Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

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Date Sort ascending	Respondents
July 12, 2013	Steven J. Brewer Release No. 34-69984, IA-3629 File Number: 3-15377
July 12, 2013	Greate Bay Hotel & Casino, Inc., et al. Release No. 34-69978 File Number: 3-15352
July 11, 2013	David Kugel Release No. 34-69969, IA-3625 File Number: 3-15374
July 11, 2013	Eric Lipkin Release No. 34-69971, IA-3626 File Number: 3-15375
July 11, 2013	Enrica Cotellessa-Pitz Release No. 34-69973, IA-3627 File Number: 3-15376
July 9, 2013	Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.), et al. Release No. 34-69946 File Number: 3-15371
July 9, 2013	Matthew M. Taylor Release No. 34-69949, IA-3622 File Number: 3-15372
July 9, 2013	Joseph J. Hennessy Release No. 34-69950, IA-3623 File Number: 3-15373
July 8, 2013	China Properties Developments, Inc. Release No. 34-69942 File Number: 3-15335
July 8, 2013	Aichun Li, CPA Release No. 34-69945, AAER-3472 File Number: 3-15370
July 8, 2013	Greate Bay Hotel & Casino, Inc., et al. Release No. 34-69943 File Number: 3-15352
July 3, 2013	Jiangbo Pharmaceuticals, Inc. Release No. 34-69924 File Number: 3-15019
July 3, 2013	Terry V. Koontz Release No. 34-69937 File Number: 3-15369
July 2, 2013	SinoHub, Inc. Release No. 34-69905 File Number: 3-15305
July 2, 2013	GDT Tek, Inc., et al. Release No. 34-69906 File Number: 3-15368
July 2, 2013	Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry Release No. 34-69917 File Number: 3-14982
July 1, 2013	Jennifer E. Thoennes Release No. 34-69896 File Number: 3-15294
July 1, 2013	Fuqi International, Inc. Release No. 34-69895 File Number: 3-15367
June 28, 2013	Brian D. Fox Release No. 34-69886, AAER-3469 File Number: 3-15191
June 28, 2013	Brion G. Randall Release No. IA-3620 File Number: 3-15366
June 27, 2013	Jerry L. Burdick, CPA Release No. 34-69879, 34-58441 File Number: 3-13151
June 27, 2013	Benda Pharmaceutical, Inc. China Shuangji Cement Ltd. Release No. 34-69865 File Number: 3-15325
June 27, 2013	Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-69873, 34-69418, 34-69138, 34-67363, 33-9329, 34-67142, IA-3417, IC-30099 File Number: 3-14909
June 26, 2013	Bruce W. Tomlinson, CPA Release No. 34-69860, AAER-3465 File Number: 3-15365
June 25, 2013	CoreCare Systems, Inc., et al. Release No. 34-69840 File Number: 3-15319
June 24, 2013	Enercorp, Inc., FTS Group, Inc., Games, Inc. (n/k/a InQBate Corporation), Hartmarx Corporation (n/k/a XMH Corp. 1), and Penn Treaty American Corporation Release No. 34-69833 File Number: 3-15301
June 24, 2013	Green Solutions China, Inc., et al. Release No. 34-69839 File Number: 3-15363
June 21, 2013	Jason A. D’Amato Release No. 34-69816, IA-3618, IC-30565 File Number: 3-15004
June 21, 2013	Michael J. Stewart Release No. 34-69832 File Number: 3-15362
June 21, 2013	The Hartcourt Companies, Inc., et al. Release No. 34-69815 File Number: 3-15128
June 20, 2013	Sunrise Solar Corporation Release No. 34-69804 File Number: 3-15281
June 20, 2013	Dennis Ashley Bukantis Release No. 34-69808 File Number: 3-15361
June 19, 2013	Greenstart, Inc., et al. Release No. 34-69797 File Number: 3-15340
June 19, 2013	Jupiter Enterprises, Inc. Release No. 34-69795 File Number: 3-15336
June 19, 2013	China Environmental Protection, Inc. Release No. 34-69796 File Number: 3-15334
June 18, 2013	Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), et al. Release No. 34-69781 File Number: 3-15359
June 18, 2013	Gerald "Jerry" D. Kegley Release No. 34-69783 File Number: 3-15262
June 18, 2013	Bloggerwave, Inc., et al. Release No. 34-69778 File Number: 3-15328
June 18, 2013	iTrackr Systems, Inc. Release No. 34-69780 File Number: 3-15360
June 17, 2013	Lunar Growth Corp. Release No. 34-69769 File Number: 3-15253
June 17, 2013	Avani International Group, Inc., et al. Release No. 34-69770 File Number: 3-15324
June 14, 2013	Rosenberg Rich Baker Berman & Company and Brian Zucker, CPA Release No. 34-69765, AAER-3464 File Number: 3-15358
June 13, 2013	Revlon, Inc. Release No. 34-69750 File Number: 3-15356
June 13, 2013	Emanuel Goffer Release No. 34-69759 File Number: 3-15357
June 13, 2013	J. Kenneth Alderman, CPA; Jack R. Blair; Albert C. Johnson, CPA; James Stillman R. McFadden; Allen B. Morgan Jr.; W. Randall Pittman, CPA; Mary S. Stone, CPA; and Archie W. Willis III Release No. IC-30557 File Number: 3-15127
June 12, 2013	Greatmat Technology Corp., et al. Release No. 34-69738 File Number: 3-15330
June 12, 2013	Tamman, David M., Esq. Release No. 34-69746 File Number: 3-14207
June 11, 2013	Robert A. Gist Release No. 34-69729 File Number: 3-15354
June 11, 2013	Great Train Store Co. Greate Bay Casino Corp. Gulf Exploration Consultants, Inc. Gulfside Industries Ltd. (n/k/a Consolidated Gulfside Resources, Ltd) Gulftex Energy Corp. III to I Maritime Partners Cayman I, LP Lynn Two, Inc. Release No. 34-69730 File Number: 3-15355
June 11, 2013	Bloggerwave, Inc., et al. Release No. 34-69727 File Number: 3-15328
June 11, 2013	Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc. Release No. 34-69728 File Number: 3-15326
June 11, 2013	Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated Release No. 34-69726 File Number: 3-15353
June 7, 2013	Paul Randall Fraley Release No. 34-69720 File Number: 3-14576
June 7, 2013	Enercorp, Inc., FTS Group, Inc., Games, Inc. (n/k/a InQBate Corporation), Hartmarx Corporation (n/k/a XMH Corp. 1), and Penn Treaty American Corporation Release No. 34-69713 File Number: 3-15301
June 7, 2013	Bloggerwave, Inc., et al. Release No. 34-69714 File Number: 3-15328
June 6, 2013	Greate Bay Hotel & Casino, Inc., et al. Release No. 34-69704 File Number: 3-15352
June 6, 2013	Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc. Release No. 34-69705 File Number: 3-15326
June 5, 2013	Actavision Ventures, Inc. American Resources Group, Inc. Audioscience, Inc. Basset Enterprises, Inc. Cybertex Enterprises, Inc. (n/k/a Synvion Corp.) Duct Utility Construction & Technologies, Inc. Release No. 34-69697 File Number: 3-15302
June 5, 2013	Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc. Release No. 34-69698 File Number: 3-15326
June 4, 2013	Biopharm Asia, Inc. Release No. 34-69689 File Number: 3-15287
June 3, 2013	Thomas Rubin Release No. 34-69688 File Number: 3-15349
June 3, 2013	Guilin Paper, Inc. Release No. 34-69679 File Number: 3-15289
June 3, 2013	UBS O’Connor, LLC Release No. 34-69680, IA-3615 File Number: 3-15347
June 3, 2013	Christopher Scott Release No. 34-69687 File Number: 3-15348
May 31, 2013	Ming Siu Release No. IA-3614 File Number: 3-15345
May 30, 2013	CoreCare Systems, Inc., et al. Release No. 34-69665 File Number: 3-15319
May 30, 2013	Advanced ID Corp., et al. Release No. 34-69660 File Number: 3-15202
May 30, 2013	John A. Grant Release No. 34-69667 File Number: 3-15343
May 30, 2013	Lanbo Financial Group, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-69662 File Number: 3-15341
May 30, 2013	Lewis J. Hunter Release No. 33-9406, 34-69668 File Number: 3-14974
May 30, 2013	China Organic Agriculture, Inc. Release No. 34-69663 File Number: 3-15288
May 30, 2013	Scuderi Group, Inc. and Salvatore Scuderi Release No. 33-9407 File Number: 3-15344
May 30, 2013	CoreCare Systems, Inc., et al. Release No. 34-69664 File Number: 3-15319
May 30, 2013	John A. Grant Release No. IA-3613 File Number: 3-15342
May 29, 2013	Total, S.A. Release No. 34-69654, AAER-3461 File Number: 3-15338
May 29, 2013	China Environmental Protection, Inc. Release No. 34-69646 File Number: 3-15334
May 29, 2013	NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Release No. 34-69655 File Number: 3-15339
May 29, 2013	China Properties Developments, Inc. Release No. 34-69648 File Number: 3-15335
May 29, 2013	Greenstart, Inc., et al. Release No. 34-69656 File Number: 3-15340
May 29, 2013	Jupiter Enterprises, Inc. Release No. 34-69650 File Number: 3-15336
May 29, 2013	Integrity Bancshares, Inc. Release No. 34-69652 File Number: 3-15337
May 28, 2013	Rajnish K. Das Release No. 34-69644, AAER-3459 File Number: 3-15078
May 28, 2013	Stormy L. Dean Release No. 34-69645, AAER-3460 File Number: 3-15077
May 24, 2013	Larry Michael Parrish Release No. 34-69637, IA-3612 File Number: 3-15068
May 24, 2013	Deer Hill Financial Group, LLC Release No. 34-69640 File Number: 3-15333
May 23, 2013	Institutional Shareholder Services Inc. Release No. IA-3611 File Number: 3-15331
May 23, 2013	Joshua Constantin and Brian Solomon Release No. 34-69623 File Number: 3-15332
May 23, 2013	Morrison, Neil M. M. Release No. 34-69627, IC-30540 File Number: 3-15049
May 23, 2013	Joseph Hilton, a/k/a Joseph Yurkin Release No. 34-69630, 34-69592 File Number: 3-15273
May 23, 2013	Greatmat Technology Corp., et al. Release No. 34-69626 File Number: 3-15330
May 22, 2013	Credit Suisse Alternative Capital, et al. Release No. 34-69624 File Number: 3-14594
May 22, 2013	NewTech Brake Corp. Release No. 34-69616 File Number: 3-15279
May 22, 2013	City of South Miami, Florida Release No. 33-9404 File Number: 3-15329
May 22, 2013	Bloggerwave, Inc., et al. Release No. 34-69618 File Number: 3-15328
May 22, 2013	CoreCare Systems, Inc., et al. Release No. 34-69619 File Number: 3-15319
May 22, 2013	Patrick Merrill Brody Release No. 34-69621 File Number: 3-15246
May 22, 2013	George Elia Release No. IA-3610 File Number: 3-15260
May 17, 2013	Noonan Capital Management, LLC and Timothy George Noonan Release No. 34-69601, IA-3609, IC-30525 File Number: 3-14955
May 17, 2013	Centaur Management Co. LLC Release No. 34-69604 See Also: Proposed Plan of Distribution File Number: 3-14950
May 16, 2013	Alexander V. Rekeda, Xavier Capdepon and Gwen Snorteland, Delaware Asset Advisers and Wei (Alex) Wei Release No. 34-69600 File Number: 3-14953, 3-14954, 3-14952

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