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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
Additional Archives
2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
 SEC Administrative Proceedings RSS Feed
| Release No. |
Date |
Respondents |
| Third Quarter |
| 33-9060 |
Aug. 12, 2009 |
Robert J. Zannotti
Other Release No.: 34-60490
|
| 34-60489 |
Aug. 12, 2009 |
Action Auto Rental, Inc., Addisson Industries, Inc., Advanced Promotion Technologies, Inc., Advantexcel Com Communications Corp., Aeire Corp., All American Food Group, Inc., and Allerion, Inc.
Note: See also the Order in this matter
|
| IA-2914 |
Aug. 12, 2009 |
James C. Dawson
Note: See also the Order in this matter
|
| 34-60485 |
Aug. 12, 2009 |
CentreInvest, Inc., OOO CentreInvest Securities, Vladimir Chekholko, William Herlyn, Dan Rapoport, and Svyatoslav Yenin
|
| 34-60484 |
Aug. 12, 2009 |
Douglas K. Hutchins
Other Release No.: AAER-3034
|
| 34-60482 |
Aug. 12, 2009 |
Gregg Thomas Rennie
Other Release No.: IA-2913
|
| 34-60480 |
Aug. 11, 2009 |
AXA Advisors, LLC
|
| 34-60474 |
Aug. 11, 2009 |
What's For Free Technologies, Inc. (n/k/a Krifter Holdings, Inc.), Wherehouse Entertainment, Inc., Windpower Partners 1983-1, Windpower Partners 1984, World Financial Systems Co. Ltd., Wrap-N-Roll USA, Inc., and Wyrlis Corp.
Note: See also the Order in this matter
|
| 34-60472 |
Aug. 11, 2009 |
V-Twin Holdings, Inc. (n/k/a Tobacco One, Inc.), Valley Media, Inc., Venturequest Group, Inc. (n/k/a Dex-Ray Resources, Inc.), Verex Laboratories, Inc., Vibro-Tech, Industries, Inc., Video City, Inc., and Vidikron Technologies Group, Inc.
Note: See also the Order in this matter
|
| 34-60470 |
Aug. 11, 2009 |
Atmospheric Glow Technologies, Inc.
|
| 34-60467 |
Aug. 10, 2009 |
N.U. Pizza Holding Corp., Nahama & Weagent Energy Co., Namsco Corp., Nemdaco, Inc., Net Telecommunications, Inc., Network Commerce, Inc., Network One Holdings Corp., New Bridge Products, Inc., New Capital iWorks, Inc., and Nextpath Technologies, Inc. (n/k/a Central American
Development Group, Inc.)
|
| 34-60463 |
Aug. 10, 2009 |
Tops Appliance City, Inc., Tower Global Ventures Corp. (n/k/a Coffeehouse.com, Inc.), Transact International, Inc., Transderm Laboratories Corp., Trizak Corp., and Tropic Air Cargo, Inc.
Note: See also the Order in this matter
|
| 34-60453 |
Aug. 6, 2009 |
FreeHand Systems International, Inc.
|
| 34-60450 |
Aug. 5, 2009 |
CentreInvest, Inc., OOO CentreInvest Securities, Vladimir Chekholko, William Herlyn, Dan Rapoport, and Svyatoslav Yenin
|
| 34-60449 |
Aug. 5, 2009 |
Alain Lustig
Other Release No.: IA-2912
|
| 34-60447 |
Aug. 5, 2009 |
General American Life Insurance Company and William C. Thater
|
| 34-60446 |
Aug. 5, 2009 |
Alliance Capital Management, LP
|
| 34-60441 |
Aug. 5, 2009 |
Hazan Capital Management, LLC and Steven M. Hazan
|
| 34-60440 |
Aug. 5, 2009 |
TJM Proprietary Trading, LLC, Michael R. Benson, and John T. Burke
|
| 34-60435 |
Aug. 5, 2009 |
BISYS Fund Services, Inc.
|
| 34-60434 |
Aug. 5, 2009 |
Absolute Entertainment, Inc., Advanced Computer Techniques Corp., AGP & Co., Inc., Aid Auto Stores, Inc., Allure Cosmetics, Ltd., Alpha-Beta Technology, Inc. and Alpha Fibre, Inc. (f/k/a Oak Brook Capital III, Inc.)
|
| IC-28841 |
Aug. 3, 2009 |
Ryan Douglas Smith
|
| 34-60417 |
Aug. 3, 2009 |
Keevin H. Leonard and Robert F. Malin
|
| 34-60415 |
Jul. 31, 2009 |
Frank S. Laforgia, CPA
Other Release No.: AAER-3027
|
| 34-60413 |
Jul. 31, 2009 |
CentreInvest, Inc., OOO CentreInvest Securities, Vladimir Chekholko, William Herlyn, Dan Rapoport, and Svyatoslav Yenin
|
| 34-60412 |
Jul. 31, 2009 |
Putnam Investment Management, LLC
|
| 34-60411 |
Jul. 31, 2009 |
iJoin Systems, Inc., I-Tel Networks, Inc., I-Transaction.net, Inc., iGenesis, Inc., IITC Holdings, Ltd., Iksorb Enterprises, Inc. and The Imagemakers Photography, Inc.
|
| 34-60406 |
Jul. 30, 2009 |
Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato
Note: See also the Proposed Distribution Plan
Comments received are available for this notice.
Submit comments on Proposed Distribution Plan
|
| 34-60404 |
Jul. 30, 2009 |
Warehouse Club, Inc., Wavemat, Inc., Wilson Lee Engineering Co., Inc. (n/k/a Lee Wilson Engineering Co., Inc.), Winthrop Resources Corp., and WorldCall Corp.
|
| 34-60403 |
Jul. 30, 2009 |
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.
Submit comments
|
| 34-60402 |
Jul. 30, 2009 |
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.
|
| 34-60401 |
Jul. 30, 2009 |
Integral Systems, Inc.
|
| 34-60400 |
Jul. 30, 2009 |
Helmerich & Payne, Inc.
Other Release No.: AAER-3026
|
| 34-60393 |
Jul. 28, 2009 |
Avery Dennison Corporation
Other Release No.: AAER-3021
|
| 34-60391 |
Jul. 28, 2009 |
New York Stock Exchange LLC (f/k/a New York Stock Exchange, Inc.)
|
| 33-9057 |
Jul. 27, 2009 |
Chandrashekhar Gopinathan
Other Release No.: 34-60389
|
| IA-2908 |
Jul. 24, 2009 |
Bradley L. Ruderman
|
| 34-60369 |
Jul. 23, 2009 |
Standard Metals Corporation
|
| 34-60357 |
Jul. 21, 2009 |
Royal Spring Water, Inc.
|
| 34-60355 |
Jul. 21, 2009 |
Toltec Real Estate Corp., Tong Ah Global Ventures Corp., TotalAxcess.com, Inc., Touch Tone America, Inc., Tour CFG, Inc., TradeQwest, Inc., TriTeal Corp., and Trojan Transition Corp.
|
| 34-60351 |
Jul. 21, 2009 |
Perry Corp.
Other Release No.: IA-2907
|
| 34-60350 |
Jul. 21, 2009 |
Keystone Ventures, Inc.
|
| IA-2906 |
Jul. 20, 2009 |
Franklin Advisers, Inc.
Other Release No.: IC-28821
|
| 34-60345 |
Jul. 20, 2009 |
Lisa M. Roberts, CPA
Other Release No.: AAER-3016
|
| 34-60344 |
Jul. 20, 2009 |
William Keith Phillips
Other Release No.: IA-2905
Note: See also the Order in this matter
|
| 34-60342 |
Jul. 20, 2009 |
Morgan Stanley & Co. Incorporated
Other Release No.: IA-2904
Note: See also the Orders Granting Waiver in this matter: 33-9054 and 33-9055
|
| 33-9053 |
Jul. 20, 2009 |
TD Ameritrade, Inc.
Other Release No.: 34-60341
|
| 34-60340 |
Jul. 20, 2009 |
RDM Sports Group, Inc., Real Del Monte Mining Corp., Recoton Corp., Red Hot Concepts, Inc., RedHand International, Inc. (n/k/a African Diamond Co., Inc. or Coal Corp.), Redlaw Industries, Inc., Republic Resources, Inc., Reward Enterprises, Inc., Rhino Enterprises Group, Inc. (n/k/a Physicians Adult Daycare, Inc.), Ridgeview, Inc., Riverside Group, Inc., and Rocky Mount Undergarment Co., Inc.
Note: See also the Order in this matter
|
| 34-60336 |
Jul. 17, 2009 |
LSB Industries, Inc. and Jimmie Dean Jones, CPA
Other Release No.: AAER-3015
|
| IA-2903 |
Jul. 17, 2009 |
Paul W. Oliver, Jr.
|
| IA-2902 |
Jul. 17, 2009 |
Mary Beth Stevens
Note: See also the Order in this matter
|
| 34-60331 |
Jul. 17, 2009 |
Thomas Stiner, CPA
Other Release No.: AAER-3014
|
| 34-60329 |
Jul. 17, 2009 |
Andrew J. McAdams, CPA
Other Release No.: AAER-3013
|
| 34-60327 |
Jul. 17, 2009 |
Cornerstone Capital Management, Inc., and Laura Jean Kent
|
| 34-60326 |
Jul. 17, 2009 |
Stephen Cheryl Bauman
|
| 34-60325 |
Jul. 17, 2009 |
J.P. Turner & Company, LLC
Note: See also the Order in this matter
|
| 34-60319 |
Jul. 16, 2009 |
Absolute Entertainment, Inc., Advanced Computer Techniques Corp., AGP & Co., Inc., Aid Auto Stores, Inc., Allure Cosmetics, Ltd., Alpha-Beta Technology, Inc., and Alpha Fibre, Inc. (f/k/a Oak Brook Capital III, Inc.)
Note: See also the Order in this matter
|
| 34-60310 |
Jul. 15, 2009 |
Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp.
|
| 34-60309 |
Jul. 15, 2009 |
Frederick J. Barton
Other Release No.: IA-2900
Note: See also the Order in this matter
|
| 34-60308 |
Jul. 15, 2009 |
Donald F. McCracken
|
| 34-60303 |
Jul. 14, 2009 |
H-Entertainment, Inc., Hamburger Hamlet Restaurants, Inc., Harvard International Technologies, Ltd., HealthCentral.com, Helian Health Group, Inc., and Hemisphere Development Corp. (n/k/a Hemisphere Energy Corp.)
|
| 34-60302 |
Jul. 14, 2009 |
Paivis Corp., Peabodys Coffee, Inc., Penge Corp., Petrol Industries, Inc. (n/k/a Caddo International, Inc.), Phantom Entertainment, Inc., Phoenix Medical Technology, Inc., Phoenix Metals USA II, Inc., Phymed, Inc., Pico Products, Inc., and Piemonte Foods, Inc.
|
| 34-60301 |
Jul. 14, 2009 |
Pegasus Wireless Corporation
|
| 34-60300 |
Jul. 14, 2009 |
VoIP, INC.
|
| 34-60299 |
Jul. 14, 2009 |
National Micronetics, Inc., Network Access Solutions Corp., Network Plus Corp., New York Regional Rail Corp., Nexgen Vision, Inc., and Noel Group, Inc.
|
| 34-60294 |
Jul. 13, 2009 |
Xentel Interactive, Inc., XXSYS Technologies, Inc., Yuma Gold Mines Ltd. (n/k/a Yuma Copper Corp.), Zion Development Corp., and Zomex Distribution, Inc.
|
| 34-60293 |
Jul. 13, 2009 |
N.U. Pizza Holding Corp., Nahama & Weagent Energy Co., Namsco Corp., Nemdaco, Inc., Net Telecommunications, Inc., Network Commerce, Inc., Network One Holdings Corp., New Bridge Products, Inc., New Capital iWorks, Inc., and Nextpath Technologies, Inc. (n/k/a Central American Development Group, Inc.)
Note: See also the Order in this matter
|
| 34-60292 |
Jul. 13, 2009 |
Invesco Funds Group, Inc.
|
| 34-60291 |
Jul. 10, 2009 |
Harvard Scientific Corp., Hathaway Corp., Healthcare Software, Inc., Heartland Technology, Inc., Hedman Resources, Ltd., Hemdale Communications, Inc., and Hemokinetics, Inc.
Note: See also the Order in this matter
|
| 33-9051 |
Jul. 10, 2009 |
Ameriprise Financial Services, Inc.
Other Release No.: 34-60279
|
| 34-60277 |
Jul. 10, 2009 |
I Join Systems, Inc., I-Tel Networks, Inc., I-Transaction Net, Inc., iGenisys, Inc., IITC Holdings, Ltd., Iksorb Enterprises, Inc., and The Imagemakers Photography, Inc.
|
| 34-60269 |
Jul. 9, 2009 |
Robert John Hipple
Other Release No.: IC-28816
Note: See also the Order in this matter
|
| 34-60250 |
Jul. 7, 2009 |
Total Film Group, Inc., Track 'n Trail, Inc., Trade Wind Communications, Ltd., TransAxis, Inc., Transmedia Europe, Inc., Treasury International, Inc., and Tri National Development Corp.
|
| 33-9048 |
Jul. 6, 2009 |
Danny E. Landau
Other Release No.: 34-60245
|
| 34-60244 |
Jul. 6, 2009 |
Craig Alan Riley
Other Release No.: IA-2899
|
| 34-60242 |
Jul. 2, 2009 |
Vernon Jeffrey Harrell
Other Release No.: AAER-3006
|
| 34-60241 |
Jul. 2, 2009 |
Christopher M. Kunkel
|
| 34-60240 |
Jul. 2, 2009 |
Conversion Solutions Holdings Corp.
Note: See also the Order in this matter
|
| 34-60238 |
Jul. 2, 2009 |
David Lloyd Pells
Other Release Nos.: IC-28809, AAER-3005
|
| 34-60237A |
Jul. 2, 2009 |
iWorld Projects & Systems, Inc.
Note: See also the Order in this matter
|
| 34-60231 |
Jul. 2, 2009 |
Consolidated Resources Group, Inc.
Note: See also the Order in this matter
|
| 34-60230 |
Jul. 2, 2009 |
Falcon Entertainment Corp., Fanatics Only, Inc., Fidelity Leasing Income Fund, Finger Lakes Financial Corp., First Cincinnati, Inc., and First Mutual, Inc. (n/k/a First Community, Inc.)
|
| 34-60229 |
Jul. 2, 2009 |
H-Entertainment, Inc., Hamburger Hamlet Restaurants, Inc., Harvard International Technologies, Ltd., HealthCentral.com, Helian Health Group, Inc., and Hemisphere Development Corp. (n/k/a Hemisphere Energy Corp.)
|
| 34-60228 |
Jul. 2, 2009 |
Advanced Monitoring Systems, Inc., AFC Low Income Housing Credit Partners-I, Air L.A., Inc. (n/k/a Clean Energy, Inc.), Alexander International, Ltd., All the Way, Inc., Alliance Northwest Industries, Inc., and Alpha Centari, Inc.
|
| 34-60219 |
Jul. 1, 2009 |
Robert D. Graham, Esq.
Other Release No.: AAER-3004
|
| Second Quarter |
| 33-9047 |
Jun. 30, 2009 |
Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh and Mark W. Wells
Other Release Nos.: 34-60190, IA-2898
Note: See also the Order in this matter
|
| IA-2897 |
Jun. 29, 2009 |
John M. Donnelly
|
| IA-2896 |
Jun. 26, 2009 |
Mark R. Hamlin
|
| 34-60181 |
Jun. 26, 2009 |
Warren B. Schmidgall
Other Release No.: AAER-3002
|
| 34-60178 |
Jun. 26, 2009 |
Xentel Interactive, Inc., XXSYS Technologies, Inc., Yuma Gold Mines Ltd. (n/k/a Yuma Copper Corp.), Zion Development Corp., and Zomex Distribution, Inc.
|
| 34-60171 |
Jun. 25, 2009 |
Lawrence D. Morris
|
| 34-60170 |
Jun. 25, 2009 |
Christi R. Sulzbach
Other Release No.: AAER-3000
|
| 34-60167 |
Jun. 24, 2009 |
Paivis Corp., Peabodys Coffee, Inc., Penge Corp., Petrol Industries, Inc. (n/k/a
Caddo International, Inc.), Phantom Entertainment, Inc., Phoenix Medical Technology, Inc.,
Phoenix Metals USA II, Inc., Phymed, Inc., Pico Products, Inc., and Piemonte Foods, Inc.
Note: See also the Order in this matter
|
| 34-60162 |
Jun. 23, 2009 |
Advanced Monitoring Systems, Inc., AFC Low Income Housing Credit Partners-I, Air L.A., Inc. (n/k/a Clean Energy, Inc.), Alexander International, Ltd., All the Way, Inc., Alliance Northwest Industries, Inc., and Alpha Centari, Inc.
|
| 34-60161 |
Jun. 23, 2009 |
FCF, Inc., FI Liquidating Co., Inc, Fields Aircraft Spares, Inc., and First Dynasty Mines, Ltd. (n/k/a Sterlite Gold Ltd.)
|
| 34-60160 |
Jun. 23, 2009 |
Morgan Stanley & Co. Incorporated
Note: See also the Proposed Distribution Plan
Submit comments on Proposed Distribution Plan
|
| 34-60157 |
Jun. 22, 2009 |
Ruben Serrano
Other Release No.: IA-2895
|
| 34-60155 |
Jun. 22, 2009 |
Anthony R. Russo, CPA
Other Release No.: AAER-2996
|
| 34-60149 |
Jun. 19, 2009 |
Ram Capital Resources, LLC, Michael E. Fein, and Stephen E. Saltzstein
|
| 34-60148 |
Jun. 19, 2009 |
Total Film Group, Inc., Track 'n Trail, Inc., Trade Wind Communications, Ltd., TransAxis, Inc., Transmedia Europe, Inc., Transmedia Europe, Inc., and Tri National Development Corp.
|
| 34-60145 |
Jun. 19, 2009 |
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.
|
| 34-60142 |
Jun. 19, 2009 |
Global Matrechs, Inc.
|
| 34-60141 |
Jun. 19, 2009 |
Nanosignal Corp., Inc. (n/k/a Nano Global, Inc.), NetVoice Technologies Corp., The New Anaconda Co., NewCom International, Inc. (n/k/a Sino Express Travel Ltd.), and NewKidCo International, Inc.
|
| 34-60125 |
Jun. 17, 2009 |
Weiss Research, Inc., Martin Weiss, and Lawrence Edelson
|
| 34-60124 |
Jun. 17, 2009 |
Keystone Ventures, Inc.
Note: See also the Order in this matter
|
| 34-60120 |
Jun. 16, 2009 |
Michael J. Kiselak
Other Release No.: IA-2894
|
| 34-60119 |
Jun. 16, 2009 |
Mitchel S. Guttenberg
Other Release No.: IA-2893
|
| 34-60118 |
Jun. 16, 2009 |
Bernard L. Madoff
Other Release No.: IA-2892
|
| 34-60116 |
Jun. 16, 2009 |
Warehouse Club, Inc., Wavemat, Inc., Wilson Lee Engineering Co., Inc. (n/k/a Lee Wilson Engineering Co., Inc.), Winthrop Resources Corp., and WorldCall Corp.
Note: See also the Order in this matter
|
| 34-60115 |
Jun. 15, 2009 |
Falcon Entertainment Corp., Fanatics Only, Inc., Fidelity Leasing Income Fund, Finger Lakes Financial Corp., First Cincinnati, Inc., and First Mutual, Inc. (n/k/a First Community, Inc.)
Note: See also the Order in this matter
|
| 34-60114 |
Jun. 15, 2009 |
CIBC Mellon Trust Company
|
| 34-60111 |
Jun. 15, 2009 |
Ravi Yanamadula
|
| 34-60110 |
Jun. 15, 2009 |
National Micronetics, Inc., Network Access Solutions Corp., Network Plus Corp., New York Regional Rail Corp., NexGen Vision, Inc., and Noel Group, Inc.
|
| 34-60105 |
Jun. 12, 2009 |
I Join Systems, Inc., I-Tel Networks, Inc., I-Transaction Net, Inc., iGenisys, Inc., IITC Holdings, Ltd., Iksorb Enterprises, Inc., and The Imagemakers Photography, Inc.
Note: See also the Order in this matter
|
| 34-60100 |
Jun. 11, 2009 |
Toltec Real Estate Corp., Tong Ah Global Ventures Corp., TotalAxcess.com, Inc., Touch Tone America, Inc., Tour CFG, Inc., Tradeqwest, Inc., Triteal Corp., and Trojan Transition Corp.
Note: See also the Order in this matter
|
| 34-60098 |
Jun. 11, 2009 |
Elizabeth Monrad, CPA
Other Release No.: AAER-2989
|
| 34-60097 |
Jun. 11, 2009 |
Today's Man, Inc., Tokheim Corp., The Topaz Group, Inc., Toth Aluminum Corp., Tower Air, Inc., TPC Liquidation, Inc., The Translation Group, Ltd., Trend-Lines, Inc., and Tri-Lite, Inc.
|
| 34-60095 |
Jun. 11, 2009 |
Ricky D. Van Vleet
|
| 34-60092 |
Jun. 10, 2009 |
Brent Lemons
|
| 34-60091 |
Jun. 10, 2009 |
Keevin H. Leonard and Robert F. Malin
Note: See also the Order in this matter
|
| 34-60090 |
Jun. 10, 2009 |
Xentel Interactive, Inc., XXSYS Technologies, Inc., Yuma Gold Mines Ltd. (n/k/a Yuma Copper Corp.), Zion Development Corp., and Zomex Distribution, Inc.
Note: See also the Order in this matter
|
| IA-2891 |
Jun. 10, 2009 |
Raymond Thomas
|
| 34-60082 |
Jun. 10, 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.
|
| 34-60080 |
Jun. 9, 2009 |
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
|
| 34-60076 |
Jun. 9, 2009 |
Richard Miller (CPA)
Other Release No.: AAER-2988
|
| 34-60075 |
Jun. 9, 2009 |
Gary Jensen (CPA)
Other Release No.: AAER-2987
|
| 34-60074 |
Jun. 9, 2009 |
Michael Beaulieu (CPA)
Other Release No.: AAER-2986
|
| 34-60071 |
Jun. 8, 2009 |
Michael A. Callaway
Other Release No.: IA-2889
|
| 34-60059 |
Jun. 8, 2009 |
Evergreen Investment Management Company, LLC and Evergreen Investment Services, Inc.
Other Release Nos.: IA-2888, IC-28759
Note: See also the Orders Granting Waiver in this matter: 33-9038 and 33-9039
|
| 34-60058 |
Jun. 8, 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.)
|
| 34-60056A |
Jun. 5, 2009 |
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai; and Steven B. Markovitz
|
| 34-60052 |
Jun. 5, 2009 |
Grayling R. Hofer
Other Release No.: AAER-2985
|
| 34-60051 |
Jun. 5, 2009 |
PowerCold Corporation
|
| 34-60049 |
Jun. 5, 2009 |
Bear, Stearns & Co., Inc. and Bear, Stearns Securities Corp.
Note: See also Modified Distribution Plan
|
| 34-60047 |
Jun. 4, 2009 |
Dyadic International, Inc.
Other Release No.: AAER-2984
|
| 34-60044 |
Jun. 4, 2009 |
H-Entertainment, Inc., Hamburger Hamlet Restaurants, Inc., Harvard International Technologies, Ltd., HealthCentral.com, Helian Health Group, Inc., and Hemisphere Development Corp. (n/k/a Hemisphere Energy Corp.)
Note: See also the Order in this matter
|
| 34-60043 |
Jun. 4, 2009 |
Merchant Capital, L.L.C.
|
| 34-60042 |
Jun. 4, 2009 |
Lexington Resources, Inc.
|
| 34-60029 |
Jun. 3, 2009 |
FCF, Inc., FI Liquidating Co., Inc., Fields Aircraft Spares, Inc., and First Dynasty Mines, Ltd. (n/k/a Sterlite Gold Ltd.)
|
| 34-60027 |
Jun. 2, 2009 |
Douglas F. Samuels
|
| 34-60025 |
Jun. 2, 2009 |
Charles F. Lewis
|
| 34-60024 |
Jun. 2, 2009 |
Gerson Asset Management, Inc. and Seth Gerson
|
| 34-60017 |
Jun. 1, 2009 |
Sharlene Abrams, CPA
Other Release No.: AAER-2983
|
| 34-60016 |
Jun. 1, 2009 |
David B. Stocker, Esq.
|
| 34-60013 |
Jun. 1, 2009 |
I Incubator.com, Inc., I Storm, Inc., iBeam Broadcasting Corp., I.C.H. Corp., Idream.ws, Inc., and Images of Life, Inc.
|
| 34-60011 |
May 29, 2009 |
BISYS Fund Services, Inc.
Note: See also Proposed Distribution Plan
Submit comments on Proposed Distribution Plan
|
| 33-9036 |
May 29, 2009 |
Dustin J. Lunt
|
| 33-9035 |
May 29, 2009 |
Thomas S. Blackwell
Other Release No.: 34-60009
|
| 34-60007 |
May 29, 2009 |
Gregg Thomas Rennie
Other Release No.: IA-2887
Note: See also the Order in this matter
|
| 34-60005 |
May 29, 2009 |
United Industrial Corporation
Other Release No.: AAER-2981
|
| 34-60003 |
May 29, 2009 |
Stanley Johnson
Note: See also the Order in this matter
|
| 33-9033 |
May 28, 2009 |
David A. Finnerty et al.
Other Release No.: 34-59998
|
| IA-2885 |
May 28, 2009 |
Melissa M. Hurley
Other Release No.: IC-28750
|
| IA-2884 |
May 28, 2009 |
J. David Huber
Other Release No.: IC-28749
|
| 34-59994 |
May 28, 2009 |
Putnam Investment Management, LLC
|
| 34-59993 |
May 28, 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.
|
| 34-59992 |
May 28, 2009 |
Janus Capital Management LLC
|
| 34-59989 |
May 27, 2009 |
Frank P. Sinopoli, CPA
Other Release No.: AAER-2979
|
| 34-59988 |
May 27, 2009 |
Bradley E. Morgan
|
| 34-59986 |
May 27, 2009 |
Pollard Kelley Auditing Services, Inc. and Terance Kelley, CPA
Other Release No.: AAER-2978
Note: See also the Order in this matter
|
| 34-59985 |
May 27, 2009 |
Pegasus Wireless Corporation
Note: See also the Order in this matter
|
| IA-2883 |
May 27, 2009 |
New York Life Investment Management LLC
Other Release No.: IC-28743
|
| 34-59984 |
May 27, 2009 |
American Skandia Investment Services, Inc.
|
| 34-59980 |
May 27, 2009 |
Brian R. Spires, CPA
Other Release No.: AAER-2976
|
| 34-59977 |
May 27, 2009 |
John T. McDonald (CPA)
Other Release No.: AAER-2975
|
| 34-59976 |
May 27, 2009 |
Folger Nolan Fleming Douglas, Capital Management, Inc., Neil C. Folger and David M. Brown
|
| 33-9032 |
May 26, 2009 |
CSK Auto Corporation
Other Release Nos.: 34-59973; AAER-2974
Note: See also Order granting waiver
|
| 34-59972 |
May 26, 2009 |
Jose Daniel Iriarte, Jr.
Other Release No.: IA-2880
Note: See also the Order in this matter
|
| 34-59971 |
May 22, 2009 |
Barrett N. Wissman
Other Release No.: IA-2879 |
| 34-59970 |
May 22, 2009 |
Phillip J. Milligan
Note: See also the Order in this matter |
| 34-59969 |
May 22, 2009 |
Act Manufacturing, Inc., Aerovox, Inc. (n/k/a New Bedford Capacitor, Inc.), Agility Capital, Inc., Air Water International Corp. (f/k/a Universal Communication Systems, Inc.), Allegiant Physician Services, Inc., And Alpha Microsystems (n/k/a NQL Inc.) |
| 34-59968 |
May 22, 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.) |
| 34-59960 |
May 21, 2009 |
Matthew J. Browne |
| 34-59959 |
May 21, 2009 |
TMT Capital Corporation
Other Release No.: AAER-2973 |
| 34-59958 |
May 21, 2009 |
Daryl L. Batts
Other Release No.: IA-2878 |
| 34-59957 |
May 21, 2009 |
David G. Ghysels, Kenneth E. Mahaffy, Jr., and Linus N. Nwaigwe (Corrected)
Other Release No.: IA-2877
Note: See also the Order in this matter |
| 34-59954 |
May 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.)
|
| 34-59953 |
May 21, 2009 |
Nanosignal Corp., Inc. (n/k/a Nano Global, Inc.), NetVoice Technologies Corp., The New Anaconda Co., NewCom International, Inc. (n/k/a Sino Express Travel Ltd.), and NewKidCo International, Inc.; National Micronetics, Inc., Network Access Solutions Corp., Network Plus Corp., New York Regional Rail Corp., NexGen Vision, Inc., and Noel Group, Inc.
Note: See also the Orders in this matter: Nanosignal Corp., Inc. , et al. and National Micronetics, Inc., et al.
|
| 34-59951 |
May 20, 2009 |
Cornerstone Capital Management, Inc., and Laura Jean Kent |
| 34-59950 |
May 20, 2009 |
Advanced Monitoring Systems, Inc., AFC Low Income Housing Credit Partners-I, Air L.A., Inc. (n/k/a Clean Energy, Inc.), Alexander International, Ltd., All the Way, Inc., Alliance Northwest Industries, Inc., and Alpha Centari, Inc.
Note: See also the Order in this matter
|
| 34-59942 |
May 20, 2009 |
Today's Man, Inc., Tokheim Corp., The Topaz Group, Inc., Toth Aluminum Corp., Tower Air, Inc., TPC Liquidation, Inc., The Translation Group, Ltd., Trend-Lines, Inc., and Tri Lite, Inc.; Total Film Group, Inc., Track 'n Trail, Inc., Trade Wind Communications, Ltd., TransAxis, Inc., Transmedia Europe, Inc., Treasury International, Inc., and Tri National Development Corp.
Note: See also the Orders in this matter: Today's Man, Inc., et al. and Total Film Group, Inc. et al.
|
| 34-59940 |
May 19, 2009 |
Michael P. Owens
|
| 34-59938 |
May 19, 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.
|
| 34-59936 |
May 18, 2009 |
X-Ramp.Com, Inc., Xraymedia, Inc. (F/K/A Xraymedia.Com, Inc.), Zenith Holding Corp., and Zydant Corp. |
| 34-59931 |
May 15, 2009 |
Wealthwise, LLC, and Jeffrey A. Forrest
Other Release No.: IA-2874
|
| 34-59930 |
May 15, 2009 |
J. Michael Scarborough and Royal Alliance Associates, Inc.
|
| 34-59929 |
May 14, 2009 |
AIM Advisors, Inc. and AIM Distributors, Inc.
|
| |
|
[The Commission order directing disbursement of the Invesco Funds Group, Inc. Fair Fund has been withdrawn temporarily pending the correction of a calculation error.] |
| 34-59926 |
May 14, 2009 |
Alliance Capital Management, LP
|
| 34-59922 |
May 14, 2009 |
FCF, Inc., FI Liquidating Co., Inc., Fields Aircraft Spares, Inc., and First Dynasty Mines, Ltd. (n/k/a Sterlite Gold Ltd.)
Note: See also the Order in this matter
|
| 33-9031 |
May 13, 2009 |
Chandrashekhar Gopinathan
Other Release No.: 34-59914
Note: See also the Order in this matter
|
| 34-59913 |
May 13, 2009 |
Wolfe & Hurst Bond Brokers, Inc. and Peter J. Debany
|
| 34-59911 |
May 13, 2009 |
FrontLine Capital Group
|
| 34-59910 |
May 13, 2009 |
Core Technologies Pennsylvania, Inc., First Central Financial Corp., Imark Technologies, Inc.,
Molten Metal Technology, Inc., and MRS Technology, Inc.
|
| 34-59909 |
May 13, 2009 |
Large Scale Biology Corporation
|
| 34-59903 |
May 12, 2009 |
Ingram Micro Inc.
Other Release No.: AAER-2968
|
| 34-59901 |
May 12, 2009 |
Fortel, Inc., now known as Envit Capital Group, Inc.
Note: See also the Order in this matter
|
| 34-59899 |
May 12, 2009 |
Core Technologies Pennsylvania, Inc., First Central Financial Corp., Imark Technologies, Inc., Molten Metal Technology, Inc., and MRS Technology, Inc.
|
| 34-59897 |
May 11, 2009 |
Poseidis, Inc. |
| IA-2873 |
May 7, 2009 |
John H. Lohmeier
|
| IA-2872 |
May 7, 2009 |
INTECH Investment Management LLC and David E. Hurley
|
| 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.
Note: See also the Modified Distribution Plan
|
| 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
|
| 34-59798A |
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
|
| 34-59644A |
Mar. 27, 2009 |
Jason G. Burks
Other Release Nos.: IA-2862A, IC-28681A
|
| 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
Note: See also the Commission Opinion in this matter
|
| 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 Modified Distribution Plan and 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
|
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