The Illinois Department of Financial and Professional Regulation (IDFPR) announced that the Directors of Professional Regulation, Jay Stewart; and Banking, Manny Flores signed the following disciplinary orders in the month of October, 2011 as per which Stephen Hozie of Plano, TX a registered certified public accountant license (239-023311) has been indefinitely suspended due to his suspension of the right to appear or practice before the Securities and Exchange Commission.

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On May 4, 2011, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Paul N. Nicholson. The Order finds that the United States District Court for the Central District of California entered a judgment on April 12, 2011 against Nicholson, permanently enjoining him from future violations of Sections 5 and 17(a) of the Securities Act, Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 there under.

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On May 4, 2011, the Securities and Exchange Commission published that the commission issued an Order Instituting Proceedings (OIP) on January 19, 2011, pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act). The United States Postal Service return receipt shows that the OIP, sent by certified mail, was delivered to Dale J. Engelhardt (Engelhardt) at 45 Corte Vidriosa, San Clemente, CA 92673, on January 25, 2011.

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The Securities and Exchange Commission on May 4, 2011 charged six former senior executives of Kansas-based Brooke Corporation and its other, publicly-traded subsidiaries, Brooke Capital Corporation, an insurance agency franchisor, and Aleritas Capital Corporation, a lender to insurance agency franchises and other businesses, with conducting an extensive financial and disclosure fraud.

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The Securities and Exchange Commission on May 4, 2011 charged UBS Financial Services Inc. (UBS) with fraudulently rigging at least 100 municipal bond reinvestment transactions in 36 states and generating millions of dollars in ill-gotten gains.

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The Securities and Exchange Commission announced on May 04, 2011 that it filed a Complaint alleging fraud and violations of a tender offer rule against AWMS Acquisition, Inc., d/b/a Sterling Global Holdings (Sterling Global), a shell company, and Allen E. Weintraub, Sterling Global’s sole owner, officer, director, and employee.

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On April 7, 2011, the Securities and Exchange Commission deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”) against David C. Levine.

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On April 7, 2011, the Securities and Exchange Commission announced the filing of a civil injunctive action in U.S. District Court in Los Angeles, California against MAM Wealth Management, LLC (MAM), MAMW Real Estate General Partner, LLC (MAMW), Alex Martinez and Ralph Sanchez, alleging fraud in connection with client investments in a $10.3 million risky real estate venture.

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On April 7, 2011, the Securities and Exchange Commission deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”) against Frederick O. Kraus.

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On February 16, 2011 Securities and Exchange Commission (SEC) published that the commission deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted pursuant to Section 8A of the Securities Act of 1933 and Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, against Envision Capital Management, Ltd. and Michael M. Druckman.

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On February 16, 2011 Securities and Exchange Commission (SEC) announced that the U.S. District Court for the Eastern District of Pennsylvania on January 25, 2011, entered Final Judgments against Swiss Defendants Peter Kohler and Swiss Real Estate International Holding AG and Bulgarian Relief Defendant Sacho Todorov Dermendjiev in the Commission’s action alleging insider trading by Lorenz Kohler for his own account and for the accounts of Swiss Real Estate and Dermendjiev in advance of the October 9, 2006 public announcement of a $566 million merger between CNS, Inc. and GlaxoSmithKline plc. Kohler died in 2010, while the Commission’s action against him was pending.

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On February 16, 2011 Securities and Exchange Commission (SEC) charged a San Francisco man with unlawfully profiting from advance knowledge of the pending acquisition of Bare Escentuals, Inc., a Bay Area cosmetics company, based on information he had garnered from his sister, a former executive with the company. According to the Commission, Zhenyu Ni, 36, overheard his sister discuss a then-secret acquisition of Bare while visiting her office, and misappropriated this information for his own benefit by purchasing Bare stock and call options. Without admitting or denying the allegations, Ni has agreed to pay disgorgement and penalties of over $300,000.

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On February 16, 2011 Securities and Exchange Commission (SEC) published that the commission filed an amended complaint on February 15, 2011, charging a San Diego-based patent agent and his brother with illegally tipping inside information regarding two biotechnology companies, as part of a larger insider trading scheme. According to the amended complaint, Aaron J. Scalia, a former patent agent for Sequenom, Inc., tipped material, non-public information regarding Sequenom and another biotechnology company, to his brother Stephen J. Scalia.

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On February 16, 2011 Securities and Exchange Commission (SEC) announced that the Honorable Kenneth A. Marra, United States District Court Judge for the Southern District of Florida on February 8, 2011 ordered Robert Comiskey to pay a civil penalty in the amount of $130,000. Previously, on June 30, 2010, the Court entered a default judgment of permanent injunction against Comiskey, a sales agent for Winning Kids, Inc. which enjoined him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.

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On February 15, 2011 Securities and Exchange Commission (SEC) published that the commission deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 against Robert F. McCullough, Jr., CPA. In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement which the Commission has determined to accept.

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