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Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.
Second Quarter | First Quarter
Additional Archives
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 SEC Administrative Proceedings RSS Feed
| Release No. |
Date |
Respondents |
| Second Quarter |
| 34-59878 |
May 6, 2009 |
Royal Spring Water, Inc.
Note: See also the Order in this matter
|
| 34-59870 |
May 6, 2009 |
John W. Adams and AIP, LLC
|
| 34-59868 |
May 6, 2009 |
Wade Cook Financial Corp., Warning Management Services, Inc.,Weldotron Corp., Western Microwave, Inc., Wickes, Inc., Worldwide Technologies, Inc., and Worldwide Xceed Group, Inc. (n/k/a Liquidating WXG, Inc.)
Note: See also the Order in this matter
|
| 34-59862 |
May 5, 2009 |
Xino Corp. (n/k/a Asher Xino Corp.), Xstream Mobile Solutions Corp., Yellowbubble.com, Inc., Yes! Entertainment Corp., and Yifan Communications, Inc.
|
| 34-59860 |
May 4, 2009 |
Hamilton Digital Controls, Inc., Hamilton-McGregor International, Inc., Happiness Express, Inc., Harvard Industries, Inc., Haven Holding, Inc. (n/k/a Haven Holdings I, Inc.), HealthCor Holdings, Inc., and Helm Capital Group, Inc.
Note: See also the Order in this matter
|
| 34-59856 |
May 4, 2009 |
X-Ramp.com, Inc., Xraymedia, Inc.(f/k/a Xraymedia.com, Inc.), Zenith Holding Corp., and Zydant Corp.
|
| 34-59853 |
May 1, 2009 |
F&C International, Inc., The FAPA Insurance Co., Farm Fish, Inc., FCS Laboratories, Inc., Federal Resources Corp., Filene's Basement Corp. (n/k/a FBC Distribution Corp.), and Film & Music Entertainment, Inc.
|
| 34-59851 |
Apr. 30, 2009 |
Childrobics, Inc., Churchill Technology, Inc., Complete Management, Inc., Global Intellicom, Inc., Tenney Engineering, Inc., and The Score Board, Inc.
|
| 34-59849 |
Apr. 30, 2009 |
Paul M. Gozzo
|
| 34-59848 |
Apr. 30, 2009 |
Xino Corp. (n/k/a Asher Xino Corp.), Xstream Mobile Solutions Corp., Yellowbubble.com, Inc., Yes! Entertainment Corp., and Yifan Communications, Inc.
|
| 34-59847 |
Apr. 30, 2009 |
Childrobics, Inc., Churchill Technology, Inc., Complete Management, Inc., Global Intellicom, Inc., Tenney Engineering, Inc., and The Score Board, Inc.
|
| 34-59840 |
Apr. 29, 2009 |
Michael D. Smith
|
| 34-59833 |
Apr. 28, 2009 |
IAC Holdings, Inc.
|
| 34-59832 |
Apr. 28, 2009 |
Alliance Capital Management, LP
|
| 34-59831 |
Apr. 28, 2009 |
Brad E. Parish
|
| 34-59830 |
Apr. 28, 2009 |
Royal Alliance Associates, Inc.
|
| 34-59828 |
Apr. 28, 2009 |
Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp.
|
| 34-59820 |
Apr. 24, 2009 |
Xino Corp. (n/k/a Asher Xino Corp.), Xstream Mobile Solutions Corp., Yellowbubble.com,
Inc., Yes! Entertainment Corp., and Yifan Communications, Inc.
|
| 34-59817 |
Apr. 23, 2009 |
Bryan E. Palbaum, CPA
Other Release No.: AAER-2966
|
| 34-59813 |
Apr. 22, 2009 |
Weiss Research, Inc., Martin Weiss, and Lawrence Edelson
|
| 34-59812 |
Apr. 22, 2009 |
David Scott Cacchione
|
| 34-59810 |
Apr. 22, 2009 |
Aegis Consumer Funding Group, Inc., APS Holding Corp., Dakota Mining Corp., Digital Communications Technology Corp., Horn Silver Mines, Inc., and TCC Industries, Inc.
|
| 34-59809 |
Apr. 22, 2009 |
IDM Participating Income Co., IDM Participating Income Co. II, IDM Participating Income Co. III, IDM Participating Income Co. IV, IDM Participating Income Co. V, IDM Participating Income Co. VII, IDM Participating Income Co. 90
|
| IA-2871 |
Apr. 22, 2009 |
Hennessee Group LLC and Charles J. Gradante
|
| 34-59803 |
Apr. 21, 2009 |
Randy S. Casstevens (CPA)
Other Release No.: AAER-2965
|
| 34-59801 |
Apr. 21, 2009 |
Act Manufacturing, Inc., Aerovox, Inc. (n/k/a New Bedford Capacitor, Inc.), Agility Capital, Inc., Air Water International Corp. (f/k/a Universal Communications Systems, Inc.), Allegiant Physician Services, Inc., and Alpha Microsystems, Inc. (n/k/a NQL, Inc.)
Note: See also the Order in this matter
|
| IA-2869 |
Apr. 20, 2009 |
Gordon B. Grigg
|
| 34-59798 |
Apr. 20, 2009 |
X-Ramp.com, Inc., Xraymedia, Inc. (f/k/a Xraymedia.com, Inc.) Zenith Holding Corp., and Zydant Corp.
Note: See also the Order in this matter
|
| 34-59797 |
Apr. 20, 2009 |
I.A. Europe Group, Inc. (n/k/a Ghost Technology, Inc.), I-Carauction.com, Inc., ICIS Management Group, Inc., iCommerce Group, Inc., IDM Environmental Corp., and Illinois Creek Corp.
Note: See also the Order in this matter
|
| 34-59796 |
Apr. 20, 2009 |
I Incubator.com, Inc., I Storm, Inc., iBeam Broadcasting Corp., I.C.H. Corp., IDream WS, Inc., and Images of Life, Inc.
Note: See also the Order in this matter
|
| 34-59785 |
Apr. 17, 2009 |
Kevin E. Brooks, CPA
Other Release No.: AAER-2964
|
| 34-59783 |
Apr. 17, 2009 |
Laurence G. Young
|
| IA-2867 |
Apr. 17, 2009 |
American Skandia Investment Services, Inc.
Note: See also Orders granting waiver:33-9028 and 33-9029
|
| 34-59767 |
Apr. 14, 2009 |
Stratum Holdings, Inc.
Other Release No.: AAER-2963
|
| 34-59766 |
Apr. 14, 2009 |
Stephen P. Corso, Jr., CPA
Other Release No.: AAER-2962
|
| 34-59765 |
Apr. 14, 2009 |
GLB Trading, Inc. and Robert A. Lechman
Note: See also the Order in this matter
|
| 34-59761 |
Apr. 14, 2009 |
Poseidis, Inc.
Note: See also the Order in this matter
|
| 34-59758 |
Apr. 13, 2009 |
Antonio Canova (CPA)
Other Release No.: AAER-2961
|
| 34-59752 |
Apr. 13, 2009 |
VoIP, Inc.
Note: See also the Order in this matter
|
| 34-59751 |
Apr. 13, 2009 |
Jesus A. Lago, CPA
Other Release No.: AAER-2960 |
| IA-2865 |
Apr. 10, 2009 |
Glenn Manterfield
Note: See also the Order in this matter
|
| 33-9024 |
Apr. 10, 2009 |
Newbridge Securities Corp., Guy S. Amico, Scott H. Goldstein, Eric M. Vallejo, and Daniel M. Kantrowitz
Other Release No.: 34-59749
|
| 34-59741 |
Apr. 9, 2009 |
Massachusetts Financial Services Company, John W. Ballen and Kevin R. Parke
|
| 34-59740 |
Apr. 9, 2009 |
Woodbury Financial Services, Inc.
|
| 34-59738 |
Apr. 9, 2009 |
Charles F. Lewis
Note: See also the Order in this matter
|
| 33-9023 |
Apr. 9, 2009 |
Mark Tuminello
Other Release No.: 34-59739
|
| 34-59735 |
Apr. 8, 2009 |
Ravi Yanamadula
Note: See also the Order in this matter
|
| 34-59734 |
Apr. 8, 2009 |
Douglas F. Samuels
Note: See also the Order in this matter
|
| 34-59732 |
Apr. 8, 2009 |
L Rex International, Inc., Lakshmi Enterprises, Inc., Lamaur Corp., Laminco Resources, Inc. (n/k/a Zaruma Resources, Inc.), Landis & Partners, Inc., Las Americas Broadband, Inc., and Laser Precision Corp. (n/k/a NetTest, Inc.)
|
| 34-59731 |
Apr. 8, 2009 |
Carlyle Gaming & Entertainment Ltd., Daleigh Holdings Corp., Guy F. Atkinson Co. of California, Inc. (n/k/a ATKN Co. of California), Pegasus Gold, Inc. and Storm Technology, Inc.
|
| 34-59730 |
Apr. 8, 2009 |
Global 1 Investment Holdings Corporation
|
| 34-59727 |
Apr. 8, 2009 |
Core Technologies Pennsylvania, Inc., First Central Financial Corp., Imark Technologies, Inc., Molten Metal Technology, Inc., and MRS Technology, Inc.
|
| 34-59719 |
Apr. 7, 2009 |
Lawrence D. Morris
Note: See also the Order in this matter
|
| 34-59718 |
Apr. 7, 2009 |
IAC Holdings, Inc.
Note: See also the Order in this matter
|
| 34-59711 |
Apr. 6, 2009 |
Michael W. Crow and Robert David Fuchs
Other Release No.: IA-2863
|
| 34-59707 |
Apr. 6, 2009 |
Cort L. Poyner
|
| 34-59703 |
Apr. 3, 2009 |
Dan Wise, CPA, a/k/a Danny Wise, CPA
Other Release No.: AAER-2959
|
| 34-59702 |
Apr. 3, 2009 |
IDM Participating Income Co., IDM Participating Income Co. II, IDM Participating Income Co. III, IDM Participating Income Co. IV, IDM Participating Income Co. V, IDM Participating Income Co. VII, and IDM Participating Income Co. 90
Note: See also the Order in this matter
|
| 34-59699 |
Apr. 3, 2009 |
Xino Corp. (n/k/a Asher Xino Corp.), Xstream Mobile Solutions Corp., Yellowbubble.com, Inc., Yes! Entertainment Corp., and Yifan Communications, Inc.
Note: See also the Order in this matter
|
| 34-59693 |
Apr. 2, 2009 |
Stephen R. Moynahan
|
| 34-59689 |
Apr. 2, 2009 |
F&C International, Inc., The FAPA Insurance Co., Farm Fish, Inc., FCS Laboratories, Inc., Federal Resources Corp., Filene's Basement Corp. (n/k/a FBC Distribution Corp.), and Film & Music Entertainment, Inc.
Note: See also the Order in this matter
|
| 34-59687 |
Apr. 2, 2009 |
Aegis Consumer Funding Group, Inc., APS Holding Corp., Dakota Mining Corp., Digital Communications Technology Corp., Horn Silver Mines, Inc., and TCC Industries, Inc.; Childrobics, Inc., Churchill Technology, Inc., Complete Management, Inc., Global Intellicom, Inc., Tenney Engineering, Inc., and The Score Board, Inc.
Note: See also the Order in this matter: Aegis, et al. and Childrobics, et al.
|
| 33-9021 |
Apr. 1, 2009 |
Inviva, Inc. and Jefferson National Life Insurance Company
Other Release Nos.: 34-59674, IC-28684
|
| 34-59671 |
Apr. 1, 2009 |
Thomas Brick
|
| 34-59670 |
Apr. 1, 2009 |
Deborah Galas
|
| First Quarter |
| 34-59657 |
Mar. 31, 2009 |
Alliance Capital Management, LP
|
| 34-59649 |
Mar. 30, 2009 |
Arthur S. Redler
|
| 34-59648 |
Mar. 30, 2009 |
Dennis Kavelman, C.A. and Arcangelo Loberto, C.A.
Other Release No.: AAER-2958
|
| 34-59646 |
Mar. 30, 2009 |
Global Matrechs, Inc.
Note: See also the Order in this matter
|
| 34-59644 |
Mar. 27, 2009 |
Jason G. Burks
Other Release Nos.: IA-2862, IC-28682
|
| 34-59640 |
Mar. 27, 2009 |
Brian P. Corbett
Other Release No.: IA-2861
|
| 34-59639 |
Mar. 27, 2009 |
Michael L. Silver
Other Release No.: IA-2860
|
| 34-59637 |
Mar. 27, 2009 |
Judith Kudla (CPA)
Other Release No.: AAER-2954
|
| IA-2859A |
Mar. 27, 2009 |
Alberto W. Vilar and Gary Alan Tanaka
|
| IA-2857 |
Mar. 26, 2009 |
Matthew La Madrid
Note: See also the Order in this matter
|
| 34-59625 |
Mar. 25, 2009 |
Lambert Communications, Inc., Laniprin Life Sciences, Inc., Last American Exit, Inc., Lawrence Insurance Group, Inc., Le Print Express International, Inc., Leak-X Environmental Corp., and Leisure Shoppers, Inc.
|
| 34-59624 |
Mar. 25, 2009 |
Jansko, Inc., JG Industries, Inc., JMXI, Inc. (f/k/a Jupiter Communications, Inc.), The Jockey Club, Inc., Juina Mining Corp., Inc. (n/k/a AC Energy, Inc.), Jumbosports, Inc., Jumpin’ Jax Corp., Just Like Home, Inc., and Just Toys, Inc.
|
| 34-59623 |
Mar. 25, 2009 |
Lambert Communications, Inc., Laniprin Life Sciences, Inc., Last American Exit, Inc., Lawrence Insurance Group, Inc., Le Print Express International, Inc., Leak-X Environmental Corp., and Leisure Shoppers, Inc.
|
| 34-59619 |
Mar. 23, 2009 |
Janex International, Inc., Jet Energy Corp., JobSort, Inc., Jones Plumbing Systems, Inc., Jore Corp., and Journey's End Resorts, Inc.
|
| IA-2855 |
Mar. 20, 2009 |
Cornerstone Capital Management, Inc. and Laura Jean Kent
|
| 34-59604 |
Mar. 19, 2009 |
Jeanne M. Rowzee
Other Release No.: IA-2854
|
| 34-59596 |
Mar. 18, 2009 |
William D. Shovers, CPA
Other Release No.: AAER-2952
|
| 34-59595 |
Mar. 18, 2009 |
Banc of America Securities LLC
|
| 34-59594 |
Mar. 18, 2009 |
Allion Healthcare, Inc. and James G. Spencer
Other Release No.: AAER-2951
|
| 34-59584 |
Mar. 17, 2009 |
Andrew Sims, CPA
Other Release No.: AAER-2950
|
| 34-59583 |
Mar. 17, 2009 |
Chemfix Technologies, Inc., Bagdad Chase, Inc., Cincinnati Microwave, Inc., Sun Television & Appliances, Inc., and Telegroup, Inc.
|
| 34-59573 |
Mar. 13, 2009 |
Carlyle Gaming & Entertainment Ltd., Daleigh Holdings Corp., Guy F. Atkinson Co. of California, Inc. (n/k/a ATKN Co. of California), Pegasus Gold, Inc., and Storm Technology, Inc.
|
| 34-59572 |
Mar. 13, 2009 |
Carlyle Gaming & Entertainment Ltd., Daleigh Holdings Corp., Guy F. Atkinson Co. of California, Inc. (n/k/a ATKN Co. of California), Pegasus Gold, Inc., and Storm Technology, Inc.
|
| 34-59568 |
Mar. 12, 2009 |
Matthew E. Kopsky
Other Release No.: IA-2852
|
| 34-59565 |
Mar. 12, 2009 |
Raymond Thomas
Note: See also the Order in this matter
|
| 34-59564 |
Mar. 12, 2009 |
Leading Edge Packaging, Inc., Leadingside, Inc., Lecstar Corp., and Legal Club of America, Inc.
|
| 34-59555 |
Mar. 11, 2009 |
Merrill Lynch, Pierce, Fenner, & Smith Incorporated
Other Release No.: IA-2851
|
| 34-59554 |
Mar. 11, 2009 |
Headliners Entertainment Group, Inc.
|
| 33-9015 |
Mar. 9, 2009 |
Cancer Detection Corporation, formerly known as Xpention Genetics, Inc.
|
| 33-9014 |
Mar. 9, 2009 |
HS3 Technologies, Inc.
|
| 34-59541 |
Mar. 9, 2009 |
Lisa W. Zappala (CPA)
Other Release No.: AAER-2945
|
| 34-59535 |
Mar. 9, 2009 |
BBJ Environmental Technologies, Inc.
|
| 34-59533 |
Mar. 6, 2009 |
Grant Bettingen, Inc.
|
| 34-59532 |
Mar. 6, 2009 |
M. Grant Bettingen
|
| 33-9012 |
Mar. 6, 2009 |
Christopher J. Johndrow
Other Release No.: 34-59531
|
| 34-59530 |
Mar. 6, 2009 |
Stephan Husi
Other Release No.: AAER-2944
|
| 34-59529A |
Mar. 6, 2009 |
Newbridge Securities Corp., Guy S. Amico, Scott H. Goldstein, Eric M. Vallejo, and Daniel M. Kantrowitz
|
| 33-9011A |
Mar. 6, 2009 |
Newbridge Securities Corp., Guy S. Amico, Scott H. Goldstein, Eric M. Vallejo, and Daniel M. Kantrowitz
Other Release No.: 34-59528
|
| 34-59526 |
Mar. 6, 2009 |
Minex Resources, Inc., Powerhouse Resources, Inc., SA Telecommunications, Inc., Thorn Apple Valley, Inc.; and Universal Seismic Associates, Inc. (n/k/a Seismic Universal Associates, Inc.)
|
| 34-59520 |
Mar. 5, 2009 |
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
|
| 34-59514 |
Mar. 5, 2009 |
Frank Lu
Other Release No.: IA-2850
|
| 34-59513 |
Mar. 5, 2009 |
Victor P. Machado
|
| 34-59512 |
Mar. 5, 2009 |
Knight Securities L.P.
|
| 34-59511 |
Mar. 5, 2009 |
Jansko, Inc., JG Industries, Inc., JMXI, Inc. (f/k/a Jupiter Communications, Inc.), The Jockey Club, Inc., Juina Mining Corp., Inc. (n/k/a AC Energy, Inc.), Jumbosports, Inc., Jumpin’ Jax Corp., Just Like Home, Inc., and Just Toys, Inc.
|
| 34-59508 |
Mar. 4, 2009 |
Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds |
| 34-59507 |
Mar. 4, 2009 |
TD Options LLC
|
| 34-59506 |
Mar. 4, 2009 |
Susquehanna Investment Group
|
| 34-59505 |
Mar. 4, 2009 |
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC
|
| 34-59504 |
Mar. 4, 2009 |
Knight Financial Products, LLC
|
| 34-59503 |
Mar. 4, 2009 |
Group One Trading, L.P.
|
| 34-59502 |
Mar. 4, 2009 |
Equitec Proprietary Markets, LLC
|
| 34-59501 |
Mar. 4, 2009 |
Botta Capital Management, L.L.C.
|
| 34-59500 |
Mar. 4, 2009 |
Sherry J. Polonsky
Other Release No.: AAER-2942
|
| 34-59499 |
Mar. 4, 2009 |
Krispy Kreme Doughnuts, Inc.
Other Release No.: AAER-2941
|
| IA-2849 |
Mar. 2, 2009 |
M.A.G. Capital, LLC and David F. Firestone
|
| 34-59470 |
Feb. 27, 2009 |
Daniel Baldwin, Jr.
|
| 34-59467 |
Feb. 27, 2009 |
Core Technologies Pennsylvania, Inc., First Central Financial Corp., Imark Technologies, Inc., Molten Metal Technology, Inc., and MRS Technology, Inc.; Chemfix Technologies, Inc., Bagdad Chase, Inc., Cincinnati Microwave, Inc., Sun Television & Appliances, Inc., and Telegroup, Inc.
Note: See also the Orders in this matter: Core Technologies, et al. and Chemfix Technologies, et al.
|
| 34-59465 |
Feb. 27, 2009 |
Minex Resources, Inc., Powerhouse Resources, Inc., SA Telecommunications, Inc., Thorn Apple Valley, Inc., and Universal Seismic Associates, Inc. (n/k/a Seismic Universal Associates, Inc.)
|
| 34-59461 |
Feb. 26, 2009 |
James Michael Leonard, Esq.
|
| 34-59458 |
Feb. 26, 2009 |
Ross Owen Haugen
Other Release No.: IA-2847
|
| 34-59456 |
Feb. 25, 2009 |
Wealthwise, LLC, and Jeffrey A. Forrest
Other Release No.: IA-2846
Note: See also the Order in this matter
|
| 34-59447 |
Feb. 25, 2009 |
Putnam Investment Management, LLC
|
| 34-59445 |
Feb. 25, 2009 |
Pilgrim Baxter & Associates, Ltd.
|
| 34-59444 |
Feb. 25, 2009 |
Pacific Industrial Corp., Pacific Security Companies, Inc., and Pandora Industries, Inc. (n/k/a Creston Moly Corp.)
|
| 34-59443 |
Feb. 24, 2009 |
Alan Brian Baiocchi
Note: See also the Order in this matter
|
| 34-59439 |
Feb. 24, 2009 |
RBC Capital Markets Corporation
|
| 34-59438 |
Feb. 24, 2009 |
Oppenheimer & Co. Inc.
|
| 34-59437 |
Feb. 24, 2009 |
Leumi Investment Services Inc.
|
| 34-59436 |
Feb. 24, 2009 |
Joseph Lovaglio
Other Release No.: IA-2844
|
| 34-59433 |
Feb. 23, 2009 |
John W. Adams and AIP, LLC
Note: See also Distribution Plan
Submit comments on Proposed Distribution Plan
|
| 34-59431 |
Feb. 20, 2009 |
John W. Adams and AIP, LLC
|
| 34-59428 |
Feb. 20, 2009 |
Diamondback Capital Management, LLC
Other Release No.: IA-2843
|
| 34-59426 |
Feb. 20, 2009 |
Janex International, Inc., Jet Energy Corp., JobSort, Inc., Jones Plumbing Systems, Inc., Jore Corp., and Journey's End Resorts, Inc.
Note: See also the Order in this matter
|
| 34-59423 |
Feb. 19, 2009 |
David J. Lubben
Other Release No.: AAER-2939
|
| 34-59422 |
Feb. 19, 2009 |
Greg Steven Kaplan, CPA
Other Release No.: AAER-2938
|
| 34-59412 |
Feb. 18, 2009 |
Leading Edge Packaging, Inc., Leadingside, Inc., Lecstar Corp., and Legal Club of America, Inc.
|
| 34-59408 |
Feb. 13, 2009 |
Randall W. Banks
Other Release No.: IA-2841
|
| 34-59401 |
Feb. 13, 2009 |
SG Americas Securities, LLC and Francois O. Barthelemy
|
| 34-59398 |
Feb. 12, 2009 |
Minex Resources, Inc., Powerhouse Resources, Inc., SA Telecommunications, Inc., Thorn Apple Valley, Inc., and Universal Seismic Associates, Inc. (n/k/a Seismic Universal Associates, Inc.); and Carlyle Gaming & Entertainment Ltd., Daleigh Holdings Corp., Guy F. Atkinson Co. of California, Inc. (n/k/a ATKN Co. of California), Pegasus Gold, Inc., and Storm Technology, Inc.
Note: See also the Orders in this matter: Minex, et al. and Carlyle, et al.
|
| 34-59390 |
Feb. 11, 2009 |
Ronald M. Bandyk, CPA
Other Release No.: AAER-2933
|
| 34-59389 |
Feb. 11, 2009 |
Alliance Capital Management, LP
|
| 34-59381 |
Feb. 11, 2009 |
Jansko, Inc., JG Industries, Inc., JMXI, Inc. (f/k/a Jupiter Communications, Inc.), The Jockey Club, Inc., Juina Mining Corp., Inc. (n/k/a AC Energy, Inc.), JumboSports, Inc., Jumpin' Jax Corp., Just Like Home, Inc., and Just Toys, Inc.
Note: See also the Order in this matter
|
| 34-59375A |
Feb. 10, 2009 |
Patrick J. Vaughan
Other Release No.: IA-2842A
|
| 34-59374 |
Feb. 10, 2009 |
William H. Salem
Other Release No.: IA-2839
|
| 34-59373 |
Feb. 10, 2009 |
Stephen J. Glantz
Other Release No.: IA-2838
|
| 34-59372 |
Feb. 10, 2009 |
Ferris, Baker Watts, Inc.
Other Release No.: IA-2837
|
| 34-59371 |
Feb. 9, 2009 |
Carlos Javier Spinelli-Noseda
|
| 34-59368 |
Feb. 6, 2009 |
J. Michael Scarborough and Royal Alliance Associates, Inc.
Note: See also Distribution Plan
Submit comments on Proposed Distribution Plan
|
| 34-59367 |
Feb. 6, 2009 |
Hafiz Naseem
Other Release No.: IA-2836
|
| 34-59363 |
Feb. 5, 2009 |
Jeffrey M. Yonkers, CPA
Other Release No.: AAER-2931
|
| 34-59356 |
Feb. 4, 2009 |
Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp.
Note: See also Distribution Plan
|
| 34-59352 |
Feb. 3, 2009 |
L Rex International, Inc., Lakshmi Enterprises, Inc., Lamaur Corp., Laminco Resources, Inc. (n/k/a Zaruma Resources, Inc.), Landis & Partners, Inc., Las Americas Broadband, Inc., and Laser Precision Corp. (n/k/a NetTest, Inc.)
Note: See also the Order in this matter
|
| 34-59351 |
Feb. 3, 2009 |
Lambert Communications, Inc., Laniprin Life Sciences, Inc., Last American Exit, Inc., Lawrence Insurance Group, Inc., Le Print Express International, Inc., Leak-X Environmental Corp., and Leisure Shoppers, Inc.
Note: See also the Order in this matter
|
| 34-59339 |
Feb. 2, 2009 |
Stephen R. Moynahan
Note: See also Proposed Distribution Plan
Submit comments on Proposed Distribution Plan
|
| 34-59334 |
Feb. 2, 2009 |
Global 1 Investment Holdings Corporation
Note: See also the Order in this matter
|
| IA-2835 |
Jan. 30, 2009 |
Jeffrey Swanson
|
| IA-2834 |
Jan. 30, 2009 |
Merrill Lynch, Pierce, Fenner & Smith Inc.
|
| IA-2833 |
Jan. 30, 2009 |
Michael A. Callaway
Other Release No.: 34-59329
Note: See also the Order in this matter
|
| 34-59317 |
Jan. 29, 2009 |
Michelle V. Nguyen (CPA)
Other Release No.: AAER-2928
|
| 34-59316 |
Jan. 29, 2009 |
The JPM Company, Maxxis Group, Inc., Metrotrans Corp., and Tidalwave Holdings, Inc.
|
| 34-59315 |
Jan. 29, 2009 |
Leading Edge Packaging, Inc., Leadingside, Inc., Lecstar Corp., and Legal Club of America, Inc.
Note: See also the Order in this matter
|
| 34-59303 |
Jan. 27, 2009 |
Arthur P. Hipwell
|
| 34-59301 |
Jan. 27, 2009 |
Robert Johnson
|
| 34-59297 |
Jan. 26, 2009 |
Rex R. Rogers
Other Release No.: AAER-2927
|
| 34-59296 |
Jan. 26, 2009 |
Jordan H. Mintz
Other Release No.: AAER-2926
|
| 34-59295 |
Jan. 26, 2009 |
John V. Cracchiolo, CPA
Other Release No.: AAER-2924
|
| 34-59280 |
Jan. 22, 2009 |
Alliance Capital Management, LP
|
| 34-59279 |
Jan. 22, 2009 |
Stephen R. Moynahan
|
| 34-59278 |
Jan. 22, 2009 |
Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden
Other Release No.: AAER-2921
|
| 34-59277 |
Jan. 22, 2009 |
Cablevision Systems Corporation
Other Release No.: AAER-2920
|
| 34-59272 |
Jan. 22, 2009 |
BBJ Environmental Technologies, Inc.
Note: See also the Order in this matter
|
| 34-59269 |
Jan. 21, 2009 |
Weiss Research, Inc., Martin Weiss, and Lawrence Edelson
|
| IA-2832 |
Jan. 16, 2009 |
Alberto W. Vilar and Gary Alan Tanaka
Note: See also the Order in this matter
|
| 34-59263 |
Jan. 16, 2009 |
Jarrod W. McMillin
|
| 34-59257 |
Jan. 15, 2009 |
Kings Road Entertainment, Inc.
|
| 34-59256 |
Jan. 15, 2009 |
K-2 Logistics.Com, Inc., et al.
|
| 34-59249 |
Jan. 14, 2009 |
Michael K. Brugman
Other Release Nos.: IA-2831, IC-28601
|
| 34-59245 |
Jan. 14, 2009 |
American Custom Components, Inc., ClearLogic, Inc., Creditgroup Com, Inc.(n/k/a Tradex Global Financial Services, Inc.), Frederick Brewing Co., Infinicall Corp.
|
| 34-59242 |
Jan. 13, 2009 |
Paul G. Risoli
Other Release No.: IA-2829
|
| 34-59241 |
Jan. 13, 2009 |
Joseph Lando
|
| 34-59240 |
Jan. 13, 2009 |
Kevin J. Heron
|
| 34-59239 |
Jan. 13, 2009 |
Peter Sherlock
|
| IA-2828 |
Jan. 13, 2009 |
Diane M. Keefe
Other Release Nos.: IC-28582, 34-59237
Note: See also the Order in this matter
|
| 34-59236 |
Jan. 13, 2009 |
The JPM Company, Maxxis Group, Inc., Metrotrans Corp, and Tidalwave Holdings, Inc.
Note: See also the Order in this matter
|
| 34-59232 |
Jan. 12, 2009 |
Peter J. Dawson
|
| IA-2827 |
Jan. 12, 2009 |
Gabelli Funds, LLC
Other Release No.: IC-28580
|
| 34-59228 |
Jan. 12, 2009 |
Laurence G. Young
Note: See also the Order in this matter
|
| 34-59227 |
Jan. 12, 2009 |
Mark E. Salyer
Other Release No.: IA-2826
|
| 34-59226 |
Jan. 12, 2009 |
Howard Graham
|
| 34-59224 |
Jan. 9, 2009 |
Debra McClister, CPA
Other Release No.: AAER-2918
|
| 34-59220 |
Jan. 8, 2009 |
Jason A. Kolakowski
|
| 34-59215 |
Jan. 8, 2009 |
Baldwin Piano & Organ Co., Banner Holding Corp., Be Safe Services, Inc., Belmoral Mines Ltd., Benefund, Inc., Benz Energy Ltd. (n/k/a Benz Energy, Inc.), and Beyond Belief, Inc.
|
| 34-59206 |
Jan. 6, 2009 |
R.K. Dhawan & Co.
Other Release No.: AAER-2916
|
| 34-59205 |
Jan. 6, 2009 |
Pavlos Meletiou, Certified Accountant
Other Release No.: AAER-2915
|
| 34-59204 |
Jan. 6, 2009 |
R.K. Dhawan, Chartered Accountant
Other Release No.: AAER-2914
|
| 34-59195 |
Jan. 5, 2009 |
Robert L. Flickinger II
|
http://www.sec.gov/litigation/admin.shtml
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