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
Feb. 11, 2013	Artfest International, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68902 File Number: 3-15207
Feb. 11, 2013	HDL Capital Corp., et al. Release No. 34-68903 File Number: 3-15208
Feb. 8, 2013	Changed E-Mail, Inc., et al. Release No. 34-68868 File Number: 3-15096
Feb. 8, 2013	GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran Release No. 34-68869 File Number: 3-14854
Feb. 7, 2013	Law Enforcement Associates Corp., Matrixx Resource Holdings, Inc., Sonnen Corp., Mortgage Assistance Center Corp., MVP Network, Inc., Sino Shipping Holdings, Inc., Sonnen Corp., Superior Oil & Gas Co., Tekoil & Gas Corp., Trend Mining Co., and Unico, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 34-68858 File Number: 3-15186
Feb. 7, 2013	Law Enforcement Associates Corp., Matrixx Resource Holdings, Inc., Sonnen Corp., Mortgage Assistance Center Corp., MVP Network, Inc., Sino Shipping Holdings, Inc., Sonnen Corp., Superior Oil & Gas Co., Tekoil & Gas Corp., Trend Mining Co., and Unico, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 34-68859 File Number: 3-15186
Feb. 7, 2013	James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin Release No. IA-3551 File Number: 3-15153
Feb. 7, 2013	HI DEF Enterprises, Inc., et al. Release No. 34-68856 File Number: 3-15166
Feb. 7, 2013	Gary J. Martel Release No. 34-68866, IA-3552
Feb. 7, 2013	Imreg, Inc., et al. Release No. 34-68857 File Number: 3-15173
Feb. 6, 2013	Advance Nanotech, Inc., et al. Release No. 34-68836 File Number: 3-15201
Feb. 6, 2013	Jorge Gomez Release No. IA-3550 File Number: 3-15205
Feb. 6, 2013	Joseph J. Repko, CPA Release No. 34-68845, AAER-3444 File Number: 3-15206
Feb. 6, 2013	Advanced ID Corp., et al. Release No. 34-68837 File Number: 3-15202
Feb. 6, 2013	Howard B. Berger Release No. IA-3548 File Number: 3-15203
Feb. 6, 2013	Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez Release No. IA-3549 File Number: 3-15204
Feb. 5, 2013	Kenneth Ira Starr, Esq., C.P.A. Release No. 34-68826, IA-3544 File Number: 3-15197
Feb. 5, 2013	Kenneth Ira Starr Release No. 34-68827 File Number: 3-15198
Feb. 5, 2013	Ardsley Advisory Partners Release No. 34-68828, IA-3545 File Number: 3-15199
Feb. 5, 2013	Juno Mother Earth Asset Management, LLC Release No. IA-3546 File Number: 3-15200
Feb. 5, 2013	Henley Healthcare, Inc., et al. Release No. 34-68825 File Number: 3-15165
Feb. 1, 2013	Mitchell Segal, Esq. Release No. 34-68810 File Number: 3-14945
Feb. 1, 2013	Encore Clean Energy, Inc., et al. Release No. 34-68811 File Number: 3-15110
Jan. 31, 2013	Jeffrey A. Quay Release No. IA-3543 File Number: 3-15196
Jan. 31, 2013	BNY Mellon Securities LLC and Mark Shaw Release No. 34-68796 See Also: the Proposed Plan of Distribution File Number: 3-14191, 3-14192
Jan. 30, 2013	CentreInvest, Inc., OOO CentreInvest Securities, Vladimir Chekholko, William Herlyn, Dan Rapoport, and Svyatoslav Yenin Robert G. Mahony, Administrative Law Judge Release No. 34-68764 File Number: 3-13304
Jan. 30, 2013	William B. Mitchell Release No. 34-68772 File Number: 3-15195
Jan. 30, 2013	GMB Capital Management LLC, et al. Release No. 34-68774 File Number: 3-14854
Jan. 30, 2013	ICP Solar Technologies, Inc., et al. Release No. 34-68763 File Number: 3-15144
Jan. 29, 2013	Kurt S. Hovan Release No. IA-3540 File Number: 3-15194
Jan. 29, 2013	Brian D. Fox Release No. 34-68754, AAER-3442 File Number: 3-15191
Jan. 29, 2013	IAS Energy, Inc., et al. Release No. 34-68750 File Number: 3-15145
Jan. 29, 2013	IMC Asset Management, Inc. Release No. IA-3537 File Number: 3-15190
Jan. 29, 2013	Edward J. Hovan, Jr. Release No. IA-3538 File Number: 3-15192
Jan. 29, 2013	Lisa B. Hovan, CPA Release No. 34-68756, IA-3539, AAER-3443 File Number: 3-15193
Jan. 28, 2013	Stefan H. Benger Carol Fox Foelak, Administrative Law Judge Release No. 34-68749 File Number: 3-15189
Jan. 28, 2013	Henley Healthcare, Inc., et al. Release No. 34-68739 File Number: 3-15165
Jan. 25, 2013	Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA Release No. 34-68737 File Number: 3-14958
Jan. 25, 2013	Law Enforcement Associates Corp., Matrixx Resource Holdings, Inc., Sonnen Corp., Mortgage Assistance Center Corp., MVP Network, Inc., Sino Shipping Holdings, Inc., Sonnen Corp., Superior Oil & Gas Co., Tekoil & Gas Corp., Trend Mining Co., and Unico, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 34-68729 File Number: 3-15186
Jan. 25, 2013	Nicolette D. Loisel Release No. 34-68738 File Number: 3-15188
Jan. 25, 2013	Largo Vista Group, Ltd., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68731 File Number: 3-15187
Jan. 25, 2013	John W. Adams and AIP, LLC Release No. 34-68736 See Also: the Modified Plan of Distribution File Number: 3-11676
Jan. 25, 2013	Mary Beth Stevens; Paul W. Oliver, Jr. Release No. 34-68732
Jan. 25, 2013	Gabelli Funds, LLC Release No. 34-68733
Jan. 25, 2013	Medis Technologies Ltd., Modern Medical Modalities Corp., National Datacomputer, Inc., New Media Lottery Services, Inc., Sino-Bon Entertainment, Inc., Tamir Biotechnology, Inc., and Techmedia Advertising, Inc. Cameron Elliot Administrative Law Judge Release No. 34-68727 File Number: 3-15185
Jan. 24, 2013	IAS Energy, Inc., et al. Release No. 34-68715 File Number: 3-15145
Jan. 24, 2013	HI DEF Enterprises, Inc., et al. Release No. 34-68716 File Number: 3-15166
Jan. 24, 2013	Eric D. Rogers Release No. 34-68722 File Number: 3-15184
Jan. 23, 2013	China Wesen Recycling Technology, Inc., et al. Release No. 34-68706 File Number: 3-15111
Jan. 22, 2013	Egan-Jones Ratings Company and Sean Egan Release No. 34-68703 File Number: 3-14856
Jan. 22, 2013	Sung Kook Hwang Release No. IA-3535 File Number: 3-15181
Jan. 22, 2013	Raymond Y.H. Park Release No. IA-3536 File Number: 3-15182
Jan. 18, 2013	The Hartcourt Companies, Inc., et al. Release No. 34-68686 File Number: 3-15128
Jan. 18, 2013	AlphaTrade.com Release No. 34-68688 File Number: 3-15180
Jan. 17, 2013	Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds Release No. 34-68683
Jan. 17, 2013	Alexander, Linda Dianne Release No. 34-68685 File Number: 3-15179
Jan. 17, 2013	IBroadband, Inc., et al. Release No. 34-68679 File Number: 3-15143
Jan. 17, 2013	IAS Energy, Inc., et al. Release No. 34-68680 File Number: 3-15145
Jan. 17, 2013	Desert Mining, Inc., Eagle Broadband, Inc., Endovasc, Inc., Environmental Oil Processing Technology Corp., Falcon Ridge Development, Inc., Fellows Energy Ltd., Forster Drilling Corp. (n/k/a Phoenix Drilling Corporation), and Golden Autumn Holdings, Inc. Release No. 34-68681 File Number: 3-15160
Jan. 16, 2013	Larry Lee Adair, Esq. Release No. 34-68673 File Number: 3-15178
Jan. 16, 2013	Eco Global Corporation, Execute Sports, Inc., FacePrint Global Solutions, Inc., FinancialContent, Inc., and Firstgold Corp. Release No. 34-68664 File Number: 3-15176
Jan. 16, 2013	Middlecove Capital, LLC and Noah L. Myers Release No. 34-68669, IA-3534, IC-30351 File Number: 3-14993
Jan. 16, 2013	Mark A. Gelazela and Steven E. Woods Carol Fox Foelak, Administrative Law Judge Release No. 34-68670 File Number: 3-15177
Jan. 15, 2013	Kevin A. Howard, CPA Release No. 34-68661, AAER-3441 File Number: 3-15175
Jan. 14, 2013	Imreg, Inc., et al. Release No. 34-68646 File Number: 3-15173
Jan. 14, 2013	IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc. Release No. 34-68649 File Number: 3-15174
Jan. 11, 2013	I. Joseph Massoud Release No. IA-3533 File Number: 3-15170
Jan. 11, 2013	Eric Ashman, CPA Release No. 34-68628, AAER-3440 File Number: 3-15171
Jan. 11, 2013	IBroadband, Inc., et al. Release No. 34-68622 File Number: 3-15143
Jan. 11, 2013	China Wesen Recycling Technology, Inc., et al. Release No. 34-68623 File Number: 3-15111
Jan. 10, 2013	HearMe, et al. Release No. 34-68614 File Number: 3-15138
Jan. 10, 2013	Kris Chellam Release No. IA-3532 File Number: 3-15169
Jan. 9, 2013	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-68605, AAER-3436 File Number: 3-15168
Jan. 9, 2013	LSB Industries, Inc. and Jimmie Dean Jones, CPA Release No. 34-68611, AAER-3438 File Number: 3-13555
Jan. 8, 2013	UBS Financial Services Inc. of Puerto Rico Release No. 34-68600 File Number: 3-14863
Jan. 8, 2013	China North East Petroleum Holdings Limited Release No. 34-68601 File Number: 3-15167
Jan. 8, 2013	William J. Reilly, Esq. Release No. 34-68599 File Number: 3-15126
Jan. 7, 2013	Credit Suisse Securities (USA) LLC, et al. Release No. 34-68593 File Number: 3-15098
Jan. 7, 2013	Henley Healthcare, Inc., et al. Release No. 34-68597 File Number: 3-15165
Jan. 7, 2013	HI DEF Enterprises, Inc., et al. Release No. 34-68598 File Number: 3-15166
Jan. 4, 2013	Gary J. Martel Release No. 34-68586 File Number: 3-15162
Jan. 4, 2013	Kenneth J. Abod, CPA Release No. 34-68591, AAER-3435
Jan. 4, 2013	Stephen G. Bennett Release No. 34-68592 File Number: 3-15163
Jan. 3, 2013	Encore Clean Energy, Inc., et al. Release No. 34-68567 File Number: 3-15110
Jan. 3, 2013	HealthSport, Inc., et al. Release No. 34-68564 File Number: 3-15117
Jan. 3, 2013	DIAS Holding, Inc., Earthblock Technologies, Inc., Ensurapet, Inc., FIIC Holdings, Inc., GEM Solutions, Inc., Gold Star Tutoring Services, Inc., and GPS Industries, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-68565 File Number: 3-15090
Jan. 3, 2013	China Voice Holding Corp. China Yongxin Pharmaceuticals, Inc. Creative Technologies Holdings, Inc. Crestek, Inc. Crys*Tel Telecommunications.com, Inc. (n/k/a Fleet Management Solutions, Inc.) CSI Computer Specialists, Inc. CST Entertainment, Inc. (n/k/a Legacy Holding, Inc.) Release No. 34-68566 File Number: 3-15076

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