Administrative Proceedings

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.

Additional Archives

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
IA-3368	Feb. 6, 2012	Christopher T. Vulliez
34-66332	Feb. 6, 2012	Arthur Lin Other Release No.: IA-3367
34-66331	Feb. 6, 2012	Telos, Inc., Tianrong Internet Products and Services, Inc. (f/k/a MAS Acquisition XVII Corp.), Tianrong Building Material Holdings, Ltd. (f/k/a MAS Acquisition XVIII Corp.), TSS Ltd., Tuff Coat Manufacturing, Inc. (f/k/a Osage Acquisition Corp.), Tultex Corp., TVA, Inc., Tyger Holding, Inc., and U.S. Energy Systems, Inc.
34-66330	Feb. 6, 2012	Steven R. Long
34-66329	Feb. 6, 2012	Stanley M. Paulic
34-66323	Feb. 6, 2012	PPOL, Inc.
34-66319	Feb. 3, 2012	Todd Leslie Treadway
34-66318	Feb. 3, 2012	Alan Labineri
34-66317	Feb. 3, 2012	Margaret Grey
34-66316	Feb. 3, 2012	Khurram Tanwir
34-66314	Feb. 2, 2012	Craig Drimal
34-66313	Feb. 2, 2012	David Plate
34-66312	Feb. 2, 2012	Dale Shafer, CPA Other Release No.: AAER-3362
34-66304	Feb. 2, 2012	China Yingxia International, Inc.
34-66303	Feb. 2, 2012	Along Mobile Technologies, Inc.
34-66302	Feb. 2, 2012	China Convergent Corp., Ltd.
34-66300	Feb. 2, 2012	Beicang Iron & Steel, Inc.
34-66298	Feb. 2, 2012	BluePoint Linux Software Corp., China Bottles, Inc., China Hinon Biotech, Inc., China One Holding, Inc., China Private Equity Group, Corporation, Chinese Manufacturers Online Corp., Long-e International, Inc., and Nano Superlattice Technology, Inc.,
34-66296	Feb. 2, 2012	American Unity Investments, Inc., China Display Technologies, Inc., China Wind Energy, Inc., Environment Ecology Holding Company of China, First Capital China Corporation, Fuda Faucet Works, Inc., Greater China Media & Entertainment Corp., Xechem International, Inc., and Yi Xin International Copper, Inc.
34-66294	Feb. 2, 2012	Blue Earth Refineries, Inc.
34-66293	Feb. 2, 2012	China Agro-Technology Holdings Ltd.
34-66291	Feb. 2, 2012	China Ventures Limited and Chinatek, Inc.
34-66290	Feb. 2, 2012	Heli Electronics Corp.
33-9298	Feb. 1, 2012	GE Funding Capital Market Services, Inc.
33-9297	Feb. 1, 2012	GE Funding Capital Market Services, Inc. Other Release No.: 34-66289
34-66283	Jan. 31, 2012	Jeffrey A. Wolfson, Robert A. Wolfson, and Golden Anchor Trading II, LLC (n/k/a Barabino Trading, LLC)
34-66281	Jan. 31, 2012	Thermo Tech Technologies Inc., T.V.G. Technologies Ltd., and Visual Frontier, Inc.
34-66269	Jan. 30, 2012	Christopher J. Kelly, ACA and Margaret Hebb, ACA Other Release No.: AAER-3359
34-66268	Jan. 30, 2012	Symmetry Medical, Inc. and Fred L. Hite Other Release No.: AAER-3358
34-66267	Jan. 30, 2012	RPM Advantage, Inc.
34-66264	Jan. 27, 2012	Airbee Wireless, Inc., Axial Vector Engine Corp. (n/k/a Avec Corporation), and Exploration Drilling International, Inc.
34-66259	Jan. 26, 2012	Theodore W. Urban Other Release No.: IA-3366
34-66258	Jan. 26, 2012	Tamara M. Davis
34-66249	Jan. 26, 2012	Alchemy Ventures, Inc., KM Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. McDonald, and Douglas G. Frederick
34-66248	Jan. 26, 2012	Mercury Capital and Lisa R. Hyatt
34-66247	Jan. 26, 2012	Richard V. Rizzo
33-9296	Jan. 26, 2012	Spencer D. Mindlin, and Alfred C. Mindlin, CPA Other Release No.: 34-66246, IA-3365, IC-29936
34-66240	Jan. 26, 2012	RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc.
34-66237	Jan. 25, 2012	Bob Nguyen
IA-3364	Jan. 25, 2012	Samir Barai
IA-3363	Jan. 25, 2012	John D. Friedrich
IA-3362	Jan. 25, 2012	Alain A. Assemi
IA-3361	Jan. 25, 2012	Timothy J. Clyman
34-66236	Jan. 25, 2012	Janus Capital Management LLC
34-66233	Jan. 25, 2012	Tornado Gold International Corp., Twin Faces East Entertainment Corp., Universal Ice Blast, Inc., US Farms, Inc., US Microbics, Inc., and Visitel Network (a/k/a PRG Group, Inc.)
34-66217	Jan. 24, 2012	Shengtai Power International, Inc. and Singer Co. N.V.
34-66212A	Jan. 23, 2012	1st Discount Brokerage, Inc. and Michael R. Fisher Other Release No.: IA-3360A
34-66211	Jan. 23, 2012	e-Smart Technologies, Inc., et al.
IA-3359	Jan. 20, 2012	Noah Freeman
34-66206	Jan. 20, 2012	AXA Advisors, LLC
34-66205	Jan. 20, 2012	Leo T. Buggy
34-66198	Jan. 20, 2012	Amstem Corporation, Anesiva, Inc., Balsam Ventures, Inc., and Catcher Holdings, Inc.
34-66197	Jan. 20, 2012	Ramco Energy PLC (n/k/a SeaEnergy PLC), RTI, Inc., RTICA Corp., Runcorp, Inc. (f/k/a Remote Utilities Network, Inc.), Source Scientific, Inc., Spectacular Attractions, Inc., SpectraCom, Inc., Sportsco, Inc., and Stationmate, Inc. (n/k/a Oxysure, Inc.)
34-66196	Jan. 20, 2012	Regenesis Centers, Inc., Regenex, Inc., A.J. Ross Logistics, Inc., Southern Gourmet Products, Inc., Status Game Corp., and Suncast Network, Inc.
34-66195	Jan. 20, 2012	AEC, I, Inc., Aegir Ventures, Inc., American Toy Vending, Inc., Biometric Security Corp. (a/k/a Pender Financial Group Corp.), and Bridge-It Corp.
34-66194	Jan. 19, 2012	Derek Lopez
IA-3358	Jan. 19, 2012	Charles P. Copeland
34-66191	Jan. 19, 2012	e-Smart Technologies, Inc.
34-66185	Jan. 19, 2012	Regenesis Centers, Inc., Regenex, Inc., A.J. Ross Logistics, Inc., Southern Gourmet Products, Inc., Status Game Corp., and Suncast Network, Inc.
34-66184	Jan. 19, 2012	TapSlide, Inc., TTC Technology Corp. (f/k/a SmarTire Systems Inc.), TWL Corp., TXP Corp., Valentec Systems, Inc. (f/k/a Acorn Holdings Corp.), Verdant Technology Corp., and VPGI Corp.
34-66182	Jan. 18, 2012	Gregory Bartko, Esq.
34-66181	Jan. 18, 2012	Gregory Bartko, Esq. Other Release No.: IA-3357
IA-3356	Jan. 17, 2012	UBS Global Asset Management (Americas) Inc. Other Release No.: IC-29920
IA-3355	Jan. 17, 2012	Lisa B. Premo Other Release No.: IC-29919
34-66162	Jan. 17, 2012	Charles Mark Hall
34-66161	Jan. 17, 2012	Chalmer E. Detling, II, Esq.
34-66160	Jan. 17, 2012	BSK & Tech, Inc.
34-66157	Jan. 13, 2012	1st Global Stock Transfer LLC and Helen Bagley
IA-3353	Jan. 13, 2012	RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen Other Release No.: IC-29917
34-66154	Jan. 13, 2012	Sarang Ahuja
34-66152	Jan. 13, 2012	William R. Michael Other Release No.: IA-3352
34-66151	Jan. 13, 2012	Don C. Winkler
34-66150	Jan. 13, 2012	Clifton K. Oram
IA-3351	Jan. 13, 2012	Cory A. Martin
34-66147	Jan. 12, 2012	William C. Tak Other Release No.: IA-3350
34-66146	Jan. 12, 2012	Ramco Energy PLC (n/k/a SeaEnergy PLC), RTI, Inc., RTICA Corp., Runcorp, Inc. (f/k/a Remote Utilities Network, Inc.), Source Scientific, Inc., Spectacular Attractions, Inc., SpectraCom, Inc., Sportsco, Inc., and Stationmate, Inc. (n/k/a Oxysure, Inc.)
34-66144	Jan. 11, 2012	Kay Berensen-Galster
34-66143	Jan. 11, 2012	Justin William Rifkin
34-66142	Jan. 11, 2012	Lloyd V. Barriger Other Release No.: IA-3349
34-66127	Jan. 10, 2012	Stephen M. Folan
34-66117	Jan. 6, 2012	RPM Advantage, Inc.
34-66101	Jan. 4, 2012	James L. Haley
33-9291	Jan. 4, 2012	Anthony Fields, CPA D/B/A Anthony Fields & Associates and D/B/A Platinum Securities Brokers
34-66089	Jan. 3, 2012	Clyde R. Parks
34-66088	Jan. 3, 2012	William Echeverri
34-66076	Jan. 3, 2012	Shepaug Corp., Simone Group, Inc., Skynet Holdings, Inc., Skyview Development Corp., SMC Ventures, Inc. (f/k/a Gensci Regeneration Sciences, Inc.), Sonora Diamond Corp., and Sonus Communication Holdings, Inc.

http://www.sec.gov/litigation/admin.shtml