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Administrative Proceedings

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.

First Quarter

Additional Archives

RSS Feed  SEC Administrative Proceedings RSS Feed

Release No. Date Respondents
First Quarter
34-68920 Feb. 13, 2013 Stephen M. Strauss
34-68914 Feb. 13, 2013 Eco Global Corporation, et al.
34-68904 Feb. 11, 2013 Gregory Evan Goldstein
34-68903 Feb. 11, 2013 HDL Capital Corp., HMG Worldwide Corp., Homegold Financial, Inc., Hudson Hotels Corp., and Hurry, Inc.
34-68902 Feb. 11, 2013 Artfest International, Inc., China Advanced Meditech, Inc., Cynet, Inc., Durham Marketing Corp., Emissary Capital Group, Inc. (n/k/a Cavalier Holdings, Inc.), and ESP Enterprises, Inc. (n/k/a ESP Enterprises of LA, Inc.)
34-68893 Feb. 11, 2013 China Voice Holding Corp., et al.
34-68892 Feb. 11, 2013 IMP, Inc., Imperial Credit Industries, Inc., Inco Homes Corp., InfoCast Corp., Infospi.com, Inc. (n/k/a Infospi, Inc.), and Instaff International, Inc.
34-68869 Feb. 8, 2013 GMB Capital Management LLC (currently known as "Clearstream Investments LLC"), GMB Capital Partners LLC, Gabriel Bitran and Marco Bitran
34-68868 Feb. 8, 2013 Changed E-Mail, Inc., et al.
34-68859 Feb. 7, 2013 Law Enforcement Associates Corp., et al.
34-68858 Feb. 7, 2013 Law Enforcement Associates Corp., et al.
34-68857 Feb. 7, 2013 Imreg, Inc., et al.
34-68856 Feb. 7, 2013 HI DEF Enterprises, Inc., et al.
34-68845 Feb. 6, 2013 Joseph J. Repko, CPA
Other Release No.: AAER-3444
IA-3550 Feb. 6, 2013 Jorge Gomez
IA-3549 Feb. 6, 2013 Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez
IA-3548 Feb. 6, 2013 Howard B. Berger
34-68837 Feb. 6, 2013 Advanced ID Corp., et al.
34-68836 Feb. 6, 2013 Advance Nanotech, Inc., et al.
IA-3546 Feb. 5, 2013 Juno Mother Earth Asset Management, LLC
34-68828 Feb. 5, 2013 Ardsley Advisory Partners
Other Release No.: IA-3545
34-68827 Feb. 5, 2013 Kenneth Ira Starr
34-68826 Feb. 5, 2013 Kenneth Ira Starr, Esq., C.P.A.
Other Release No.: IA-3544
34-68825 Feb. 5, 2013 Henley Healthcare, Inc., et al.
34-68811 Feb. 1, 2013 Encore Clean Energy, Inc., et al.
34-68810 Feb. 1, 2013 Mitchell Segal, Esq.
IA-3543 Jan. 31, 2013 Jeffrey A. Quay
34-68796 Jan. 31, 2013 BNY Mellon Securities LCC and Mark Shaw
Note: See also the Proposed Plan of Distribution
34-68774 Jan. 30, 2013 GMB Capital Management LLC, et al.
34-68772 Jan. 30, 2013 William B. Mitchell
34-68764 Jan. 30, 2013 CentreInvest, Inc., et al.
34-68763 Jan. 30, 2013 ICP Solar Technologies, Inc., et al.
34-68756 Jan. 29, 2013 Lisa B. Hovan, CPA
Other Release No.: IA-3539; AAER-3443
34-68754 Jan. 29, 2013 Brian D. Fox
Other Release No.: AAER-3442
IA-3540 Jan. 29, 2013 Kurt S. Hovan
IA-3538 Jan. 29, 2013 Edward J. Hovan, Jr.
IA-3537 Jan. 29, 2013 IMC Asset Management, Inc.
34-68750 Jan. 29, 2013 IAS Energy, Inc., et al.
34-68749 Jan. 28, 2013 Stefan H. Benger
34-68739 Jan. 28, 2013 Henley Healthcare, Inc., Hightop Capital Corp., Hiko Bell Mining & Oil Co., Horizon Pharmacies, Inc., Horizon Resources Corp., and Hudson’s Grill of America, Inc.
34-68736 Jan. 25, 2013 John W. Adams and AIP, LLC
Note: See also the Modified Plan of Distribution
34-68738 Jan. 25, 2013 Nicolette D. Loisel
34-68737 Jan. 25, 2013 Huron Consulting Group Inc., Gary L. Burge, CPA, and Wayne F. Lipski, CPA
34-68733 Jan. 25, 2013 Gabelli Funds, LLC
34-68732 Jan. 25, 2013 Mary Beth Stevens; Paul W. Oliver, Jr.
34-68731 Jan. 25, 2013 Largo Vista Group, Ltd., et al.
34-68729 Jan. 25, 2013 Law Enforcement Associates Corp., et al.
34-68727 Jan. 25, 2013 Medis Technologies Ltd., et al.
34-68722 Jan. 24, 2013 Eric D. Rogers
34-68716 Jan. 24, 2013 HI DEF Enterprises, Inc., et al.
34-68715 Jan. 24, 2013 IAS Energy, Inc., et al.
34-68706 Jan. 23, 2013 China Wesen Recycling Technology, Inc., et al.
IA-3536 Jan. 22, 2013 Raymond Y.H. Park
IA-3535 Jan. 22, 2013 Sung Kook Hwang
34-68703 Jan. 22, 2013 Egan-Jones Ratings Company and Sean Egan
34-68688 Jan. 18, 2013 AlphaTrade.com
34-68686 Jan. 18, 2013 The Hartcourt Companies, Inc., et al.
34-68685 Jan. 17, 2013 Linda Dianne Alexander
34-68683 Jan. 17, 2013 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
34-68681 Jan. 17, 2013 Desert Mining, Inc., et al.
34-68680 Jan. 17, 2013 IAS Energy, Inc., et al.
34-68679 Jan. 17, 2013 IBroadband, Inc., et al.
34-68673 Jan. 16, 2013 Larry Lee Adair, Esq.
34-68670 Jan. 16, 2013 Mark A. Gelazela and Steven E. Woods
34-68669 Jan. 16, 2013 MiddleCove Capital, LLC, and Noah L. Myers
Other Release Nos.: IA-3534, IC-30351
34-68664 Jan. 16, 2013 Eco Global Corporation, et al.
34-68661 Jan. 15, 2013 Kevin A. Howard, CPA
Other Release No.: AAER-3441
34-68649 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.
34-68646 Jan. 14, 2013 Imreg, Inc., Innovative Holdings & Technologies, Inc., InnoVet, Inc., Institutional Properties 4, Interaction Media Corp., and International CRO Holdings Corp.
34-68628 Jan. 11, 2013 Eric Ashman, CPA
Other Release No.: AAER-3440
IA-3533 Jan. 11, 2013 I. Joseph Massoud
34-68623 Jan. 11, 2013 China Wesen Recycling Technology, Inc., et al.
34-68622 Jan. 11, 2013 IBroadband, Inc., et al.
IA-3532 Jan. 10, 2013 Kris Chellam
34-68614 Jan. 10, 2013 HearMe, et al.
34-68611 Jan. 9, 2013 Jimmie Dean Jones, CPA
Other Release No.: AAER-3438
34-68605 Jan. 9, 2013 John J. Aesoph, CPA, and Darren M. Bennett, CPA
Other Release No.: AAER-3436
34-68601 Jan. 8, 2013 China North East Petroleum Holdings Limited
34-68600 Jan. 8, 2013 UBS Financial Services Inc. of Puerto Rico
34-68599 Jan. 8, 2013 William J. Reilly, Esq.
34-68598 Jan. 7, 2013 HI DEF Enterprises, Inc., Hi-Rise Recycling Systems, Inc., Highline Industries, Inc., Hirel Holdings, Inc., Holiday RV Superstores, Inc. (n/k/a FreedomRoads RV, Inc.), Hooker Enterprises, Inc., Hospital Staffing Services, Inc., and Hotelworks.com, Inc.
34-68597 Jan. 7, 2013 Henley Healthcare, Inc., et al.
34-68593 Jan. 7, 2013 Credit Suisse Securities (USA) LLC, et al.
34-68592 Jan. 4, 2013 Stephen G. Bennett
34-68591 Jan. 4, 2013 Kenneth J. Abod, CPA
Other Release No.: AAER-3435
34-68586 Jan. 4, 2013 Gary J. Martel
34-68567 Jan. 3, 2013 Encore Clean Energy, Inc., et al.
34-68566 Jan. 3, 2013 China Voice Holding Corp., et al.
34-68565 Jan. 3, 2013 DIAS Holding, Inc., et al.
34-68564 Jan. 3, 2013 HealthSport, Inc., et al.

 

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Modified: 02/13/2013