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Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.
First Quarter
Additional Archives
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SEC Administrative Proceedings RSS Feed
Release No. |
Date |
Respondents |
First Quarter |
34-59257 |
Jan. 15, 2009 |
Kings Road Entertainment, Inc.
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34-59256 |
Jan. 15, 2009 |
K-2 Logistics.Com, Inc., et al.
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34-59249 |
Jan. 14, 2009 |
Michael K. Brugman
Other Release Nos.: IA-2831, IC-28601
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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.
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34-59242 |
Jan. 13, 2009 |
Paul G. Risoli
Other Release No.: IA-2829
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34-59241 |
Jan. 13, 2009 |
Joseph Lando
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34-59240 |
Jan. 13, 2009 |
Kevin J. Heron
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34-59239 |
Jan. 13, 2009 |
Peter Sherlock
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IA-2828 |
Jan. 13, 2009 |
Diane M. Keefe
Other Release Nos.: IC-28582, 34-59237
Note: See also the Order in this matter
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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
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34-59232 |
Jan. 12, 2009 |
Peter J. Dawson
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IA-2827 |
Jan. 12, 2009 |
Gabelli Funds, LLC
Other Release No.: IC-28580
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34-59228 |
Jan. 12, 2009 |
Laurence G. Young
Note: See also the Order in this matter
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34-59227 |
Jan. 12, 2009 |
Mark E. Salyer
Other Release No.: IA-2826
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34-59226 |
Jan. 12, 2009 |
Howard Graham
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34-59224 |
Jan. 9, 2009 |
Debra McClister, CPA
Other Release No.: AAER-2918
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34-59220 |
Jan. 8, 2009 |
Jason A. Kolakowski
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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.
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34-59206 |
Jan. 6, 2009 |
R.K. Dhawan & Co.
Other Release No.: AAER-2916
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34-59205 |
Jan. 6, 2009 |
Pavlos Meletiou, Certified Accountant
Other Release No.: AAER-2915
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34-59204 |
Jan. 6, 2009 |
R.K. Dhawan, Chartered Accountant
Other Release No.: AAER-2914
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34-59195 |
Jan. 5, 2009 |
Robert L. Flickinger II
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http://www.sec.gov/litigation/admin.shtml
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