Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.
The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions
Additional Archives
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SEC Administrative Proceedings RSS Feed
Release No. | Date | Respondents |
---|---|---|
First Quarter | ||
34-80113 | Feb. 24, 2017 | Myriad Entertainment & Resorts, Inc., National Real Estate Limited Partnership VI and Paradise Communications Services, Inc. |
34-80112 | Feb. 24, 2017 | Prestige Financial Corp., et al. |
34-80111 | Feb. 24, 2017 | Sidewinder Explorations Inc. |
34-80103 | Feb. 24, 2017 | Edward Richardson Jr., CPA and Edward Richardson Jr.
Other Release No.: AAER-3860 |
34-80095 | Feb. 23, 2017 | John Austin Gibson, Jr.
Other Release No.: IA-4654 |
34-80092 | Feb. 23, 2017 | Lee P. Vaccaro
Other Release No.: IA-4653 |
34-80091 | Feb. 23, 2017 | Brian S. Hudnall |
34-80087 | Feb. 22, 2017 | Anthony Coronati and Bidtoask LLC
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
34-80083 | Feb. 22, 2017 | Gregory J. Smith
Other Release No.: IC-32505 |
34-80078 | Feb. 22, 2017 | G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC |
34-80070 | Feb. 21, 2017 | UBS Financial Services Inc. of Puerto Rico
See also: Plan of Distribution; Exhibit A; Exhibit B |
34-80069 | Feb. 21, 2017 | Kalex Corp. |
34-80068 | Feb. 21, 2017 | BioNovo, Inc. InterAamerican Gaming, Inc. and Spot Mobile International Ltd. |
34-80067 | Feb. 21, 2017 | Accel Brands, Inc. |
34-80066 | Feb. 21, 2017 | MFN Technologies, Inc. |
34-80065 | Feb. 17, 2017 | Christopher M. Cunningham
Other Release No.: IA-4652 |
34-80063 | Feb. 17, 2017 | Joseph L. Pittera, Esq. |
34-80058 | Feb. 17, 2017 | Hydrocarb Energy Corp. |
33-10310 | Feb. 17, 2017 | Edward M. Daspin and a/k/a "Edward (Ed) Michael"
Other Release No.: 34-80057 |
33-10309 | Feb. 17, 2017 | Jay T. Comeaux
Other Release Nos.: 34-80056, IA-4651, IC-32482 |
34-80054 | Feb. 16, 2017 | James P. Griffin |
34-80053 | Feb. 16, 2017 | Angel Oak Capital Partners, LLC, et al.
See also: Administrative Summary |
34-80048 | Feb. 15, 2017 | Morgan Asset Management, Inc., et al. |
34-80039 | Feb. 14, 2017 | CVR Energy, Inc. |
34-80038 | Feb. 14, 2017 | Jeffrey E. Eberwein; Lone Star Value Management, et al. |
IA-4649 | Feb. 14, 2017 | Morgan Stanley Smith Barney, LLC |
33-10307 | Feb. 13, 2017 | Thomas R. Stanley, II
Other Release Nos.: 34-80033, IC-32476 See also: Administrative Summary |
34-80027 | Feb. 13, 2017 | Sidoti & Company, LLC |
34-80026 | Feb. 13, 2017 | Joseph A. Nelson |
34-80016 | Feb. 10, 2017 | Columbia Management Investment Services Corp.
See also: Administrative Summary |
34-80006 | Feb. 10, 2017 | Sylvester King Jr.
Other Release Nos.: IA-4648, IC-32475 |
34-80005 | Feb. 9, 2017 | Jaypee International, Inc. and Sorabh Arora |
34-80001 | Feb. 9, 2017 | William G. Goode |
34-80000 | Feb. 9, 2017 | Raymond H. Barton |
34-79997 | Feb. 9, 2017 | Credit Suisse Alternative Capital, et al.
See also: Plan of Distribution |
34-79991 | Feb. 8, 2017 | Ash Narayan |
34-79990 | Feb. 8, 2017 | Darren Goodrich |
IA-4647 | Feb. 8, 2017 | Jeffrey Slocum & Associates, Inc. and Jeffrey C. Slocum
See also: Administrative Summary |
IA-4645 | Feb. 8, 2017 | Thomas A. Guerriero |
34-79986 | Feb. 8, 2017 | Oxford City Football Club, Inc. |
IA-4644 | Feb. 7, 2017 | Gregg D. Caplitz |
IA-4643 | Feb. 7, 2017 | Rosalind Herman |
33-10303 | Feb. 7, 2017 | Olde Monmouth Stock Transfer Co., Inc. and Matthew J. Troster
Other Release No.: 34-79985 |
IA-4641 | Feb. 7, 2017 | SLRA Inc. as Successor Entity to Liquid Realty Advisors III, LLC and Scott M. Landress
Other Release No.: IC-32470 |
34-79980 | Feb. 7, 2017 | Robert S. McGregor |
34-79977 | Feb. 6, 2017 | Aaron Nash Kazinec
Other Release No.: IA-4640 |
34-79973 | Feb. 6, 2017 | Dynamic Response Group, Inc., Eagle Telephonics, Inc. and Far East Energy Corporation |
34-79972 | Feb. 6, 2017 | Questrust Ventures, Inc. and Zaring Homes, Inc. |
33-10302 | Feb. 3, 2017 | Ixia and Victor Alston
Other Release Nos.: 34-79971, AAER-3858 |
34-79969 | Feb. 3, 2017 | Karl E. Hahn
Other Release No.: IA-4639 |
34-79968 | Feb. 3, 2017 | Kirk D. Porter |
34-79952 | Feb. 2, 2017 | Thomas H. Caniford
Other Release No.: IA-4638 |
34-79943 | Feb. 2, 2017 | Fibercorp International, Inc., Hygenics Pharmaceuticals, Inc. and Investors Trust, Inc. |
34-79941 | Feb. 2, 2017 | AVT, Inc., et al. |
34-79939 | Feb. 2, 2017 | Delverton Resorts International Inc. |
34-79903 | Jan. 31, 2017 | David A. Aronson, CPA
Other Release No.: AAER-3857 |
34-79893 | Jan. 30, 2017 | Bill the Butcher, Inc. |
IA-4630 | Jan. 30, 2017 | GL Investment Services, LLC |
IA-4629 | Jan. 30, 2017 | GL Capital Partners, LLC |
IA-4627 | Jan. 27, 2017 | Harvey Altholtz |
34-79888 | Jan. 27, 2017 | Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
34-79882 | Jan. 26, 2017 | Citigroup Global Markets, Inc.
Other Release No.: IA-4626 |
34-79881 | Jan. 26, 2017 | Sandra Dyche |
34-79880 | Jan. 26, 2017 | Anderson Bradshaw PLLC, et al.
Other Release No.: AAER-3856 |
34-79879 | Jan. 26, 2017 | Palestra Capital Management LLC
Other Release No.: IA-4625 |
34-79875 | Jan. 25, 2017 | Richard Medina, Jr. |
33-10294 | Jan. 25, 2017 | Infeed Medica Corp. |
33-10293 | Jan. 25, 2017 | Windsor Street Capital, et al.
Other Release Nos.: 34-79877, IC-32451 |
IA-4624 | Jan. 24, 2017 | Hans Peter Black and Interinvest Corporation, Inc. |
33-10291 | Jan. 24, 2017 | Jan E. Helen
Other Release Nos.: 34-79870, IA-4623, IC-32434 |
34-79867 | Jan. 24, 2017 | Geoffrey J. Block
Other Release Nos.: IA-4622, IC-32430 |
34-79866 | Jan. 24, 2017 | Sandra Dyche See also: Plan of Distribution |
33-10290 | Jan. 24, 2017 | Morgan Stanley Smith Barney LLC |
33-10288 | Jan. 24, 2017 | Citigroup Global Markets, Inc. |
34-79856 | Jan. 23, 2017 | Donald P. Jones, CPA
Other Release No.: AAER-3854 |
34-79855 | Jan. 23, 2017 | Shelly R. McGuire, CPA
Other Release No.: AAER-3853 |
34-79854 | Jan. 23, 2017 | Ane Plate
Other Release No.: IA-4621 |
33-10286 | Jan. 23, 2017 | Overseas Shipholding Group, Inc. and Myles Robert Itkin
Other Release Nos.: 34-79857, AAER-3855 |
IA-4620 | Jan. 19, 2017 | Bob Brakeman Enterprises, LLC and Robert D. Brakeman
Other Release No.: IC-32429 |
34-79850 | Jan. 19, 2017 | VCAP Securities, LLC and Brett Thomas Graham |
34-79848 | Jan. 19, 2017 | Susan M. Diamond
Other Release Nos.: IA-4619, IC-32428 See also: Administrative Summary |
34-79847 | Jan. 19, 2017 | Andrew Scott Jensen |
34-79844 | Jan. 19, 2017 | HomeStreet, Inc. and Darrell Van Amen
Other Release No.: AAER-3852 |
33-10285 | Jan. 18, 2017 | Mer Telemanagement Solutions Ltd.
Other Release No.: 34-79827 See also: Administrative Summary |
33-10284 | Jan. 18, 2017 | Eytan Bar
Other Release No.: 34-79826 See also: Administrative Summary |
34-79828 | Jan. 18, 2017 | Orthofix International N.V.
Other Release No.: AAER-3851 |
34-79825 | Jan. 18, 2017 | General Motors Company
Other Release Nos.: AAER-3850 |
34-79820 | Jan. 18, 2017 | Kenneth Mack and Bryan McMillan
Other Release No.: AAER-3848 |
34-79819 | Jan. 18, 2017 | Brian McCollum
Other Release No.: AAER-3847 |
33-10283 | Jan. 18, 2017 | MDC Partners Inc.
Other Release Nos.: 34-79823, AAER-3849 |
33-10282 | Jan. 18, 2017 | Jeffrey Hammel, CPA
Other Release Nos.: 34-79817, AAER-3846 |
33-10281 | Jan. 18, 2017 | Orthofix International N.V.
Other Release Nos.: 34-79815, AAER-3845 |
34-79824 | Jan. 18, 2017 | Charles A. Bennett |
34-79814 | Jan. 17, 2017 | Allergan, Inc. |
34-79813 | Jan. 17, 2017 | Abraham M. Fisch, Esq. |
34-79804 | Jan. 17, 2017 | BlackRock, Inc. |
IA-4618 | Jan. 17, 2017 | Gregory W. Gray, Jr. |
IA-4617 | Jan. 17, 2017 | Adams Capital Management, Inc. |
IA-4616 | Jan. 17, 2017 | Aisling Capital LLC |
IA-4615 | Jan. 17, 2017 | Commonwealth Venture Management Corp. |
IA-4614 | Jan. 17, 2017 | Alta Communications, Inc. |
IA-4613 | Jan. 17, 2017 | Cypress Advisors, Inc. |
IA-4612 | Jan. 17, 2017 | NGN Capital LLC |
IA-4611 | Jan. 17, 2017 | Lime Rock Management LP |
IA-4610 | Jan. 17, 2017 | FFL Partners, LLC |
IA-4609 | Jan. 17, 2017 | The Banc Funds Company, L.L.C. |
IA-4608 | Jan. 17, 2017 | Pershing Square Capital Management, L.P. |
34-79803 | Jan. 13, 2017 | Haidar Capital Management, LLC, Haidar Capital Advisors, LLC and Said N. Haidar |
34-79799 | Jan. 13, 2017 | Gregg R. Mulholland |
34-79795 | Jan. 13, 2017 | Sociedad Quimica Y Minera De Chile and S.A. |
34-79794 | Jan. 13, 2017 | Morgan Stanley Smith Barney, LLC
Other Release No.: IA-4607 |
33-10280 | Jan. 13, 2017 | Citadel Securities LLC
Other Release No.: 34-79790 |
34-79789 | Jan. 13, 2017 | Q Lotus Holdings, Inc. and Spare Backup, Inc. |
34-79788 | Jan. 13, 2017 | AIC International Resources Corp. and Stellar Metals, Inc. |
34-79787 | Jan. 13, 2017 | Cantab Pharmaceuticals PLC, et al. |
34-79786 | Jan. 13, 2017 | Sierra Resource Group, Inc. |
34-79785 | Jan. 13, 2017 | Global Earth Energy, Inc. |
34-79777 | Jan. 12, 2017 | The Bank of New York Mellon Corporation |
34-79780 | Jan. 12, 2017 | Biomet, Inc.
Other Release No.: AAER-3843 |
33-10279 | Jan. 12, 2017 | ITG Inc.
Other Release No.: 34-79776 |
34-79772 | Jan. 11, 2017 | L3 Technologies, Inc.
Other Release No.: AAER-3844 |
IA-4604 | Jan. 10, 2017 | Centre Partners Management, LLC
See also: Administrative Summary |
33-10278 | Jan. 10, 2017 | The Port Authority of New York, New Jersey |
34-79765 | Jan. 10, 2017 | Larry Lee Crawford, CPA
Other Release No.: AAER-3842 |
34-79757 | Jan. 9, 2017 | Essex Financial Services, Inc.
Other Release No.: IA-4603 |
34-79756 | Jan. 9, 2017 | Peter Hershman, Esq.
Other Release Nos.: IA-4602, IC-32417 |
34-79755 | Jan. 9, 2017 | John W. Rafal
Other Release Nos.: IA-4601, IC-32416 |
34-79754 | Jan. 6, 2017 | UBS Financial Services Inc. of Puerto Rico See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice Comments received are available for this proposed plan. |
34-79753 | Jan. 6, 2017 | Cadbury Limited and Mondelez International, Inc.
Other Release No.: AAER-3841 See also: Administrative Summary |
34-79727 | Jan. 4, 2017 | Capital Preferred Yield Fund-III, LP, Clearly Canadian Beverage Corp. and Diversinet Corp. |
34-79723 | Jan. 3, 2017 | Elliot R. Berman, CPA and Berman & Company, P.A.
See also: Administrative Summary |