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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
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
SEC Administrative Proceedings RSS Feed
Release No. |
Date |
Respondents |
First Quarter |
34-68920 |
Feb. 13, 2013 |
Stephen M. Strauss
|
34-68914 |
Feb. 13, 2013 |
Eco Global Corporation, et al.
|
34-68904 |
Feb. 11, 2013 |
Gregory Evan Goldstein
|
34-68903 |
Feb. 11, 2013 |
HDL Capital Corp., HMG Worldwide Corp., Homegold Financial, Inc., Hudson Hotels Corp., and Hurry, Inc.
|
34-68902 |
Feb. 11, 2013 |
Artfest International, Inc., China Advanced Meditech, Inc., Cynet, Inc., Durham Marketing Corp., Emissary Capital Group, Inc. (n/k/a Cavalier Holdings, Inc.), and ESP Enterprises, Inc. (n/k/a ESP Enterprises of LA, Inc.)
|
34-68893 |
Feb. 11, 2013 |
China Voice Holding Corp., et al.
|
34-68892 |
Feb. 11, 2013 |
IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc.
|
34-68869 |
Feb. 8, 2013 |
GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran
|
34-68868 |
Feb. 8, 2013 |
Changed E-Mail, Inc., et al.
|
34-68859 |
Feb. 7, 2013 |
Law Enforcement Associates Corp., et al.
|
34-68858 |
Feb. 7, 2013 |
Law Enforcement Associates Corp., et al.
|
34-68857 |
Feb. 7, 2013 |
Imreg, Inc., et al.
|
34-68856 |
Feb. 7, 2013 |
HI DEF Enterprises, Inc., et al.
|
34-68845 |
Feb. 6, 2013 |
Joseph J. Repko, CPA
Other Release No.: AAER-3444
|
IA-3550 |
Feb. 6, 2013 |
Jorge Gomez
|
IA-3549 |
Feb. 6, 2013 |
Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez
|
IA-3548 |
Feb. 6, 2013 |
Howard B. Berger
|
34-68837 |
Feb. 6, 2013 |
Advanced ID Corp., et al.
|
34-68836 |
Feb. 6, 2013 |
Advance Nanotech, Inc., et al.
|
IA-3546 |
Feb. 5, 2013 |
Juno Mother Earth Asset Management, LLC
|
34-68828 |
Feb. 5, 2013 |
Ardsley Advisory Partners
Other Release No.: IA-3545
|
34-68827 |
Feb. 5, 2013 |
Kenneth Ira Starr
|
34-68826 |
Feb. 5, 2013 |
Kenneth Ira Starr, Esq., C.P.A.
Other Release No.: IA-3544
|
34-68825 |
Feb. 5, 2013 |
Henley Healthcare, Inc., et al.
|
34-68811 |
Feb. 1, 2013 |
Encore Clean Energy, Inc., et al.
|
34-68810 |
Feb. 1, 2013 |
Mitchell Segal, Esq.
|
IA-3543 |
Jan. 31, 2013 |
Jeffrey A. Quay
|
34-68796 |
Jan. 31, 2013 |
BNY Mellon Securities LCC and Mark Shaw
Note: See also the Proposed Plan of Distribution |
34-68774 |
Jan. 30, 2013 |
GMB Capital Management LLC, et al.
|
34-68772 |
Jan. 30, 2013 |
William B. Mitchell
|
34-68764 |
Jan. 30, 2013 |
CentreInvest, Inc., et al.
|
34-68763 |
Jan. 30, 2013 |
ICP Solar Technologies, Inc., et al.
|
34-68756 |
Jan. 29, 2013 |
Lisa B. Hovan, CPA
Other Release No.: IA-3539; AAER-3443
|
34-68754 |
Jan. 29, 2013 |
Brian D. Fox
Other Release No.: AAER-3442
|
IA-3540 |
Jan. 29, 2013 |
Kurt S. Hovan
|
IA-3538 |
Jan. 29, 2013 |
Edward J. Hovan, Jr.
|
IA-3537 |
Jan. 29, 2013 |
IMC Asset Management, Inc.
|
34-68750 |
Jan. 29, 2013 |
IAS Energy, Inc., et al.
|
34-68749 |
Jan. 28, 2013 |
Stefan H. Benger
|
34-68739 |
Jan. 28, 2013 |
Henley Healthcare, Inc., Hightop Capital Corp., Hiko Bell Mining & Oil Co., Horizon Pharmacies, Inc., Horizon Resources Corp., and Hudson’s Grill of America, Inc.
|
34-68736 |
Jan. 25, 2013 |
John W. Adams and AIP, LLC
Note: See also the Modified Plan of Distribution |
34-68738 |
Jan. 25, 2013 |
Nicolette D. Loisel
|
34-68737 |
Jan. 25, 2013 |
Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA
|
34-68733 |
Jan. 25, 2013 |
Gabelli Funds, LLC
|
34-68732 |
Jan. 25, 2013 |
Mary Beth Stevens; Paul W. Oliver, Jr.
|
34-68731 |
Jan. 25, 2013 |
Largo Vista Group, Ltd., et al.
|
34-68729 |
Jan. 25, 2013 |
Law Enforcement Associates Corp., et al.
|
34-68727 |
Jan. 25, 2013 |
Medis Technologies Ltd., et al.
|
34-68722 |
Jan. 24, 2013 |
Eric D. Rogers
|
34-68716 |
Jan. 24, 2013 |
HI DEF Enterprises, Inc., et al.
|
34-68715 |
Jan. 24, 2013 |
IAS Energy, Inc., et al.
|
34-68706 |
Jan. 23, 2013 |
China Wesen Recycling Technology, Inc., et al.
|
IA-3536 |
Jan. 22, 2013 |
Raymond Y.H. Park
|
IA-3535 |
Jan. 22, 2013 |
Sung Kook Hwang
|
34-68703 |
Jan. 22, 2013 |
Egan-Jones Ratings Company and Sean Egan
|
34-68688 |
Jan. 18, 2013 |
AlphaTrade.com
|
34-68686 |
Jan. 18, 2013 |
The Hartcourt Companies, Inc., et al.
|
34-68685 |
Jan. 17, 2013 |
Linda Dianne Alexander
|
34-68683 |
Jan. 17, 2013 |
Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
|
34-68681 |
Jan. 17, 2013 |
Desert Mining, Inc., et al.
|
34-68680 |
Jan. 17, 2013 |
IAS Energy, Inc., et al.
|
34-68679 |
Jan. 17, 2013 |
IBroadband, Inc., et al.
|
34-68673 |
Jan. 16, 2013 |
Larry Lee Adair, Esq.
|
34-68670 |
Jan. 16, 2013 |
Mark A. Gelazela and Steven E. Woods
|
34-68669 |
Jan. 16, 2013 |
MiddleCove Capital, LLC, and Noah L. Myers
Other Release Nos.: IA-3534, IC-30351
|
34-68664 |
Jan. 16, 2013 |
Eco Global Corporation, et al.
|
34-68661 |
Jan. 15, 2013 |
Kevin A. Howard, CPA
Other Release No.: AAER-3441
|
34-68649 |
Jan. 14, 2013 |
IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc.
|
34-68646 |
Jan. 14, 2013 |
Imreg, Inc., Innovative Holdings & Technologies, Inc., InnoVet, Inc., Institutional Properties 4, Interaction Media Corp., and International CRO Holdings Corp.
|
34-68628 |
Jan. 11, 2013 |
Eric Ashman, CPA
Other Release No.: AAER-3440
|
IA-3533 |
Jan. 11, 2013 |
I. Joseph Massoud
|
34-68623 |
Jan. 11, 2013 |
China Wesen Recycling Technology, Inc., et al.
|
34-68622 |
Jan. 11, 2013 |
IBroadband, Inc., et al.
|
IA-3532 |
Jan. 10, 2013 |
Kris Chellam
|
34-68614 |
Jan. 10, 2013 |
HearMe, et al.
|
34-68611 |
Jan. 9, 2013 |
Jimmie Dean Jones, CPA
Other Release No.: AAER-3438
|
34-68605 |
Jan. 9, 2013 |
John J. Aesoph, CPA, and Darren M. Bennett, CPA
Other Release No.: AAER-3436
|
34-68601 |
Jan. 8, 2013 |
China North East Petroleum Holdings Limited
|
34-68600 |
Jan. 8, 2013 |
UBS Financial Services Inc. of Puerto Rico
|
34-68599 |
Jan. 8, 2013 |
William J. Reilly, Esq.
|
34-68598 |
Jan. 7, 2013 |
HI DEF Enterprises, Inc., Hi-Rise Recycling Systems, Inc., Highline Industries, Inc., Hirel Holdings, Inc., Holiday RV Superstores, Inc. (n/k/a FreedomRoads RV, Inc.), Hooker Enterprises, Inc., Hospital Staffing Services, Inc., and Hotelworks.com, Inc.
|
34-68597 |
Jan. 7, 2013 |
Henley Healthcare, Inc., et al.
|
34-68593 |
Jan. 7, 2013 |
Credit Suisse Securities (USA) LLC, et al.
|
34-68592 |
Jan. 4, 2013 |
Stephen G. Bennett
|
34-68591 |
Jan. 4, 2013 |
Kenneth J. Abod, CPA
Other Release No.: AAER-3435
|
34-68586 |
Jan. 4, 2013 |
Gary J. Martel
|
34-68567 |
Jan. 3, 2013 |
Encore Clean Energy, Inc., et al.
|
34-68566 |
Jan. 3, 2013 |
China Voice Holding Corp., et al.
|
34-68565 |
Jan. 3, 2013 |
DIAS Holding, Inc., et al.
|
34-68564 |
Jan. 3, 2013 |
HealthSport, Inc., et al.
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http://www.sec.gov/litigation/admin.shtml
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