Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.
The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions
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SEC Administrative Proceedings RSS Feed
| Release No. | Date | Respondents |
|---|---|---|
Fourth Quarter | ||
| 33-10601 | Dec. 31, 2018 | Hertz Global Holdings, Inc and the Hertz Corporation
Other Release Nos.: 34-84979, AAER-4012 |
| 33-10600 | Dec. 26, 2018 | JPMorgan Chase Bank, N.A. |
| 34-84977 | Dec. 26, 2018 | New Global Energy, Inc. |
| 34-84978 | Dec. 26, 2018 | Polycom, Inc.
Other Release No.: AAER-4011 See also: Administrative Summary |
| 34-84973 | Dec. 26, 2018 | Centrais Elétricas Brasileiras S.A.
See also: Administrative Summary |
| 34-84970 | Dec. 26, 2018 | Stephen T. Carbonella
Other Release No.: IA-5099 |
| 34-84969 | Dec. 26, 2018 | John Sherman Jumper
Other Release No.: IA-5098 |
| 34-84968 | Dec. 26, 2018 | Walter John Dubiel
Other Release No.: IA-5097 |
| 34-84964 | Dec. 26, 2018 | Nutriband, Inc., Gareth Sheridan and Serguei Melnik |
| 34-84962 | Dec. 26, 2018 | Warren D. Nadel
Other Release No.: IA-5094 |
| 34-84956 | Dec. 26, 2018 | ADT Inc.
Other Release No.: AAER-4009 |
| IA-5096 | Dec. 26, 2018 | Lightyear Capital LLC |
| IA-5095 | Dec. 26, 2018 | Alexander C. Burns |
| 34-84921 | Dec. 21, 2018 | Mitchell J. Rubin, CPA and Michael Bernstein, CPA
Other Release No.: AAER-4008 |
| 34-84920 | Dec. 21, 2018 | Crowe Horwath LLP, Joseph C. Macina, CPA and Kevin V. Wydra, CPA
Other Release No.: AAER-4007 |
| IA-5087 | Dec. 21, 2018 | Hedgeable, Inc. |
| IA-5086 | Dec. 21, 2018 | Wealthfront Advisers, LLC and f/k/a Wealthfront, Inc. |
| 33-10599 | Dec. 21, 2018 | Barbara Duka
Other Release Nos.: 34-84923, IC-33339 |
| 33-10598 | Dec. 21, 2018 | Natural Blue Resources, Inc., James E. Cohen and Joseph A. Corazzi
Other Release No.: 34-84916 |
| 33-10597 | Dec. 21, 2018 | Tod A. Ditommaso, Esq. |
| 33-10596 | Dec. 21, 2018 | Michael W. Crow
Other Release Nos.: 34-84914, IC-33336 |
| 33-10595 | Dec. 21, 2018 | Frank H. Chiappone, et al.
Other Release No.: 34-84913 |
| 33-10594 | Dec. 21, 2018 | BioElectronics, Corp., et al.
Other Release No.: 34-84910 |
| IA-5089 | Dec. 21, 2018 | Paul Edward "Ed" Lloyd, Jr.
Other Release No.: IC-33337 |
| IA-5088 | Dec. 21, 2018 | Black Diamond Asset Management LLC and Robert Wilson
Other Release No.: IC-33335 |
| IA-5093 | Dec. 21, 2018 | Timbervest, LLC
Other Release No.: IC-33340 |
| 34-84922 | Dec. 21, 2018 | Patric Ken Baccam a/k/a Khanh Sengpraseuth
Other Release No.: IA-5092 |
| 34-84919 | Dec. 21, 2018 | Mohammed Riad and Kevin Timothy Swanson
Other Release Nos.: IA-5091, IC-33338 |
| 34-84915 | Dec. 21, 2018 | James P. Griffin |
| 34-84912 | Dec. 21, 2018 | Darren M. Bennett, CPA
Other Release No.: AAER-4006 |
| 34-84911 | Dec. 21, 2018 | John J. Aesoph, CPA and Darren M. Bennett, CPA
Other Release No.: AAER-4005 |
| 34-84918 | Dec. 21, 2018 | Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randall “Randy” Hartley
See also: Administrative Summary |
| IA-5084 | Dec. 20, 2018 | PPS Advisors, Inc and Lawrence Nicholas Passaretti |
| IA-5083 | Dec. 20, 2018 | American Portfolios Advisors, Inc. |
| 34-84909 | Dec. 20, 2018 | Kun De International Holdings, Inc. and Sutor Technology Group Limited |
| 34-84908 | Dec. 20, 2018 | Core Resource Management, Inc., Maverick Minerals Corporation and Panacea Global, Inc. |
| 34-84907 | Dec. 20, 2018 | Circle Star Energy Corp. and Energy Holdings International, Inc. |
| 34-84890 | Dec. 20, 2018 | James S. Polese
Other Release No.: IA-5082 |
| 34-84885 | Dec. 20, 2018 | John T. Place |
| 34-84878 | Dec. 20, 2018 | Golden Pig Ventures, Inc., et al. |
| IA-5085 | Dec. 20, 2018 | Sterling Global Strategies LLC |
| IA-5081 | Dec. 20, 2018 | Mark J. Moskowitz |
| IA-5080 | Dec. 20, 2018 | Walter F. Grenda, Jr.
See also: Administrative Summary |
| 34-84876 | Dec. 19, 2018 | Andrew F. Nicoletta, et al. |
| 34-84851 | Dec. 19, 2018 | Central States Capital Markets, LLC
Other Release No.: IA-5078 See also: Administrative Summary |
| 34-84850 | Dec. 18, 2018 | Takeshi "Tyrone" Uonaga |
| 34-84849 | Dec. 18, 2018 | Paul A. Margis |
| IA-5077 | Dec. 18, 2018 | Ancora Advisors LLC |
| 33-10587 | Dec. 18, 2018 | Chris D. Rosenthal
Other Release Nos.: 34-84841, IA-5076, IC-33328 See also: Administrative Summary |
| IA-5079 | Dec. 17, 2018 | NB Alternatives Advisers LLC
See also: Administrative Summary |
| 34-84829 | Dec. 17, 2018 | Santander Consumer USA Holdings Inc.
Other Release No.: AAER-4002 See also: Administrative Summary |
| 33-10586 | Dec. 17, 2018 | The Bank of New York Mellon |
| 34-84828 | Dec. 17, 2018 | UBS Financial Services Inc.
Other Release No.: IA-5075 See also: Administrative Summary |
| IA-5074 | Dec. 13, 2018 | Yucaipa Master Manager, LLC
See also: Administrative Summary |
| 34-84815 | Dec. 13, 2018 | Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company |
| 34-84813 | Dec. 13, 2018 | Stanley P. Bates |
| 34-84811 | Dec. 13, 2018 | Carlos I. Uresti |
| 33-10584 | Dec. 12, 2018 | America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC and America Modern Green Residential (Houston) LLC |
| 34-84807 | Dec. 12, 2018 | Landaas & Company and Robert W. Landaas
Other Release No.: IA-5072 See also: Administrative Summary |
| IA-5073 | Dec. 12, 2018 | Richard W. Kessler |
| 34-84803 | Dec. 11, 2018 | Balqon Corporation, et al. |
| 34-84802 | Dec. 11, 2018 | Dearborn Bancorp, Inc., et al. |
| 34-84801 | Dec. 11, 2018 | Medicus Homecare Inc. |
| 34-84798 | Dec. 11, 2018 | Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.), et al. |
| 34-84794 | Dec. 11, 2018 | Alfred C. Teran
Other Release No.: IC-33322 |
| 34-84785 | Dec. 11, 2018 | Lotus Bio-Technology Development Corporation
Other Release No.: AAER-4001 |
| 34-84784 | Dec. 11, 2018 | Frontier Oilfield Services, Inc.
Other Release No.: AAER-4000 |
| 34-84783 | Dec. 11, 2018 | Eastgate Biotech Corporation
Other Release No.: AAER-3999 |
| 34-84782 | Dec. 11, 2018 | Auscrete Corporation
Other Release No.: AAER-3998 |
| 34-84781 | Dec. 11, 2018 | The Hain Celestial Group, Inc.
Other Release No.: AAER-3997 |
| 34-84779 | Dec. 10, 2018 | Hua Yang Investment Group, et al. |
| 34-84764 | Dec. 10, 2018 | Lai Guanglin (Alan) |
| 34-84763 | Dec. 10, 2018 | Agria Corporation
Other Release No.: AAER-3996 |
| 34-84760 | Dec. 10, 2018 | Natixis Securities Americas LLC |
| 34-84759 | Dec. 10, 2018 | Citadel Securities LLC |
| 34-84758 | Dec. 10, 2018 | MUFG Securities Americas Inc. |
| 33-10582 | Dec. 7, 2018 | CoinAlpha Advisors LLC |
| 34-84725 | Dec. 6, 2018 | Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
See also: Proposed Distribution Plan Comments due: 30 days from date of this Notice |
| 34-84718 | Dec. 4, 2018 | KCAP Financial, Inc.
Other Release Nos.: IC-33314, AAER-3995 See also: Administrative Summary |
| 34-84715 | Dec. 3, 2018 | John C. Maccoll
Other Release No.: IA-5071 |
| 33-10581 | Dec. 3, 2018 | Fifth Street Management, LLC
Other Release Nos.: 34-84713, IA-5070, IC-33312 See also: Administrative Summary |
| 34-84712 | Dec. 3, 2018 | Linkbrokers Derivatives LLC |
| 34-84707 | Nov. 30, 2018 | Ronald Wayne Nabors
Other Release No.: IA-5069 |
| 34-84693 | Nov. 29, 2018 | ColorStars Group, et al. |
| 33-10579 | Nov. 29, 2018 | Khaled Khaled |
| 33-10578 | Nov. 29, 2018 | Floyd Mayweather Jr. |
| 34-84675 | Nov. 29, 2018 | Augustine Capital Management, et al.
See also: Proposed Distribution Plan Comments due: 30 days from date of this Notice |
| 34-84665 | Nov. 27, 2018 | Ricardo H. Goldman |
| 34-84654 | Nov. 26, 2018 | Avant Diagnostics, Inc., et al. (Corrected) |
| 34-84628 | Nov. 20, 2018 | Michael T. Gluk, CPA |
| 34-84625 | Nov. 19, 2018 | eRoomSystem Technologies, Inc. |
| IA-5066 | Nov. 19, 2018 | Mark Hotton |
| IA-5065 | Nov. 19, 2018 | Retirement Capital Strategies, Inc.
See also: Administrative Summary |
| 34-84618 | Nov. 19, 2018 | Robert William Myers, Jr. |
| 34-84617 | Nov. 19, 2018 | Vantage Drilling International
Other Release No.: AAER-3994 See also: Administrative Summary |
| 34-84609 | Nov. 16, 2018 | Apex Fund Services (Us), Inc.
See also: Amended Distribution Plan |
| 34-84608 | Nov. 16, 2018 | Visium Asset Management, LP |
| 34-84607 | Nov. 16, 2018 | DeVere USA, Inc. |
| 33-10575 | Nov. 16, 2018 | CarrierEQ, Inc., d/b/a AirFox |
| 33-10574 | Nov. 16, 2018 | Paragon Coin, Inc. |
| 34-84606 | Nov. 15, 2018 | AMI James Brands, Inc., et al. |
| 34-84605 | Nov. 15, 2018 | Function(x), Inc. |
| 34-84598 | Nov. 14, 2018 | Solaris Power Cells, Inc., Stragenics, Inc. and Ultimate Rack Inc. |
| 34-84596 | Nov. 14, 2018 | Solaris Power Cells, Inc., Stragenics, Inc. and Ultimate Rack Inc. |
| 34-84595 | Nov. 14, 2018 | Nutrastar International, Inc. |
| 34-84593 | Nov. 14, 2018 | America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc. |
| 34-84579 | Nov. 13, 2018 | Mullan Agritech, Inc., ReliaBrand, Inc. and UBL Interactive, Inc. |
| 34-84564 | Nov. 9, 2018 | Salvadore D. Palermo |
| 34-84563 | Nov. 9, 2018 | Steve Qi, Esq. |
| 34-84562 | Nov. 9, 2018 | Pyxus International, Inc.
Other Release No.: AAER-3993 See also: Administrative Summary |
| IA-5064 | Nov. 9, 2018 | Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies |
| 34-84555 | Nov. 8, 2018 | Douglas P. Simanski
Other Release No.: IA-5063 |
| 34-84554 | Nov. 8, 2018 | Jeremy A. Licht d/b/a JL Capital Management |
| 34-84553 | Nov. 8, 2018 | Zachary Coburn |
| 34-84549 | Nov. 7, 2018 | Avant Diagnostics, Inc., et al. |
| 33-10572 | Nov. 7, 2018 | ITG Inc. and AlterNet Securities, Inc.
Other Release No.: 34-84548 |
| 33-10571 | Nov. 7, 2018 | Citibank, N.A. |
| IA-5062 | Nov. 6, 2018 | Mark A. Elste |
| IA-5061 | Nov. 6, 2018 | Pennant Management, Inc.
See also: Administrative Summary |
| 34-84532 | Nov. 5, 2018 | JPMorgan Chase & Co. |
| 34-84531 | Nov. 5, 2018 | Maxwell Technologies, Inc., et al.
See also: Plan of Distribution |
| 34-84526 | Nov. 2, 2018 | Brett Thomas Graham
Other Release No.: IA-5060 |
| 34-84525 | Nov. 2, 2018 | Mark E. Fisher, Esq. |
| 34-84501 | Oct. 30, 2018 | Aric Yerusalem Swartz |
| 34-84493 | Oct. 26, 2018 | Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
See also: Corrected Distribution Plan |
| 34-84492 | Oct. 25, 2018 | Penny Auction Solutions, Inc., Sebring Software, Inc. and Studio II Brands, Inc. |
| 34-84491 | Oct. 25, 2018 | Mass Hysteria Entertainment Company, Inc., Stark Naked Bobbers and TOA Holdings, Inc. |
| 34-84485 | Oct. 25, 2018 | Joseph Alborano |
| 34-84484 | Oct. 24, 2018 | Swissinso Holding, Inc., SYDYS Corporation and UnifiedOnline, Inc. |
| 34-84483 | Oct. 24, 2018 | Emilio Francisco |
| 34-84482 | Oct. 24, 2018 | Marilyn R. Thomassen |
| 34-84475 | Oct. 23, 2018 | Bahamas Concierge, Inc., Emoneco, Inc. and Titanium Healthcare, Inc. |
| 34-84474 | Oct. 23, 2018 | Bitzio, Inc. and Enerpulse Technologies, Inc. |
| 34-84468 | Oct. 22, 2018 | JuQun, Inc., et al. |
| 34-84467 | Oct. 22, 2018 | America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc. |
| 34-84466 | Oct. 22, 2018 | EMAV Holdings, Inc., et al. |
| IA-5059 | Oct. 22, 2018 | Todd Elliott Hitt |
| 34-84461 | Oct. 19, 2018 | Zachary S. Berkey |
| 34-84459 | Oct. 19, 2018 | Epic Stores Corp., et al. |
| IA-5058 | Oct. 19, 2018 | Michael B. Rothenberg |
| 34-84453 | Oct. 18, 2018 | Americas Wind Energy Corporation, et al. |
| 34-84452 | Oct. 18, 2018 | BKS Advisors LLC and Robert Denha |
| IA-5057 | Oct. 18, 2018 | John H. Rogicki |
| 34-84446 | Oct. 17, 2018 | Fern Holdings Corp., et al. |
| 34-84445 | Oct. 17, 2018 | Chile Mining Technologies Inc. |
| 34-84443 | Oct. 17, 2018 | Mark R. Graham, Blue Capital Management, Inc. and Blue Alternative Asset Management, L.L.C. |
| 34-84422 | Oct. 12, 2018 | American Sands Energy Corp., et al. |
| 34-84421 | Oct. 12, 2018 | Aurios Inc., et al. |
| 34-84419 | Oct. 12, 2018 | Richard J. Bertuglia, CPA, John W. Green, CPA and Lev Nagdimov, CPA
Other Release No.: AAER-3992 See also: Administrative Summary |
| 34-84416 | Oct. 12, 2018 | Daniel Joseph Touizer |
| 34-84415 | Oct. 12, 2018 | Apex Fund Services (US), Inc.
See also: Amended Proposed Plan of Distribution Comments due: 30 days from date of this Notice |
| 34-84414 | Oct. 12, 2018 | Saul Daniel Suster |
| 34-84413 | Oct. 11, 2018 | Americas Wind Energy Corporation, et al. |
| 34-84408 | Oct. 11, 2018 | John Kevin Reech |
| 34-84407 | Oct. 11, 2018 | Linkbrokers Derivatives, LLC |
| 34-84390 | Oct. 10, 2018 | Ross B. Shapiro
Other Release No.: IA-5056 |
| 34-84372 | Oct. 4, 2018 | Scrap China Corp., et al. |
| 34-84371 | Oct. 4, 2018 | Petron Energy II, Inc., et al. |
| 34-84359 | Oct. 4, 2018 | Paul T. Rampoldi
Other Release No.: IA-5055 |
| 34-84347 | Oct. 2, 2018 | Golden Global Corp. and Power Efficiency Corporation |
| 34-84346 | Oct. 2, 2018 | AMI James Brands, Inc., et al. |
| 34-84345 | Oct. 2, 2018 | First Liberty Power Corp., et al. |
| 34-84342 | Oct. 2, 2018 | Patrick Lanier |
| 34-84333 | Oct. 1, 2018 | Radiant Oil & Gas, Inc., Tungsten Corp. and Well Power, Inc. |
| 34-84332 | Oct. 1, 2018 | Ampal-American Israel Corporation, Robertson Global Health Solutions Corporation and Sanguine Corporation |
| 34-84331 | Oct. 1, 2018 | ARX Gold Corporation |
| 34-84329 | Oct. 1, 2018 | Taberna Capital Management, LLC, Michael Fralin and Raphael Licht |
Third Quarter | ||
| 34-84318 | Sep. 28, 2018 | Stephen Romo |
| 34-84315 | Sep. 28, 2018 | Unal Patel and Amish Patel |
| 33-10565 | Sep. 28, 2018 | Credit Suisse Securities (USA) LLC
Other Release No.: 34-84314 |
| 34-84316 | Sep. 28, 2018 | John Wolle |
| IA-5054 | Sep. 28, 2018 | LendingClub Asset Management, LLC, et al.
Other Release No.: IC-33259 |
| 33-10564 | Sep. 28, 2018 | Mota Group, Inc. and Mota "Michael" Faro
Other Release No.: AAER-3991 See also: Administrative Summary |
| IA-5053 | Sep. 28, 2018 | Lawrence Allen Deshetler |
| 34-84310 | Sep. 28, 2018 | John Montague |
| 34-84309 | Sep. 28, 2018 | COR Clearing, LLC |
| 34-84308 | Sep. 28, 2018 | Stryker Corporation |
| 33-10562 | Sep. 28, 2018 | Walgreens Boots Alliance, Inc., Gregory D. Wasson and Wade D. Miquelon |
| 34-84306 | Sep. 28, 2018 | Paul Katsaros |
| 34-84303 | Sep. 27, 2018 | Fuel Performance Solutions, Inc., et al. |
| 34-84301 | Sep. 27, 2018 | Oakridge Global Energy Solutions, Inc. |
| 34-84305 | Sep. 27, 2018 | Gary Bernard Ross
Other Release No.: IA-5052 |
| 34-84304 | Sep. 27, 2018 | Thomas Earl Hayden, et al.
See also: Administrative Summary |
| IA-5050 | Sep. 27, 2018 | Putnam Investment Management, LLC and Zachary Harrison
Other Release No.: IC-33257 See also: Administrative Summary |
| 34-84300 | Sep. 27, 2018 | Ismail Elmas
Other Release No.: IA-5051 |
| 33-10561 | Sep. 27, 2018 | Petróleo Brasileiro S.A. - Petrobras
Other Release Nos.: 34-84205, AAER-3989 |
| 34-84296 | Sep. 27, 2018 | Maxwell Technologies, Inc., et al.
See also: Proposed Distribution Plan |
| 34-84292 | Sep. 26, 2018 | Leroy "Lee" K. Young
Other Release No.: IA-5049 |
| 34-84291 | Sep. 26, 2018 | Dhru Desai
Other Release No.: AAER-3988 |
| 34-84288 | Sep. 26, 2018 | Voya Financial Advisors, Inc.
Other Release No.: IA-5048 |
| IA-5046 | Sep. 25, 2018 | Thomas J. Caufield |
| 34-84280 | Sep. 25, 2018 | Patricio Contesse González |
| IA-5047 | Sep. 25, 2018 | Hudson Housing Capital LLC
See also: Administrative Summary |
| 34-84281 | Sep. 25, 2018 | Lichter, Yu and Associates, Inc., et al.
Other Release No.: AAER-3987 |
| IA-5045 | Sep. 25, 2018 | Todd Wortman |
| IA-5044 | Sep. 25, 2018 | Dawn Roberts |
| 33-10560 | Sep. 25, 2018 | SG Americas Securities, LLC as successor entity to Newedge USA, LLC
Other Release No.: 34-84277 |
| 34-84273 | Sep. 24, 2018 | United Development Funding III, LP, United Development Funding IV and United Development Funding Income Fund V |
| 34-84272 | Sep. 24, 2018 | Shawn K. Dicken |
| 34-84271 | Sep. 24, 2018 | Mary A. Faher
Other Release No.: IA-5043 |
| 34-84268 | Sep. 24, 2018 | Cory Ryan Williams
Other Release No.: IA-5042 |
| 34-84269 | Sep. 24, 2018 | TD Ameritrade, Inc. |
| 34-84267 | Sep. 21, 2018 | MaryJane Group, Inc., Omega Commercial Finance Corp. and Redpoint Bio Corp. |
| 34-84265 | Sep. 21, 2018 | Golden Claw Ventures, Inc., et al. |
| 34-84263 | Sep. 21, 2018 | Infrax Systems, Inc.
Other Release No.: AAER-3985 |
| 34-84262 | Sep. 21, 2018 | First Hartford Corporation
Other Release No.: AAER-3984 |
| 34-84261 | Sep. 21, 2018 | Dasan Zhone Solutions, Inc.
Other Release No.: AAER-3983 |
| 34-84260 | Sep. 21, 2018 | Cool Technologies, Inc.
Other Release No.: AAER-3982 |
| 33-10559 | Sep. 21, 2018 | CMB Export, et al.
Other Release No.: 34-84264 |
| 34-84258 | Sep. 21, 2018 | Cardiff Lexington Corporation (f/k/a Cardiff International, Inc.)
Other Release No.: AAER-3981 |
| 34-84253 | Sep. 21, 2018 | Scrap China Corp., et al. |
| 33-10558 | Sep. 21, 2018 | Heartland Payment Systems, LLC, f/k/a Heartland Payment Systems, Inc. and Robert O. Carr
Other Release No.: AAER-3980 See also: Administrative Summary |
| 34-84252 | Sep. 21, 2018 | Dennis W. Hamilton, CPA
Other Release No.: AAER-3979 |
| IA-5041 | Sep. 21, 2018 | Ophrys, LLC |
| 34-84251 | Sep. 21, 2018 | Primoris Services Corporation
Other Release No.: AAER-3978 See also: Administrative Summary |
| 34-84228 | Sep. 20, 2018 | Appian, Inc., et al. |
| 34-84250 | Sep. 20, 2018 | Be Industries, Inc., et al. |
| 34-84249 | Sep. 20, 2018 | Cybergy Holdings, Inc., et al. |
| 34-84245 | Sep. 20, 2018 | Anpulo Food Development, Inc., et al. |
| 34-84243 | Sep. 20, 2018 | Ceelox, Inc., et al. |
| 34-84242 | Sep. 20, 2018 | GeneSYS ID, et al. |
| 34-84240 | Sep. 20, 2018 | Petrosonic Energy, Inc., PSM Holdings, Inc. and Rackwise, Inc. |
| 34-84235 | Sep. 20, 2018 | Marc Jay Bryant (a/k/a Marc Jay Welch) |
| 34-84234 | Sep. 20, 2018 | David Howard Welch (a/k/a David Howard Bryant) |
| 34-84232 | Sep. 20, 2018 | Banc of America Capital Management, LLC, BACAP Distributors, LLC and Banc of America Securities, LLC |
| 33-10557 | Sep. 20, 2018 | Barrett Business Services, Inc. and Mark Cannon, CPA
Other Release Nos.: 34-84233, AAER-3977 |
| 34-84230 | Sep. 20, 2018 | BKS Advisors, LLC and Robert T. Denha |
| 34-84226 | Sep. 20, 2018 | Joel N. Burstein
Other Release No.: IA-5040 |
| 34-84224 | Sep. 20, 2018 | Eric Hall & Associates, LLC and Eric Hall
Other Release No.: IC-33241 See also: Administrative Summary |
| 34-84223 | Sep. 19, 2018 | Coupon Express, Inc., et al. |
| 34-84220 | Sep. 19, 2018 | Colorado Goldfields, Inc., LYFE Communications, Inc. and Revolutions Medical Corporation |
| 34-84218 | Sep. 19, 2018 | American Petro-Hunter, Inc. and Prospect Global Resources Inc. |
| 34-84216 | Sep. 19, 2018 | American Sands Energy Corp., et al. |
| 34-84212 | Sep. 19, 2018 | Bahamas Concierge, Inc., eMONEco, Inc. and Titanium Healthcare, Inc. |
| 34-84211 | Sep. 19, 2018 | GSM Group, Inc. (f/k/a Northam Acquisition Corp.) |
| 33-10555 | Sep. 19, 2018 | Sientra, Inc.
Other Release No.: 34-84208 |
| 33-10554 | Sep. 19, 2018 | Phillip R. Grogan, Esq.
Other Release No.: 34-84197 |
| 33-10553 | Sep. 19, 2018 | Michael L. LaPenna
Other Release No.: 34-84196 |
| 34-84207 | Sep. 19, 2018 | Bronson L. Quon, CPA
Other Release No.: AAER-3976 |
| 34-84206 | Sep. 19, 2018 | Robert Torino
Other Release No.: AAER-3975 |
| 34-84205 | Sep. 19, 2018 | Nasir Shakouri
Other Release No.: AAER-3974 |
| 34-84201 | Sep. 19, 2018 | Allan Michael Roth |
| IA-5038 | Sep. 19, 2018 | Karen Bruton, CPA and Hope Advisors, LLC |
| 34-84199 | Sep. 19, 2018 | Travis A. Branch
Other Release No.: IA-5039 |
| 34-84198 | Sep. 19, 2018 | Karen Bruton, CPA
Other Release No.: AAER-3973 |
| 34-84193 | Sep. 18, 2018 | Entourage Mining Ltd., et al. |
| 34-84190 | Sep. 18, 2018 | China Ginseng Holdings, Inc., Hongli Clean Energy Technologies Corp. and Tianyin Pharmaceuticals Co., Inc. |
| 34-84188 | Sep. 18, 2018 | Avant Diagnostics, Inc., et al. |
| 34-84186 | Sep. 18, 2018 | Epic Stores Corp., et al. |
| 34-84184 | Sep. 18, 2018 | Swissinso Holding, Inc., SYDYS Corporation and UnifiedOnline, Inc. |
| 34-84182 | Sep. 18, 2018 | Susan E. Walker
Other Release No.: IA-5037 |
| 34-84181 | Sep. 18, 2018 | Jennifer R. Johnson
Other Release No.: IA-5036 |
| IA-5035 | Sep. 18, 2018 | Creative Planning, Inc. and Peter A. Mallouk
See also: Administrative Summary |
| 34-84178 | Sep. 17, 2018 | Ampal-American Israel Corporation, Robertson Global Health Solutions Corporation and Sanguine Corporation |
| 34-84173 | Sep. 17, 2018 | AMI James Brands, Inc., et al. |
| 34-84171 | Sep. 17, 2018 | Colorstars Group, et al. |
| 34-84169 | Sep. 17, 2018 | First Liberty Power Corp., et al. |
| 33-10552 | Sep. 17, 2018 | Lane J. Castleton
Other Release No.: 34-84162 See also: Administrative Summary |
| 33-10551 | Sep. 17, 2018 | Glenn R. Rink
Other Release No.: 34-84161 See also: Administrative Summary |
| 33-10550 | Sep. 17, 2018 | Abtech Holdings, Inc.
Other Release No.: 34-84160 See also: Administrative Summary |
| 34-84164 | Sep. 17, 2018 | Heidi Wivolin
Other Release No.: IA-5034 |
| 34-84163 | Sep. 17, 2018 | John L. Gathright, Jr.
Other Release No.: IA-5033 |
| 34-84131 | Sep. 14, 2018 | Jennifer F. Wolf, CPA
Other Release No.: AAER-3972 |
| IC-33226 | Sep. 14, 2018 | Cushing Asset Management, LP |
| 33-10546 | Sep. 14, 2018 | Cecil Gregory Earls and Thomas R. Caggiano
Other Release Nos.: 34-84126, IA-5010, IC-33227 See also: Administrative Summary |
| 33-10545 | Sep. 14, 2018 | Citigroup Global Markets, Inc. and Citi Order Routing and Execution, LLC
Other Release No.: 34-84124 |
| IA-5009 | Sep. 14, 2018 | Capital Analysts, LLC |
| 34-84121 | Sep. 13, 2018 | MedPro Safety Products, Inc., et al. |
| 34-84119 | Sep. 13, 2018 | Ournett Holdings, Inc., Unigene Laboratories, Inc. and Vicon Fiber Optics Corp. |
| 34-84118 | Sep. 13, 2018 | Holthouse Carlin & Van Trigt LLP
Other Release Nos.: IA-5008, AAER-3970 See also: Administrative Summary |
| 34-84116 | Sep. 13, 2018 | Convergex Execution Solutions, LLC and Now Known as Cowen Execution Services LLC
Other Release No.: IA-5007 |
| 34-84115 | Sep. 13, 2018 | Harbour Investments, Inc.
Other Release No.: IA-5006 |
| 34-84112 | Sep. 13, 2018 | Montbriar, Inc., Soul Delicious3 Corp. and Universal Holdings & Consulting, Inc. |
| 34-84111 | Sep. 13, 2018 | Geo Reserve Corp., I Sites, Inc. and T.A.G. Acquisitions, Ltd. |
| 34-84110 | Sep. 13, 2018 | AFS Holdings, Inc. and Midas Real Estate Ventures, Inc. |
| 34-84109 | Sep. 13, 2018 | Position Inc., Test Case Acquisition, Inc. and Tidal Wave Holding, Inc. |
| 34-84104 | Sep. 12, 2018 | Munro Developments, Inc., Stallion Synergies, Inc. (n/k/a World Wind Holding Group, Inc.), and Sunergy, Inc. |
| 34-84102 | Sep. 12, 2018 | Aquarius Cannabis, et al. |
| 34-84101 | Sep. 12, 2018 | Stonewall Financial, Ltd., et al. |
| 34-84096 | Sep. 12, 2018 | American Natural Energy Corp., CenturyTouch Ltd. and Kaeland Resources Corporation |
| 34-84095 | Sep. 12, 2018 | AFH Acquisition VI, Inc., et al. |
| 34-84094 | Sep. 12, 2018 | Eco-Trade Corp., LTWC Corporation and Onyx Service & Solutions, Inc. |
| 34-84088 | Sep. 12, 2018 | Royal B.Y. Investment Management LLC, et al. |
| 34-84092 | Sep. 12, 2018 | Golden Pig Ventures, Inc., et al. |
| 34-84091 | Sep. 12, 2018 | FalconTarget, Inc., Grand Monarch Holdings, Inc. and OICCO Acquisition III, Inc. |
| 34-84090 | Sep. 12, 2018 | CPI Corp., et al. |
| 34-84087 | Sep. 12, 2018 | United Technologies Corporation |
| 34-84086 | Sep. 11, 2018 | Crailar Technologies, Inc., Midwest Oil & Gas, Inc. and Preston Corp. |
| 34-84084 | Sep. 11, 2018 | Golden Global Corp. and Power Efficiency Corporation |
| 34-84082 | Sep. 11, 2018 | Fastfunds Financial Corporation, First Asia Holdings Ltd. and Zap |
| 34-84080 | Sep. 11, 2018 | Endeavor IP, Inc. (n/k/a Nanolife Health, Inc.), WITH, Inc. |
| 33-10544 | Sep. 11, 2018 | Crypto Asset Management, LP and Timothy Enneking
Other Release Nos.: IA-5004, IC-33222 |
| 33-10543 | Sep. 11, 2018 | TokenLot, LLC, Lenny Kugel and Eli L. Lewitt
Other Release Nos.: 34-84075, IC-33221 |
| 33-10542 | Sep. 11, 2018 | Cadaret, Grant & Co., Inc., et al.
Other Release Nos.: 34-84074, IA-5003 |
| 34-84072 | Sep. 10, 2018 | EMAV Holdings, Inc., et al. |
| 34-84070 | Sep. 10, 2018 | Bitzio, Inc. and Enerpulse Technologies, Inc. |
| 34-84067 | Sep. 7, 2018 | CrossClick Media, Inc., Kabe Exploration, Inc. and Swingplane Ventures, Inc. |
| 34-84066 | Sep. 7, 2018 | The Buck A Day Co., Inc., et al. |
| 34-84064 | Sep. 7, 2018 | American Locker Group, Inc., INTREorg Systems, Inc. and Pegasi Energy Resources Corp. |
| 34-84061 | Sep. 7, 2018 | Fuel Performance Solutions, Inc., et al. |
| 34-84059 | Sep. 7, 2018 | China Health Resource, Inc. and China Logistics Group, Inc. |
| 34-84058 | Sep. 7, 2018 | BNY Mellon Securities, LLC and Mark Shaw |
| IA-5002 | Sep. 7, 2018 | BB&T; Securities, LLC, as successor entity to BB&T; Investment Services, Inc.
See also: Administrative Summary |
| IA-5001 | Sep. 7, 2018 | VSS Fund Management LLC and Jeffrey T. Stevenson |
| 34-84055 | Sep. 7, 2018 | Sarah E. Adams, CPA |
| 34-84054 | Sep. 6, 2018 | Joohyun Bahn and a/k/a Dennis Bahn
Other Release No.: AAER-3968 |
| 34-84052 | Sep. 6, 2018 | Petron Energy II, Inc., et al. |
| 34-84050 | Sep. 6, 2018 | Nutrastar International, Inc. |
| 34-84048 | Sep. 6, 2018 | ScanSys, Inc. and Voz Mobile Cloud LTD |
| 34-84044 | Sep. 6, 2018 | Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
See also: Proposed Distribution Plan Comments due: 30 days from date of this Notice |
| 34-84043 | Sep. 6, 2018 | Mark R. Graham, Blue Capital Management, Inc. and Blue Alternative Asset Management, L.L.C. |
| IA-5000 | Sep. 6, 2018 | Mark R. Graham, Blue Capital Management, Inc. and Blue Alternative Asset Management, L.L.C.
Other Release No.: IC-33218 |
| 34-84042 | Sep. 5, 2018 | Mark Morrow |
| 34-84041 | Sep. 5, 2018 | American First Financial, Inc., et al. |
| 34-84040 | Sep. 5, 2018 | Alterrus Systems, Inc., Corgreen Technologies Holdings Corp. and PC Group, Inc. |
| 34-84039 | Sep. 5, 2018 | Allied American Steel Corp., et al. |
| 34-84030 | Sep. 4, 2018 | David R. Frost |
| 34-84029 | Sep. 4, 2018 | Ralph M. Riccardi |
| 34-84028 | Sep. 4, 2018 | RMR Asset Management Company |
| 34-84027 | Sep. 4, 2018 | Dewey T. Tran |
| 34-84026 | Sep. 4, 2018 | Timothy J. McAloon |
| 34-84025 | Sep. 4, 2018 | Douglas J. Derryberry |
| 34-84024 | Sep. 4, 2018 | John Pierrard
Other Release No.: AAER-3967 |
| 34-84023 | Sep. 4, 2018 | Joanne K. Viard, CPA
Other Release No.: AAER-3966 |
| 34-84022 | Sep. 4, 2018 | Michael J. Kipp
Other Release No.: AAER-3965 |
| 34-84019 | Sep. 4, 2018 | Philip A. Weiner |
| 34-84018 | Sep. 4, 2018 | David S. Luttbeg |
| 34-84017 | Sep. 4, 2018 | Sanofi
Other Release No.: AAER-3964 |
| 34-84016 | Aug. 31, 2018 | Neil P. Kelly |
| 34-84015 | Aug. 31, 2018 | John M. Kirschenbaum |
| 34-84014 | Aug. 31, 2018 | Bruce A. Broekhuizen |
| IA-4999 | Aug. 31, 2018 | Massachusetts Financial Services Company |
| 34-84010 | Aug. 30, 2018 | Philip R. Jacoby, Jr.
Other Release No.: AAER-3963 |
| 34-84008 | Aug. 30, 2018 | Americas Wind Energy Corporation, et al. |
| 34-84007 | Aug. 30, 2018 | Everyday Assembly Productions, Inc., Forgotten Investments Co., Inc. and Market Integrity, Inc. |
| 34-84006 | Aug. 30, 2018 | Amonra Omnia, et al. |
| 34-84005 | Aug. 30, 2018 | AlphaMetrix Managed Futures LLC, et al. |
| 34-84004 | Aug. 30, 2018 | Visium Asset Management, LP |
| 34-83999 | Aug. 30, 2018 | Credit Suisse Securities (USA) LLC and Sanford Michael Katz
See also: Distribution Plan |
| 34-83998 | Aug. 30, 2018 | Visium Asset Management, LP |
| 34-83997 | Aug. 30, 2018 | Huntington Bancshares, Inc., et al. |
| 34-83996 | Aug. 30, 2018 | Aladdin Capital Management LLC and Aladdin Capital LLC; Joseph A. Schlim |
| 34-83993 | Aug. 29, 2018 | David Michael Naylor, CPA
Other Release No.: AAER-3962 |
| 34-83991 | Aug. 29, 2018 | Rotoblock Corporation and U.S. China Mining Group, Inc. |
| 34-83989 | Aug. 29, 2018 | Makism 3D Corp. and Safebrain Systems, Inc. |
| 33-10541 | Aug. 29, 2018 | Delaney Equity Group LLC, David C. Delaney and Ian C. Kass
Other Release No.: 34-83987 |
| 33-10540 | Aug. 29, 2018 | Delaney Equity Group LLC, David C. Delaney and Ian C. Kass
Other Release No.: 34-83986 |
| 34-83985 | Aug. 29, 2018 | Manna Capital, Inc., MCA Holdings Corp. and QMI Seismic, Inc. |
| 34-83984 | Aug. 29, 2018 | Gaming Ventures PLC, GeeWhiz, Inc. (a/k/a GeeWiz.Com, Inc.), and Grace 3, Inc. |
| 34-83981 | Aug. 29, 2018 | Chad Anthony Lewis |
| 34-83980 | Aug. 28, 2018 | Great Wall Builders Ltd., PuraMed BioScience, Inc. and TagLikeMe Corp. |
| 34-83978 | Aug. 28, 2018 | Equilar Capital Corp. and Neuro-Biotech Corporation |
| 34-83977 | Aug. 28, 2018 | IDO Security, Inc., Redify Group, Inc. and Spartan Gold Ltd. |
| 34-83966 | Aug. 28, 2018 | Moody's Investors Service, Inc. |
| 34-83965 | Aug. 28, 2018 | Moody's Investors Service, Inc. |
| 34-83963 | Aug. 27, 2018 | Rio Bravo Oil, Inc. and UAN Cultural & Creative Co., Ltd. |
| 34-83962 | Aug. 27, 2018 | Micra Soundcards Inc., Mirex, Inc. and Myotec, Inc. |
| 34-83957 | Aug. 27, 2018 | Lynette M. Robbins |
| 34-83956 | Aug. 27, 2018 | David Gray |
| 34-83948 | Aug. 27, 2018 | Legg Mason, Inc.
Other Release No.: AAER-3961 |
| IA-4998 | Aug. 27, 2018 | Kevin A. Giles |
| IA-4997 | Aug. 27, 2018 | Bradley J. Beman |
| 33-10539 | Aug. 27, 2018 | AEGON USA Investment Management, LLC, et al.
Other Release Nos.: 34-83947, IA-4996, IC-33215 |
| 34-83946 | Aug. 24, 2018 | Central Park Acquisition I, Inc., Genitope Corporation and Meridian Acquisition Corporation |
| 34-83945 | Aug. 24, 2018 | Middle Kingdom Resources Ltd., Multimod Investments, Inc. and New Generation Films, Inc. |
| 34-83944 | Aug. 24, 2018 | Media Group 2000 Inc. a/k/a Urban Resorts International Inc. and New Pacific, Inc. |
| 34-83943 | Aug. 24, 2018 | EBHI Holdings, Inc., New Venture Holdings, Inc. and Progressive Gaming International Corp. |
| 34-83942 | Aug. 24, 2018 | Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. |
| 34-83939 | Aug. 24, 2018 | Fig Run Acquisition Corporation, SLM Technologies, Inc. and Trail Run Acquisition Corporation |
| 34-83934 | Aug. 24, 2018 | First Western Advisors
Other Release No.: IA-4995 |
| 34-83933 | Aug. 24, 2018 | RS Soda Holdings, Inc., SGREP, Inc. and Surface Coatings, Inc. |
| 34-83932 | Aug. 24, 2018 | Lightstone Technologies, Inc., Madison & 51St, Inc. and Three Shades for Everybody, Inc. |
| 34-83931 | Aug. 24, 2018 | Forum Acquisitions I, Inc., et al. |
| 34-83930 | Aug. 23, 2018 | James J. O'Neil |
| 34-83924 | Aug. 23, 2018 | Kvintess F&DI; Holdings Corp., Teletronics International, Inc. and TOA Carbon Fiber, Inc. |
| 34-83922 | Aug. 23, 2018 | American Standard Energy Corp., Elm Valley Acquisition Corporation and LVFAR Green Technology Corp. |
| 34-83921 | Aug. 23, 2018 | Inner Systems, Inc. and Toga Capital Limited |
| 34-83920 | Aug. 23, 2018 | Gepco, Ltd., et al. |
| 34-83915 | Aug. 23, 2018 | Fred Alger Management, Inc. and Fred Alger & Company, Incorporated |
| 34-83914 | Aug. 23, 2018 | Train and Babcock Advisors LLC |
| 34-83906 | Aug. 22, 2018 | Deborah B. Dora |
| 34-83905 | Aug. 22, 2018 | Sharlene F. Mesite |
| 34-83903 | Aug. 22, 2018 | Anadel R. Pinzon |
| 34-83902 | Aug. 22, 2018 | Core Performance Management, LLC |
| 34-83901 | Aug. 22, 2018 | James P. Scherr |
| 34-83899 | Aug. 22, 2018 | Jeffrey Scott Davis
Other Release No.: IA-4992 |
| 33-10535 | Aug. 22, 2018 | James T. Lentz |
| IA-4991 | Aug. 22, 2018 | Aria Partners GP, LLC |
| IA-4990 | Aug. 21, 2018 | Biltmore Wealth Management, LLC and Caleb R. Overton
Other Release No.: IC-33208 |
| 34-83897 | Aug. 21, 2018 | David Lubin |
| 34-83896 | Aug. 21, 2018 | Ismail Lila
See also: Administrative Summary |
| 33-10534 | Aug. 21, 2018 | Waruna Tivanka Ellawala
Other Release No.: 34-83894 |
| 33-10533 | Aug. 21, 2018 | Hari K. Ravichandran
Other Release No.: 34-83893 |
| 34-83889 | Aug. 20, 2018 | Joseph Jennings, CPA
Other Release No.: AAER-3960 See also: Administrative Summary |
| 34-83886 | Aug. 20, 2018 | Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release No.: IA-4989 |
| 34-83883 | Aug. 17, 2018 | Daniel H. Glick, CPA
Other Release No.: AAER-3959 |
| IA-4987 | Aug. 17, 2018 | BKS Advisors LLC |
| 34-83873 | Aug. 17, 2018 | Roger T. Denha
Other Release Nos.: IA-4988, IC-33202 |
| 34-83857 | Aug. 16, 2018 | Honglan Wang |
| 34-83859 | Aug. 16, 2018 | Citigroup Global Markets Inc. and Citigroup Inc.
Other Release No.: IA-4986 |
| 34-83858 | Aug. 16, 2018 | Citigroup Inc.
Other Release No.: AAER-3958 |
| 34-83854 | Aug. 15, 2018 | Lauren Zarsky, CPA
Other Release No.: AAER-3957 |
| 34-83851 | Aug. 15, 2018 | William E. Dawn |
| 34-83848 | Aug. 15, 2018 | Ameriprise Financial Services, Inc.
Other Release No.: IA-4985 |
| 34-83840 | Aug. 14, 2018 | NW Capital Markets Inc. and James A. Fagan |
| 33-10529 | Aug. 14, 2018 | Charles Kerry Morris
Other Release No.: 34-83838 |
| 33-10530 | Aug. 14, 2018 | Tomahawk Exploration LLC and David Thompson Laurance
Other Release No.: 34-83839 |
| IA-4984 | Aug. 14, 2018 | Lockwood Advisors, Incorporated
See also: Administrative Summary |
| IA-4983 | Aug. 10, 2018 | Hamlin Capital Management, LLC
See also: Administrative Summary |
| 34-83817 | Aug. 9, 2018 | Jinesh P. Brahmbhatt
Other Release Nos.: IA-4982, IC-33199 |
| 34-83816 | Aug. 9, 2018 | Ramnik S. Aulakh
Other Release Nos.: IA-4981, IC-33198 |
| IA-4980 | Aug. 9, 2018 | Knowledge Leaders Capital, LLC |
| IA-4979 | Aug. 9, 2018 | Melvin Leonard Wimmer, Jr. |
| 34-83807 | Aug. 8, 2018 | Robert J. Brehl, CPA
Other Release No.: AAER-3956 |
| 34-83806 | Aug. 8, 2018 | Daniel M. Fitzpatrick, CPA
Other Release No.: AAER-3955 |
| 34-83805 | Aug. 8, 2018 | Kevin M. Modany, CPA
Other Release No.: AAER-3954 |
| 34-83804 | Aug. 8, 2018 | Dennis Swerdlen |
| 34-83803 | Aug. 8, 2018 | Paula Saccomanno |
| 34-83802 | Aug. 8, 2018 | William Paul Hamilton |
| 34-83801 | Aug. 8, 2018 | Steve Bailen |
| 33-10528 | Aug. 7, 2018 | Ribbon Communications Inc., Mark Greenquist and Michael Swade
Other Release No.: 34-83791 |
| 34-83795 | Aug. 7, 2018 | Aaron R. Smith
See also: Administrative Summary |
| 34-83779 | Aug. 6, 2018 | Gregory G. Young
Other Release No.: IC-33190 |
| 34-83772 | Aug. 3, 2018 | Kurt J. Bordian, CPA
Other Release No.: AAER-3953 |
| 34-83777 | Aug. 3, 2018 | Steven J. Dykes |
| 34-83773 | Aug. 3, 2018 | William Z. Mcfarland |
| 34-83769 | Aug. 3, 2018 | deVere USA, Inc. |
| 34-83766 | Aug. 2, 2018 | Weatherford International PLC, et al. and Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA |
| 34-83764 | Aug. 2, 2018 | Voya Investments, LLC and Directed Services, LLC |
| IA-4977 | Aug. 2, 2018 | Gilbert Fluetsch |
| 34-83754 | Jul. 31, 2018 | Brandon T. Neff
Other Release No.: IC-33188 |
| 34-83742 | Jul. 31, 2018 | Fred Tinker
See also: Administrative Summary |
| 34-83727 | Jul. 27, 2018 | Maxwell Technologies, Inc., et al. |
| 34-83697 | Jul. 24, 2018 | Jack Jarrell
Other Release No.: IA-4976 |
| 33-10524 | Jul. 24, 2018 | Melanie Ryan |
| 33-10525 | Jul. 24, 2018 | Yao Li
Other Release No.: 34-83693 |
| 34-83688 | Jul. 23, 2018 | Richard T. Cunniffe |
| 34-83686 | Jul. 23, 2018 | Sycamore Lane Partners LLC |
| 34-83685 | Jul. 23, 2018 | Mizuho Securities USA LLC |
| 34-83684 | Jul. 20, 2018 | Jefferey A. Gordon |
| 34-83683 | Jul. 20, 2018 | COPsync, Inc., et al. |
| IA-4975 | Jul. 20, 2018 | Beverly Hills Wealth Management, LLC and Margaret Mulligan Black (aka Margaret Mulligan Scott)
See also: Administrative Summary |
| 34-83677 | Jul. 20, 2018 | Deutsche Bank Securities Inc. |
| 33-10523 | Jul. 20, 2018 | Deutsche Bank Trust Company Americas |
| IA-4973 | Jul. 19, 2018 | Michael Devlin
Other Release No.: IC-33162 |
| 34-83669 | Jul. 19, 2018 | Middlecove Capital, LLC and Noah L. Myers
See also: Distribution Plan |
| 34-83657 | Jul. 17, 2018 | Koorosh "Danny" Rahimi |
| 33-10519 | Jul. 17, 2018 | Jay C. Lake, CPA
Other Release Nos.: 34-83655, AAER-3952 |
| IA-4972 | Jul. 17, 2018 | Joseph Pinkney Davis III |
| 34-83649 | Jul. 17, 2018 | Cornelius Peterson
Other Release No.: IA-4969 |
| 34-83652 | Jul. 17, 2018 | James M. Unger
Other Release No.: IA-4971 |
| IA-4970 | Jul. 17, 2018 | New Silk Route Advisors, L.P.
See also: Administrative Summary |
| 34-83650 | Jul. 17, 2018 | BGC Financial, L.P. |
| 34-83637 | Jul. 16, 2018 | Norman M.K. Louie and Mount Kellett Capital Management LP
Other Release No.: IA-4968 |
| 34-83636 | Jul. 16, 2018 | Houston American Energy Corp., et al. |
| 34-83627 | Jul. 13, 2018 | Genesis Associates Limited Partnership |
| 34-83626 | Jul. 13, 2018 | FP Resources USA Inc. and Lobster Point Holdings Limited |
| 34-83622 | Jul. 12, 2018 | Anton & Chia, LLP, et al.
Other Release No.: AAER-3951 |
| IA-4967 | Jul. 12, 2018 | John B. Engebretson |
| 34-83621 | Jul. 12, 2018 | Credit Suisse Securities (USA) LLC; Sanford Michael Katz
See also: Proposed Distribution Plan Comments due: 30 days from date of this Notice |
| 34-83620 | Jul. 12, 2018 | Patrick J. Gray
Other Release No.: AAER-3950 |
| 34-83615 | Jul. 10, 2018 | Ralph Willard Savoie
Other Release No.: IA-4966 |
| IA-4964 | Jul. 10, 2018 | Leonard S. Schwartz See also: Administrative Summary |
| IA-4963 | Jul. 10, 2018 | HBA Advisors, LLC and Jaime Enrique Biel See also: Administrative Summary |
| IA-4962 | Jul. 10, 2018 | Brian S. Eyster See also: Administrative Summary |
| IA-4961 | Jul. 10, 2018 | William M. Greenfield See also: Administrative Summary |
| IA-4960 | Jul. 10, 2018 | Oaktree Capital Management, L.P. |
| IA-4959 | Jul. 10, 2018 | EnCap Investments L.P. |
| IA-4958 | Jul. 10, 2018 | Sofinnova Ventures, Inc. |
| 34-83613 | Jul. 10, 2018 | Romano Brothers & Company
Other Release No.: IA-4965 See also: Administrative Summary |
| 34-83611 | Jul. 10, 2018 | Matthew C. Woodard
Other Release No.: IA-4957 |
| 33-10517 | Jul. 10, 2018 | Advanced Drainage Systems, Inc. and Mark B. Sturgeon, CPA
Other Release Nos.: 34-83612, AAER-3949 See also: Administrative Summary |
| 34-83610 | Jul. 9, 2018 | Egan-Jones Ratings Company |
| 34-83608 | Jul. 9, 2018 | Porter B. Bingham |
| 34-83607 | Jul. 9, 2018 | Malachi Financial Products, Inc. |
| 34-83606 | Jul. 9, 2018 | Andrew B Calhoun Jr. |
| 34-83605 | Jul. 9, 2018 | Andrew B Calhoun IV |
| 34-83604 | Jul. 6, 2018 | Eugene Terracciano
Other Release Nos.: IA-4956, IC-33151 |
| 34-83603 | Jul. 6, 2018 | Roger S. Zullo
Other Release No.: IA-4955 |
| 34-83602 | Jul. 6, 2018 | Michael Johnson
Other Release Nos.: IA-4954, IC-33150 |
| 34-83598 | Jul. 6, 2018 | Daniel Burgess |
| 34-83593 | Jul. 5, 2018 | Credit Suisse Group AG
Other Release No.: AAER-3948 |
| 34-83581 | Jul. 2, 2018 | The Dow Chemical Company
Other Release No.: AAER-3947 See also: Administrative Summary |
| 33-10516 | Jul. 2, 2018 | KBR, Inc.
Other Release Nos.: 34-83578, AAER-3946 |
| 34-83575 | Jul. 2, 2018 | Beam Inc., n/k/a Beam Suntory Inc.
Other Release No.: AAER-3944 See also: Administrative Summary |
| 34-83574 | Jun. 29, 2018 | Green Parts International, Inc., et al. |
Second Quarter | ||
| IA-4952 | Jun. 29, 2018 | THL Managers V, LLC and THL Managers VI, LLC |
| IA-4951 | Jun. 29, 2018 | Aisling Capital LLC
See also: Administrative Summary |
| IA-4950 | Jun. 29, 2018 | Bruce A. Hauptman and Grand Teton Capital Management, LLC
Other Release No.: IC-33143 See also: Administrative Summary |
| 34-83571 | Jun. 29, 2018 | Morgan Stanley Smith Barney LLC
Other Release No.: IA-4953 |
| 34-83565 | Jun. 29, 2018 | Cantor Fitzgerald & Co. |
| 34-83564 | Jun. 29, 2018 | Barry T. Eisenberg |
| 34-83563 | Jun. 29, 2018 | Philip A. Noto II |
| 34-83562 | Jun. 29, 2018 | Alexander Capital, L.P. |
| 34-83556 | Jun. 28, 2018 | Bayes Capital, LLC |
| 34-83552 | Jun. 28, 2018 | Jon B. Schmidhammer
Other Release No.: IA-4949 |
| 33-10511 | Jun. 25, 2018 | Wells Fargo Advisors, LLC
Other Release Nos.: 34-83508, IA-4947 |
| 34-83503 | Jun. 25, 2018 | Derik J. Todd, et al. |
| 34-83502 | Jun. 25, 2018 | Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC |
| 34-83497 | Jun. 22, 2018 | Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan
See also: Distribution Plan |
| 34-83496 | Jun. 22, 2018 | Apex Fund Services (US), Inc. |
| 34-83488 | Jun. 20, 2018 | Development Capital Group, Inc., et al. |
| 34-83487 | Jun. 20, 2018 | FuelNation, Inc. and 3D Total Solutions, Inc. |
| 34-83473 | Jun. 19, 2018 | California Mines Corp., Cindisue Mining Corp. and Dune Energy, Inc. |
| 34-83472 | Jun. 19, 2018 | Canwealth Minerals Corp., Cubed, Inc. and Enviro Cleanse, Inc. |
| 34-83470 | Jun. 19, 2018 | Escalera Resources Co. and Force Minerals Corp. |
| 34-83469 | Jun. 19, 2018 | Radiant Oil & Gas, Inc., Tungsten Corp. and Well Power, Inc. |
| 34-83461 | Jun. 19, 2018 | Pasquale Rubbo |
| 34-83460 | Jun. 19, 2018 | Nicholas Rubbo |
| 33-10507 | Jun. 19, 2018 | Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release Nos.: 34-83462, IA-4944 |
| 34-83434 | Jun. 19, 2018 | Ronald A. Fossum Jr.
Other Release No.: IA-4943 |
| 34-83459 | Jun. 18, 2018 | Bryan Lee Addington
Other Release No.: IA-4942 |
| 34-83448 | Jun. 14, 2018 | Joseph Mangiapane, Jr. |
| 34-83443 | Jun. 14, 2018 | DeVere USA, Inc. |
| 34-83437 | Jun. 14, 2018 | MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA |
| 34-83436 | Jun. 14, 2018 | Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
See also: Distribution Plan |
| 34-83428 | Jun. 14, 2018 | RSM US LLP
Other Release No.: AAER-3943 See also: Administrative Summary |
| 34-83433 | Jun. 14, 2018 | MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA |
| IA-4941 | Jun. 14, 2018 | William Jordan |
| 34-83427 | Jun. 13, 2018 | America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc. |
| IA-4940 | Jun. 13, 2018 | Eric Erb |
| 34-83420 | Jun. 12, 2018 | Solo International, Inc., Urban Hydroponics, Inc. and Your Event, Inc. |
| 34-83408 | Jun. 12, 2018 | Merrill Lynch, Pierce and Fenner & Smith Incorporated |
| IA-4939 | Jun. 8, 2018 | Larry Werbel (Corrected) |
| 34-83399 | Jun. 8, 2018 | Nachman Aaron Troodler, Esq. |
| IA-4938 | Jun. 7, 2018 | Richard W. Kessler |
| 34-83394 | Jun. 7, 2018 | Jason A. Halek |
| 34-83391 | Jun. 6, 2018 | Michael J. Mona, Jr.
Other Release No.: AAER-3942 |
| 34-83382 | Jun. 5, 2018 | Gary W. Freeman
Other Release Nos.: IA-4935, IC-33116 |
| 33-10504 | Jun. 5, 2018 | Constant Contact, Inc. and Endurance International Group Holdings, Inc.
Other Release No.: 34-83377 See also: Administrative Summary |
| 34-83375 | Jun. 4, 2018 | China Education Alliance, Inc., DoMark International, Inc. and East Coast Diversified Corp. |
| 34-83374 | Jun. 4, 2018 | Altona Resources, Inc., Apex 10, Inc. and Clone Algo, Inc. |
| 34-83373 | Jun. 4, 2018 | Fern Holdings Corp., et al. |
| 34-83371 | Jun. 4, 2018 | Christopher C. Burtraw
Other Release No.: IA-4936 |
| 34-83364 | Jun. 4, 2018 | MiddleCove Capital, LLC and Noah L. Myers
See also: Proposed Distribution Plan Comments due: 30 days from date of this Notice |
| IA-4934 | Jun. 4, 2018 | Barbara A. Endres |
| IA-4933 | Jun. 4, 2018 | deVere USA, Inc. |
| IA-4932 | Jun. 4, 2018 | Lyxor Asset Management, Inc.
See also: Administrative Summary |
| IA-4931 | Jun. 1, 2018 | Veteri Place Corporation |
| IA-4930 | Jun. 1, 2018 | Rose Park Advisors, LLC |
| IA-4929 | Jun. 1, 2018 | RLJ Equity Partners, LLC |
| IA-4928 | Jun. 1, 2018 | Prescott General Partners LLC |
| IA-4927 | Jun. 1, 2018 | HEP Management Corporation |
| IA-4926 | Jun. 1, 2018 | Elm Partners Management LLC |
| IA-4925 | Jun. 1, 2018 | Ecosystem Investment Partners LLC |
| IA-4924 | Jun. 1, 2018 | Cherokee Investment Partners LLC |
| IA-4923 | Jun. 1, 2018 | CAI Managers & Co., L.P. |
| IA-4922 | Jun. 1, 2018 | Bristol Group, Inc. |
| IA-4921 | Jun. 1, 2018 | Brahma Management, Ltd. |
| IA-4920 | Jun. 1, 2018 | Biglari Capital LLC |
| IA-4919 | Jun. 1, 2018 | Bachrach Asset Management Inc. |
| 34-83358 | May 31, 2018 | George Doumanis |
| 34-83354 | May 31, 2018 | Earnest H. (Woody) Delong, Esq. |
| 34-83348 | May 30, 2018 | Emanuel Pantelakis |
| IA-4916 | May 29, 2018 | Gregory M. Bercowy |
| 33-10501 | May 29, 2018 | Alexander Kon
Other Release No.: 34-83336 |
| 34-83335 | May 29, 2018 | Content Checked Holdings, Inc., e.Digital Corp. and Liberty Coal Energy Corp. |
| 34-83334 | May 25, 2018 | Mullan Agritech, Inc., ReliaBrand, Inc. and UBL Interactive, Inc. |
| 34-83333 | May 25, 2018 | Maxwell Technologies, Inc., et al. |
| 34-83331 | May 25, 2018 | Tobin J. Senefeld |
| IA-4915 | May 24, 2018 | Perry A. Gruss |
| 34-83329 | May 24, 2018 | Radiant Oil & Gas, Inc., Tungsten Corp. and Well Power, Inc. |
| 34-83327 | May 24, 2018 | Mass Hysteria Entertainment Company, Inc., Stark Naked Bobbers and TOA Holdings, Inc. |
| IA-4914 | May 24, 2018 | Aberon Capital Management, LLC and Joseph Krigsfeld
Other Release No.: IC-33107 |
| 33-10500 | May 24, 2018 | Arthur Kaplan |
| 34-83316 | May 24, 2018 | John C. Knight |
| 34-83314 | May 23, 2018 | Mullan Agritech, Inc., ReliaBrand, Inc. and UBL Interactive, Inc. |
| 34-83312 | May 23, 2018 | Solo International, Inc., Urban Hydroponics, Inc. and Your Event, Inc. |
| 34-83304 | May 23, 2018 | Adam S. Tracy, Esq. |
| IA-4913 | May 22, 2018 | Tibor Klein |
| 34-83301 | May 21, 2018 | Baltia Air Lines, Inc., et al. |
| 34-83299 | May 21, 2018 | Green Parts International, Inc., et al. |
| 34-83297 | May 21, 2018 | COPsync, Inc., et al. |
| 34-83291 | May 21, 2018 | Lisa A. Esposito |
| 34-83283 | May 17, 2018 | American Nano Silicon Technologies, Inc. |
| 34-83288 | May 17, 2018 | Prospect Ventures, Inc., Starnet Pacific Co. Ltd. and Sunburst Acquisitions VI, Inc. |
| 34-83287 | May 17, 2018 | Arrow Cars International, Inc., CDEX, Inc. and EFactor Group Corp. |
| 34-83285 | May 17, 2018 | Apptigo International, Inc., et al. |
| 34-83281 | May 17, 2018 | Play La Inc. and Titan Trading Analytics, Inc. |
| 33-10497 | May 17, 2018 | Manhattan Transfer Registrar Company and John C. Ahearn
Other Release No.: 34-83267 See also: Administrative Summary |
| 34-83266 | May 16, 2018 | Abakan, Inc., Car Monkeys Group and Western Graphite, Inc. |
| 34-83264 | May 16, 2018 | America Greener Technologies, Inc., MV Portfolios, Inc. and Trycera Financial, Inc. |
| 34-83262 | May 16, 2018 | Solaris Power Cells, Inc., Stragenics, Inc. and Ultimate Rack Inc. |
| 34-83261 | May 16, 2018 | CN Dragon Corp. |
| 34-83260 | May 16, 2018 | China Precision Steel, Inc. |
| 34-83253 | May 16, 2018 | Industrial and Commercial Bank of China Financial Services, LLC |
| 34-83252 | May 16, 2018 | Jerard Basmagy |
| 34-83251 | May 16, 2018 | Chardan Capital Markets, LLC |
| 34-83249 | May 15, 2018 | Sonora Resources Corp. |
| 34-83245 | May 15, 2018 | Hedgebrook, JayHawk Energy, Inc. and Rubicon Financial, Inc. |
| 34-83234 | May 15, 2018 | Angela Rubbo Beckcom Monaco |
| 33-10496 | May 15, 2018 | Timothy C. Scarpino
Other Release Nos.: 33-83236, IC-33097 |
| 33-10495 | May 15, 2018 | Mark A. Karow and Legend Securities, Inc.
Other Release Nos.: 33-83235, IC-33096 |
| 34-83232 | May 14, 2018 | Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.), Green Innovations Ltd. and Red Giant Entertainment, Inc. |
| 34-83215 | May 11, 2018 | Steven J. Dykes |
| 34-83213 | May 10, 2018 | Longwei Petroleum Investment Holding Limited |
| 34-83212 | May 10, 2018 | Jason J. Lee and Law Offices of Jason J. Lee & Associates |
| IA-4911 | May 10, 2018 | Yasuna Murakami |
| 34-83191 | May 9, 2018 | Barcelona Strategies, LLC and Mario Hinojosa
Other Release No.: IC-33093 |
| 34-83189 | May 8, 2018 | Content Checked Holdings, Inc., e.Digital Corp. and Liberty Coal Energy Corp. |
| IA-4910 | May 8, 2018 | Steven Ku |
| 33-10494 | May 8, 2018 | Visium Asset Management, LP
Other Release Nos.: 34-83186, IA-4909 |
| 34-83184 | May 7, 2018 | Baltia Air Lines, Inc., et al. |
| 34-83180 | May 7, 2018 | Keith Houlihan |
| 34-83179 | May 7, 2018 | Anthony Coronati and Bidtoask, LLC |
| 34-83178 | May 7, 2018 | Paul W. Smith
Other Release No.: IA-4908 |
| 34-83176 | May 4, 2018 | Joseph A. Rubbo |
| 34-83173 | May 4, 2018 | Daniel H. Glick, CPA
Other Release No.: IA-4907 |
| 34-83172 | May 4, 2018 | Gray Financial Group, Inc., et al. |
| 33-10492 | May 4, 2018 | Shae Yatta Harper, Esq.
Other Release No.: 34-83171 |
| 34-83170 | May 4, 2018 | David T. Leboe, CPA
Other Release No.: AAER-3941 |
| 34-83169 | May 4, 2018 | Kevin W. McAleer, CPA
Other Release No.: AAER-3940 |
| 34-83168 | May 4, 2018 | Winter, Kloman, Moter & Repp, S.C., et al.
Other Release Nos.: IA-4906, AAER-3939 |
| 34-83164 | May 3, 2018 | Gary Yin
Other Release No.: IA-4905 |
| 34-83162 | May 3, 2018 | Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
See also: Proposed Distribution Plan Comments due: 30 days from date of this Notice |
| IA-4903 | May 2, 2018 | Lauramarie Colangelo |
| 34-83151 | May 2, 2018 | Douglas A. McClain, Jr. |
| 34-83140 | May 1, 2018 | Kevin Hamilton
Other Release No.: IA-4901 |
| 34-83136 | Apr. 30, 2018 | Revolutionary Concepts, Inc. |
| 34-83135 | Apr. 30, 2018 | Universal Bioenergy, Inc. |
| 34-83133 | Apr. 30, 2018 | Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan
See also: Proposed Distribution Plan Comments due: 30 days from date of this Notice |
| 34-83131 | Apr. 30, 2018 | Apex Fund Services (US), Inc.
See also: Proposed Plan of Distribution Comments due: 30 days from date of this Notice Comments received are available for this proposed plan. |
| 34-83128 | Apr. 30, 2018 | Panasonic Corporation
Other Release No.: AAER-3938 |
| 34-83130 | Apr. 30, 2018 | David Alcorn |
| IA-4900 | Apr. 27, 2018 | Howard B. Present |
| 34-83123 | Apr. 27, 2018 | Citigroup Alternative Investment LLC and Citigroup Global Markets Inc.
See also: Distribution Plan |
| 34-83121 | Apr. 26, 2018 | Tobin J. Senefeld |
| IC-33087 | Apr. 26, 2018 | SEI Investments Global Funds Services |
| 34-83111 | Apr. 26, 2018 | Ikenna Ikokwu
Other Release No.: IA-4899 |
| 34-83110 | Apr. 26, 2018 | Winning the Money Game with Ike, Inc. |
| IA-4898 | Apr. 26, 2018 | Christopher M. Lee, aka Rashid K. Khalfani |
| 33-10489 | Apr. 25, 2018 | ChinAmerica Andy Movie Entertainment Media Company
Other Release No.: 34-83109 |
| 33-10488 | Apr. 25, 2018 | AF Ocean Investment Management Company
Other Release No.: 34-83108 |
| 33-10487 | Apr. 25, 2018 | Andy Z. Fan
Other Release No.: 34-83107 |
| 34-83099 | Apr. 25, 2018 | Oriental Dragon Corp. |
| IA-4896 | Apr. 24, 2018 | WCAS Management Corporation
See also: Administrative Summary |
| 33-10485 | Apr. 24, 2018 | Altaba Inc. and f/d/b/a Yahoo! Inc.
Other Release Nos.: 34-83096, AAER-3937 |
| 34-83095 | Apr. 23, 2018 | Ambicom Holdings, Inc., et al. |
| IA-4895 | Apr. 23, 2018 | Martin Shkreli |
| 34-83090 | Apr. 23, 2018 | Gregory John Tuthill |
| IA-4894 | Apr. 23, 2018 | Jeremy R. Lundin |
| 34-83088 | Apr. 23, 2018 | The Dun & Bradstreet Corporation
Other Release No.: AAER-3936 See also: Administrative Summary |
| 34-83087 | Apr. 23, 2018 | Marilynjean Interactive Inc. |
| 34-83078 | Apr. 20, 2018 | Mark P. French
Other Release No.: IA-4892 |
| IA-4890 | Apr. 20, 2018 | Steven M. Simmons |
| 34-83070 | Apr. 19, 2018 | Gemini Fund Services, LLC |
| 34-83069 | Apr. 19, 2018 | Gemini Fund Services, LLC |
| 34-83068 | Apr. 19, 2018 | Jeremy A. Licht d/b/a JL Capital Management |
| 34-83067 | Apr. 19, 2018 | Medifirst Solutions, Inc. and Bruce J. Schoengood
Other Release No.: AAER-3935 See also: Administrative Summary |
| 34-83056 | Apr. 17, 2018 | Scott Newsholme
Other Release No.: IA-4886 |
| 34-83052 | Apr. 16, 2018 | Jason A. Wallace |
| 34-83053 | Apr. 16, 2018 | Douglas Nelson |
| IA-4885 | Apr. 16, 2018 | Arlington Capital Management, Inc. and Joseph F. LoPresti |
| IA-4884 | Apr. 12, 2018 | Michael S. Moses |
| 33-10482 | Apr. 12, 2018 | Li, Company, PC and Tony Zhicong Li, CPA
Other Release Nos.: 34-83036, AAER-3934 |
| 33-10481 | Apr. 12, 2018 | Wellness Center USA, Inc.
Other Release No.: 34-83035 |
| 33-10480 | Apr. 12, 2018 | Matthew T. Mushlin
Other Release Nos.: 34-83034, IC-33072 |
| 34-83030 | Apr. 10, 2018 | Laura Pendergest-Holt
Other Release No.: IA-4883 |
| 34-83023 | Apr. 9, 2018 | Guardian 8 Holdings, et al. |
| 34-83013 | Apr. 9, 2018 | Troy C. Baldridge
Other Release No.: IA-4882 |
| 33-10478 | Apr. 9, 2018 | Philip John James, CA and Kevin Silverwood, CA
Other Release Nos.: 34-83017, AAER-3933 |
| 34-83011 | Apr. 9, 2018 | Daryl G. Bank and Bobby D. Jones |
| IA-4880 | Apr. 6, 2018 | Charles G. Preston |
| IA-4879 | Apr. 6, 2018 | Tobias J. Preston |
| IA-4876 | Apr. 6, 2018 | Securities America Advisors, Inc. |
| 34-83009 | Apr. 6, 2018 | Caleb J. Preston
Other Release No.: IA-4881 |
| 34-83004 | Apr. 6, 2018 | PNC Investments LLC
Other Release No.: IA-4878 |
| 34-83003 | Apr. 6, 2018 | Geneos Wealth Management, Inc.
Other Release No.: IA-4877 |
| 34-82998 | Apr. 5, 2018 | Joshua D. Mosshart
Other Release No.: IA-4874 |
| IA-4875 | Apr. 5, 2018 | Clayborne Group, LLC and Dean A. Heinemann
Other Release No.: IC-33067 See also: Administrative Summary |
| 34-82987 | Apr. 4, 2018 | Gregory John Tuthill |
| 34-82986 | Apr. 3, 2018 | NextGlass Technologies Corporation |
| 34-82977 | Apr. 2, 2018 | James Moodhe |
First Quarter | ||
| 34-82972 | Mar. 30, 2018 | Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA |
| IA-4870 | Mar. 29, 2018 | Howard B. Present |
| 34-82963 | Mar. 29, 2018 | Kent Maerki |
| 34-82958 | Mar. 28, 2018 | Eugene Terracciano |
| 34-82957 | Mar. 28, 2018 | Kevin Mckenna and Robert Eide |
| 34-82956 | Mar. 28, 2018 | Aegis Capital Corporation |
| 34-82954 | Mar. 27, 2018 | Wedbush Securities, Inc. (Corrected) |
| 34-82953 | Mar. 27, 2018 | Timary Delorme |
| 34-82951 | Mar. 27, 2018 | JH Darbie & Co., Inc. and Robert Y. Rabinowitz
See also: Administrative Summary |
| 33-10472 | Mar. 27, 2018 | Maxwell Technologies, Inc., et al.
Other Release Nos.: 34-82950, AAER-3932 |
| 34-82946 | Mar. 26, 2018 | Kinross Gold Corporation
Other Release No.: AAER-3930 |
| 34-82933 | Mar. 22, 2018 | Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan |
| 33-10471 | Mar. 22, 2018 | Robert L. Baker, et al.
Other Release Nos.: 34-82929, IC-33050 |
| 34-82902 | Mar. 19, 2018 | Howard Richards; James Goodland, and Securus Wealth Management, LLC |
| 34-82898 | Mar. 19, 2018 | Electronic Transaction Clearing, Inc. |
| 34-82893 | Mar. 16, 2018 | New Global Energy, Inc. |
| 34-82882 | Mar. 15, 2018 | John W. Adams and AIP, LLC |
| 34-82880 | Mar. 15, 2018 | David Gray |
| 34-82877 | Mar. 14, 2018 | Edmund W. Bailey |
| 34-82862 | Mar. 13, 2018 | KPMG
Other Release No.: AAER-3929 |
| 34-82861 | Mar. 13, 2018 | Deloitte & Touche Chartered Accountants
Other Release No.: AAER-3928 |
| 34-82860 | Mar. 13, 2018 | KPMG Inc.
Other Release No.: AAER-3927 |
| 34-82859 | Mar. 13, 2018 | BDO Canada LLP (f/k/a BDO Dunwoody LLP)
Other Release No.: AAER-3926 |
| 33-10469 | Mar. 12, 2018 | Credit Karma, Inc.
See also: Administrative Summary |
| 34-82849 | Mar. 9, 2018 | Elbit Imaging Ltd.
Other Release No.: AAER-3925 See also: Administrative Summary |
| 34-82839 | Mar. 9, 2018 | Gregg Z. Schonhorn |
| 34-82838 | Mar. 9, 2018 | Deborah D. Kelley |
| 34-82840 | Mar. 9, 2018 | Robert Joseph Ritch |
| 34-82837 | Mar. 8, 2018 | Voya Investments, LLC and Directed Services LLC
Other Release No.: IA-4868 |
| 34-82835 | Mar. 8, 2018 | Howard Richards; James Goodland and Securus Wealth Management, LLC |
| 33-10465 | Mar. 8, 2018 | Merrill Lynch, Pierce and Fenner & Smith Incorporated
Other Release No.: 34-82826 See also: Waiver, Release No. 33-10466 |
| IA-4866 | Mar. 7, 2018 | DMS Advisors, Inc. |
| 34-82818 | Mar. 7, 2018 | Peter R. Kohli
Other Release No.: IA-4865 |
| 34-82821 | Mar. 7, 2018 | Eric Lovy f/k/a Eric Beltran |
| 34-82816 | Mar. 6, 2018 | Valor Capital Asset Management, LLC and Robert Mark Magee
Other Release Nos.: IA-4864, IC-33039 |
| 33-10463 | Mar. 6, 2018 | New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc.
Other Release No.: 34-82808 |
| 34-82806 | Mar. 5, 2018 | Jacob W. L. Stocking |
| IA-4863 | Mar. 5, 2018 | Financial Fiduciaries, LLC and Thomas Batterman |
| 34-82805 | Mar. 5, 2018 | Edwin Shaw, LLC |
| 33-10462 | Feb. 28, 2018 | Ameriprise Financial Services, Inc.
Other Release Nos.: 34-82792, IA-4862 |
| IA-4861 | Feb. 28, 2018 | Stefan Lumiere |
| 34-82783 | Feb. 27, 2018 | Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA |
| 33-10461 | Feb. 26, 2018 | Steven Zoernack and Equitystar Capital Management, LLC
Other Release Nos.: 34-82773, IA-4859, IC-33034 |
| 34-82768 | Feb. 23, 2018 | Derik J. Todd, et al. |
| 34-82767 | Feb. 23, 2018 | Stephen M. Hicks
Other Release No.: IA-4858 |
| 34-82764 | Feb. 22, 2018 | Blacksands Petroleum, Inc., et al. |
| 34-82762 | Feb. 22, 2018 | Affirmative Insurance Holdings, Inc., et al.
See also: Chinese Version |
| IA-4857 | Feb. 22, 2018 | Commonwealth Advisors, Inc. and Walter A. Morales |
| 34-82745 | Feb. 21, 2018 | Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr. |
| 34-82744 | Feb. 21, 2018 | Alan Weinberg, CPA and Weinberg & Baer LLC
Other Release No.: AAER-3924 |
| 34-82743 | Feb. 21, 2018 | Jonathan Strum, Esq. |
| 34-82742 | Feb. 20, 2018 | American Nano Silicon Technologies, Inc., et al. |
| 33-10458 | Feb. 16, 2018 | Barry Mcknight Skinner and Dynamic Intelligence, Inc. |
| 34-82736 | Feb. 16, 2018 | Simcha Baer, CPA
Other Release No.: AAER-3922 |
| 34-82722 | Feb. 15, 2018 | Credit Suisse Securities (USA) LLC; Sanford Michael Katz |
| 34-82718 | Feb. 14, 2018 | China Precision Steel, Inc. and Golden River Resources Corp. |
| 34-82717 | Feb. 14, 2018 | Canwealth Minerals Corp., et al. |
| 34-82711 | Feb. 14, 2018 | Daryl G. Bank and Bobby D. Jones |
| 34-82710 | Feb. 14, 2018 | Brian S. Block, CPA
Other Release No.: AAER-3920 |
| 34-82707 | Feb. 13, 2018 | Ambicom Holdings, Inc., et al. |
| 34-82703 | Feb. 13, 2018 | James R.J. Scheltema |
| 34-82695 | Feb. 13, 2018 | Altona Resources, Inc., et al. |
| 34-82694 | Feb. 12, 2018 | Ara Chackerian |
| 34-82691 | Feb. 12, 2018 | Jay Mac Rust, Esq. |
| 34-82688 | Feb. 12, 2018 | Jay Mac Rust, Esq. |
| 34-82686 | Feb. 12, 2018 | Deutsche Bank Securities Inc. and Benjamin Solomon |
| 34-82681 | Feb. 9, 2018 | Thomas J. Buck
Other Release No.: IA-4856 |
| 34-82680 | Feb. 9, 2018 | Citigroup Alternative Investment LLC and Citigroup Global Markets Inc. |
| 34-82677 | Feb. 9, 2018 | Gregg C. Lorenzo, Francis V. Lorenzo and Charles Vista, LLC
See also: Distribution Plan |
| 34-82668 | Feb. 8, 2018 | Victor M. Dandridge, III
Other Release No.: IA-4855 |
| 34-82651 | Feb. 7, 2018 | Thomas Osmonde Russell, III Esq. |
| IA-4854 | Feb. 7, 2018 | Banc One Investment Advisors Corporation and Mark A. Beeson
Other Release No.: IC-33004 |
| IA-4853 | Feb. 7, 2018 | Michael S. Moses |
| 34-82639 | Feb. 6, 2018 | California Mines Corp., Cindisue Mining Corp. and Dune Energy, Inc. |
| 34-82634 | Feb. 6, 2018 | John T. Lynch, Jr.
Other Release No.: IC-33001 See also: Administrative Summary |
| 34-82632 | Feb. 5, 2018 | Andrew H. Wilson, Esq. |
| 34-82630 | Feb. 5, 2018 | Wedbush Securities Inc.
Other Release No.: IA-4852 See also: Administrative Summary and Waiver Order |
| 34-82624 | Feb. 2, 2018 | Craig Karlis |
| 34-82621 | Feb. 1, 2018 | Scott Walter Christensen |
| 34-82619 | Feb. 1, 2018 | Thomas Edward Andrews |
| 34-82610 | Feb. 1, 2018 | Canwealth Minerals Corp., et al. |
| IA-4851 | Jan. 31, 2018 | Mohlman Asset Management, LLC and Louis G. Mohlman, Jr. |
| 34-82605 | Jan. 30, 2018 | American Nano Silicon Technologies, Inc., et al. |
| 34-82603 | Jan. 30, 2018 | Daniel T. Fischer |
| 34-82595 | Jan. 29, 2018 | Credit Suisse Securities (USA) LLC; Sanford Michael Katz |
| 34-82590 | Jan. 26, 2018 | Augustine Capital Management, et al. |
| 33-10454 | Jan. 23, 2018 | Americafirst Capital Management, LLC, Rick A. Gonsalves and Robert L. Clark
Other Release No.: IA-4848 See also: Administrative Summary |
| IA-4847 | Jan. 22, 2018 | Gemini Fund Services, LLC |
| 34-82557 | Jan. 22, 2018 | Brian Sweet, CPA
Other Release No.: AAER-3919 |
| 34-82556 | Jan. 22, 2018 | Cynthia Holder, CPA, et al.
Other Release No.: AAER-3918 |
| 34-82554 | Jan. 19, 2018 | Justin Samuel Cary, CPA
Other Release No.: AAER-3917 |
| 34-82539 | Jan. 19, 2018 | John V. Bivona
Other Release No.: IA-4846 |
| 34-82536 | Jan. 18, 2018 | EMRISE Corp. |
| 34-82535 | Jan. 18, 2018 | Bankrate, Inc.; Hyunjin Lerner, CPA |
| 34-82533 | Jan. 18, 2018 | Industrial and Commercial Bank of China Financial Services LLC
See also: Administrative Summary |
| 34-82528 | Jan. 18, 2018 | Frank G. Mazzola
Other Release No.: IA-4845 |
| 34-82527 | Jan. 18, 2018 | Altona Resources, Inc., et al. |
| 34-82525 | Jan. 17, 2018 | American Nano Silicon Technologies, Inc., et al. |
| 34-82511 | Jan. 17, 2018 | David B. Kaplan, Esq. |
| 34-82510 | Jan. 17, 2018 | David B. Kaplan, Esq. |
| 34-82509 | Jan. 17, 2018 | John Tarpinian
Other Release No.: IA-4844 |
| 34-82507 | Jan. 17, 2018 | Ambicom Holdings, Inc., et al. |
| 34-82485 | Jan. 11, 2018 | Anthony P. Chiera and Jeffrey R. Belfiore
Other Release No.: IA-4843 See also: Administrative Summary |
| 33-10452 | Jan. 9, 2018 | Punch TV Studios, Inc. |
| 34-82463 | Jan. 8, 2018 | Blacksands Petroleum, Inc., et al. |
| 34-82454 | Jan. 8, 2018 | James C. Tao
Other Release No.: IA-4841 |
| 34-82453 | Jan. 8, 2018 | Donna Boyd (f/k/a Donna Chen)
Other Release No.: IA-4840 |
| 34-82443 | Jan. 5, 2018 | Anthony A. Stovall |
| 34-82438 | Jan. 3, 2018 | Khaled "Kal" Bassily
Other Release No.: IA-4837 |
| IA-4836 | Jan. 3, 2018 | LKL Investment Counsel LLC (a/k/a LKL Investments, LLC) and Mark H. Love
Other Release No.: IC-32958 See also: Administrative Summary |