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
Aug. 27, 2013	William Landberg Release No. IA-3656 File Number: 3-15444
Aug. 27, 2013	Smith, Alan Release No. 34-70267 File Number: 3-15443
Aug. 27, 2013	Hesed Technology Co., Ltd. Release No. 34-70261 File Number: 3-15214
Aug. 27, 2013	Geo Petroleum, Inc., et al. Release No. 34-70262 File Number: 3-15388
Aug. 27, 2013	Bertram A. Hill Release No. 34-70265 File Number: 3-15441
Aug. 27, 2013	Carl D. Johns Release No. IA-3655, IC-30675 File Number: 3-15440
Aug. 26, 2013	Anasazi Capital Corp. Certified Diabetic Services, Inc. Chartwell International, Inc. (n/k/a Covalent Energy International, Inc.) China Junlian Integrated Surveillance, Inc. First Sun South Corp. FirstPlus Financial Group, Inc. Great American Hotels & Resorts, Inc. Release No. 34-70254 File Number: 3-15439
Aug. 23, 2013	Bishop, Darlene A. Release No. 34-70252 File Number: 3-15438
Aug. 21, 2013	David B. Welliver Release No. IA-3654 File Number: 3-15435
Aug. 21, 2013	Chariot Advisors, LLC Shifman, Elliott L. Release No. 34-70239, IA-3653, IC-30655 File Number: 3-15433
Aug. 21, 2013	Advantage Technologies, Inc., et al. Release No. 34-70240 File Number: 3-15434
Aug. 21, 2013	Robert A. Gist, Esq. Release No. 34-70243 File Number: 3-15436
Aug. 21, 2013	Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-70244 File Number: 3-14909
Aug. 20, 2013	First Georgia Community Corp., et al. Release No. 34-70233 File Number: 3-15378
Aug. 20, 2013	Williamson, Brian Release No. 33-9443, 34-70234, IA-3652, IC-30652 File Number: 3-15430, 3-15430-rtv
Aug. 20, 2013	G-Cats Acquisition Corp. GalaGen, Inc. Galena Acquisition Corp. Garment Graphics, Inc. Release No. 34-70238 File Number: 3-15431
Aug. 19, 2013	American Technologies Group, Inc., et al. Release No. 34-70226 File Number: 3-15379
Aug. 16, 2013	North East Capital, LLCand Anthony T. Vicidomine Release No. 33-9442, 34-70223, IA-3651, IC-30651 File Number: 3-15429
Aug. 16, 2013	Jonathan S. Bristol, Esq. Release No. 34-70219 File Number: 3-15427
Aug. 16, 2013	Marcellous S. McZeal Release No. 34-70221 File Number: 3-15428
Aug. 16, 2013	Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.;James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Release No. 34-70222 See Also: Modified Plan of Distribution File Number: 3-13847
Aug. 15, 2013	Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn Release No. 34-70208 File Number: 3-11246
Aug. 15, 2013	Karl Motey Release No. IA-3649 File Number: 3-15424
Aug. 15, 2013	Convergence Ethanol, Inc. Release No. 34-70202 File Number: 3-15404
Aug. 15, 2013	Chicago Stock Exchange, Inc. Release No. 34-70214 File Number: 3-15425
Aug. 15, 2013	Redfin Network, Inc. Release No. 34-70203 File Number: 3-15422
Aug. 15, 2013	Adam G. Erickson Release No. 34-70215, IA-3650 File Number: 3-15426
Aug. 15, 2013	Edward T. Stein Release No. 34-70205, IA-3648 File Number: 3-15423
Aug. 14, 2013	Soil Biogenics Ltd. Release No. 34-70181 File Number: 3-15417
Aug. 14, 2013	Altus Pharmaceuticals, Inc., et al. Release No. 34-70183 File Number: 3-15418
Aug. 14, 2013	AIMS Worldwide, Inc., et al. Release No. 34-70185 File Number: 3-15419
Aug. 14, 2013	CNC Development, Ltd., et al. Release No. 34-70177 File Number: 3-15415
Aug. 14, 2013	iVoice, Inc. Protectus Medical Devices, Inc. St. Lawrence Energy Corp. Release No. 34-70179 File Number: 3-15416
Aug. 14, 2013	Laura Ann Tordy Release No. 34-70188 File Number: 3-15421
Aug. 14, 2013	Martin C. Hartmann III Release No. 34-70187 File Number: 3-15420
Aug. 13, 2013	Ark Asset Management Co., Inc. Release No. 34-70171 File Number: 3-13714
Aug. 13, 2013	L.T. Lawrence & Co., Inc., et al. Release No. 34-70172 File Number: 3-99230
Aug. 13, 2013	Hicks, Richard D. Release No. 33-9440, 34-70165, IA-3647 File Number: 3-15413
Aug. 13, 2013	Martin A. Pool Release No. 34-70167 File Number: 3-15414
Aug. 12, 2013	Richard P. Sandru Release No. 34-70161, IA-3646, IC-30649 File Number: 3-15268
Aug. 12, 2013	Gaming World International, Ltd., et al. Release No. 34-70164 File Number: 3-15412
Aug. 12, 2013	Camelot Entertainment Group, Inc. Cavico Corp. Global 8 Environmental Technologies, Inc. GTC Telecom Corp. ICF Corporation New NRG, Inc. Release No. 34-70156 File Number: 3-15387
Aug. 12, 2013	American Wenshen Steel Group, Inc. Case Financial, Inc. Global ePoint, Inc. iMedia International, Inc. Release No. 34-70157 File Number: 3-15386
Aug. 9, 2013	Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company Release No. 34-70151 File Number: 3-12372
Aug. 9, 2013	New Horizon Publishing Inc. Release No. 34-70153 File Number: 3-15274
Aug. 9, 2013	Pacific Northwestern Energy, LLC Release No. 34-70154 File Number: 3-15411
Aug. 9, 2013	Joseph Hilton, a/k/a Joseph Yurkin Release No. 34-70152 File Number: 3-15273
Aug. 8, 2013	Camelot Entertainment Group, Inc. Cavico Corp. Global 8 Environmental Technologies, Inc. GTC Telecom Corp. ICF Corporation New NRG, Inc. Release No. 34-70133 File Number: 3-15387
Aug. 7, 2013	Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.), et al. Release No. 34-70128 File Number: 3-15371
Aug. 6, 2013	UBS Securities LLC Release No. 33-9438, 34-70121, IA-3643, 33-9439 See Also: Release No. 33-9439 File Number: 3-15407
Aug. 6, 2013	Wilson, Joel I. Release No. 34-70125, IA-3644 File Number: 3-15408
Aug. 6, 2013	Thomas Gary Cooper Release No. 34-70126, IA-3645, IC-30642 File Number: 3-15409
Aug. 6, 2013	GBS Com-Tech Corp. Gentia Software PLC Glengarry Holdings, Ltd. Global TeleSystems, Inc. Golden Health Holdings, Inc. Golden Vista International, Inc. Goolu, Inc. Release No. 34-70127 File Number: 3-15410
Aug. 5, 2013	Benjamin Daniel DeHaan Release No. IA-3642 File Number: 3-15406
Aug. 2, 2013	Convergence Ethanol, Inc. Release No. 34-70094 File Number: 3-15404
Aug. 2, 2013	Ronald Musich Release No. 34-70105, IA-3641 File Number: 3-15405
July 31, 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. 34-70078 File Number: 3-15355
July 31, 2013	American Vantage Companies Release No. 34-70079 File Number: 3-15396
July 31, 2013	Heartland, Inc. Release No. 34-70080 File Number: 3-15397
July 31, 2013	Chauncey C. Mayfield and MayfieldGentry Realty Advisors, LLC Release No. IA-3640 File Number: 3-15402
July 31, 2013	Bloggerwave, Inc., et al. Release No. 34-70077 File Number: 3-15328
July 31, 2013	Steven M. Ray Release No. 34-70088 File Number: 3-15403
July 31, 2013	Goelzer Investment Management, Inc. and Gregory W. Goelzer Release No. 34-70083, IA-3638 File Number: 3-15400
July 31, 2013	A.R. Schmeidler & Co., Inc. Release No. 34-70089, 33-9436 See Also: Release No. 33-9436 File Number: 3-15399
July 31, 2013	ABN AMRO Bank, N.V. Release No. 33-9437, 34-70086, IA-3639 File Number: 3-15401
July 31, 2013	Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC Release No. 34-70082 File Number: 3-11818
July 31, 2013	Commonwealth Bankshares, Inc. Release No. 34-70081 File Number: 3-15398
July 30, 2013	Subramanian Krishnan (CPA)(Corrected) Release No. 34-70074, AAER-3473 File Number: 3-15395
July 29, 2013	Ronald S. Rollins Release No. 34-70058, IA-3635, IC-30633 File Number: 3-15392
July 29, 2013	Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc. Release No. 34-70054 File Number: 3-15326
July 29, 2013	City Securities Corporation and Randy G. Ruhl Release No. 33-9434, 34-70056, IC-30632 File Number: 3-15390
July 29, 2013	West Clark Community Schools Release No. 33-9435, IC-70057 File Number: 3-15391
July 29, 2013	Comprehensive Capital Management, Inc. Release No. IA-3636 File Number: 3-15393
July 26, 2013	Duoyuan Printing, Inc. Release No. 34-70042 File Number: 3-15389
July 26, 2013	Aladdin Capital Management LLC and Aladdin Capital LLC, Joseph A. Schlim Release No. 34-70043 File Number: 3-15134, 3-15135
July 25, 2013	GDT Tek, Inc., et al. Release No. 34-70035 File Number: 3-15368
July 24, 2013	iTrackr Systems, Inc. Release No. 34-70032 File Number: 3-15360
July 24, 2013	Green Solutions China, Inc., et al. Release No. 34-70033 File Number: 3-15363
July 24, 2013	Stewart A. Merkin, Esq. Release No. 34-70034 File Number: 3-15158
July 23, 2013	Geo Petroleum, Inc., et al. Release No. 34-70030 File Number: 3-15388
July 23, 2013	Southern Scottish Inns, Inc. Release No. 34-70018 File Number: 3-15384
July 23, 2013	Virginia K. Sourlis, Esq. Release No. 34-70031 File Number: 3-15212
July 23, 2013	Securities Transfer, Inc. Release No. 34-70019 File Number: 3-15385
July 23, 2013	American Wenshen Steel Group, Inc. Case Financial, Inc. Global ePoint, Inc. iMedia International, Inc. Release No. 34-70020 File Number: 3-15386
July 23, 2013	Camelot Entertainment Group, Inc. Cavico Corp. Global 8 Environmental Technologies, Inc. GTC Telecom Corp. ICF Corporation New NRG, Inc. Release No. 34-70022 File Number: 3-15387
July 22, 2013	Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), et al. Release No. 34-70013 File Number: 3-15359
July 22, 2013	Centaur Management Co. LLC Release No. 34-70015, 34-69604 See Also: Distribution Plan File Number: 3-14950
July 22, 2013	Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.;James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Release No. 34-70016 File Number: 3-13847
July 22, 2013	China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc. Release No. 34-70017 File Number: 3-15383
July 22, 2013	Advanced ID Corp., et al. Release No. 34-70012 File Number: 3-15202
July 19, 2013	John Hagener Release No. IA-3633 File Number: 3-15381
July 19, 2013	Cohen, Steven A. Release No. IA-3634 File Number: 3-15382, 3-15382
July 18, 2013	First Georgia Community Corp., et al. Release No. 34-70000 File Number: 3-15378
July 18, 2013	American Technologies Group, Inc., et al. Release No. 34-70002 File Number: 3-15379
July 18, 2013	Deal, Jon Harvey Release No. IA-3630 File Number: 3-15380
July 18, 2013	Strong Capital Management, Inc. Release No. 34-70003 File Number: 3-12448
July 18, 2013	Brion G. Randall Release No. IA-3632 File Number: 3-15366
July 17, 2013	Vincent G. Curry Release No. 34-69998 File Number: 3-15312
July 16, 2013	Joseph I. Emas Release No. 34-69995, 34-61386 File Number: 3-13757
July 15, 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. 34-69986 File Number: 3-15355

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