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
May 16, 2013	Joseph Hilton, a/k/a Joseph Yurkin Release No. 34-69592, 34-69630 File Number: 3-15273
May 15, 2013	Griffin Mining, Ltd., Power Sports Factory, Inc., Star Energy Corp., TransNet Corp., Valcom, Inc., and Vibe Records, Inc. Release No. 34-69582 File Number: 3-15326
May 15, 2013	Wesley W. Wang Release No. IA-3608 File Number: 3-15327
May 15, 2013	Avani International Group, Inc., et al. Release No. 34-69578 File Number: 3-15324
May 15, 2013	Benda Pharmaceutical, Inc. China Shuangji Cement Ltd. Release No. 34-69580 File Number: 3-15325
May 14, 2013	Ewan 1, Inc., n/k/a AccessKey IP, Inc. Release No. 34-69567 File Number: 3-15291
May 9, 2013	The Estate Vault, Inc. Release No. 34-69542 File Number: 3-15292
May 9, 2013	Spyridon Adondakis Release No. IA-3604 File Number: 3-15320
May 9, 2013	Jon Horvath Release No. IA-3605 File Number: 3-15321
May 9, 2013	Jesse Tortora Release No. IA-3606 File Number: 3-15322
May 9, 2013	Goyal, Sandeep Release No. IA-3607 File Number: 3-15323
May 8, 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. 34-69531 File Number: 3-15301
May 8, 2013	CoreCare Systems, Inc., et al. Release No. 34-69533 File Number: 3-15319
May 7, 2013	UC Hub Group, Inc. Release No. 34-69526 File Number: 3-15290
May 7, 2013	Bluestein, Frank Release No. 34-69529, IA-3603 File Number: 3-15317
May 7, 2013	Ziad K. Abdelnour Release No. 33-9402, IC-30508 File Number: 3-15318
May 6, 2013	Matthew C. Devlin Release No. 34-69514, IA-3602 File Number: 3-15315
May 6, 2013	The City of Harrisburg, Pennsylvania Release No. 34-69515 File Number: 3-15316
May 3, 2013	Gerasimowicz, Walter V. Meditron Asset Management, LLC Meditron Management Group, LLC Release No. 33-9401, 34-69506, IA-3601, IC-30505 File Number: 3-15024
May 3, 2013	Russell K. Cannon Release No. IA-3599 File Number: 3-15314
May 3, 2013	Putnam Investment Management, LLC Release No. IA-3600, IC-30504 File Number: 3-11317
May 2, 2013	Advance Nanotech, Inc., et al. Release No. 34-69493 File Number: 3-15201
May 2, 2013	Northern Lights Compliance Services, LLC, et al. Release No. IC-30502 File Number: 3-15313
May 1, 2013	Ricardo Bonilla Rojas Release No. 34-69484 File Number: 3-15310
May 1, 2013	Kenneth E. Mahaffy, Jr. Release No. 34-69485 File Number: 3-15311
May 1, 2013	Vincent G. Curry Release No. 34-69486 File Number: 3-15312
May 1, 2013	Irwin Lipkin Release No. 34-69492, IA-3598 File Number: 3-15089
May 1, 2013	Marc Duda Release No. 34-69483, IA-3597 File Number: 3-15309
April 30, 2013	Indigo Aviation AB, et al. Release No. 34-69475 File Number: 3-15243
April 30, 2013	Advance Nanotech, Inc., et al. Release No. 34-69476 File Number: 3-15201
April 30, 2013	Contorinis, Joseph Release No. 34-69472, IA-3596 File Number: 3-15308
April 30, 2013	Advance Nanotech, Inc., et al. Release No. 34-69473 File Number: 3-15201
April 30, 2013	Allonline.com, Inc., et al. Release No. 34-69474 File Number: 3-15252
April 26, 2013	Richard Bruce Moore Release No. 34-69466 File Number: 3-15307
April 26, 2013	Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson Release No. 34-69469 File Number: 3-13675
April 25, 2013	David Miller Release No. 34-69460 File Number: 3-15303
April 25, 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. 34-69447 File Number: 3-15301
April 25, 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. 34-69459 File Number: 3-15302
April 25, 2013	Michael W. Bozora Release No. 34-69461, IA-3594 File Number: 3-15306
April 25, 2013	Timothy R. Redpath Release No. 34-69462, IA-3595 File Number: 3-15304
April 25, 2013	SinoHub, Inc. Release No. 34-69463 File Number: 3-15305
April 24, 2013	Capital One Financial Corporation, Peter A. Schnall, and David A. LaGassa Release No. 34-69442, AAER-3456 File Number: 3-15299
April 24, 2013	Tara Bryson Release No. IA-3592 File Number: 3-15300
April 23, 2013	Alfred Varricchio Release No. 34-69430 File Number: 3-15296
April 23, 2013	Charles Peterein Release No. 34-69431 File Number: 3-15297
April 23, 2013	Anthony Pianelli Release No. 34-69432 File Number: 3-15298
April 23, 2013	Waddell & Reed, Inc., et al. Release No. 34-69437 See Also: Proposed Plan of Distribution Submit Comments on: 3-12372 File Number: 3-12372
April 23, 2013	Gazoo Energy Group, Coach Industries Group, and Pacificap Entertainment Release No. 34-69426 File Number: 3-15239
April 22, 2013	HarborLight Capital Management, LLC and Dean G. Tanella Release No. 34-69425, IA-3591, IC-30474 File Number: 3-15295
April 19, 2013	Biopharm Asia, Inc. Release No. 34-69408 File Number: 3-15287
April 19, 2013	China Organic Agriculture, Inc. Release No. 34-69409 File Number: 3-15288
April 19, 2013	Guilin Paper, Inc. Release No. 34-69410 File Number: 3-15289
April 19, 2013	Foxhall Capital Management, Inc. and Paul G. Dietrich Release No. IA-3590 File Number: 3-15293
April 19, 2013	UC Hub Group, Inc. Release No. 34-69414 File Number: 3-15290
April 19, 2013	Jennifer E. Thoennes Release No. 34-69421 File Number: 3-15294
April 19, 2013	Ewan 1, Inc., n/k/a AccessKey IP, Inc. Release No. 34-69415 File Number: 3-15291
April 19, 2013	The Estate Vault, Inc. Release No. 34-69416 File Number: 3-15292
April 19, 2013	Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc. Release No. 34-69418 File Number: 3-14909
April 18, 2013	Joshua J. Singer Release No. 34-69404 File Number: 3-15286
April 18, 2013	Umesh Tandon Release No. IA-3586, IC-30446 File Number: 3-15282
April 18, 2013	Vector Wealth Management, LLC Release No. IA-3587 File Number: 3-15283
April 18, 2013	Whitman, Douglas F. Release No. IA-3589 File Number: 3-15285
April 18, 2013	Charles T. Fee Release No. 34-69390, IA-3588, IC-30467 File Number: 3-15284
April 17, 2013	NewTech Brake Corp. Release No. 34-69383 File Number: 3-15279
April 17, 2013	Xvariant, Inc. (n/k/a China Bionanometer Industries Corp.) Release No. 34-69385 File Number: 3-15280
April 17, 2013	Sunrise Solar Corporation Release No. 34-69386 File Number: 3-15281
April 16, 2013	Noble Innovations, Inc. Release No. 34-69380 File Number: 3-15278
April 15, 2013	Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. Release No. 34-69375 File Number: 3-11701
April 15, 2013	David Affeldt Release No. 34-69377 File Number: 3-15276
April 15, 2013	Scott Reiman Release No. 34-69379, IA-3585, IC-30463 File Number: 3-15277
April 12, 2013	Robert Mouallem Release No. 34-69371 File Number: 3-15275
April 12, 2013	New Horizon Publishing Inc. Release No. 34-69370 File Number: 3-15274
April 11, 2013	Michael J. Turnock Release No. 34-69366 File Number: 3-15272
April 11, 2013	Joseph Hilton, a/k/a Joseph Yurkin Release No. 34-69367 File Number: 3-15273
April 10, 2013	Scammell, Toby G. Release No. IA-3584 File Number: 3-15271
April 10, 2013	Largo Vista Group, Ltd., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-69357 File Number: 3-15187
April 9, 2013	Anthony John Johnson Release No. 34-69352, IA-3580 File Number: 3-15269
April 9, 2013	James C. Fields, CPA Release No. 34-69353, AAER-3453 File Number: 3-15270
April 9, 2013	Robert David Beauchene Release No. 34-69355, IA-3581, IC-30455 File Number: 3-14351
April 8, 2013	Sean Nathan Healy Release No. 34-69345 File Number: 3-15266
April 8, 2013	Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc. Release No. 34-69346 File Number: 3-11701
April 8, 2013	Timothy J. Roth Release No. 34-69347, IA-3578 File Number: 3-15267
April 8, 2013	Richard P. Sandru Release No. 34-69348, IA-3579, IC-30453 File Number: 3-15268
April 5, 2013	China North East Petroleum Holdings Limited Release No. 34-69314 File Number: 3-15167
April 5, 2013	Eddie Douglas Austin Jr., Esq. Release No. 34-69326 File Number: 3-15264
April 5, 2013	Koninklijke Philips Electronics N.V. Release No. 34-69327, AAER-3452 File Number: 3-15265
April 4, 2013	James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin Release No. IA-3577 File Number: 3-15153
April 4, 2013	Gerald "Jerry" D. Kegley Release No. 34-69307 File Number: 3-15262
April 4, 2013	My Complete Care, Inc., et al. Release No. 34-69290 File Number: 3-15217
April 4, 2013	ZPR Investment Management, Inc. Zavanelli, Max E. Release No. IA-3574, IC-30446 File Number: 3-15263
April 4, 2013	Adzone Research, Inc., et al. Release No. 34-69291 File Number: 3-15242
April 4, 2013	James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin Release No. IA-3575 File Number: 3-15153
April 4, 2013	Artfest International, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-69292 File Number: 3-15207
April 4, 2013	James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin Release No. IA-3576 File Number: 3-15153
April 4, 2013	Colleen Erin Kelly Bishop (CPA) Release No. 34-69306, AAER-3451 File Number: 3-15261
April 4, 2013	Hesed Technology Co., Ltd. Release No. 34-69289 File Number: 3-15214
April 3, 2013	Adzone Research, Inc., et al. Release No. 34-69283 File Number: 3-15242
April 3, 2013	George Elia Release No. IA-3573 File Number: 3-15260
April 3, 2013	Morgan Asset Management, Inc.; Morgan Keegan & Company, Inc.;James C. Kelsoe, Jr.; and Joseph Thompson Weller, CPA Release No. 34-69288 See Also: Proposed Plan of Distribution Comments received are available: https://www.sec.gov/comments/3-13847/3-13847.shtml File Number: 3-13847
April 3, 2013	My Complete Care, Inc., et al. Release No. 34-69282 File Number: 3-15217

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