Inc., Access Tradeone.com, Inc., Addison-Davis Diagnostics, Inc., Aden Enterprises, Inc., Advanced Recycling Sciences, Inc., and Advanced Systems International, Inc.
|
| 33-8884 |
Jan. 25, 2008 |
Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J.Conlin, Greg D. Winston, Kevin D.Clark, Kenneth J.Della, and Hugh F. Denison
Other Release Nos.: 34-57206, IA-2698, IC-28136
|
| 34-57205 |
Jan. 25, 2008 |
Joseph A. Ferona, Jr.
Other Release No.: IA-2697
Note: See also the Order in this matter
|
| 33-8883 |
Jan. 25, 2008 |
Chronos Asset Management, Inc. and Mitchell L. Dong
Other Release Nos.: 34-57202, IA-2696, IC-28135
|
| 34-57201 |
Jan. 25, 2008 |
Janus Capital Management, LLC
|
| 34-57200 |
Jan. 25, 2008 |
Mark Michel
|
| 34-57180 |
Jan. 22, 2008 |
Story & Company, P.C., and Brian L. Story, CPA
Other Release No.: AAER-2772
|
| 34-57179 |
Jan. 22, 2008 |
Halt, Buzas & Powell, Ltd., Wayne A. Powell, CPA, and Steven R. Halt, CPA
Other Release No.: AAER-2771
|
| 34-57178 |
Jan. 22, 2008 |
Frederick A. Kaden & Co., and Frederick A. Kaden, CPA
Other Release No.: AAER-2770
|
| 34-57177 |
Jan. 22, 2008 |
Carl S. Sanko, CPA
Other Release No.: AAER-2769
|
| 34-57168 |
Jan. 18, 2008 |
AR Associates, Inc., Azel Enterprises, Inc., Getgomail.Com, Inc. (n/k/a/ Getgo, Inc.), Success Development Group, Inc., Vis Opps Marketing, Inc., and Worldwide Medical Corp.
|
| 34-57165 |
Jan. 17, 2008 |
Mark E. Sullivan
Other Release No.: AAER-2768
|
| 34-57151 |
Jan. 15, 2008 |
Roanoke Technology Corp.
|
| IA-2693 |
Jan. 14, 2008 |
Marc A. Freedman
|
| 34-57126 |
Jan. 10, 2008 |
Elliot Joel Smith
|
| 34-57125 |
Jan. 10, 2008 |
Gregg Ashley Smith
Other Release No.: IA-2692
|
| 34-57124 |
Jan. 10, 2008 |
Joseph M. Malone
|
| 34-57123 |
Jan. 10, 2008 |
Ronald J. Nadel
|
| 34-57117 |
Jan. 9, 2008 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| 34-57112 |
Jan. 8, 2008 |
e4L, Inc., Luminex Lighting, Inc., MD Healthshares Corp., Royal Holiday Mobile Estates, Inc., and Sales Strategies, Inc.
|
| 33-8881 |
Jan. 4, 2008 |
Euro Capital Incorporated
Note: See also the Order in this matter
|
| 34-57102 |
Jan. 4, 2008 |
Santo C. Maggio
Other Release Nos.: IA-2691, AAER-2766
|
| 34-57101 |
Jan. 4, 2008 |
K.W. Brown & Company, et. al.
Other Release No.: IA-2690
Note: See also the Order in this matter
|
| 34-57098 |
Jan. 4, 2008 |
Accent Color Sciences, Inc., ActFit.com, Inc. (n/k/a Telum International Corp.), AdPads, Inc., Advanced Products Group, Inc. (n/k/a Cloudtech Sensors, Inc.), Aero Group, Inc., and Alford Refrigerated Warehouses, Inc.
Note: See also the Order in this matter
|
| 34-57097 |
Jan. 4, 2008 |
ABC Dispensing Technologies, Inc., Access Tradeone.com, Inc.,
Addison-Davis Diagnostics, Inc., Aden Enterprises, Inc., Advanced Recycling Sciences, Inc., and Advanced Systems International, Inc.
Note: See also the Order in this matter
|
| 34-57092 |
Jan. 3, 2008 |
Greg A. Gadel (CPA)
Other Release No.: AAER-2765
|
| 34-57091 |
Jan. 3, 2008 |
Daniel J. Skrypek, CPA
Other Release No.: AAER-2764
|
| 34-57088 |
Jan. 3, 2008 |
vFinance Investments, Inc., Nicholas Thompson and Richard Campanella
Note: See also the Order in this matter
|
| 34-57085 |
Jan. 2, 2008 |
James T. Garrett, Jr. |
http://www.sec.gov/litigation/admin.shtml
|
