SELECT SEC AND MARKET DATA 

FISCAL 2017 

Enforcement Information Only 

Contents

Enforcement Milestones............................................................................................................................................................ 2 

Enforcement Action Summary Chart for Fiscal 2017 by Primary Classification........................................................................ 3 

Fiscal 2017 Enforcement Cases Listed by Program Area ........................................................................................................ 4 

Investigations of Possible Violations of the Acts Administered by the Commission............................................................... 21

Addendum to Division of Enforcement 2017 Annual Report (Addendum Published June 2018).
TABLE 1 

ENFORCEMENT MILESTONES 

FISCAL 2017 

● Obtained orders in SEC judicial and administrative proceedings requiring securities 

violators to disgorge illegal profits of approximately $2.957 billion and to pay penalties 

of approximately $832 million. 

● Sought orders barring 100 defendants and respondents from serving as officers or 

directors of public companies. 

● Sought emergency relief from federal courts in the form of temporary restraining 

orders (TROs) to halt ongoing fraudulent conduct in 20 actions, and sought asset 

freezes in 35 actions. 

● Filed 10 actions to enforce investigative subpoenas. 

● Halted trading in securities of 309 issuers about which there was inadequate public 

disclosure. 

In SEC-related criminal cases, prosecutors filed 128 indictments, informations,

or contempts in Fiscal Year 2017. 

2 
TABLE 2 

ENFORCEMENT ACTION SUMMARY CHART 

FOR FISCAL YEAR 2017 BY PRIMARY CLASSIFICATION 

(Each action initiated has been included in only one category listed below, even 

though many actions involved multiple allegations and may fall under more than one

category. The number of defendants and respondents is noted parenthetically.) 

% of Civil &

Stand-Alone

Primary Classification

Civil 

Actions

Stand-Alone

Administrative

Proceeding

Follow-On

Administrative

Proceeding Total

% of

Total

Actions

Only

Excluding 

Delinquent Files 

Broker-Dealer 10 (23) 43 (57) 115 (117) 168 (197) 22% 12% 

Delinquent Filings 0 (0) 112 (322) 0 (0) 112 (322) 15% ---

Foreign Corrupt Practices Act 4 (5) 9 (11) 1 (1) 14 (17) 2% 3% 

Insider Trading 31 (88) 10 (12) 0 (0) 41 (100) 5% 9% 

Investment Advisors/

Investment Companies 20 (59) 62 (93) 44 (46) 126 (198) 17% 18% 

Issuer Reporting and Disclosure 21 (52) 74 (102) 15 (15) 110 (169) 15% 21% 

Market Manipulation 24 (133) 17 (24) 5 (5) 46 (162) 6% 9% 

Miscellaneous 1 (1) 6 (10) 4 (4) 11 (15) 1% 2% 

Public Finance Abuse 3 (20) 14 (17) 2 (2) 19 (39) 3% 4% 

Securities Offering 71 (312) 23 (38) 5 (5) 99 (355) 13% 21% 

Transfer Agent 0 (0) 3 (5) 5 (5) 8 (10) 1% 1% 

TOTALS 185 (693) 373 (691) 196 (200) 754 (1584) 100% 100% 

3 
TABLE 3 

FISCAL 2017 ENFORCEMENT CASES 

LISTED BY PROGRAM AREA

4 

Case Name Type of Action Release No. Date Filed

Broker-Dealer

In the Matter of Jeffery B. Risinger Follow-on Admin. Proc. 34-79065 10/06/16 

In the Matter of Andrew Stitt Follow-on Admin. Proc. 34-79067 10/06/16 

In the Matter of Deutsche Bank Securities, Inc. Stand-alone Admin. Proc. 34-79083 10/12/16 

In the Matter of Keith Michael Rogers Follow-on Admin. Proc. 34-79102 10/14/16 

In the Matter of Paul T. Lebel Stand-alone Admin. Proc. 33-10236 10/18/16 

In the Matter of Bank Leumi le-Israel B.M., et al. Stand-alone Admin. Proc. 34-79113 10/18/16 

In the Matter of Lia Yaffar-Pena Stand-alone Admin. Proc. 34-79124 10/19/16 

In the Matter of Craig V. Sizer Follow-on Admin. Proc. 34-79121 10/19/16 

In the Matter of Miguel Mesa Follow-on Admin. Proc. 34-79123 10/19/16 

In the Matter of John M. Leonard Follow-on Admin. Proc. 34-79117 10/19/16 

In the Matter of Michael Eppy Follow-on Admin. Proc. 34-79160 10/26/16 

In the Matter of Michael S. Cain Follow-on Admin. Proc. 34-79170 10/27/16 

In the Matter of Henning-Carey Proprietary Trading, LLC Stand-alone Admin. Proc. 34-79175 10/27/16 

In the Matter of Joe Lawler Follow-on Admin. Proc. 34-79186 10/28/16 

In the Matter of Nicholas H. Shermeta, et al. Stand-alone Admin. Proc. 34-79195 10/31/16 

In the Matter of Gregory J. Smith Stand-alone Admin. Proc. 34-79207 11/01/16 

In the Matter of Ronald D. Morley, et al. Stand-alone Admin. Proc. 34-79208 11/01/16 

In the Matter of Patrick Reagan Beason Follow-on Admin. Proc. 34-79226 11/03/16 

In the Matter of Bryan Wayne Anderson Follow-on Admin. Proc. 34-79325 11/16/16 

In the Matter of Mark D. Holt Follow-on Admin. Proc. 34-79338 11/17/16 

In the Matter of Cody M. Winters Follow-on Admin. Proc. 34-79348 11/18/16 

In the Matter of Nicholas R. Hamilton Follow-on Admin. Proc. 34-79349 11/18/16 

In the Matter of Sean P. Finn, et al. Follow-on Admin. Proc. 34-79367 11/21/16 

In the Matter of Thomas A. Flowers Follow-on Admin. Proc. 34-79451 12/01/16 

In the Matter of Daniel P. McKelvey Follow-on Admin. Proc. 34-79453 12/02/16 

In the Matter of David W. Noack Follow-on Admin. Proc. 34-79503 12/07/16 

In the Matter of James Baggs Follow-on Admin. Proc. 34-79512 12/08/16 

In the Matter of Donald M. Stuthers Stand-alone Admin. Proc. 34-79521 12/09/16 

In the Matter of Pamela M. Hass Follow-on Admin. Proc. 34-79529 12/12/16 

In the Matter of Chad Deucher Follow-on Admin. Proc. 34-79566 12/15/16 

In the Matter of Richard Clatfelter Follow-on Admin. Proc. 34-79567 12/15/16 

In the Matter of Wilson-Davis & Co., Inc. Stand-alone Admin. Proc. 34-79580 12/16/16 

In the Matter of Anthony B. Kerrigone Stand-alone Admin. Proc. 34-79579 12/16/16 

In the Matter of Byron B. Barkley, et al. Stand-alone Admin. Proc. 34-79578 12/16/16 

In the Matter of Deutsche Bank Securities, Inc. Stand-alone Admin. Proc. 33-10272 12/16/16 

In the Matter of Morgan Stanley & Co., LLC Stand-alone Admin. Proc. 34-79606 12/20/16 

SEC v. Naris Chamroonrat, et al. Civil LR-23709 12/21/16 

In the Matter of Brian C. Rose Follow-on Admin. Proc. 34-79692 12/27/16 

In the Matter of Robert S. McGregor Follow-on Admin. Proc. 34-79693 12/27/16 

In the Matter of Jason B. Smith Follow-on Admin. Proc. 34-79694 12/27/16 

In the Matter of Brent Loveall Follow-on Admin. Proc. 34-79695 12/27/16 
Case Name Type of Action Release No. Date Filed

In the Matter of Rafael Antonio Calleja, Jr. 

SEC v. Gregory T. Dean, et al. 

In the Matter of ITG, Inc. 

In the Matter of Citadel Securities, LLC 

In the Matter of Gregg R. Mulholland 

In the Matter of Ane Plate 

In the Matter of Morgan Stanley Smith Barney, LLC 

In the Matter of Citigroup Global Markets, Inc. 

In the Matter of Windsor Street Capital, L.P.

 (f/k/a Meyers Associates, L.P.), et al. 

In the Matter of Thomas H. Caniford 

In the Matter of Kirk D. Porter 

In the Matter of Darren Goodrich 

In the Matter of Jaypee International, Inc., et al. 

In the Matter of Sylvester King, Jr. 

SEC v. John Abio, et al. 

In the Matter of Joseph A. Nelson 

In the Matter of Sidoti & Company, LLC 

In the Matter of Angel Oak Capital Partners, LLC, et al. 

In the Matter of James P. Griffin 

In the Matter of Brian S. Hudnall 

In the Matter of Naveed (a/k/a Nick) A. Khan 

In the Matter of Harrison W. Schumacher, II 

In the Matter of Adam L. Plumer 

In the Matter of Ronald Loshin 

In the Matter of Talman Harris 

In the Matter of Victor Alfaya 

In the Matter of Aaron R. Parthemer 

In the Matter of David P. Hobson 

In the Matter of William D. Bucci 

In the Matter of Louis Capital Markets, LP 

In the Matter of Paul L. Gomez 

In the Matter of Vincent Mehdizadeh 

In the Matter of CYGS, LLC 

In the Matter of Ashif Jiwa 

In the Matter of Dustin S. Smith 

In the Matter of Anthony C. Zufelt 

In the Matter of Robert N. Tricarico 

In the Matter of Andrew C. Powell 

In the Matter of Travis A. Wetzel 

In the Matter of Jeffory Churchfield 

SEC v. Demitrios Hallas 

In the Matter of Christopher Cervino 

In the Matter of Lebenthal & Co., LLC 

In the Matter of Barclays Capital, Inc. 

In the Matter of Yoon Seok Lee 

In the Matter of David F. Wong 

In the Matter of Gregory Reyftmann 

In the Matter of David Michael Burke 

Follow-on Admin. Proc. 

Civil 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Civil 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc.

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc.

Civil 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

34-79708 

LR-23715 

33-10279 

33-10280 

34-79799 

34-79854 

33-10290 

33-10288 

33-10293 

34-79952 

34-79968 

34-79990 

34-80005 

34-80006 

LR-23751 

34-80026 

34-80027 

34-80053 

34-80054

34-80091 

34-80160 

34-80170 

34-80176 

34-80196 

34-80197 

34-80198 

34-80221 

34-80278 

34-80299 

34-80332 

34-80342 

34-80345 

34-80356 

34-80389 

34-80390 

34-80402 

34-80424 

34-80426 

34-80442 

34-80476

LR-23813 

34-80776 

34-80557 

34-80560 

34-80561 

34-80562 

34-80568 

34-80572 

12/29/16 

01/09/17 

01/12/17 

01/13/17 

01/13/17 

01/23/17 

01/24/17 

01/24/17 

01/25/17 

02/02/17 

02/03/17 

02/08/17 

02/09/17 

02/10/17 

02/13/17 

02/13/17 

02/13/17 

02/16/17 

02/16/17

02/23/17 

03/06/17 

03/07/17 

03/08/17 

03/10/17 

03/10/17 

03/10/17 

03/13/17 

03/20/17 

03/22/17 

03/29/17 

03/30/17 

03/30/17 

03/31/17 

04/06/17 

04/06/17 

04/07/17 

04/10/17 

04/11/17 

04/12/17 

04/18/17

04/25/17 

04/27/17 

04/28/17 

05/01/17 

05/01/17 

05/01/17 

05/01/17 

05/02/17 

5 
Case Name Type of Action Release No. Date Filed

In the Matter of Michael Andre Jones 

In the Matter of Lu Zhang 

In the Matter of Griffith Thomas Ellis

In the Matter of Yasuo Oda 

In the Matter of Steven L. Goldstein 

In the Matter of Joseph Loish 

In the Matter of Victor Lovera 

In the Matter of Frank Penaloza 

In the Matter of Edward R. Sachs 

In the Matter of Steven H. Sharaf 

In the Matter of Frederick Eugene Monroe, Jr. 

SEC v. James H. Im 

SEC v. Kee Chan 

In the Matter of Kee Chan 

SEC v. Alpine Securities Corporation 

In the Matter of Bret H. Gardner 

In the Matter of Christopher David Scott 

In the Matter of Stephanie Lee 

In the Matter of James R. Trolice 

In the Matter of Moneyline Brokers 

In the Matter of Sandias Azucaradas CR, S.A. 

In the Matter of Vanilla Sky, S.A. 

In the Matter of Bastille Advisors, Inc. 

In the Matter of Club Consultants, Inc. 

In the Matter of Jurojin, Inc. 

In the Matter of Michael J. Randles 

In the Matter of Harold Bailey “B.J.” Gallison, II 

In the Matter of Ann M. Hiskey 

In the Matter of Bonwick Capital Partners, LLC, et al. 

In the Matter of Norrell L. Walker 

In the Matter of Anthony Portelli 

In the Matter of Wm Smith & Co., et al. 

In the Matter of Diana P. Lovera 

In the Matter of Dwight Shane Baldwin 

SEC v. Keystone Capital Partners, Inc.

 d/b/a Federal Employee Benefit Counselors, et al.

In the Matter of Alfred C. Teran 

In the Matter of Steven V. McClatchey 

In the Matter of Stephen S. Eubanks 

In the Matter of Joshua F. McAlees 

In the Matter of John W. Boyer 

In the Matter of James M. Palladino 

In the Matter of Banca IMI Securities Corp. 

In the Matter of Allen Chi 

In the Matter of Jeffrey Gainer 

In the Matter of Paul E. Renfroe 

In the Matter of Brian Michael Berger 

In the Matter of Paul Elvidge 

In the Matter of Gerardo E. Reyes 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc.

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Civil 

Civil 

Follow-on Admin. Proc. 

Civil 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Civil

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

34-80565 

34-80575 

34-80601

34-80602 

34-80620 

34-80621 

34-80622 

34-80623 

34-80624 

34-80625 

34-80628 

LR-23848 

LR-23848 

34-80732 

LR-23853 

34-80855 

34-80884 

34-80896 

34-80932 

34-80954 

34-80955 

34-80956 

34-80957 

34-80958 

34-80959 

34-80960 

34-80961 

34-80962 

34-80993 

34-81003 

34-80996 

34-81025 

34-81101 

34-81214 

2017-135

34-81308 

34-81329 

34-81417 

34-81426 

34-81425 

34-81430 

33-10401 

34-81447 

34-81461 

34-81455 

34-81460 

34-81459 

34-81458 

05/02/17 

05/02/17 

05/04/17

05/04/17 

05/08/17 

05/08/17 

05/08/17 

05/08/17 

05/08/17 

05/08/17 

05/08/17 

05/15/17 

05/15/17 

05/19/17 

06/05/17 

06/05/17 

06/08/17 

06/09/17 

06/15/17 

06/19/17 

06/19/17 

06/19/17 

06/19/17 

06/19/17 

06/19/17 

06/19/17 

06/19/17 

06/19/17 

06/21/17 

06/22/17 

06/22/17 

06/26/17 

07/07/17 

07/26/17 

07/31/17

08/03/17 

08/07/17 

08/17/17 

08/18/17 

08/18/17 

08/18/17 

08/18/17 

08/21/17 

08/22/17 

08/22/17 

08/22/17 

08/22/17 

08/22/17 

6 
Case Name Type of Action Release No. Date Filed

In the Matter of Jason Hershberger Follow-on Admin. Proc. 34-81466 08/23/17 

In the Matter of Shawna Leigh Lynch Follow-on Admin. Proc. 34-81464 08/23/17 

In the Matter of Martin Miller Follow-on Admin. Proc. 34-81463 08/23/17 

In the Matter of Juan M. Perez Ortega Follow-on Admin. Proc. 34-81465 08/23/17 

In the Matter of Jack Sini Follow-on Admin. Proc. 34-81467 08/23/17 

In the Matter of John Abio (a/k/a Tre Brandenberg) Follow-on Admin. Proc. 34-81480 08/24/17 

SEC v. Leon Vaccarelli, et al. Civil LR-23927 08/31/17 

In the Matter of State Street Global Markets, LLC, et al. Stand-alone Admin. Proc. 33-10411 09/07/17 

In the Matter of Mike Lundy (a/k/a Barkley J.W. Lundy) Follow-on Admin. Proc. 34-81557 09/08/17 

In the Matter of William D. Veasey, IV Follow-on Admin. Proc. 34-81566 09/11/17 

In the Matter of Javier Alvarado, Jr. Follow-on Admin. Proc. 34-81565 09/11/17 

In the Matter of Gary Yin Follow-on Admin. Proc. 34-81564 09/11/17 

In the Matter of Daryl G. Bank Follow-on Admin. Proc. 34-81593 09/13/17 

In the Matter of George Russell Thoreson Follow-on Admin. Proc. 34-81637 09/15/17 

In the Matter of Herschel C. Knippa Follow-on Admin. Proc. 34-81631 09/15/17 

In the Matter of Gerald J. Cocuzzo Follow-on Admin. Proc. 34-81645 09/18/17 

In the Matter of Abio Financial Group, Inc. Follow-on Admin. Proc. 34-81684 09/22/17 

In the Matter of Hui Feng, et al. Follow-on Admin. Proc. 34-81711 09/25/17 

In the Matter of LBMZ Securities, Inc. Stand-alone Admin. Proc. 34-81719 09/26/17 

In the Matter of Naris Chamroonrat Follow-on Admin. Proc. 34-81718 09/26/17 

In the Matter of Louis J. Spina Follow-on Admin. Proc. 34-81732 09/27/17 

In the Matter of Brian C. Jensen Follow-on Admin. Proc. 34-81736 09/27/17 

In the Matter of Avaneesh Krishnamoorthy Follow-on Admin. Proc. 34-81741 09/27/17 

In the Matter of Jeffrey Timothy Kluge Follow-on Admin. Proc. 34-81758 09/28/17 

In the Matter of Bobby D. Jones Follow-on Admin. Proc. 34-81757 09/28/17 

SEC v. William C. Gennity, et al. Civil 2017-180 09/28/17 

In the Matter of Laurence M. Torres Stand-alone Admin. Proc. 33-10419 09/28/17 

In the Matter of Demitrios Hallas Follow-on Admin. Proc. 34-81743 09/28/17 

In the Matter of Daniel C. Caravette Stand-alone Admin. Proc. 33-10422 09/29/17 

In the Matter of Pranav V. Patel Follow-on Admin. Proc. 34-81762 09/29/17 

In the Matter of Louis F. Petrossi Follow-on Admin. Proc. 34-81763 09/29/17 

Delinquent Filings

In the Matter of Boreal Water Collection, Inc. Stand-alone Admin. Proc. 34-79043 10/05/16 

In the Matter of Cala Corporation, et al. Stand-alone Admin. Proc. 34-79144 10/24/16 

In the Matter of Dynamic Response Group, Inc., et al. Stand-alone Admin. Proc. 34-79142 10/24/16 

In the Matter of BioNovo, Inc., et al. Stand-alone Admin. Proc. 34-79181 10/28/16 

In the Matter of Q Lotus Holdings, Inc., et al. Stand-alone Admin. Proc. 34-79179 10/28/16 

In the Matter of Bill the Butcher, Inc., et al. Stand-alone Admin. Proc. 34-79219 11/02/16 

In the Matter of Questrust Ventures, Inc., et al. Stand-alone Admin. Proc. 34-79319 11/15/16 

In the Matter of Kogeto, Inc., et al. Stand-alone Admin. Proc. 34-79321 11/16/16 

In the Matter of Harvey Westbury Corp., et al. Stand-alone Admin. Proc. 34-79334 11/17/16 

In the Matter of All-Pro Products, Inc., et al. Stand-alone Admin. Proc. 34-79365 11/21/16 

In the Matter of MGN Technologies, Inc. Stand-alone Admin. Proc. 34-79359 11/21/16 

In the Matter of American Mortgage and Investment Co. Stand-alone Admin. Proc. 34-79372 11/22/16 

In the Matter of Odyssey Pictures Corporation, et al. Stand-alone Admin. Proc. 34-79417 11/29/16 

In the Matter of Mars Acquisitions, Inc., et al. Stand-alone Admin. Proc. 34-79434 11/30/16 

In the Matter of Aquanatural Co., et al. Stand-alone Admin. Proc. 34-79487 12/06/16 

In the Matter of Curlew Lake Resources, Inc. Stand-alone Admin. Proc. 34-79489 12/07/16 

7 
Case Name Type of Action Release No. Date Filed

In the Matter of Sen Yu International Holdings, Inc. Stand-alone Admin. Proc. 

In the Matter of Ben Franklin Retail Stores, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of PAB Bankshares, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of AFN, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Delverton Resorts International, Inc. Stand-alone Admin. Proc. 

In the Matter of Fibercorp International, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of AVT, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Oxford City Football Club, Inc. Stand-alone Admin. Proc. 

In the Matter of the Registration Statement of

 Hydrocarb Energy Corp. Stand-alone Admin. Proc. 

In the Matter of Myriad Entertainment & Resorts, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Prestige Financial Corp., et al. Stand-alone Admin. Proc. 

In the Matter of Sidewinder Explorations, Inc. Stand-alone Admin. Proc. 

In the Matter of CirTran Corp., et al. Stand-alone Admin. Proc. 

In the Matter of GCA I Acquisition Corp., et al. Stand-alone Admin. Proc. 

In the Matter of Shallbetter Industries, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Ubiquity, Inc. Stand-alone Admin. Proc. 

In the Matter of China Biopharma, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Real Hip-Hop Network, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of International Building Concepts, Ltd., et al. Stand-alone Admin. Proc. 

In the Matter of Solar Shore One, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Biovest International, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Axesstel, Inc. Stand-alone Admin. Proc. 

In the Matter of Prospect Ventures, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Sanomedics, Inc. Stand-alone Admin. Proc. 

In the Matter of Ciralight Global, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Digital Brand Media & Marketing Group, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Atomic Paintball, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of A.C. Simmonds and Sons, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Double Crown Resources, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Cardinal Resources, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of New Western Energy Corp., et al. Stand-alone Admin. Proc. 

In the Matter of Integrated Freight Corporation Stand-alone Admin. Proc. 

In the Matter of Evolucia, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Can-Cal Resources, Ltd., et al. Stand-alone Admin. Proc. 

In the Matter of T3 Holdings, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of dELiA*s, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Energy Edge Technologies Corp., et al. Stand-alone Admin. Proc. 

In the Matter of Ibex Advanced Mortgage Technology, Inc. Stand-alone Admin. Proc. 

In the Matter of Cibolan Gold Corporation, et al. Stand-alone Admin. Proc. 

In the Matter of Aja Cannafacturing, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Attitude Drinks Incorporated, et al. Stand-alone Admin. Proc. 

In the Matter of Medicus Homecare, Inc. Stand-alone Admin. Proc. 

In the Matter of CNK Global, Inc. Stand-alone Admin. Proc. 

In the Matter of Aquentium, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Aurios Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Kung Fu Dragon Group Limited Stand-alone Admin. Proc. 

In the Matter of China Greenstar Corporation, et al. Stand-alone Admin. Proc. 

In the Matter of AV Therapeutics, Inc., et al. Stand-alone Admin. Proc. 

34-79505 

34-79542 

34-79657 

34-79656 

34-79939 

34-79943 

34-79941 

34-79986 

34-80058 

34-80113 

34-80112 

34-80111 

34-80145 

34-80174 

34-80261 

34-80276 

34-80293 

34-80344 

34-80365 

34-80446 

34-80493 

34-80519 

34-80532 

34-80578 

34-80633 

34-80701 

34-80703 

34-80765 

34-80764 

34-80829 

34-80846 

34-80863 

34-80880 

34-80892 

34-80943 

34-80981 

34-80984 

34-81026 

34-81216 

34-81217 

34-81219 

34-81235 

34-81237 

34-81239 

34-81283 

34-81281 

34-81300 

34-81295 

12/08/16 

12/13/16 

12/22/16 

12/22/16 

02/02/17 

02/02/17 

02/02/17 

02/08/17 

02/17/17 

02/24/17 

02/24/17 

02/24/17 

03/03/17 

03/08/17 

03/16/17 

03/20/17 

03/21/17 

03/30/17 

04/03/17 

04/13/17 

04/20/17 

04/24/17 

04/26/17 

05/02/17 

05/09/17 

05/16/17 

05/16/17 

05/24/17 

05/24/17 

05/31/17 

06/01/17 

06/05/17 

06/07/17 

06/08/17 

06/15/17 

06/20/17 

06/20/17 

06/26/17 

07/26/17 

07/26/17 

07/26/17 

07/27/17 

07/27/17 

07/27/17 

08/01/17 

08/01/17 

08/02/17 

08/02/17 

8 
Case Name Type of Action Release No. Date Filed

In the Matter of Axiom Oil & Gas Corp., et al. 

In the Matter of Valdor Technology International, Inc. 

In the Matter of Altovida Inc., et al. 

In the Matter of American Magna Corp., et al. 

In the Matter of Boldface Group, Inc., et al. 

In the Matter of China Du Kang Co., Ltd. 

In the Matter of E-Waste Systems, Inc. 

In the Matter of CellCyte Genetics Corp., et al. 

In the Matter of Circle Star Energy Corp., et al. 

In the Matter of China Precision Steel, Inc., et al. 

In the Matter of GeoGlobal Resources, Inc., et al. 

In the Matter of Mackenzie Taylor Minerals, Inc., et al. 

In the Matter of Bohai Pharmaceuticals Group, Inc. 

In the Matter of Accelerated Acquisition XVII, Inc., et al. 

In the Matter of BioPharma Manufacturing Solutions, Inc., et al. 

In the Matter of Tintic Gold Mining Company 

In the Matter of American-Swiss Capital, Inc., et al. 

In the Matter of Hall Tees, Inc., et al. 

In the Matter of Century Acquisition Corp., et al. 

In the Matter of Kun De International Holdings, Inc., et al. 

In the Matter of Gamzio Mobile, Inc., et al. 

In the Matter of Experience Art and Design, Inc., et al. 

In the Matter of Chile Mining Technologies, Inc. 

In the Matter of Cono Italiano, Inc., et al. 

In the Matter of ANV Security Group, Inc. 

In the Matter of China Hefeng Rescue Equipment, Inc., et al. 

In the Matter of Neurologix, Inc., et al. 

In the Matter of Huixin Waste Water Solutions, Inc. 

In the Matter of Meridian Co., Ltd. 

In the Matter of ARX Gold Corporation 

In the Matter of Immunoclin Corp., et al. 

In the Matter of Creator Capital, Ltd. 

In the Matter of Engage Eco Solutions, Inc., et al. 

In the Matter of JuQun, Inc., et al. 

In the Matter of Aervision Holdings, Inc., et al. 

In the Matter of Hampshire Group, Limited, et al. 

In the Matter of IMK Group, Inc., et al. 

In the Matter of Penny Auction Solutions, Inc., et al. 

In the Matter of IN Media Corporation, et al. 

In the Matter of HydroPhi Technologies Group, Inc., et al. 

In the Matter of KollagenX Corp., et al. 

In the Matter of Icon Vapor, Inc., et al. 

In the Matter of GO EZ Corporation, et al. 

In the Matter of Guardian 8 Holdings, et al. 

In the Matter of Next Galaxy Corp., et al. 

In the Matter of Hydrogen Future Corporation, et al. 

In the Matter of Infinity Real Estate Holdings Corporation, et al.

In the Matter of Dearborn Bancorp, Inc., et al. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc.

Stand-alone Admin. Proc. 

34-81298 

34-81319 

34-81333 

34-81335 

34-81331 

34-81356 

34-81375 

34-81489 

34-81492 

34-81529 

34-81533 

34-81525 

34-81527 

34-81522 

34-81524 

34-81540 

34-81535 

34-81536 

34-81551 

34-81575 

34-81577 

34-81587 

34-81589 

34-81609 

34-81607 

34-81618 

34-81625 

34-81647 

34-81649 

34-81643 

34-81658 

34-81656 

34-81663 

34-81666 

34-81685 

34-81688 

34-81692 

34-81690 

34-81704 

34-81707 

34-81706 

34-81712 

34-81694 

34-81731 

34-81726 

34-81728 

34-81723

34-81735 

08/02/17 

08/04/17 

08/07/17 

08/07/17 

08/07/17 

08/08/17 

08/10/17 

08/28/17 

08/28/17 

09/05/17 

09/05/17 

09/05/17 

09/05/17 

09/05/17 

09/05/17 

09/06/17 

09/06/17 

09/06/17 

09/07/17 

09/11/17 

09/11/17 

09/12/17 

09/12/17 

09/13/17 

09/13/17 

09/14/17 

09/14/17 

09/18/17 

09/18/17 

09/18/17 

09/19/17 

09/19/17 

09/20/17 

09/21/17 

09/22/17 

09/22/17 

09/22/17 

09/22/17 

09/25/17 

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09/26/17 

09/26/17 

09/26/17

09/27/17 

9 
Case Name Type of Action Release No. Date Filed

Foreign Corrupt Practices Act

SEC v. Embraer, S.A. Civil LR-23676 10/24/16 

In the Matter of JP Morgan Chase & Co. Stand-alone Admin. Proc. 34-79335 11/17/16 

SEC v. Braskem, S.A. Civil LR-23705 12/21/16 

SEC v. Teva Pharmaceutical Industries Limited Civil LR-23708 12/22/16 

In the Matter of General Cable Corporation Stand-alone Admin. Proc. 34-79703 12/29/16 

In the Matter of Karl J. Zimmer Stand-alone Admin. Proc. 34-79704 12/29/16 

In the Matter of Cadbury Limited, et al. Stand-alone Admin. Proc. 34-79753 01/06/17 

In the Matter of Biomet, Inc. Stand-alone Admin. Proc. 34-79780 01/12/17 

In the Matter of Sociedad Quimica y Minera de Chile, S.A. Stand-alone Admin. Proc. 34-79795 01/13/17 

In the Matter of Orthofix International N.V. Stand-alone Admin. Proc. 34-79828 01/18/17

SEC v. Michael L. Cohen, et al. Civil LR-23728 01/26/17 

In the Matter of Gregory S. Weisman Follow-on Admin. Proc. 34-80775 05/25/17 

In the Matter of Halliburton Company, et al. Stand-alone Admin. Proc. 34-81222 07/27/17 

In the Matter of Telia Company AB Stand-alone Admin. Proc. 34-81669 09/21/17 

Insider Trading

SEC v. James C. Cope, Esq. Civil LR-23675 10/21/16 

In the Matter of Marc Winters Stand-alone Admin. Proc. 34-79460 12/02/16 

SEC v. Jonathan Ly Civil 2016-256 12/05/16 

In the Matter of Jo Ann Myers, et al. Stand-alone Admin. Proc. 34-79581 12/16/16 

In the Matter of Shelly R. McGuire, CPA Stand-alone Admin. Proc. 34-79855 01/23/17 

In the Matter of Donald P. Jones, CPA Stand-alone Admin. Proc. 34-79856 01/23/17 

SEC v. Lin, Yu-Cheng Civil LR-23748 02/09/17 

SEC v. Alan Barry Staples Civil LR-23746 02/10/17 

SEC v. Shaohua (Michael) Yin, et al. Civil LR-23747 02/10/17 

SEC v. Alda, Ltd., et al. Civil LR-23760 02/24/17 

In the Matter of Nima Hedayati Stand-alone Admin. Proc. 34-80238 03/14/17 

SEC v. Todd David Alpert Civil LR-23780 03/15/17 

SEC v. Ariel Darvasi, et al. Civil LR-23789 03/23/17 

SEC v. Christopher Ludwig Civil LR-23784 03/23/17 

SEC v. Steven A. Hartung Civil LR-23786 03/23/17 

SEC v. Lawrence F. Cluff, Jr., et al. Civil LR-23801 04/05/17 

SEC v. Omar El-Achkar, et al. Civil 2017-80 04/13/17 

SEC v. Avaneesh Krishnamoorthy, et al. Civil LR-23814 04/24/17 

SEC v. Walter C. Little, et al. Civil LR-23833 05/11/17 

SEC v. David Blaszczak, et al. Civil LR-23841 05/24/17 

SEC v. Michael Trahan Civil LR-23854 06/06/17 

In the Matter of Dan (“Alice”) Zhang, CPA Stand-alone Admin. Proc. 34-80872 06/07/17 

SEC v. Harold L. Altvater Civil LR-23868 06/27/17 

SEC v. Maureen E. Curran Civil LR-23868 06/27/17 

SEC v. Susan L. Dubuc Civil LR-23868 06/27/17 

SEC v. Victory Ho Civil LR-23877 07/11/17 

SEC v. Fei Yan, et al. Civil 2017-125 07/12/17 

In the Matter of John F. Stimpson Stand-alone Admin. Proc. 34-81160 07/18/17 

SEC v. Damon Hovannisian, et al. Civil LR-23901 08/10/17 

SEC v. Daniel Rivas, et al. Civil LR-23911 08/16/17 

SEC v. Evan R. Kita, et al. Civil LR-23926 08/31/17 

In the Matter of Alan M. Stark, Esq. Stand-alone Admin. Proc. 34-81523 09/05/17 

10 
Case Name Type of Action Release No. Date Filed

SEC v. Brett Kennedy, et al. Civil LR-23931 09/07/17 

SEC v. Mayank Gupta, et al. Civil LR-23934 09/12/17 

SEC v. Peter C. Chang Civil LR-23937 09/20/17 

In the Matter of Joel P. Zingerman Stand-alone Admin. Proc. 34-81677 09/21/17 

SEC v. Justin Samuel Cary Civil LR-23940 09/21/17 

SEC v. Jason Napodano, et al. Civil LR-23943 09/26/17 

In the Matter of Fengjiu Zhang, et al. Stand-alone Admin. Proc. 34-81744 09/28/17 

SEC v. Shane P. Fleming, et al. Civil 2017-184 09/29/17 

SEC v. Anand Jayapalan, et al. Civil LR-23952 09/29/17 

Investment Advisors/Investment Companies

In the Matter of Laurence I. Balter d/b/a Oracle

 Investment Research Stand-alone Admin. Proc. 33-10228 10/04/16 

In the Matter of Dupree Financial Group, LLC Stand-alone Admin. Proc. IA-4546 10/05/16 

In the Matter of Nicholas S. Savva Follow-on Admin. Proc. IA-4549 10/12/16 

In the Matter of Artis Capital Management, L.P., et al. Stand-alone Admin. Proc. IA-4550 10/13/16 

In the Matter of Matthew D. Haab Follow-on Admin. Proc. IA-4552 10/17/16 

In the Matter of Calvert Investment Management, Inc. Stand-alone Admin. Proc. IA-4554 10/18/16 

In the Matter of Mark J. Aubry Follow-on Admin. Proc. IA-4556 10/19/16 

In the Matter of John Leo Valentine Stand-alone Admin. Proc. 34-79126 10/20/16 

In the Matter of Gary C. Snisky Follow-on Admin. Proc. 34-79169 10/27/16 

SEC v. Marc D. Broidy, et al. Civil LR-23679 10/27/16 

In the Matter of Wade James Lawrence Follow-on Admin. Proc. 34-79199 10/31/16 

In the Matter of Harvey Altholtz Follow-on Admin. Proc. IA-4564 11/03/16 

In the Matter of Philip E. Moriarty, II Follow-on Admin. Proc. 34-79254 11/07/16 

SEC v. Christopher K. Schrichte, et al. Civil LR-23683 11/07/16 

In the Matter of Derik J. Todd, et al. Stand-alone Admin. Proc. 33-10250 11/10/16 

In the Matter of James Y. Lee Follow-on Admin. Proc. IA-4571 11/17/16 

In the Matter of Shervin Neman, et al. Follow-on Admin. Proc. IA-4575 11/29/16 

In the Matter of Pacific Investment Management Company, LLC Stand-alone Admin. Proc. IA-4577 12/01/16

In the Matter of Harold D. Garrison Stand-alone Admin. Proc. IA-4584 12/07/16 

In the Matter of State Street Bank and Trust Company Stand-alone Admin. Proc. IC-32390 12/12/16 

SEC v. Richard G. Cody, et al. Civil LR-23702 12/12/16 

In the Matter of New Silk Route Advisors, L.P. Stand-alone Admin. Proc. IA-4587 12/14/16 

In the Matter of Ash Narayan Follow-on Admin. Proc. IA-4589 12/15/16 

SEC v. Platinum Management (NY), LLC, et al. Civil LR-23704 12/19/16 

In the Matter of Augustine Capital Management, LLC, et al. Stand-alone Admin. Proc. IA-4591 12/20/16 

In the Matter of Roy Dekel Follow-on Admin. Proc. IA-4594 12/27/16 

In the Matter of Essex Financial Services, Inc. Stand-alone Admin. Proc. 34-79757 01/09/17 

In the Matter of John W. Rafal Stand-alone Admin. Proc. 34-79755 01/09/17 

In the Matter of Peter Hershman, Esq. Stand-alone Admin. Proc. 34-79756 01/09/17 

In the Matter of Centre Partners Management, LLC Stand-alone Admin. Proc. IA-4604 01/10/17 

In the Matter of Morgan Stanley Smith Barney, LLC Stand-alone Admin. Proc. 34-79794 01/13/17 

In the Matter of Gregory W. Gray, Jr. Follow-on Admin. Proc. IA-4618 01/17/17 

In the Matter of Bob Brakeman Enterprises, LLC, et al. Stand-alone Admin. Proc. IA-4620 01/19/17 

In the Matter of Susan M. Diamond Stand-alone Admin. Proc. 34-79848 01/19/17 

In the Matter of Hans Peter Black, et al. Follow-on Admin. Proc. IA-4624 01/24/17 

In the Matter of Geoffrey J. Block Stand-alone Admin. Proc. 34-79867 01/24/17 

SEC v. Strategic Capital Management, LLC, et al. Civil LR-23727 01/25/17 

11 
Case Name Type of Action Release No. Date Filed

In the Matter of Citigroup Global Markets, Inc. 

In the Matter of Palestra Capital Management, LLC 

In the Matter of GL Capital Partners, LLC 

In the Matter of GL Investment Services, LLC 

SEC v. Mark J. Varacchi, et al. 

SEC v. Barry F. Connell 

In the Matter of Gregg D. Caplitz 

In the Matter of Rosalind Herman 

In the Matter of SLRA, Inc., et al. 

In the Matter of Jeffrey Slocum & Associates, Inc., et al. 

In the Matter of Thomas A. Guerriero 

In the Matter of Morgan Stanley Smith Barney, LLC 

In the Matter of Christopher M. Cunningham 

SEC v. William P. Carlson, Jr. 

In the Matter of John Austin Gibson, Jr. 

In the Matter of Lee P. Vaccaro 

In the Matter of Voya Financial Advisors, Inc. 

In the Matter of Patrick Churchville 

In the Matter of Michael J. Breton 

In the Matter of Jeremy S. Hixson 

In the Matter of Stifel, Nicolaus & Company, Incorporated 

In the Matter of Warren D. Nadel 

SEC v. Daniel H. Glick, et al. 

In the Matter of Covenant Financial Services, LLC, et al. 

In the Matter of Credit Suisse Securities (USA), LLC 

In the Matter of Sanford Michael Katz 

In the Matter of Clayton A. Cohn 

In the Matter of Anthony G. Sciarra 

SEC v. Justin D. Meadlin, et al. 

In the Matter of Mark J. Varacchi 

SEC v. Kevin J. Amell 

In the Matter of BlackRock Fund Advisors 

In the Matter of Yul L. Pinto Ayala 

In the Matter of Abida Khan 

In the Matter of William Blair & Company, LLC 

In the Matter of Calvert Investment Distributors, Inc., et al. 

SEC v. Mohamud Abdi Ahmed, et al. 

In the Matter of Tellone Management Group, Inc., et al. 

In the Matter of Source Financial Advisors, LLC, et al. 

In the Matter of Barclays Capital, Inc. 

In the Matter of William J. Wells 

SEC v. Yasuna Murakami, et al. 

SEC v. Gustavo A. Guzman 

In the Matter of Ronald J. Fernandes 

In the Matter of Marc D. Broidy 

In the Matter of Mark C. Northrop 

In the Matter of Serofim Muroff

In the Matter of Resilience Management, LLC, et al. 

In the Matter of Bantry Bay Capital, LLC, et al. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Civil 

Civil 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Civil 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Civil 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Civil 

Follow-on Admin. Proc. 

Civil 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Civil 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Civil 

Civil 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc.

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

34-79882 

34-79879 

IA-4629 

IA-4630 

LR-23739 

2017-41 

IA-4644 

IA-4643 

IA-4641 

IA-4647 

IA-4645 

IA-4649 

34-80065 

LR-23755 

34-80095 

34-80092 

34-80177 

34-80183 

IA-4663 

34-80231 

IA-4665 

34-80263 

LR-23794 

IA-4672 

34-80373 

IA-4679 

IA-4683 

34-80444 

LR-23808 

IA-4688 

LR-23812 

IC-32613 

IA-4693 

34-80889 

IA-4695 

IA-4696 

LR-23834 

IA-4701 

IA-4702 

33-10355 

34-80712 

LR-23837 

LR-23842 

IA-4711 

IA-4712 

IA-4716 

IA-4718

IA-4721 

33-10384 

01/26/17 

01/26/17 

01/30/17 

01/30/17 

02/02/17 

02/03/17 

02/07/17 

02/07/17 

02/07/17 

02/08/17 

02/08/17 

02/14/17 

02/17/17 

02/21/17 

02/23/17 

02/23/17 

03/08/17 

03/09/17 

03/13/17 

03/13/17 

03/13/17 

03/16/17 

03/23/17 

03/29/17 

04/04/17 

04/04/17 

04/11/17 

04/12/17 

04/17/17 

04/19/17 

04/24/17 

04/25/17 

04/27/17 

04/27/17 

05/01/17 

05/02/17 

05/04/17 

05/05/17 

05/05/17 

05/10/17 

05/18/17 

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05/24/17 

06/01/17 

06/01/17 

06/19/17 

06/22/17

06/29/17 

06/30/17 

12 
Case Name Type of Action Release No. Date Filed

In the Matter of Landwin Management, LLC, et al. Stand-alone Admin. Proc. IA-4725 07/06/17 

In the Matter of Paramount Group Real Estate Advisor, LLC Stand-alone Admin. Proc. IA-4726 07/06/17 

In the Matter of Charles A. Banks, IV Follow-on Admin. Proc. IA-4727 07/10/17 

In the Matter of Vincent Puma Follow-on Admin. Proc. IA-4729 07/14/17 

In the Matter of KMS Financial Services, Inc. Stand-alone Admin. Proc. 34-81169 07/19/17 

In the Matter of Brian Kimball Case, et al. Stand-alone Admin. Proc. IA-4733 07/25/17 

In the Matter of Columbia River Advisors, LLC, et al. Stand-alone Admin. Proc. IA-4734 07/28/17 

In the Matter of Bradley T. Smegal Follow-on Admin. Proc. 34-81279 08/01/17 

In the Matter of Cadaret, Grant & Co., Inc. Stand-alone Admin. Proc. 34-81274 08/01/17 

In the Matter of Black Diamond Asset Management, LLC, et al. Stand-alone Admin. Proc. IA-4739 08/04/17 

In the Matter of Donald J. Lester Follow-on Admin. Proc. 34-81330 08/07/17 

In the Matter of Coachman Energy Partners, LLC, et al. Stand-alone Admin. Proc. IA-4743 08/14/17 

In the Matter of Diane W. Lamm Follow-on Admin. Proc. IA-4744 08/15/17 

In the Matter of Institutional Investors Advisory Company Stand-alone Admin. Proc. IA-4747 08/16/17 

In the Matter of Capital Dynamics, Inc. Stand-alone Admin. Proc. IA-4746 08/16/17 

In the Matter of Deerfield Management Company, L.P. Stand-alone Admin. Proc. IA-4749 08/21/17

In the Matter of Vertical Capital Asset Management, LLC, et al. Stand-alone Admin. Proc. 33-10404 08/22/17 

SEC v. Jeremy Joseph Drake Civil LR-23915 08/22/17 

In the Matter of Martin Shkreli Follow-on Admin. Proc. IA-4753 08/22/17 

SEC v. Sonya D. Camarco, et al. Civil LR-23919 08/23/17 

SEC v. Navellier & Associates, Inc., et al. Civil LR-23925 08/31/17 

In the Matter of Steven C. Scudder Follow-on Admin. Proc. 34-81534 09/06/17 

SEC v. Scott Newsholme Civil LR-23930 09/06/17 

In the Matter of Envoy Advisory, Inc. Stand-alone Admin. Proc. IA-4764 09/08/17 

In the Matter of Potomac Asset Management Company,

 Inc., et al. Stand-alone Admin. Proc. IA-4766 09/11/17 

In the Matter of Howarth Financial Services, LLC, et al. Stand-alone Admin. Proc. 34-81585 09/12/17 

In the Matter of Jeremy A. Licht d/b/a JL Capital Management Stand-alone Admin. Proc. 34-81584 09/12/17 

In the Matter of Suntrust Investment Services, Inc. Stand-alone Admin. Proc. 34-81611 09/14/17 

In the Matter of Platinum Equity Advisors, LLC Stand-alone Admin. Proc. IA-4772 09/21/17 

SEC v. Michael S. Moses, et al. Civil LR-23941 09/22/17 

In the Matter of Marshall G. Eichenauer, Jr., et al. Stand-alone Admin. Proc. IA-4773 09/22/17 

In the Matter of Aletheia Research and Management, Inc. Follow-on Admin. Proc. IA-4774 09/25/17 

In the Matter of TRH Financial, LLC Stand-alone Admin. Proc. IA-4776 09/26/17 

In the Matter of 360 Financial, Inc. Stand-alone Admin. Proc. IA-4777 09/26/17 

In the Matter of VisionPoint Advisory Group, LLC Stand-alone Admin. Proc. IA-4778 09/26/17 

In the Matter of Brian J. Keenan Follow-on Admin. Proc. IA-4775 09/26/17 

In the Matter of Perry H. Beaumont Stand-alone Admin. Proc. IA-4781 09/28/17 

In the Matter of SIX Financial Information USA, Inc. Stand-alone Admin. Proc. IA-4780 09/28/17 

In the Matter of Honeysuckle Research, Inc. Stand-alone Admin. Proc. IC-32840 09/28/17 

SEC v. Tarek D. Bahgat, et al. Civil LR-23951 09/28/17 

Issuer Reporting and Disclosure

In the Matter of Credit Suisse AG Stand-alone Admin. Proc. 33-10229 10/05/16 

In the Matter of Rolf Bögli Stand-alone Admin. Proc. 33-10230 10/05/16 

SEC v. Lime Energy Co., et al. Civil LR-23673 10/18/16 

In the Matter of Ernst & Young, LLP, et al. Stand-alone Admin. Proc. 34-79109 10/18/16 

In the Matter of David A. Aronson, CPA Stand-alone Admin. Proc. 34-79120 10/19/16 

In the Matter of FMC Technologies, Inc., et al. Stand-alone Admin. Proc. 34-79127 10/20/16 

13 
Case Name Type of Action Release No. Date Filed

In the Matter of Julianne M. Chandler Follow-on Admin. Proc. 

In the Matter of Domenick F. Consolo, CPA, et al. Stand-alone Admin. Proc. 

In the Matter of Adrian D. Beamish, CPA Stand-alone Admin. Proc. 

In the Matter of the Registration Statement of Flaster CorporationStand-alone Admin. Proc. 

In the Matter of the Registration Statement of iLoan, Inc. Stand-alone Admin. Proc. 

In the Matter of the Registration Statement of Zubra, Inc. Stand-alone Admin. Proc. 

In the Matter of the Registration Statement of Instride, Inc. Stand-alone Admin. Proc. 

In the Matter of PowerSecure International, Inc. Stand-alone Admin. Proc. 

In the Matter of Christopher Egan Stand-alone Admin. Proc. 

SEC v. Gavin Campion Civil 

In the Matter of Grassi & Co., CPAs, P.C. Stand-alone Admin. Proc. 

In the Matter of Gary R. Purwin, CPA Stand-alone Admin. Proc. 

In the Matter of PMB Helin Donovan, LLP, et al. Stand-alone Admin. Proc. 

In the Matter of United Continental Holdings, Inc. Stand-alone Admin. Proc. 

In the Matter of KPMG, LLP Stand-alone Admin. Proc. 

In the Matter of Joel Felix Stand-alone Admin. Proc. 

In the Matter of Jack Henry & Associates, Inc. Stand-alone Admin. Proc. 

In the Matter of Badree Komandur ACA, et al. Stand-alone Admin. Proc. 

In the Matter of Alok Saraf, CA Stand-alone Admin. Proc. 

In the Matter of David A. Loppert Follow-on Admin. Proc. 

In the Matter of General Cable Corporation Stand-alone Admin. Proc. 

In the Matter of L3 Technologies, Inc. Stand-alone Admin. Proc. 

In the Matter of The Bank of New York Mellon Corporation Stand-alone Admin. Proc. 

In the Matter of Allergan, Inc. Stand-alone Admin. Proc. 

In the Matter of Orthofix International N.V. Stand-alone Admin. Proc.

In the Matter of Jeffrey Hammel, CPA Stand-alone Admin. Proc. 

In the Matter of Brian McCollum Stand-alone Admin. Proc. 

In the Matter of Kenneth Mack, et al. Stand-alone Admin. Proc. 

In the Matter of Eytan Bar Stand-alone Admin. Proc. 

In the Matter of Mer Telemanagement Solutions, Ltd. Stand-alone Admin. Proc. 

In the Matter of General Motors Company Stand-alone Admin. Proc. 

In the Matter of MDC Partners, Inc. Stand-alone Admin. Proc. 

In the Matter of HomeStreet, Inc., et al. Stand-alone Admin. Proc. 

In the Matter of Overseas Shipholding Group, Inc., et al. Stand-alone Admin. Proc. 

SEC v. Mathias Francisco Sandoval Herrera, et al. Civil 

In the Matter of the Registration Statement of

 Infeed Medica Corp. Stand-alone Admin. Proc. 

In the Matter of Anderson Bradshaw PLLC, et al. Stand-alone Admin. Proc. 

SEC v. Thomas Miller, et al. Civil 

In the Matter of Ixia, et al. Stand-alone Admin. Proc. 

In the Matter of the Registration Statements of

 Oxford City Football Club, Inc. Stand-alone Admin. Proc. 

In the Matter of CVR Energy, Inc. Stand-alone Admin. Proc. 

SEC v. Kent P. Watts, et al. Civil 

SEC v. Darrell Glenn Hardaway, et al. Civil 

In the Matter of Edward Richardson Jr., CPA, et al. Stand-alone Admin. Proc. 

In the Matter of the Registration Statement of

 Go EZ Corporation Stand-alone Admin. Proc. 

In the Matter of the Registration Statement of Arc LifeStyle Group, Inc. Stand-alone Admin. Proc. 

34-79137 

33-10242 

34-79193 

33-10245 

33-10246 

33-10247 

33-10248 

34-79256 

33-10256 

LR-23690 

34-79368 

34-79369 

34-79364 

34-79454 

34-79483 

33-10269 

34-79650 

34-79669 

34-79668 

34-79698 

34-79702 

34-79772 

34-79777 

34-79814 

33-10281

33-10282 

34-79819 

34-79820 

33-10284 

33-10285 

34-79825 

33-10283 

34-79844 

33-10286 

LR-23726 

33-10294 

34-79880 

LR-23741 

33-10302 

33-10304 

34-80039 

LR-23810 

LR-23753 

34-80103 

33-10313 

33-10314 

10/21/16 

10/31/16 

10/31/16 

11/04/16 

11/04/16 

11/04/16 

11/04/16 

11/07/16 

11/15/16 

11/17/16 

11/21/16 

11/21/16 

11/21/16 

12/02/16 

12/06/16 

12/16/16 

12/21/16 

12/22/16 

12/22/16 

12/27/16 

12/29/16 

01/11/17 

01/12/17 

01/17/17 

01/18/17

01/18/17 

01/18/17 

01/18/17 

01/18/17 

01/18/17 

01/18/17 

01/18/17 

01/19/17 

01/23/17 

01/24/17 

01/25/17 

01/26/17 

02/03/17 

02/03/17 

02/08/17 

02/14/17 

02/17/17 

02/17/17 

02/24/17 

02/27/17 

02/27/17 

14 
Case Name Type of Action Release No. Date Filed

In the Matter of the Registration Statement of

 Nova Smart Solutions, Inc. 

SEC v. Desarrolladora Homex, S.A.B. de C.V. 

SEC v. Notis Global, Inc. (f/k/a Medbox, Inc.), et al. 

SEC v. Nasir N. Shakouri, et al. 

In the Matter of Advanced Emissions Solutions, Inc. 

SEC v. Mark McKinnies 

In the Matter of William Joseph Kouser, Jr., CPA, et al. 

SEC v. Michael D. Shumway 

In the Matter of Michael D. Shumway 

In the Matter of Mark McKinnies, CPA 

In the Matter of David Pruitt, CPA 

In the Matter of Mark Wentlent 

In the Matter of MagnaChip Semiconductor Corporation, et al. 

In the Matter of Miles S. Nadal 

In the Matter of the Registration Statement of

 Emerald Isle Exploration, Ltd. 

In the Matter of the Registration Statement of

 Canso Enterprises, Ltd. 

In the Matter of the Registration Statement of Privoz 

In the Matter of the Registration Statement of Formous Corp. 

In the Matter of the Registration Statement of

 Universal Movers Corp. 

In the Matter of the Registration Statement of Lorilay Corp. 

In the Matter of the Registration Statement of Lion Print Corp. 

In the Matter of Daniel Millmann, CPA 

In the Matter of Lisa Hanmer, CPA 

SEC v. David N. Fuselier, et al. 

In the Matter of Michael B. Hayford, et al. 

In the Matter of George J. Palathinkal 

SEC v. CannaVEST Corp., et al. 

In the Matter of Eric W. Kirchner, et al. 

In the Matter of New York REIT, Inc., et al. 

In the Matter of Christopher K. Brenner, Esq., CPA 

In the Matter of Michael L. Hudson 

SEC v. Penn West Petroleum, Ltd., et al. 

SEC v. Quadrant 4 System Corporation, et al. 

In the Matter of Christopher A. Conley 

In the Matter of Matthew L. Egna 

In the Matter of Andrew S. Keck 

In the Matter of Sarah E. Keck 

In the Matter of Nigel G. Lindsay 

In the Matter of Marilyn Stark 

In the Matter of David Lubin 

In the Matter of Enviso Capital, LLC, et al. 

In the Matter of Michael S. Shore 

SEC v. Michael L. Hudson 

In the Matter of KPMG, LLP, et al. 

In the Matter of Lisa Pavelka McAlister, CPA 

Stand-alone Admin. Proc. 

Civil 

Civil 

Civil 

Stand-alone Admin. Proc. 

Civil 

Stand-alone Admin. Proc. 

Civil 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Civil 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Civil 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Civil 

Civil 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

Civil 

Stand-alone Admin. Proc. 

Follow-on Admin. Proc. 

33-10315 

LR-23765 

LR-23774 

LR-23775 

33-10329 

LR-23793 

34-80370 

LR-23800 

34-80480 

34-80507 

34-80548 

34-80547 

33-10352 

34-80652 

33-10357 

33-10358 

33-10359 

33-10362 

33-10360 

33-10361 

33-10363 

34-80749 

34-80750 

LR-23855 

33-10369 

34-80910 

LR-23861 

34-80947 

34-80992 

34-80991 

34-81033 

2017-120 

2017-122 

33-10376 

33-10377 

33-10378 

33-10379 

33-10380 

33-10381 

34-81172 

34-81173 

33-10396 

LR-23897 

34-81396 

34-81397 

02/27/17 

03/03/17 

03/09/17 

03/10/17 

03/29/17 

03/29/17 

04/04/17 

04/05/17 

04/18/17 

04/21/17 

04/28/17 

04/28/17 

05/01/17 

05/11/17 

05/12/17 

05/12/17 

05/12/17 

05/12/17 

05/12/17 

05/12/17 

05/12/17 

05/23/17 

05/23/17 

06/06/17 

06/09/17 

06/12/17 

06/15/17 

06/15/17 

06/21/17 

06/21/17 

06/27/17 

06/28/17 

06/29/17 

06/29/17 

06/29/17 

06/29/17 

06/29/17 

06/29/17 

06/29/17 

07/19/17 

07/19/17 

08/01/17 

08/04/17 

08/15/17 

08/15/17 

15 
Case Name Type of Action Release No. Date Filed

SEC v. Brian Pappas, et al. Civil LR-23914 08/21/17 

In the Matter of Edward DiMaria Follow-on Admin. Proc. 34-81451 08/22/17 

In the Matter of Matthew Gamsey, CPA Follow-on Admin. Proc. 34-81452 08/22/17 

In the Matter of Waldemar Grab Follow-on Admin. Proc. 34-81544 09/07/17 

In the Matter of Thomas C. Tekulve, Jr., CPA Follow-on Admin. Proc. 34-81619 09/14/17 

In the Matter of Joseph H. Craft, CPA Follow-on Admin. Proc. 34-81664 09/20/17 

In the Matter of Paritz & Company, P.A., et al. Stand-alone Admin. Proc. 34-81678 09/21/17 

SEC v. Aegerion Pharmaceuticals, Inc. Civil LR-23942 09/22/17 

SEC v. Eric Pulier Civil LR-23945 09/27/17 

In the Matter of Robert K. Stewart, CPA Follow-on Admin. Proc. 34-81740 09/27/17 

In the Matter of Alere, Inc. Stand-alone Admin. Proc. 33-10417 09/28/17 

SEC v. Accelera Innovations, Inc., et al. Civil LR-23969 09/29/17 

SEC v. John F. Wallin Civil LR-23969 09/29/17 

Market Manipulation

SEC v. Ryan Gilbertson, et al. Civil LR-23680 10/31/16 

In the Matter of Joel Pensley, Esq. Follow-on Admin. Proc. 34-79202 10/31/16 

In the Matter of Alexander Kon Stand-alone Admin. Proc. 33-10252 11/14/16 

SEC v. Jason Kumpf Civil LR-23693 11/21/16 

SEC v. Joseph Taub, et al. Civil 2016-261 12/12/16 

SEC v. Edward F. Panos, et al. Civil LR-23703 12/19/16 

SEC v. Iat Hong, et al. Civil LR-23711 12/27/16 

SEC v. Raymond H. Barton, et al. Civil 2017-33 01/25/17 

SEC v. Lek Securities Corporation, et al. Civil LR-23776 03/10/17 

SEC v. Jerry Miller Civil LR-23782 03/13/17 

SEC v. Lidingo Holdings, LLC, et al. Civil LR-23802 04/10/17 

SEC v. CSIR Group, LLC, et al. Civil LR-23802 04/10/17 

In the Matter of CytRx Corporation Stand-alone Admin. Proc. 33-10345 04/10/17 

In the Matter of Michael A. McCarthy, et al. Stand-alone Admin. Proc. 33-10343 04/10/17 

In the Matter of Edward Borrelli, et al. Stand-alone Admin. Proc. 33-10341 04/10/17 

In the Matter of Galena Biopharma, Inc., et al. Stand-alone Admin. Proc. 33-10337 04/10/17 

In the Matter of ImmunoCellular Therapeutics, Ltd. Stand-alone Admin. Proc. 33-10338 04/10/17 

In the Matter of Manish Singh, et al. Stand-alone Admin. Proc. 33-10346 04/10/17 

In the Matter of Lion Biotechnologies, Inc. Stand-alone Admin. Proc. 33-10340 04/10/17 

In the Matter of Joel Corenman Stand-alone Admin. Proc. 33-10336 04/10/17 

In the Matter of Christopher French Stand-alone Admin. Proc. 33-10347 04/10/17 

In the Matter of Craig Keolanui Stand-alone Admin. Proc. 33-10339 04/10/17 

In the Matter of Stephen Ramey Stand-alone Admin. Proc. 33-10342 04/10/17 

In the Matter of Ciaran Thornton Stand-alone Admin. Proc. 33-10344 04/10/17 

SEC v. Mustafa David Sayid, et al. Civil LR-23805 04/12/17 

SEC v. Tobin Smith, et al. Civil LR-23902 04/12/17 

In the Matter of Jared M. Galanis Follow-on Admin. Proc. 34-80513 04/24/17 

In the Matter of Corey J. Brinson, Esq. Follow-on Admin. Proc. 34-80733 05/19/17 

SEC v. Robert W. Murray Civil LR-23836 05/19/17 

SEC v. Adesh Kumar Tyagi Civil LR-23850 05/31/17 

SEC v. Arista Power, Inc., et al. Civil LR-23863 06/19/17 

SEC v. James M. Farinella, et al. Civil LR-23864 06/21/17 

SEC v. PowerTradersPress.com, Inc., et al. Civil LR-23878 07/12/17 

SEC v. Troy Joseph Flowers, et al. Civil LR-23881 07/19/17 

16 
Case Name Type of Action Release No. Date Filed

In the Matter of Joey Giamichael, et al. Stand-alone Admin. Proc. 33-10391 07/25/17 

In the Matter of Luis J. Carrillo, Esq. Follow-on Admin. Proc. 34-81209 07/26/17 

In the Matter of Wade D. Huettel, Esq. Follow-on Admin. Proc. 34-81210 07/26/17 

SEC v. Jeffrey D. Martin, et al. Civil LR-23892 07/27/17 

In the Matter of Anastasios P. “Tommy” Belesis Stand-alone Admin. Proc. 33-10395 08/01/17 

SEC v. Robert D. B. Genovese, et al. Civil LR-23895 08/01/17 

In the Matter of Joe Yiu Cheung Stand-alone Admin. Proc. 33-10397 08/02/17 

SEC v. Richard P. Cedrone, et al. Civil LR-23928 08/31/17 

In the Matter of Mark A. Gomes Stand-alone Admin. Proc. 33-10414 09/15/17 

SEC v. Brian C. Jensen Civil LR-23949 09/22/17 

SEC v. Micheal A. Skerry Civil LR-23950 09/28/17 

SEC v. Jason McDiarmid, et al. Civil LR-23953 09/29/17 

Miscellaneous 

In the Matter of Michael L. Reger Stand-alone Admin. Proc. 33-10241 10/31/16 

In the Matter of Kent W. Easter Follow-on Admin. Proc. 34-79243 11/04/16 

In the Matter of NeuStar, Inc. Stand-alone Admin. Proc. 34-79593 12/19/16 

In the Matter of SandRidge Energy, Inc. Stand-alone Admin. Proc. 34-79607 12/20/16 

In the Matter of Abraham M. Fisch, Esq. Follow-on Admin. Proc. 34-79813 01/17/17 

In the Matter of BlackRock, Inc. Stand-alone Admin. Proc. 34-79804 01/17/17 

In the Matter of Richard Medina, Jr. Follow-on Admin. Proc. 34-79875 01/25/17 

In the Matter of Jeffrey E. Eberwein, et al. Stand-alone Admin. Proc. 34-80038 02/14/17 

SEC v. David R. Humphrey, CPA Civil LR-23827 05/09/17 

In the Matter of David R. Humphrey, CPA Follow-on Admin. Proc. 33-10368 06/01/17 

In the Matter of State Street Bank and Trust Company Stand-alone Admin. Proc. 33-10410 09/07/17 

Public Finance Abuse

In the Matter of Bruce A. Cole, Esq. Follow-on Admin. Proc. 34-79461 12/02/16 

SEC v. Navnoor S. Kang, et al. Civil 2016-272 12/21/16 

In the Matter of The Port Authority of New York and New Jersey Stand-alone Admin. Proc. 33-10278 01/10/17 

In the Matter of NGN Capital, LLC Stand-alone Admin. Proc. IA-4612 01/17/17 

In the Matter of Aisling Capital, LLC Stand-alone Admin. Proc. IA-4616 01/17/17 

In the Matter of Cypress Advisors, Inc. Stand-alone Admin. Proc. IA-4613 01/17/17 

In the Matter of Alta Communications, Inc. Stand-alone Admin. Proc. IA-4614 01/17/17 

In the Matter of Pershing Square Capital Management, LP Stand-alone Admin. Proc. IA-4608 01/17/17 

In the Matter of Commonwealth Venture Management Corp. Stand-alone Admin. Proc. IA-4615 01/17/17 

In the Matter of Lime Rock Management, LP Stand-alone Admin. Proc. IA-4611 01/17/17 

In the Matter of The Banc Funds Company, LLC Stand-alone Admin. Proc. IA-4609 01/17/17 

In the Matter of Adams Capital Management, Inc. Stand-alone Admin. Proc. IA-4617 01/17/17 

In the Matter of FFL Partners, LLC Stand-alone Admin. Proc. IA-4610 01/17/17 

SEC v. Dwayne Edwards, et al. Civil LR-23725 01/20/17 

In the Matter of Robert B. Crowe, Esq. Follow-on Admin. Proc. 34-80643 05/10/17 

In the Matter of Beaumont Financing Authority Stand-alone Admin. Proc. 33-10406 08/23/17 

SEC v. Alan Charles Kapanicas Civil LR-23920 08/23/17 

In the Matter of O’Connor & Company Securities, Inc., et al. Stand-alone Admin. Proc. 33-10405 08/23/17 

In the Matter of Municipal Finance Services, Inc., et al. Stand-alone Admin. Proc. 34-81475 08/24/17 

Securities Offering

In the Matter of Forcerank, LLC Stand-alone Admin. Proc. 33-10232 10/13/16 

17 
Case Name Type of Action Release No. Date Filed

SEC v. Southlake Resources Group, LLC, et al. 

In the Matter of Curt Kramer, et al. 

SEC v. Jeffrey D. Smith d/b/a Atlanta Capital LLC, et al. 

In the Matter of Glenn Johnson, et al. 

SEC v. Onix Capital, LLC, et al. 

SEC v. David R. Bergstein 

In the Matter of EZTD, Inc. 

In the Matter of Casey Cummings 

In the Matter of OTC Global Partners, LLC, et al. 

SEC v. Patrick S. Carter, et al. 

SEC v. Rafael Antonio Calleja, Jr. 

SEC v. Matthew Carl Griffin, et al.

In the Matter of Dennis Ira Ringer 

SEC v. Blackbird Capital Partners, LLC, et al. 

SEC v. Harrison Katzen 

In the Matter of Roy D. Kessel, Esq. 

In the Matter of Equidate, Inc., et al. 

In the Matter of Robert L. Baker, et al. 

In the Matter of Lan Phuong Nguyen, Esq. 

In the Matter of Michael J. Muellerleile, Esq., et al. 

SEC v. John L. Threshie, Jr. 

SEC v. Emilio Francisco, et al. 

SEC v. AJN Investments, LLC, et al. 

SEC v. Robin G. Charlet, et al. 

SEC v. San Francisco Regional Center, LLC, et al. 

In the Matter of Charles A. Bennett 

SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler 

SEC v. Joseph Meli, et al. 

SEC v. Brian S. Hudnall, et al. 

SEC v. Patric Ken Baccam, et al. 

SEC v. Paul A. Garcia, et al. 

In the Matter of Thomas R. Stanley, II 

SEC v. Terminus Energy, Inc., et al. 

SEC v. Patrick O. Howard, et al. 

SEC v. James P. Toner, Jr. 

SEC v. Steve H. Karroum, et al. 

In the Matter of Web Debt Solutions, LLC 

SEC v. Renato Rodriguez, et al. 

In the Matter of Mark M. George 

SEC v. VIPWallST, Inc., et al. 

SEC v. Andy Shin Fong Chen, et al. 

SEC v. LottoNet Operating Corp., et al. 

SEC v. Dr. Keith Laggos 

SEC v. Treasure Enterprise, LLC, et al. 

SEC v. Michael Andre Jones 

SEC v. Lucita A. Zamoras 

In the Matter of Lawson Financial Corporation, et al. 

In the Matter of John T. Lynch, Jr. 

Civil 

Stand-alone Admin. Proc. 

Civil 

Stand-alone Admin. Proc. 

Civil 

Civil 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Civil 

Civil 

Civil

Stand-alone Admin. Proc. 

Civil 

Civil 

Follow-on Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Civil 

Civil 

Civil 

Civil 

Civil 

Follow-on Admin. Proc. 

Civil 

Civil 

Civil 

Civil 

Civil 

Stand-alone Admin. Proc. 

Civil 

Civil 

Civil 

Civil 

Stand-alone Admin. Proc. 

Civil 

Follow-on Admin. Proc. 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

LR-23677 

33-10239 

LR-23685 

33-10249 

LR-23697 

2016-235 

33-10251 

33-10253 

33-10254 

2016-242 

LR-23698 

LR-23694

33-10259 

LR-23695 

LR-23696 

34-79484 

33-10262 

33-10264 

33-10267 

33-10268 

LR-23707 

LR-23712 

LR-23714 

LR-23720 

LR-23721 

34-79824 

LR-23729 

LR-23731 

LR-23732 

LR-23737 

LR-23738 

33-10307 

LR-23749 

LR-23752 

LR-23750 

LR-23756 

33-10316 

LR-23762 

34-80195 

LR-23773 

LR-23778 

LR-23791 

LR-23787 

2017-74 

LR-23817 

LR-23798 

33-10334 

33-10335 

10/24/16 

10/27/16 

11/08/16 

11/08/16 

11/08/16 

11/09/16 

11/10/16 

11/14/16 

11/14/16 

11/17/16 

11/22/16 

11/23/16

11/23/16 

11/28/16 

11/29/16 

12/06/16 

12/06/16 

12/08/16 

12/16/16 

12/16/16 

12/21/16 

12/27/16 

12/28/16 

01/13/17 

01/17/17 

01/18/17 

01/26/17 

01/27/17 

01/27/17 

01/31/17 

02/01/17 

02/13/17 

02/14/17 

02/14/17 

02/14/17 

02/16/17 

02/28/17 

03/02/17 

03/09/17 

03/09/17 

03/15/17 

03/20/17 

03/22/17 

03/28/17 

03/29/17 

04/03/17 

04/05/17 

04/05/17 

18 
Case Name Type of Action Release No. Date Filed

SEC v. Thomas Edward Andrews, et al. 

SEC v. 4D Circle, LLC, a/k/a Enoetics, LLC, et al. 

SEC v. Matthew W. Fox, et al. 

In the Matter of Harold Ray Smith 

SEC v. Matthew A. Krimm, et al. 

SEC v. Wensheng Lin, et al. 

SEC v. Carl Keith Battie 

SEC v. Kamal Zuhdi Abdallah 

SEC v. Serofim Muroff, et al. 

SEC v. William R. Schantz, III, et al. 

SEC v. Douglas Roe, et al. 

In the Matter of Emerald Isle Exploration, Ltd., et al. 

SEC v. Thurman P. Bryant, III, et al. 

SEC v. Hadsell Chemical Processing, LLC, et al. 

In the Matter of Everette L. Scott, Jr. 

In the Matter of Fredrick J. Todd 

SEC v. Seyed Taher Kameli, et al. 

SEC v. Diana P. Lovera 

SEC v. Renwick Haddow, et al. 

SEC v. Cheryl L. Jones 

SEC v. Carol J. Wayland, et al. 

In the Matter of Retirement Surety, LLC, et al. 

In the Matter of Randal Wallis 

In the Matter of Ronald Howard Wills 

SEC v. Petroforce Energy, LLC, et al. 

SEC v. John Anthony Giunti, et al. 

SEC v. Anthony Joseph Marino, et al. 

SEC v. Joey Stanton Dodson 

SEC v. Harold J. Swart, Jr., et al. 

SEC v. Cash Capital, LLC, et al. 

SEC v. Patrick S. Muraca, et al. 

In the Matter of Karen F. Aalders 

In the Matter of Sterling Craig Barton 

SEC v. 7S Oil & Gas, LLC, et al. 

SEC v. Hidalgo Mining Corp., et al. 

SEC v. Jay Belson, et al. 

SEC v. Michael Quigley, et al. 

SEC v. Tennstar Energy, Inc., et al. 

SEC v. Robert Cortez Marshall 

SEC v. Vergeous, LLC, et al. 

SEC v. Dawn J. Bennett, et al. 

SEC v. Craig H. Carton, et al. 

SEC v. Christopher A. Faulkner, et al. 

SEC v. Ronald Van Den Heuvel, et al. 

SEC v. Edward Chen, et al. 

SEC v. David Howard Welch, et al. 

In the Matter of Success Holding Group International, Inc. 

SEC v. Pedro Fort Berbel, et al. 

Civil 

Civil 

Civil 

Stand-alone Admin. Proc. 

Civil 

Civil 

Civil 

Civil 

Civil

Civil 

Civil 

Stand-alone Admin. Proc. 

Civil 

Civil 

Follow-on Admin. Proc. 

Follow-on Admin. Proc. 

Civil 

Civil 

Civil 

Civil 

Civil 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Stand-alone Admin. Proc. 

Stand-alone Admin. Proc. 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Civil 

Stand-alone Admin. Proc. 

Civil 

LR-23816 

LR-23806 

LR-23809 

34-80527 

LR-23811 

LR-23821 

LR-23829 

LR-23819 

LR-23818

LR-23824 

LR-23832 

33-10356 

LR-23838 

LR-23835 

34-80774 

34-80894 

LR-23866 

LR-23869 

LR-23870 

LR-23872 

LR-23876 

33-10386 

33-10387 

33-10388 

LR-23884 

LR-23887 

LR-23886 

LR-23888 

LR-23892 

LR-23890 

LR-23893 

33-10393 

33-10394 

LR-23896 

LR-23903 

LR-23906 

LR-23908 

LR-23924 

LR-23907 

LR-23909 

LR-23922 

LR-23929 

LR-23979 

LR-23938 

LR-23944 

LR-23947 

33-10418 

2017-208 

04/05/17 

04/13/17 

04/19/17 

04/25/17 

04/25/17 

04/26/17 

04/27/17 

04/28/17 

04/28/17

05/04/17 

05/11/17 

05/12/17 

05/15/17 

05/17/17 

05/25/17 

06/09/17 

06/22/17 

06/28/17 

06/30/17 

07/03/17 

07/06/17 

07/06/17 

07/06/17 

07/06/17 

07/24/17 

07/25/17 

07/25/17 

07/26/17 

07/27/17 

07/28/17 

07/31/17 

07/31/17 

07/31/17 

08/01/17 

08/04/17 

08/10/17 

08/10/17 

08/11/17 

08/15/17 

08/16/17 

08/25/17 

09/06/17 

09/11/17 

09/19/17 

09/20/17 

09/27/17 

09/28/17 

09/28/17 

19 
Case Name Type of Action Release No. Date Filed

SEC v. The Leonard Vincent Group, et al. Civil 2017-182 09/29/17 

SEC v. REcoin Group Foundation, LLC, et al. Civil 2017-185 09/29/17 

Transfer Agent

IIn the Matter of Empire Stock Transfer, Inc., et al. Stand-alone Admin. Proc. 33-10270 12/16/16 

In the Matter of Olde Monmouth Stock Transfer Co., Inc., et al. Stand-alone Admin. Proc. 33-10303 02/07/17 

In the Matter of Raymond H. Barton Follow-on Admin. Proc. 34-80000 02/09/17 

In the Matter of William G. Goode Follow-on Admin. Proc. 34-80001 02/09/17 

In the Matter of Columbia Management Investment

 Services Corp. Stand-alone Admin. Proc. 34-80016 02/10/17 

In the Matter of Harrison Katzen Follow-on Admin. Proc. 34-80817 05/31/17 

In the Matter of Ronald S. Hunt Follow-on Admin. Proc. 34-81082 07/06/17 

In the Matter of Cecil Franklin Speight Follow-on Admin. Proc. 34-81724 09/26/17 

20 
TABLE 4 

INVESTIGATIONS OF POSSIBLE VIOLATIONS OF THE 

ACTS ADMINISTERED BY THE COMMISSION

Opened in Fiscal Year 2017 ..................................................................965 

Closed in Fiscal Year 2017. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 989 

Ongoing1

 as of September 30, 2017 ........................................................1,695 

Formal Orders of Investigation Issued in Fiscal Year 2017. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 611 

■ ■ ■

1 Refers to matters at the investigative stage, and excludes those that are open solely due to litigation, collections, distributions, and other 

post-litigation activity. Also excludes investigations in the closing process. 

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