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SEC.gov Updates: Administrative Proceedings



The latest administrative proceedings from the Securities and Exchange Commission



Published: Thu, 23 Mar 2017 00:00:01 GMT

Last Build Date: Thu, 23 Mar 2017 15:48:53 EDT

 



Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry

Thu, 23 Mar 2017 15:48:53 EDT

Order Approving Plan of Distribution



Sheldon Rose and MKJJ Consulting LLC

Thu, 23 Mar 2017 15:48:53 EDT

Order Making Findings and Imposing Remedial Sanctions



William D. Bucci

Wed, 22 Mar 2017 16:44:13 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing



Sen Yu International Holdings, Inc.

Wed, 22 Mar 2017 09:30:00 EDT

Notice That Initial Decision Has Become Final



China Biopharma, Inc., et al.

Wed, 22 Mar 2017 09:30:00 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Vampt America, Inc. and Westport Energy Holdings, Inc.

Wed, 22 Mar 2017 09:30:00 EDT

Notice That Initial Decision Has Become Final



Aquanatural Co., Bullet Sports International, Inc. and Pearce Systems International, Inc.

Wed, 22 Mar 2017 09:30:00 EDT

Notice That Initial Decision Has Become Final



PAB Bankshares, Inc. and USABG Corp.

Wed, 22 Mar 2017 09:30:00 EDT

Notice That Initial Decision Has Become Final



Ben Franklin Retail Stores, Inc., Enrotek Corp. and Spectre Gaming, Inc.

Wed, 22 Mar 2017 09:30:00 EDT

Notice That Initial Decision Has Become Final



David P. Hobson

Mon, 20 Mar 2017 12:25:09 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Ubiquity, Inc.

Mon, 20 Mar 2017 09:30:00 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Ernst & Young LLP, et al.

Fri, 17 Mar 2017 14:24:00 EDT

Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA



Shallbetter Industries, Inc., et al.

Fri, 17 Mar 2017 08:55:09 EDT

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Warren D. Nadel

Thu, 16 Mar 2017 15:37:14 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing



Aaron R. Parthemer

Tue, 14 Mar 2017 13:00 EDT

Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing



Nima Hedayati

Tue, 14 Mar 2017 13:00 EDT

Order Instituting Public Administrative and Cease- And-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Jeremy S. Hixson

Mon, 13 Mar 2017 16:58:24 EDT

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Stifel and Nicolaus & Company, Incorporated

Mon, 13 Mar 2017 16:25:28 EDT

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order



Computer Sciences Corporation, et al.

Mon, 13 Mar 2017 16:25:28 EDT

Notice of Proposed Plan of Distribution and Opportunity for Comment



G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC

Mon, 13 Mar 2017 16:25:28 EDT

Order Directing Third Disbursement of Fair Fund



Michael J. Breton

Mon, 13 Mar 2017 12:20:37 EDT

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Victor Alfaya

Fri, 10 Mar 2017 11:31:45 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing



Talman Harris

Fri, 10 Mar 2017 11:31:45 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing



Ronald Loshin

Fri, 10 Mar 2017 11:31:45 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Mark M. George

Thu, 09 Mar 2017 17:46:49 EST

Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice



Patrick Churchville

Thu, 09 Mar 2017 11:49:51 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Voya Financial Advisors, Inc.

Wed, 08 Mar 2017 13:15:31 EST

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Adam L. Plumer

Wed, 08 Mar 2017 13:15:31 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



GCA I Acquisition Corp., et al.

Wed, 08 Mar 2017 12:32:07 EST

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Harrison W. Schumacher, II

Tue, 07 Mar 2017 14:54:50 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 Making Findings, and Imposing Remedial Sanctions



Naveed A. (a/k/a Nick) Khan

Mon, 06 Mar 2017 13:50:18 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Lustros, Inc. and Med-X Systems, Inc.

Mon, 06 Mar 2017 09:30:12 EST

Notice That Initial Decision Has Become Final



All-Pro Products, Inc., et al.

Mon, 06 Mar 2017 09:30:12 EST

Notice That Initial Decision Has Become Final



Cala Corporation, China Huaren Organic Products, Inc. and Daystar Technologies, Inc.

Mon, 06 Mar 2017 09:30:12 EST

Notice That Initial Decision Has Become Final



Mars Acquisitions, Inc. and Softnet Technology Corp.

Mon, 06 Mar 2017 09:30:12 EST

Notice That Initial Decision Has Become Final



CirTran Corp., et al.

Fri, 03 Mar 2017 09:30:00 EST

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Walter V. Gerasimowicz

Tue, 28 Feb 2017 20:08:27 EST

Extension Order



Eric David Wanger

Tue, 28 Feb 2017 17:38:40 EST

Order Granting in Part Motion for Extension Oftime to File Briefs



Web Debt Solutions, LLC

Tue, 28 Feb 2017 17:38:40 EST

Regulation a Exemption of Web Debt Solutions, LLC Temporarily Suspended



Nova Smart Solutions Inc.

Mon, 27 Feb 2017 12:50:20 EST

Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933



Arc Lifestyle Group Inc.

Mon, 27 Feb 2017 12:50:20 EST

Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933



Go EZ Corporation

Mon, 27 Feb 2017 12:50:20 EST

Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933



Myriad Entertainment & Resorts, Inc., National Real Estate Limited Partnership VI and Paradise Communications Services, Inc.

Fri, 24 Feb 2017 17:53:32 EST

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Prestige Financial Corp., et al.

Fri, 24 Feb 2017 17:53:32 EST

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Sidewinder Explorations Inc.

Fri, 24 Feb 2017 17:53:32 EST

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Edward Richardson Jr., CPA and Edward Richardson Jr.

Fri, 24 Feb 2017 15:38:32 EST

Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice and Notice of Hearing



Lee P. Vaccaro

Thu, 23 Feb 2017 17:42:23 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



John Austin Gibson, Jr.

Thu, 23 Feb 2017 17:42:23 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing



Brian S. Hudnall

Thu, 23 Feb 2017 13:15:29 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Gregory J. Smith

Wed, 22 Feb 2017 13:44:29 EST

Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940



Anthony Coronati and Bidtoask LLC

Wed, 22 Feb 2017 13:18:02 EST

Notice of Proposed Plan of Distribution and Opportunity for Comment



G-Trade Services LLC, Convergex Global Markets Limited and Convergex Execution Solutions LLC

Wed, 22 Feb 2017 11:07:56 EST

Order Directing Second Disbursement of Fair Fund



UBS Financial Services Inc. of Puerto Rico

Tue, 21 Feb 2017 12:21:27 EST

Order Approving Plan of Distribution



Kalex Corp.

Tue, 21 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



BioNovo, Inc. InterAmerican Gaming, Inc. and Spot Mobile International Ltd.

Tue, 21 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Accel Brands, Inc.

Tue, 21 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



MFN Technologies, Inc.

Tue, 21 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Christopher M. Cunningham

Fri, 17 Feb 2017 15:32:30 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Joseph L. Pittera, Esq.

Fri, 17 Feb 2017 14:54:24 EST

Order Making Findings and Imposing Remedial Sanction Pursuant to Rule 102(e) of the Commission's Rules of Practice



Hydrocarb Energy Corp.

Fri, 17 Feb 2017 12:28:46 EST

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Edward M. Daspin and a/k/a "Edward (Ed) Michael"

Fri, 17 Feb 2017 09:54:52 EST

Order Denying Request for Extension of Time to File Reply Brief



Jay T. Comeaux

Fri, 17 Feb 2017 09:54:52 EST

Order Making Findings and Imposing Disgorgement and Civil Penalties



Angel Oak Capital Partners, LLC, et al.

Thu, 16 Feb 2017 15:35:01 EST

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing



James P. Griffin

Thu, 16 Feb 2017 12:56:52 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing



Morgan Asset Management, Inc., et al.

Wed, 15 Feb 2017 17:13:47 EST

Order Setting Fund Administrator’s Bond Amount



CVR Energy, Inc.

Tue, 14 Feb 2017 15:47:28 EST

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order



Jeffrey E. Eberwein; Lone Star Value Management, et al.

Tue, 14 Feb 2017 15:47:28 EST

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalties



Morgan Stanley Smith Barney, LLC

Tue, 14 Feb 2017 10:26:32 EST

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Thomas R. Stanley, II

Mon, 13 Feb 2017 17:38:50 EST

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order



Sidoti & Company, LLC

Mon, 13 Feb 2017 14:30 EST

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order



Joseph A. Nelson

Mon, 13 Feb 2017 14:30 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Columbia Management Investment Services Corp.

Fri, 10 Feb 2017 13:54:01 EST

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 17A and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Sylvester King Jr.

Fri, 10 Feb 2017 13:54:01 EST

Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing



William G. Goode

Thu, 09 Feb 2017 16:29:08 EST

Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Raymond H. Barton

Thu, 09 Feb 2017 16:19:43 EST

Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Jaypee International, Inc. and Sorabh Arora

Thu, 09 Feb 2017 15:25:56 EST

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Credit Suisse Alternative Capital, et al.

Thu, 09 Feb 2017 10:07:41 EST

Order Approving Plan of Distribution and Directing Disbursement of Fair Fund



Darren Goodrich

Wed, 08 Feb 2017 17:26:00 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Jeffrey Slocum & Associates, Inc. and Jeffrey C. Slocum

Wed, 08 Feb 2017 16:49:45 EST

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Ash Narayan

Wed, 08 Feb 2017 16:31:19 EST

Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions



Thomas A. Guerriero

Wed, 08 Feb 2017 09:39:00 EST

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Oxford City Football Club, Inc.

Wed, 08 Feb 2017 09:30:00 EST

Order Instituting Administrative Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities



Gregg D. Caplitz

Tue, 07 Feb 2017 17:20:07 EST

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions



Rosalind Herman

Tue, 07 Feb 2017 17:20:07 EST

Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing



Olde Monmouth Stock Transfer Co., Inc. and Matthew J. Troster

Tue, 07 Feb 2017 15:52:48 EST

Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Section 17A of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



SLRA Inc. as Successor Entity to Liquid Realty Advisors III, LLC and Scott M. Landress

Tue, 07 Feb 2017 13:05 EST

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Robert S. McGregor

Tue, 07 Feb 2017 11:38:01 EST

Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934



Aaron Nash Kazinec

Mon, 06 Feb 2017 15:12:55 EST

Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940



Dynamic Response Group, Inc., Eagle Telephonics, Inc. and Far East Energy Corporation

Mon, 06 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Questrust Ventures, Inc. and Zaring Homes, Inc.

Mon, 06 Feb 2017 09:30:00 EST

Notice That Initial Decision Has Become Final



Ixia and Victor Alston

Fri, 03 Feb 2017 17:39:33 EST

Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order



Karl E. Hahn

Fri, 03 Feb 2017 15:44:11 EST

Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940



Kirk D. Porter

Fri, 03 Feb 2017 15:44:11 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions



Thomas H. Caniford

Thu, 02 Feb 2017 17:36:12 EST

Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing



Fibercorp International, Inc., Hygenics Pharmaceuticals, Inc. and Investors Trust, Inc.

Thu, 02 Feb 2017 14:58:58 EST

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



AVT, Inc., et al.

Thu, 02 Feb 2017 14:58:58 EST

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



Delverton Resorts International Inc.

Thu, 02 Feb 2017 14:58:58 EST

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934



David A. Aronson, CPA

Tue, 31 Jan 2017 10:54:08 EST

Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice



GL Investment Services, LLC

Mon, 30 Jan 2017 16:09:35 EST

Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Notice of Hearing



GL Capital Partners, LLC

Mon, 30 Jan 2017 16:09:35 EST

Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Notice of Hearing