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Aug 27, 2018

SEC.gov | Administrative Proceedings I SEC

.    sec.gov


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
Release No. Date Respondents

Third Quarter

34-83957 Aug. 27, 2018 Lynette M. Robbins 34-83956 Aug. 27, 2018 David Gray 34-83948 Aug. 27, 2018 Legg Mason, Inc.
Other Release No.: AAER-3961 IA-4998 Aug. 27, 2018 Kevin A. Giles IA-4997 Aug. 28, 2018 Bradley J. Beman 33-10539 Aug. 27, 2018 AEGON USA Investment Management, LLC, et al.
Other Release Nos.: 34-83947, IA-4996, IC-33215 34-83946 Aug. 24, 2018 Central Park Acquisition I, Inc., Genitope Corporation and Meridian Acquisition Corporation 34-83945 Aug. 24, 2018 Middle Kingdom Resources Ltd., Multimod Investments, Inc. and New Generation Films, Inc. 34-83944 Aug. 24, 2018 Media Group 2000 Inc. a/k/a Urban Resorts International Inc. and New Pacific, Inc. 34-83943 Aug. 24, 2018 EBHI Holdings, Inc., New Venture Holdings, Inc. and Progressive Gaming International Corp. 34-83942 Aug. 24, 2018 Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. 34-83939 Aug. 24, 2018 Fig Run Acquisition Corporation, SLM Technologies, Inc. and Trail Run Acquisition Corporation 34-83934 Aug. 24, 2018 First Western Advisors
Other Release No.: IA-4995 34-83933 Aug. 24, 2018 RS Soda Holdings, Inc., SGREP, Inc. and Surface Coatings, Inc. 34-83932 Aug. 24, 2018 Lightstone Technologies, Inc., Madison & 51St, Inc. and Three Shades for Everybody, Inc. 34-83931 Aug. 24, 2018 Forum Acquisitions I, Inc., et al. 34-83930 Aug. 23, 2018 James J. O'Neil 34-83924 Aug. 23, 2018 Kvintess F&DI Holdings Corp., Teletronics International, Inc. and TOA Carbon Fiber, Inc. 34-83922 Aug. 23, 2018 American Standard Energy Corp., Elm Valley Acquisition Corporation and LVFAR Green Technology Corp. 34-83921 Aug. 23, 2018 Inner Systems, Inc. and Toga Capital Limited 34-83920 Aug. 23, 2018 Gepco, Ltd., et al. 34-83915 Aug. 23, 2018 Fred Alger Management, Inc. and Fred Alger & Company, Incorporated 34-83914 Aug. 23, 2018 Train and Babcock Advisors LLC 34-83906 Aug. 22, 2018 Deborah B. Dora 34-83905 Aug. 22, 2018 Sharlene F. Mesite 33-10535 Aug. 22, 2018 James T. Lentz 34-83903 Aug. 22, 2018 Anadel R. Pinzon 34-83902 Aug. 22, 2018 Core Performance Management, LLC 34-83901 Aug. 22, 2018 James P. Scherr IA-4991 Aug. 22, 2018 Aria Partners GP, LLC 34-83899 Aug. 22, 2018 Jeffrey Scott Davis
Other Release No.: IA-4992 IA-4990 Aug. 21, 2018 Biltmore Wealth Management, LLC and Caleb R. Overton
Other Release No.: IC-33208 34-83896 Aug. 21, 2018 Ismail Lila
See also: Administrative Summary 34-83897 Aug. 21, 2018 David Lubin 33-10534 Aug. 21, 2018 Waruna Tivanka Ellawala
Other Release No.: 34-83894 33-10533 Aug. 21, 2018 Hari K. Ravichandran
Other Release No.: 34-83893 34-83889 Aug. 20, 2018 Joseph Jennings, CPA
Other Release No.: AAER-3960
See also: Administrative Summary 34-83886 Aug. 20, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release No.: IA-4989 34-83883 Aug. 17, 2018 Daniel H. Glick, CPA
Other Release No.: AAER-3959 IA-4987 Aug. 17, 2018 BKS Advisors LLC 34-83873 Aug. 17, 2018 Roger T. Denha
Other Release Nos.: IA-4988, IC-33202 34-83857 Aug. 16, 2018 Honglan Wang 34-83859 Aug. 16, 2018 Citigroup Global Markets Inc. and Citigroup Inc.
Other Release No.: IA-4986 34-83858 Aug. 16, 2018 Citigroup Inc.
Other Release No.: AAER-3958 34-83854 Aug. 15, 2018 Lauren Zarsky, CPA
Other Release No.: AAER-3957 34-83851 Aug. 15, 2018 William E. Dawn 34-83848 Aug. 15, 2018 Ameriprise Financial Services, Inc.
Other Release No.: IA-4985 34-83840 Aug. 14, 2018 NW Capital Markets Inc. and James A. Fagan 33-10529 Aug. 14, 2018 Charles Kerry Morris
Other Release No.: 34-83838 33-10530 Aug. 14, 2018 Tomahawk Exploration LLC and David Thompson Laurance
Other Release No.: 34-83839 IA-4984 Aug. 14, 2018 Lockwood Advisors, Incorporated
See also: Administrative Summary IA-4983 Aug. 10, 2018 Hamlin Capital Management, LLC
See also: Administrative Summary 34-83817 Aug. 9, 2018 Jinesh P. Brahmbhatt
Other Release Nos.: IA-4982, IC-33199 34-83816 Aug. 9, 2018 Ramnik S. Aulakh
Other Release Nos.: IA-4981, IC-33198 IA-4980 Aug. 9, 2018 Knowledge Leaders Capital, LLC IA-4979 Aug. 9, 2018 Melvin Leonard Wimmer, Jr. 34-83807 Aug. 8, 2018 Robert J. Brehl, CPA
Other Release No.: AAER-3956 34-83806 Aug. 8, 2018 Daniel M. Fitzpatrick, CPA
Other Release No.: AAER-3955 34-83805 Aug. 8, 2018 Kevin M. Modany, CPA
Other Release No.: AAER-3954 34-83804 Aug. 8, 2018 Dennis Swerdlen 34-83803 Aug. 8, 2018 Paula Saccomanno 34-83802 Aug. 8, 2018 William Paul Hamilton 34-83801 Aug. 8, 2018 Steve Bailen 33-10528 Aug. 7, 2018 Ribbon Communications Inc., Mark Greenquist and Michael Swade
Other Release No.: 34-83791 34-83795 Aug. 7, 2018 Aaron R. Smith
See also: Administrative Summary 34-83779 Aug. 6, 2018 Gregory G. Young
Other Release No.: IC-33190 34-83772 Aug. 3, 2018 Kurt J. Bordian, CPA
Other Release No.: AAER-3953 34-83777 Aug. 3, 2018 Steven J. Dykes 34-83773 Aug. 3, 2018 William Z. Mcfarland 34-83769 Aug. 3, 2018 deVere USA, Inc. 34-83766 Aug. 2, 2018 Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA 34-83764 Aug. 2, 2018 Voya Investments, LLC and Directed Services, LLC IA-4977 Aug. 2, 2018 Gilbert Fluetsch 34-83754 Jul. 31, 2018 Brandon T. Neff
Other Release No.: IC-33188 34-83742 Jul. 31, 2018 Fred Tinker
See also: Administrative Summary 34-83727 Jul. 27, 2018 Maxwell Technologies, Inc., et al. 34-83697 Jul. 24, 2018 Jack Jarrell
Other Release No.: IA-4976 33-10524 Jul. 24, 2018 Melanie Ryan 33-10525 Jul. 24, 2018 Yao Li
Other Release No.: 34-83693 34-83688 Jul. 23, 2018 Richard T. Cunniffe 34-83686 Jul. 23, 2018 Sycamore Lane Partners LLC 34-83685 Jul. 23, 2018 Mizuho Securities USA LLC 34-83684 Jul. 20, 2018 Jefferey A. Gordon 34-83683 Jul. 20, 2018 COPsync, Inc., et al. IA-4975 Jul. 20, 2018 Beverly Hills Wealth Management, LLC and Margaret Mulligan Black (aka Margaret Mulligan Scott)
See also: Administrative Summary 34-83677 Jul. 20, 2018 Deutsche Bank Securities Inc. 33-10523 Jul. 20, 2018 Deutsche Bank Trust Company Americas IA-4973 Jul. 19, 2018 Michael Devlin
Other Release No.: IC-33162 34-83669 Jul. 19, 2018 Middlecove Capital, LLC and Noah L. Myers
See also: Distribution Plan 34-83657 Jul. 17, 2018 Koorosh "Danny" Rahimi 33-10519 Jul. 17, 2018 Jay C. Lake, CPA
Other Release Nos.: 34-83655, AAER-3952 IA-4972 Jul. 17, 2018 Joseph Pinkney Davis III 34-83649 Jul. 17, 2018 Cornelius Peterson
Other Release No.: IA-4969 34-83652 Jul. 17, 2018 James M. Unger
Other Release No.: IA-4971 IA-4970 Jul. 17, 2018 New Silk Route Advisors, L.P.
See also: Administrative Summary 34-83650 Jul. 17, 2018 BGC Financial, L.P. 34-83637 Jul. 16, 2018 Norman M.K. Louie and Mount Kellett Capital Management LP
Other Release No.: IA-4968 34-83636 Jul. 16, 2018 Houston American Energy Corp., et al. 34-83627 Jul. 13, 2018 Genesis Associates Limited Partnership 34-83626 Jul. 13, 2018 FP Resources USA Inc. and Lobster Point Holdings Limited 34-83622 Jul. 12, 2018 Anton & Chia, LLP, et al.
Other Release No.: AAER-3951 IA-4967 Jul. 12, 2018 John B. Engebretson 34-83621 Jul. 12, 2018 Credit Suisse Securities (USA) LLC; Sanford Michael Katz
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-83620 Jul. 12, 2018 Patrick J. Gray
Other Release No.: AAER-3950 34-83615 Jul. 10, 2018 Ralph Willard Savoie
Other Release No.: IA-4966 IA-4964 Jul. 10, 2018 Leonard S. Schwartz
See also: Administrative Summary IA-4963 Jul. 10, 2018 HBA Advisors, LLC and Jaime Enrique Biel
See also: Administrative Summary IA-4962 Jul. 10, 2018 Brian S. Eyster
See also: Administrative Summary IA-4961 Jul. 10, 2018 William M. Greenfield
See also: Administrative Summary IA-4960 Jul. 10, 2018 Oaktree Capital Management, L.P. IA-4959 Jul. 10, 2018 EnCap Investments L.P. IA-4958 Jul. 10, 2018 Sofinnova Ventures, Inc. 34-83613 Jul. 10, 2018 Romano Brothers & Company
Other Release No.: IA-4965
See also: Administrative Summary 34-83611 Jul. 10, 2018 Matthew C. Woodard
Other Release No.: IA-4957 33-10517 Jul. 10, 2018 Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA
Other Release Nos.: 34-83612, AAER-3949
See also: Administrative Summary 34-83610 Jul. 9, 2018 Egan-Jones Ratings Company 34-83608 Jul. 9, 2018 Porter B. Bingham 34-83607 Jul. 9, 2018 Malachi Financial Products, Inc. 34-83606 Jul. 9, 2018 Andrew B Calhoun Jr. 34-83605 Jul. 9, 2018 Andrew B Calhoun IV 34-83604 Jul. 6, 2018 Eugene Terracciano
Other Release Nos.: IA-4956, IC-33151 34-83603 Jul. 6, 2018 Roger S. Zullo
Other Release No.: IA-4955 34-83602 Jul. 6, 2018 Michael Johnson
Other Release Nos.: IA-4954, IC-33150 34-83598 Jul. 6, 2018 Daniel Burgess 34-83593 Jul. 5, 2018 Credit Suisse Group AG
Other Release No.: AAER-3948 34-83581 Jul. 2, 2018 The Dow Chemical Company
Other Release No.: AAER-3947
See also: Administrative Summary 33-10516 Jul. 2, 2018 KBR, Inc.
Other Release Nos.: 34-83578, AAER-3946 34-83575 Jul. 2, 2018 Beam Inc., n/k/a Beam Suntory Inc.
Other Release No.: AAER-3944
See also: Administrative Summary 34-83574 Jun. 29, 2018 Green Parts International, Inc., et al.

Second Quarter

IA-4952 Jun. 29, 2018 THL Managers V, LLC and THL Managers VI, LLC IA-4951 Jun. 29, 2018 Aisling Capital LLC
See also: Administrative Summary IA-4950 Jun. 29, 2018 Bruce A. Hauptman and Grand Teton Capital Management, LLC
Other Release No.: IC-33143
See also: Administrative Summary 34-83571 Jun. 29, 2018 Morgan Stanley Smith Barney LLC
Other Release No.: IA-4953 34-83565 Jun. 29, 2018 Cantor Fitzgerald & Co. 34-83564 Jun. 29, 2018 Barry T. Eisenberg 34-83563 Jun. 29, 2018 Philip A. Noto II 34-83562 Jun. 29, 2018 Alexander Capital, L.P. 34-83556 Jun. 28, 2018 Bayes Capital, LLC 34-83552 Jun. 28, 2018 Jon B. Schmidhammer
Other Release No.: IA-4949 33-10511 Jun. 25, 2018 Wells Fargo Advisors, LLC
Other Release Nos.: 34-83508, IA-4947 34-83503 Jun. 25, 2018 Derik J. Todd, et al. 34-83502 Jun. 25, 2018 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC 34-83497 Jun. 22, 2018 Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan
See also: Distribution Plan 34-83496 Jun. 22, 2018 Apex Fund Services (US), Inc. 34-83488 Jun. 20, 2018 Development Capital Group, Inc., et al. 34-83487 Jun. 20, 2018 FuelNation, Inc. and 3D Total Solutions, Inc. 34-83473 Jun. 19, 2018 California Mines Corp., Cindisue Mining Corp. and Dune Energy, Inc. 34-83472 Jun. 19, 2018 Canwealth Minerals Corp., Cubed, Inc. and Enviro Cleanse, Inc. 34-83470 Jun. 19, 2018 Escalera Resources Co. and Force Minerals Corp. 34-83469 Jun. 19, 2018 Radiant Oil & Gas, Inc., Tungsten Corp. and Well Power, Inc. 34-83461 Jun. 19, 2018 Pasquale Rubbo 34-83460 Jun. 19, 2018 Nicholas Rubbo 33-10507 Jun. 19, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release Nos.: 34-83462, IA-4944 34-83434 Jun. 19, 2018 Ronald A. Fossum Jr.
Other Release No.: IA-4943 34-83459 Jun. 18, 2018 Bryan Lee Addington
Other Release No.: IA-4942 34-83448 Jun. 14, 2018 Joseph Mangiapane, Jr. 34-83443 Jun. 14, 2018 DeVere USA, Inc. 34-83437 Jun. 14, 2018 MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA 34-83436 Jun. 14, 2018 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
See also: Distribution Plan 34-83428 Jun. 14, 2018 RSM US LLP
Other Release No.: AAER-3943
See also: Administrative Summary 34-83433 Jun. 14, 2018 MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA IA-4941 Jun. 14, 2018 William Jordan 34-83427 Jun. 13, 2018 America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc. IA-4940 Jun. 13, 2018 Eric Erb 34-83420 Jun. 12, 2018 Solo International, Inc., Urban Hydroponics, Inc. and Your Event, Inc. 34-83408 Jun. 12, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated IA-4939 Jun. 8, 2018 Larry Werbel (Corrected) 34-83399 Jun. 8, 2018 Nachman Aaron Troodler, Esq. IA-4938 Jun. 7, 2018 Richard W. Kessler 34-83394 Jun. 7, 2018 Jason A. Halek 34-83391 Jun. 6, 2018 Michael J. Mona, Jr.
Other Release No.: AAER-3942 34-83382 Jun. 5, 2018 Gary W. Freeman
Other Release Nos.: IA-4935, IC-33116 33-10504 Jun. 5, 2018 Constant Contact, Inc. and Endurance International Group Holdings, Inc.
Other Release No.: 34-83377
See also: Administrative Summary 34-83375 Jun. 4, 2018 China Education Alliance, Inc., DoMark International, Inc. and East Coast Diversified Corp. 34-83374 Jun. 4, 2018 Altona Resources, Inc., Apex 10, Inc. and Clone Algo, Inc. 34-83373 Jun. 4, 2018 Fern Holdings Corp., et al. 34-83371 Jun. 4, 2018 Christopher C. Burtraw
Other Release No.: IA-4936 34-83364 Jun. 4, 2018 MiddleCove Capital, LLC and Noah L. Myers
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
IA-4934 Jun. 4, 2018 Barbara A. Endres IA-4933 Jun. 4, 2018 deVere USA, Inc. IA-4932 Jun. 4, 2018 Lyxor Asset Management, Inc.
See also: Administrative Summary IA-4931 Jun. 1, 2018 Veteri Place Corporation IA-4930 Jun. 1, 2018 Rose Park Advisors, LLC IA-4929 Jun. 1, 2018 RLJ Equity Partners, LLC IA-4928 Jun. 1, 2018 Prescott General Partners LLC IA-4927 Jun. 1, 2018 HEP Management Corporation IA-4926 Jun. 1, 2018 Elm Partners Management LLC IA-4925 Jun. 1, 2018 Ecosystem Investment Partners LLC IA-4924 Jun. 1, 2018 Cherokee Investment Partners LLC IA-4923 Jun. 1, 2018 CAI Managers & Co., L.P. IA-4922 Jun. 1, 2018 Bristol Group, Inc. IA-4921 Jun. 1, 2018 Brahma Management, Ltd. IA-4920 Jun. 1, 2018 Biglari Capital LLC IA-4919 Jun. 1, 2018 Bachrach Asset Management Inc. 34-83358 May 31, 2018 George Doumanis 34-83354 May 31, 2018 Earnest H. (Woody) Delong, Esq. 34-83348 May 30, 2018 Emanuel Pantelakis IA-4916 May 29, 2018 Gregory M. Bercowy 33-10501 May 29, 2018 Alexander Kon
Other Release No.: 34-83336 34-83335 May 29, 2018 Content Checked Holdings, Inc., e.Digital Corp. and Liberty Coal Energy Corp. 34-83334 May 25, 2018 Mullan Agritech, Inc., ReliaBrand, Inc. and UBL Interactive, Inc. 34-83333 May 25, 2018 Maxwell Technologies, Inc., et al. 34-83331 May 25, 2018 Tobin J. Senefeld IA-4915 May 24, 2018 Perry A. Gruss 34-83329 May 24, 2018 Radiant Oil & Gas, Inc., Tungsten Corp. and Well Power, Inc. 34-83327 May 24, 2018 Mass Hysteria Entertainment Company, Inc., Stark Naked Bobbers and TOA Holdings, Inc. IA-4914 May 24, 2018 Aberon Capital Management, LLC and Joseph Krigsfeld
Other Release No.: IC-33107 33-10500 May 24, 2018 Arthur Kaplan 34-83316 May 24, 2018 John C. Knight 34-83314 May 23, 2018 Mullan Agritech, Inc., ReliaBrand, Inc. and UBL Interactive, Inc. 34-83312 May 23, 2018 Solo International, Inc., Urban Hydroponics, Inc. and Your Event, Inc. 34-83304 May 23, 2018 Adam S. Tracy, Esq. IA-4913 May 22, 2018 Tibor Klein 34-83301 May 21, 2018 Baltia Air Lines, Inc., et al. 34-83299 May 21, 2018 Green Parts International, Inc., et al. 34-83297 May 21, 2018 COPsync, Inc., et al. 34-83291 May 21, 2018 Lisa A. Esposito 34-83283 May 17, 2018 American Nano Silicon Technologies, Inc. 34-83288 May 17, 2018 Prospect Ventures, Inc., Starnet Pacific Co. Ltd. and Sunburst Acquisitions VI, Inc. 34-83287 May 17, 2018 Arrow Cars International, Inc., CDEX, Inc. and EFactor Group Corp. 34-83285 May 17, 2018 Apptigo International, Inc., et al. 34-83281 May 17, 2018 Play La Inc. and Titan Trading Analytics, Inc. 33-10497 May 17, 2018 Manhattan Transfer Registrar Company and John C. Ahearn
Other Release No.: 34-83267
See also: Administrative Summary 34-83266 May 16, 2018 Abakan, Inc., Car Monkeys Group and Western Graphite, Inc. 34-83264 May 16, 2018 America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc. 34-83262 May 16, 2018 Solaris Power Cells, Inc., Stragenics, Inc. and Ultimate Rack Inc. 34-83261 May 16, 2018 CN Dragon Corp. 34-83260 May 16, 2018 China Precision Steel, Inc. 34-83253 May 16, 2018 Industrial and Commercial Bank of China Financial Services, LLC 34-83252 May 16, 2018 Jerard Basmagy 34-83251 May 16, 2018 Chardan Capital Markets, LLC 34-83249 May 15, 2018 Sonora Resources Corp. 34-83245 May 15, 2018 Hedgebrook, JayHawk Energy, Inc. and Rubicon Financial, Inc. 34-83234 May 15, 2018 Angela Rubbo Beckcom Monaco 33-10496 May 15, 2018 Timothy C. Scarpino
Other Release Nos.: 33-83236, IC-33097 33-10495 May 15, 2018 Mark A. Karow and Legend Securities, Inc.
Other Release Nos.: 33-83235, IC-33096 34-83232 May 14, 2018 Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.), Green Innovations Ltd. and Red Giant Entertainment, Inc. 34-83215 May 11, 2018 Steven J. Dykes 34-83213 May 10, 2018 Longwei Petroleum Investment Holding Limited 34-83212 May 10, 2018 Jason J. Lee and Law Offices of Jason J. Lee & Associates IA-4911 May 10, 2018 Yasuna Murakami 34-83191 May 9, 2018 Barcelona Strategies, LLC and Mario Hinojosa
Other Release No.: IC-33093 34-83189 May 8, 2018 Content Checked Holdings, Inc., e.Digital Corp. and Liberty Coal Energy Corp. IA-4910 May 8, 2018 Steven Ku 33-10494 May 8, 2018 Visium Asset Management, LP
Other Release Nos.: 34-83186, IA-4909 34-83184 May 7, 2018 Baltia Air Lines, Inc., et al. 34-83180 May 7, 2018 Keith Houlihan 34-83179 May 7, 2018 Anthony Coronati and Bidtoask, LLC 34-83178 May 7, 2018 Paul W. Smith
Other Release No.: IA-4908 34-83176 May 4, 2018 Joseph A. Rubbo 34-83173 May 4, 2018 Daniel H. Glick, CPA
Other Release No.: IA-4907 34-83172 May 4, 2018 Gray Financial Group, Inc., et al. 33-10492 May 4, 2018 Shae Yatta Harper, Esq.
Other Release No.: 34-83171 34-83170 May 4, 2018 David T. Leboe, CPA
Other Release No.: AAER-3941 34-83169 May 4, 2018 Kevin W. McAleer, CPA
Other Release No.: AAER-3940  34-83168 May 4, 2018 Winter, Kloman, Moter & Repp, S.C., et al.
Other Release Nos.: IA-4906, AAER-3939 34-83164 May 3, 2018 Gary Yin
Other Release No.: IA-4905 34-83162 May 3, 2018 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
IA-4903 May 2, 2018 Lauramarie Colangelo 34-83151 May 2, 2018 Douglas A. McClain, Jr. 34-83140 May 1, 2018 Kevin Hamilton
Other Release No.: IA-4901 34-83136 Apr. 30, 2018 Revolutionary Concepts, Inc. 34-83135 Apr. 30, 2018 Universal Bioenergy, Inc. 34-83133 Apr. 30, 2018 Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-83131 Apr. 30, 2018 Apex Fund Services (US), Inc.
See also: Proposed Plan of Distribution
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-83128 Apr. 30, 2018 Panasonic Corporation
Other Release No.: AAER-3938 34-83130 Apr. 30, 2018 David Alcorn IA-4900 Apr. 27, 2018 Howard B. Present 34-83123 Apr. 27, 2018 Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
See also: Distribution Plan 34-83121 Apr. 26, 2018 Tobin J. Senefeld IC-33087 Apr. 26, 2018 SEI Investments Global Funds Services 34-83111 Apr. 26, 2018 Ikenna Ikokwu
Other Release No.: IA-4899 34-83110 Apr. 26, 2018 Winning the Money Game with Ike, Inc. IA-4898 Apr. 26, 2018 Christopher M. Lee, aka Rashid K. Khalfani 33-10489 Apr. 25, 2018 ChinAmerica Andy Movie Entertainment Media Company
Other Release No.: 34-83109 33-10488 Apr. 25, 2018 AF Ocean Investment Management Company
Other Release No.: 34-83108 33-10487 Apr. 25, 2018 Andy Z. Fan
Other Release No.: 34-83107 34-83099 Apr. 25, 2018 Oriental Dragon Corp. IA-4896 Apr. 24, 2018 WCAS Management Corporation
See also: Administrative Summary 33-10485 Apr. 24, 2018 Altaba Inc. and f/d/b/a Yahoo! Inc.
Other Release Nos.: 34-83096, AAER-3937 34-83095 Apr. 23, 2018 Ambicom Holdings, Inc., et al. IA-4895 Apr. 23, 2018 Martin Shkreli 34-83090 Apr. 23, 2018 Gregory John Tuthill IA-4894 Apr. 23, 2018 Jeremy R. Lundin 34-83088 Apr. 23, 2018 The Dun & Bradstreet Corporation
Other Release No.: AAER-3936
See also: Administrative Summary 34-83087 Apr. 23, 2018 Marilynjean Interactive Inc. 34-83078 Apr. 20, 2018 Mark P. French
Other Release No.: IA-4892 IA-4890 Apr. 20, 2018 Steven M. Simmons 34-83070 Apr. 19, 2018 Gemini Fund Services, LLC 34-83069 Apr. 19, 2018 Gemini Fund Services, LLC 34-83068 Apr. 19, 2018 Jeremy A. Licht d/b/a JL Capital Management 34-83067 Apr. 19, 2018 Medifirst Solutions, Inc. and Bruce J. Schoengood
Other Release No.: AAER-3935
See also: Administrative Summary 34-83056 Apr. 17, 2018 Scott Newsholme
Other Release No.: IA-4886 34-83052 Apr. 16, 2018 Jason A. Wallace 34-83053 Apr. 16, 2018 Douglas Nelson IA-4885 Apr. 16, 2018 Arlington Capital Management, Inc. and Joseph F. LoPresti IA-4884 Apr. 12, 2018 Michael S. Moses 33-10482 Apr. 12, 2018 Li, Company, PC and Tony Zhicong Li, CPA
Other Release Nos.: 34-83036, AAER-3934 33-10481 Apr. 12, 2018 Wellness Center USA, Inc.
Other Release No.: 34-83035 33-10480 Apr. 12, 2018 Matthew T. Mushlin
Other Release Nos.: 34-83034, IC-33072 34-83030 Apr. 10, 2018 Laura Pendergest-Holt
Other Release No.: IA-4883 34-83023 Apr. 9, 2018 Guardian 8 Holdings, et al. 34-83013 Apr. 9, 2018 Troy C. Baldridge
Other Release No.: IA-4882 33-10478 Apr. 9, 2018 Philip John James, CA and Kevin Silverwood, CA
Other Release Nos.: 34-83017, AAER-3933 34-83011 Apr. 9, 2018 Daryl G. Bank and Bobby D. Jones IA-4880 Apr. 6, 2018 Charles G. Preston IA-4879 Apr. 6, 2018 Tobias J. Preston IA-4876 Apr. 6, 2018 Securities America Advisors, Inc. 34-83009 Apr. 6, 2018 Caleb J. Preston
Other Release No.: IA-4881 34-83004 Apr. 6, 2018 PNC Investments LLC
Other Release No.: IA-4878 34-83003 Apr. 6, 2018 Geneos Wealth Management, Inc.
Other Release No.: IA-4877 34-82998 Apr. 5, 2018 Joshua D. Mosshart
Other Release No.: IA-4874 IA-4875 Apr. 5, 2018 Clayborne Group, LLC and Dean A. Heinemann
Other Release No.: IC-33067
See also: Administrative Summary 34-82987 Apr. 4, 2018 Gregory John Tuthill 34-82986 Apr. 3, 2018 NextGlass Technologies Corporation 34-82977 Apr. 2, 2018 James Moodhe

First Quarter

34-82972 Mar. 30, 2018 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA IA-4870 Mar. 29, 2018 Howard B. Present 34-82963 Mar. 29, 2018 Kent Maerki 34-82958 Mar. 28, 2018 Eugene Terracciano 34-82957 Mar. 28, 2018 Kevin Mckenna and Robert Eide 34-82956 Mar. 28, 2018 Aegis Capital Corporation 34-82954 Mar. 27, 2018 Wedbush Securities, Inc. (Corrected) 34-82953 Mar. 27, 2018 Timary Delorme 34-82951 Mar. 27, 2018 JH Darbie & Co., Inc. and Robert Y. Rabinowitz
See also: Administrative Summary 33-10472 Mar. 27, 2018 Maxwell Technologies, Inc., et al.
Other Release Nos.: 34-82950, AAER-3932 34-82946 Mar. 26, 2018 Kinross Gold Corporation
Other Release No.: AAER-3930 34-82933 Mar. 22, 2018 Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan 33-10471 Mar. 22, 2018 Robert L. Baker, et al.
Other Release Nos.: 34-82929, IC-33050 34-82902 Mar. 19, 2018 Howard Richards; James Goodland, and Securus Wealth Management, LLC 34-82898 Mar. 19, 2018 Electronic Transaction Clearing, Inc. 34-82893 Mar. 16, 2018 New Global Energy, Inc. 34-82882 Mar. 15, 2018 John W. Adams and AIP, LLC 34-82880 Mar. 15, 2018 David Gray 34-82877 Mar. 14, 2018 Edmund W. Bailey 34-82862 Mar. 13, 2018 KPMG
Other Release No.: AAER-3929 34-82861 Mar. 13, 2018 Deloitte & Touche Chartered Accountants
Other Release No.: AAER-3928 34-82860 Mar. 13, 2018 KPMG Inc.
Other Release No.: AAER-3927 34-82859 Mar. 13, 2018 BDO Canada LLP (f/k/a BDO Dunwoody LLP)
Other Release No.: AAER-3926 33-10469 Mar. 12, 2018 Credit Karma, Inc.
See also: Administrative Summary 34-82849 Mar. 9, 2018 Elbit Imaging Ltd.
Other Release No.: AAER-3925
See also: Administrative Summary 34-82839 Mar. 9, 2018 Gregg Z. Schonhorn 34-82838 Mar. 9, 2018 Deborah D. Kelley 34-82840 Mar. 9, 2018 Robert Joseph Ritch 34-82837 Mar. 8, 2018 Voya Investments, LLC and Directed Services LLC
Other Release No.: IA-4868 34-82835 Mar. 8, 2018 Howard Richards; James Goodland and Securus Wealth Management, LLC 33-10465 Mar. 8, 2018 Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release No.: 34-82826
See also: Waiver, Release No. 33-10466 IA-4866 Mar. 7, 2018 DMS Advisors, Inc. 34-82818 Mar. 7, 2018 Peter R. Kohli
Other Release No.: IA-4865 34-82821 Mar. 7, 2018 Eric Lovy f/k/a Eric Beltran 34-82816 Mar. 6, 2018 Valor Capital Asset Management, LLC and Robert Mark Magee
Other Release Nos.: IA-4864, IC-33039 33-10463 Mar. 6, 2018 New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc.
Other Release No.: 34-82808 34-82806 Mar. 5, 2018 Jacob W. L. Stocking IA-4863 Mar. 5, 2018 Financial Fiduciaries, LLC and Thomas Batterman 34-82805 Mar. 5, 2018 Edwin Shaw, LLC 33-10462 Feb. 28, 2018 Ameriprise Financial Services, Inc.
Other Release Nos.: 34-82792, IA-4862 IA-4861 Feb. 28, 2018 Stefan Lumiere 34-82783 Feb. 27, 2018 Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA 33-10461 Feb. 26, 2018 Steven Zoernack and Equitystar Capital Management, LLC
Other Release Nos.: 34-82773, IA-4859, IC-33034 34-82768 Feb. 23, 2018 Derik J. Todd, et al. 34-82767 Feb. 23, 2018 Stephen M. Hicks
Other Release No.: IA-4858 34-82764 Feb. 22, 2018 Blacksands Petroleum, Inc., et al. 34-82762 Feb. 22, 2018 Affirmative Insurance Holdings, Inc., et al.
See also: Chinese Version IA-4857 Feb. 22, 2018 Commonwealth Advisors, Inc. and Walter A. Morales 34-82745 Feb. 21, 2018 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. 34-82744 Feb. 21, 2018 Alan Weinberg, CPA and Weinberg & Baer LLC
Other Release No.: AAER-3924 34-82743 Feb. 21, 2018 Jonathan Strum, Esq. 34-82742 Feb. 20, 2018 American Nano Silicon Technologies, Inc., et al. 33-10458 Feb. 16, 2018 Barry Mcknight Skinner and Dynamic Intelligence, Inc. 34-82736 Feb. 16, 2018 Simcha Baer, CPA
Other Release No.: AAER-3922 34-82722 Feb. 15, 2018 Credit Suisse Securities (USA) LLC; Sanford Michael Katz 34-82718 Feb. 14, 2018 China Precision Steel, Inc. and Golden River Resources Corp. 34-82717 Feb. 14, 2018 Canwealth Minerals Corp., et al. 34-82711 Feb. 14, 2018 Daryl G. Bank and Bobby D. Jones 34-82710 Feb. 14, 2018 Brian S. Block, CPA
Other Release No.: AAER-3920 34-82707 Feb. 13, 2018 Ambicom Holdings, Inc., et al. 34-82703 Feb. 13, 2018 James R.J. Scheltema 34-82695 Feb. 13, 2018 Altona Resources, Inc., et al. 34-82694 Feb. 12, 2018 Ara Chackerian 34-82691 Feb. 12, 2018 Jay Mac Rust, Esq. 34-82688 Feb. 12, 2018 Jay Mac Rust, Esq. 34-82686 Feb. 12, 2018 Deutsche Bank Securities Inc. and Benjamin Solomon 34-82681 Feb. 9, 2018 Thomas J. Buck
Other Release No.: IA-4856 34-82680 Feb. 9, 2018 Citigroup Alternative Investment LLC and Citigroup Global Markets Inc. 34-82677 Feb. 9, 2018 Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
See also: Distribution Plan 34-82668 Feb. 8, 2018 Victor M. Dandridge, III
Other Release No.: IA-4855 34-82651 Feb. 7, 2018 Thomas Osmonde Russell, III Esq. IA-4854 Feb. 7, 2018 Banc One Investment Advisors Corporation and Mark A. Beeson
Other Release No.: IC-33004 IA-4853 Feb. 7, 2018 Michael S. Moses 34-82639 Feb. 6, 2018 California Mines Corp., Cindisue Mining Corp. and Dune Energy, Inc. 34-82634 Feb. 6, 2018 John T. Lynch, Jr.
Other Release No.: IC-33001
See also: Administrative Summary 34-82632 Feb. 5, 2018 Andrew H. Wilson, Esq. 34-82630 Feb. 5, 2018 Wedbush Securities Inc.
Other Release No.: IA-4852
See also: Administrative Summary and Waiver Order 34-82624 Feb. 2, 2018 Craig Karlis 34-82621 Feb. 1, 2018 Scott Walter Christensen 34-82619 Feb. 1, 2018 Thomas Edward Andrews 34-82610 Feb. 1, 2018 Canwealth Minerals Corp., et al. IA-4851 Jan. 31, 2018 Mohlman Asset Management, LLC and Louis G. Mohlman, Jr. 34-82605 Jan. 30, 2018 American Nano Silicon Technologies, Inc., et al. 34-82603 Jan. 30, 2018 Daniel T. Fischer 34-82595 Jan. 29, 2018 Credit Suisse Securities (USA) LLC; Sanford Michael Katz 34-82590 Jan. 26, 2018 Augustine Capital Management, et al. 33-10454 Jan. 23, 2018 Americafirst Capital Management, LLC, Rick A. Gonsalves and Robert L. Clark
Other Release No.: IA-4848
See also: Administrative Summary IA-4847 Jan. 22, 2018 Gemini Fund Services, LLC 34-82557 Jan. 22, 2018 Brian Sweet, CPA
Other Release No.: AAER-3919 34-82556 Jan. 22, 2018 Cynthia Holder, CPA, et al.
Other Release No.: AAER-3918 34-82554 Jan. 19, 2018 Justin Samuel Cary, CPA
Other Release No.: AAER-3917 34-82539 Jan. 19, 2018 John V. Bivona
Other Release No.: IA-4846 34-82536 Jan. 18, 2018 EMRISE Corp. 34-82535 Jan. 18, 2018 Bankrate, Inc.; Hyunjin Lerner, CPA 34-82533 Jan. 18, 2018 Industrial and Commercial Bank of China Financial Services LLC
See also: Administrative Summary 34-82528 Jan. 18, 2018 Frank G. Mazzola
Other Release No.: IA-4845 34-82527 Jan. 18, 2018 Altona Resources, Inc., et al. 34-82525 Jan. 17, 2018 American Nano Silicon Technologies, Inc., et al. 34-82511 Jan. 17, 2018 David B. Kaplan, Esq. 34-82510 Jan. 17, 2018 David B. Kaplan, Esq. 34-82509 Jan. 17, 2018 John Tarpinian
Other Release No.: IA-4844 34-82507 Jan. 17, 2018 Ambicom Holdings, Inc., et al. 34-82485 Jan. 11, 2018 Anthony P. Chiera and Jeffrey R. Belfiore
Other Release No.: IA-4843
See also: Administrative Summary 33-10452 Jan. 9, 2018 Punch TV Studios, Inc. 34-82463 Jan. 8, 2018 Blacksands Petroleum, Inc., et al. 34-82454 Jan. 8, 2018 James C. Tao
Other Release No.: IA-4841 34-82453 Jan. 8, 2018 Donna Boyd (f/k/a Donna Chen)
Other Release No.: IA-4840 34-82443 Jan. 5, 2018 Anthony A. Stovall 34-82438 Jan. 3, 2018 Khaled "Kal" Bassily
Other Release No.: IA-4837 IA-4836 Jan. 3, 2018 LKL Investment Counsel LLC (a/k/a LKL Investments, LLC) and Mark H. Love
Other Release No.: IC-32958
See also: Administrative Summary