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
|
|
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 |
|
34-61463
|
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 |
|
