Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.  SEC Administrative Proceedings RSS Feed
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First Quarter
| Release No. |
Date |
Respondents |
|
First Quarter
|
|
IA-2998
|
Mar. 11, 2010 |
Barron A. Mathis |
|
IA-2997
|
Mar. 11, 2010 |
Steven E. Nothern |
|
IA-2996
|
Mar. 11, 2010 |
Dan Wise, aka Danny Wise |
|
34-61691
|
Mar. 11, 2010 |
Prudential Equity Group, LLC, Formerly Known as Prudential Securities, Inc. |
|
34-61688
|
Mar. 11, 2010 |
Robert John Hipple
Other Release Number(s): IC-29173, AAER-3120 |
|
34-61687
|
Mar. 11, 2010 |
Management Graphics, Inc., Marine Shuttle Operations, Inc., Marketing Specialists Corp., Mas Acquisition XII Corp., MDCM Holdings, Inc. (f/k/a Mortgage.com, Inc.), MerchantOnline.com, Inc., Met Capital Corp., and Micro-ASI, Inc. |
|
34-61679
|
Mar. 10, 2010 |
Big Sky Energy Corp., Biomedical Waste Systems, Inc., Biometrics Security Technology, Inc., Biosys, Inc., Bolder Technologies Corp., Boyds Wheels, Inc., Breakaway Solutions, Inc., and BRE-X Minerals, Ltd. |
|
34-61678
|
Mar. 10, 2010 |
Tostel Corp. |
|
34-61661
|
Mar. 5, 2010 |
Phillip D'Hedouville |
|
34-61655
|
Mar. 5, 2010 |
First Allied Securities, Inc.
Other Release Number(s): IA-2995 |
|
34-61654
|
Mar. 5, 2010 |
Donna M. McKelvy |
|
34-61653
|
Mar. 5, 2010 |
Cornerstone Capital Management, Inc., and Laura Jean Kent
See also: Distribution Plan |
|
34-61652
|
Mar. 5, 2010 |
North American Technologies Group, Inc. |
|
IA-2994
|
Mar. 4, 2010 |
Ronnie Eugene Bass, Jr. |
|
IA-2993
|
Mar. 3, 2010 |
Reza Saleh |
|
34-61638
|
Mar. 3, 2010 |
Corridor Communications Corp., International Cosmetics Marketing Co., PNV, Inc., Pre-Cell Solutions, Inc., Questron Technology, Inc. (n/k/a Quti Corp.), Tapistron International, Inc., Telscape International, Inc., (n/k/a Scapetel Debtor, Inc.), and Universal Beverages Holdings Corp. |
|
34-61637
|
Mar. 3, 2010 |
Amalgamated Explorations, Inc., Areawide Cellular, Inc., Genomed, Inc., Global Maintech Corp., Military Resale Group, Inc., Verado Holdings, Inc., and World Transport Authority, Inc. |
|
34-61636
|
Mar. 3, 2010 |
Planet Earth Recycling, Inc., Potomac Energy Corp., Power Plus Corp. (n/k/a PPC Capital Corp.), Precision Plastics Molding, Inc., Presidio Oil Co. (n/k/a Encana Oil & Gas (USA), Inc.), Press Realty Advisors Corp., Prism Group, Inc., Promotional Concepts, Inc. (a/k/a Tartam, Inc.), Purcell Energy Ltd. (n/k/a Point North Energy Ltd. and f/k/a Belair Energy Corp.) |
|
34-61635
|
Mar. 3, 2010 |
Verint Systems Inc. |
|
IA-2990
|
Mar. 2, 2010 |
Grant Ivan Grieve a/k/a Gad Grieve |
|
34-61631
|
Mar. 2, 2010 |
Francesco Rusciano |
|
34-61625
|
Mar. 2, 2010 |
Warrior Fund LLC |
|
34-61622
|
Mar. 2, 2010 |
Biokey ID, Inc., Bionet Technologies, Inc., Biscayne Apparel, Inc., Bizcom U.S.A., Inc., Blackstocks Development Corp. (n/k/a Sunburst Holding Corp.), Bluestone Holding Corp., Brandt Technologies, Inc., Brendle's, Inc., BTR Realty, Inc., and Buckeye Communications, Inc. |
|
34-61621
|
Mar. 2, 2010 |
Damir Lukovic |
|
33-9111
|
Mar. 2, 2010 |
S4 Capital, LLC and Sharath Sury
Other Release Number(s): 34-61624, IA-2992, IC-29166 |
|
33-9110
|
Mar. 2, 2010 |
S4 Capital, LLC and Sharath Sury
Other Release Number(s): 34-61623, IA-2991, IC-29165 |
|
34-61608
|
Mar. 1, 2010 |
L. Luria & Son, Inc., Lew Corp. (n/k/a Questus Global Limited), Library Bureau, Inc., Life Sciences, Inc., Lifesmart Nutrition Technologies, Inc., Lightning Rod Software, Inc., Lindatech, Inc., Littlefield, Adams & Company, and Liuski International, Inc. |
|
34-61607A
|
Mar. 1, 2010 |
Gerard A. M. Oprins, CPA and Wendy McNeeley, CPA
Other Release Number(s): AAER-3116A |
|
34-61604
|
Mar. 1, 2010 |
Sharanjit K. Khanna aka Sharanjit K. Grewal
Other Release Number(s): IA-2987 |
|
34-61602
|
Feb. 26, 2010 |
Christine M. Zamorsky (aka Christine M. Thompson), Jeffrey M. Zamorsky and Jesse Anthony "Tony" Aguilar |
|
34-61601
|
Feb. 26, 2010 |
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. |
|
34-61600
|
Feb. 26, 2010 |
Inviva, Inc. and Jefferson National Life Insurance Company |
|
34-61599
|
Feb. 26, 2010 |
Bernard Daniel Braver |
|
34-61598
|
Feb. 26, 2010 |
Morgan Stanley & Co. Incorporated
See also: Proposed Distribution Plan
Comments: Submit comments on Proposed Distribution Plan |
|
34-61597
|
Feb. 26, 2010 |
U.S. Biomedical Corp., (f/k/a United Textiles & Toys, Inc.), U.S. Environmental Solutions, Inc. (n/k/a EnviroResolutions, Inc.), USA Bridge Construction of N.Y., Inc., USA Broadband, Inc., USA Uranium Corp., and Utopia Marketing, Inc. (n/k/a Daytonabrands, Inc.) |
|
34-61587
|
Feb. 25, 2010 |
Smith Barney Fund Management LLC and Citigroup Global Markets Inc.
See also: Proposed Distribution Plan
Comments: Submit comments on Proposed Distribution Plan |
|
34-61586
|
Feb. 25, 2010 |
Tara R. Eisler |
|
34-61585
|
Feb. 25, 2010 |
Anthony Santos |
|
34-61584
|
Feb. 25, 2010 |
Robert P. Copeland, Esq. |
|
34-61576
|
Feb. 24, 2010 |
Macheezmo Mouse Restaurants, Inc., Mannix Resources, Inc. (f/k/a Ridel Resources, Ltd.), Mast/Keystone, Inc., Mego Financial Corp., Melloncamp, Inc., Metal Mines, Inc., and Metawave Communications Corp. |
|
34-61569
|
Feb. 23, 2010 |
PCC Group, Inc., Play Co. Toys & Entertainment Corp., Point West Capital Corp., Power Spectra, Inc., Preference Technologies, Inc., Preferred Financial Resources, Inc. (n/k/a Copper Financial Resources, Inc.), Pro-Market Global plc, Progenitor, Inc., PSA, Inc. (n/k/a Shearson American REIT, Inc.) and Purchasesoft, Inc. |
|
34-61568
|
Feb. 23, 2010 |
Canadian Imperial Holdings, Inc. and CIBC World Markets Corp. |
|
34-61567
|
Feb. 23, 2010 |
Consumers Financial Corporation |
|
IA-2986
|
Feb. 22, 2010 |
Mark J. Harrington |
|
34-61564
|
Feb. 22, 2010 |
David V. Siegel
Other Release Number(s): IA-2985 |
|
34-61563
|
Feb. 22, 2010 |
Axiom Capital Management, Inc. |
|
34-61562
|
Feb. 22, 2010 |
Salvatore F. Sodano |
|
34-61555
|
Feb. 22, 2010 |
Aura Financial Services, Inc. |
|
34-61554
|
Feb. 22, 2010 |
Management Graphics, Inc., Marine Shuttle Operations, Inc., Marketing Specialists Corp., Mas Acquisition XII Corp. (n/k/a Netserv Communications, Inc.), MDCM Holdings, Inc. (f/k/a Mortgage.com, Inc.), MerchantOnline.com, Inc., Met Capital Corp., and Micro-Asi, Inc. |
|
34-61553
|
Feb. 22, 2010 |
L. Luria & Son, Inc., Lew Corp. (n/k/a Questus Global Limited), Library Bureau, Inc., Life Sciences, Inc., Lifesmart Nutrition Technologies, Inc., Lightning Rod Software, Inc., Lindatech, Inc., Littlefield, Adams & Company, and Liuski International, Inc. |
|
34-61552
|
Feb. 22, 2010 |
L. Luria & Son, Inc., Lew Corp. (n/k/a Questus Global Limited), Library Bureau, Inc., Life Sciences, Inc., Lifesmart Nutrition Technologies, Inc., Lightning Rod Software, Inc., Lindatech, Inc., Littlefield, Adams & Company, and Liuski International, Inc. |
|
34-61551
|
Feb. 19, 2010 |
Donald Cunningham |
|
34-61548
|
Feb. 19, 2010 |
Ariel Corp., Classica Group, Inc., Commodore Environmental Services, Inc., Dupont Direct Financial Holdings, Inc., Engage, Inc., New Paradigm Software Corp. (n/k/a Brunton Vineyards Holdings, Inc.), Polymer Research Corp. of America, and ShopNet.com, Inc. |
|
34-61538
|
Feb. 18, 2010 |
Macheezmo Mouse Restaurants, Inc., Mannix Resources, Inc. (f/ka/a Ridel Resources, Ltd.), Mast/Keystone, Inc., Mego Financial Corp., Melloncamp, Inc., Metal Mines, Inc., and Metawave Communications, Corp. |
|
34-61532
|
Feb. 18, 2010 |
Platinum & Gold, Inc., PNI Technologies, Inc., Pride Business Development Holdings, Inc., Probex Corp., Property Capital Trust, Inc. Protech, Inc., Provell, Inc., PSINet, Inc., PT. Inti Indorayon Utama (n/k/a P.T. Toba Pulp Lestari Tbk), and PT. Riau Andalan Pulp & Paper |
|
34-61527
|
Feb. 17, 2010 |
Thomas T. Emerton, III |
|
34-61526
|
Feb. 17, 2010 |
East Delta Resources Corp. |
|
34-61525
|
Feb. 17, 2010 |
PCC Group, Inc., Play Co. Toys & Entertainment Corp., Point West Capital Corp., Power Spectra, Inc., Preference Technologies, Inc., Preferred Financial Resources, Inc. (n/k/a Copper Financial Resources, Inc.), Pro-Market Global plc, Progenitor, Inc., PSA, Inc. (n/k/a Shearson American REIT, Inc.), and Purchasesoft, Inc. |
|
34-61518
|
Feb. 16, 2010 |
Nevanna Sacks, CPA
Other Release Number(s): AAER-3114 |
|
34-61516
|
Feb. 12, 2010 |
Michael J. Byrd, CPA
Other Release Number(s): AAER-3113 |
|
34-61511
|
Feb. 8, 2010 |
J. Bennett Grocock |
|
34-61504
|
Feb. 4, 2010 |
Daniel Schreiber |
|
34-61503
|
Feb. 4, 2010 |
David Harrison Baker |
|
34-61502
|
Feb. 4, 2010 |
Granite Financial Group, LLC |
|
34-61501
|
Feb. 4, 2010 |
Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc. |
|
33-9107
|
Feb. 4, 2010 |
State Street Bank and Trust Company |
|
34-61484
|
Feb. 3, 2010 |
Tostel Corp. |
|
34-61481
|
Feb. 3, 2010 |
Heartland Advisors, Inc., William J. Nasgovitz, Paul T. Beste, Thomas J. Conlin, Greg D. Winston, Kevin D. Clark, Kenneth J. Della, and Hugh F. Denison
See also: Proposed Distribution Plan |
|
34-61475
|
Feb. 3, 2010 |
American Sports Development Group, Inc., Antex Biologics, Inc. (n/k/a ABI Liquidating Corp.), Cybernet Internet Services International, Inc., Cyper Media, Inc., Frisby Technologies, Inc., Graphco Holdings Corp., Investors Insurance Group, Inc., ITC Learning Corp., and Speizman Industries, Inc. |
|
IA-2983
|
Feb. 2, 2010 |
Albert Fase Kaleta |
|
34-61472
|
Feb. 2, 2010 |
Donald L. Marr |
|
34-61464
|
Feb. 2, 2010 |
Paul W. Oliver, Jr. |
|
34-61463
|
Feb. 2, 2010 |
Putnam Investment Management, LLC |
|
IA-2982
|
Feb. 1, 2010 |
Ronnie Eugene Bass Jr. |
|
34-61453
|
Feb. 1, 2010 |
Management Graphics, Inc., Marine Shuttle Operations, Inc., Marketing Specialists Corp., Mas Acquisition XII Corp., MDCM Holdings, Inc. (f/k/a Mortgage.com, Inc.), MerchantOnline.com, Inc., Met Capital Corp., and Micro-Asi, Inc. |
|
34-61450
|
Feb. 1, 2010 |
Pacific Acquisition Corp. (a/k/a Pacific Aquisition Corp.), Pan Smak Pizza, Inc., Parkcrest Explorations, Ltd. (n/k/a Fossil Bay Resources, Ltd.), Payline Systems, Inc., Pentastar Communications, Inc., Peruvian Gold, Ltd., Petromin Resources, Ltd., and Pinnacle Property Group, Inc. (n/k/a Ontus Corporation) |
|
IA-2981
|
Jan. 29, 2010 |
Timothy J. Miller |
|
34-61447
|
Jan. 29, 2010 |
Hennessee Group LLC and Charles J. Gradante |
|
34-61445
|
Jan. 29, 2010 |
Mark Evan Bloom (CPA)
Other Release Number(s): IA-2980, AAER-3112 |
|
34-61444
|
Jan. 29, 2010 |
Ethan Kass
Other Release Number(s): IA-2979 |
|
34-61442
|
Jan. 29, 2010 |
L. Luria & Son, Inc., Lew Corp. (n/k/a Questus Global Limited), Library Bureau, Inc., Life Sciences, Inc., Lifesmart Nutrition Technologies, Inc., Lightning Rod Software, Inc., Lindatech, Inc., Littlefield, Adams & Company, and Liuski International, Inc. |
|
34-61440
|
Jan. 29, 2010 |
Pacific Acquisition Corp. (a/k/a Pacific Aquisition Corp.), Pan Smak Pizza, Inc., Parkcrest Explorations, Ltd. (n/k/a Fossil Bay Resources, Ltd.), Payline Systems, Inc., PentaStar Communications, Inc., Peruvian Gold, Ltd., Petromin Resources, Ltd., and Pinnacle Property Group, Inc. (n/k/a Ontus Corporation) |
|
34-61437
|
Jan. 28, 2010 |
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
See also: Distribution Plan |
|
34-61436
|
Jan. 28, 2010 |
Ariel Corp., Classica Group, Inc., Commodore Environmental Services, Inc., Dupont Direct Financial Holdings, Inc., Engage, Inc., New Paradigm Software Corp. (n/k/a Brunton Vineyards Holdings, Inc.), Polymer Research Corp. of America, and Shopnet.Com, Inc. |
|
IA-2978
|
Jan. 27, 2010 |
Dan Wise, aka Danny Wise |
|
34-61432
|
Jan. 27, 2010 |
Karen T. Baker, CPA
Other Release Number(s): AAER-3110 |
|
34-61423
|
Jan. 26, 2010 |
East Delta Resources Corp. |
|
34-61422
|
Jan. 26, 2010 |
AGB Partners LLC, Gregory A. Bied, and Andrew J. Goldberger
Other Release Number(s): IA-2977 |
|
34-61421
|
Jan. 26, 2010 |
Palmyra Capital Advisors LLC
Other Release Number(s): IA-2976 |
|
34-61420
|
Jan. 26, 2010 |
PCC Group, Inc. et al. |
|
34-61418
|
Jan. 26, 2010 |
Customer Sports, Inc., General Magic, Inc.,Leonidas Films, Inc. (n/k/a Consolidated Pictures Group, Inc.),Sportsprize Entertainment, Inc., U.S. Interactive, Inc., and USA Biomass Corp. |
|
33-9102
|
Jan. 26, 2010 |
Tsukuda-America Inc.
See also: Division of Enforcement Statement |
|
34-61412
|
Jan. 25, 2010 |
Minecore International, Inc. |
|
34-61410
|
Jan. 22, 2010 |
Donna M. McKelvy |
|
34-61396
|
Jan. 21, 2010 |
Macheezmo Mouse Restaurants, Inc., Mannix Resources, Inc. (f/k/a Ridel Resources, Ltd.), Mast/Keystone, Inc., Mego Financial Corp., Melloncamp, Inc., Metal Mines, Inc., and Metawave Communications Corp. |
|
34-61391
|
Jan. 21, 2010 |
Big Sky Energy Corp., Biomedical Waste Systems, Inc., Biometrics Security Technology, Inc., Biosys, Inc., Bolder Technologies Corp., Boyds Wheels, Inc., Breakaway Solutions, Inc., and BRE-X Minerals, Ltd. |
|
34-61386
|
Jan. 20, 2010 |
Joseph I. Emas |
|
34-61385
|
Jan. 20, 2010 |
Deanna J. Seruga, CPA
Other Release Number(s): AAER-3107 |
|
34-61384
|
Jan. 20, 2010 |
John W. Dwyer, CPA
Other Release Number(s): AAER-3106 |
|
34-61383
|
Jan. 20, 2010 |
Theodore P. Noncek, CPA
Other Release Number(s): AAER-3105 |
|
34-61382
|
Jan. 20, 2010 |
Gerald P. Alexander |
|
34-61380
|
Jan. 20, 2010 |
Planet Entertainment Corp., Polifly Financial Corp., Pope Evans & Robbins, Inc., Power Designs, Inc., Prime Motor Inns LP, Pro Net Link Corp., Prospect Group, Inc., Prospect Park Financial Corp., Providence Capital Ii, Inc. (n/k/a Lifelong.Com, Inc.), Pudgie’s Chicken, Inc., and Pvaxx Corp. |
|
34-61377
|
Jan. 19, 2010 |
Mortgages Ltd. Securities, LLC |
|
34-61376
|
Jan. 19, 2010 |
J.P. Morgan Securities Inc. |
|
34-61375
|
Jan. 19, 2010 |
Diane Bjorkstrom (CPA)
Other Release Number(s): AAER-3104 |
|
34-61209A
|
Jan. 19, 2010 |
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
See also: Proposed Distribution Plan
Comments: Submit comments on Proposed Distribution Plan |
|
34-61364
|
Jan. 15, 2010 |
New York Broker Deutschland AG |
|
34-61362
|
Jan. 14, 2010 |
Adnan S. Zaman |
|
34-61356
|
Jan. 14, 2010 |
Thomas T. Emerton, III |
|
34-61355
|
Jan. 14, 2010 |
Leo R. Driving Hawk, Sr. |
|
34-61354
|
Jan. 14, 2010 |
Edmund J. Smedley |
|
34-61353
|
Jan. 14, 2010 |
Edward J. Driving Hawk, Sr. |
|
34-61352
|
Jan. 14, 2010 |
John M. Adams |
|
34-61351
|
Jan. 14, 2010 |
William J. Herisko |
|
34-61344A
|
Jan. 13, 2010 |
Applied Wellness Corporation
Other Release Number(s): AAER-3103A |
|
IA-2975
|
Jan. 11, 2010 |
Julie M. Jarvis and Crossroads Financial Planning, Inc. |
|
34-61325
|
Jan. 11, 2010 |
NATCO Group Inc.
Other Release Number(s): AAER-3101 |
|
34-61316
|
Jan. 8, 2010 |
Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson |
|
34-61315
|
Jan. 7, 2010 |
Pollard Kelley Auditing Services, Inc. and Terance Kelley, CPA
Other Release Number(s): AAER-3100 |
|
34-61312
|
Jan. 7, 2010 |
Smith Barney Fund Management LLC and Citigroup Global Markets Inc.
See also: Proposed Plan of Distribution
Comments: Submit comments on Proposed Plan of Distribution |
|
34-61307
|
Jan. 7, 2010 |
David C. Mayfield, CPA
Other Release Number(s): AAER-3099 |
|
34-61306
|
Jan. 7, 2010 |
John W. Jacobsen, CPA
Other Release Number(s): AAER-3098 |
|
34-61305
|
Jan. 7, 2010 |
Charles A. Gray, CPA
Other Release Number(s): AAER-3097 |
|
34-61301
|
Jan. 6, 2010 |
Scott T. Veech, CPA
Other Release Number(s): AAER-3096 |
|
34-61300
|
Jan. 6, 2010 |
Osvaldo Pitters
Other Release Number(s): AAER-3095 |
|
34-61299
|
Jan. 6, 2010 |
Christian Kuretski
Other Release Number(s): IA-2974 |
|
IA-2973
|
Jan. 5, 2010 |
Mary Beth Stevens |
|
34-61288
|
Jan. 5, 2010 |
Ken Okada
Other Release Number(s): IA-2972 |
|
34-61285
|
Jan. 5, 2010 |
Home Solutions of America, Inc. |
|
34-61278
|
Jan. 4, 2010 |
William Keith Phillips
Other Release Number(s): IA-2970 |
|
