This page features opinions and orders issued by the Commission in connection with its adjudication of administrative proceedings, appeals from initial decisions of ALJs, and appeals from SRO or PCAOB action.

The links below direct you to the docket pages for such adjudicatory proceedings as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Commission Opinions and Adjudicatory Orders Table

Respondents
Date: Respondents:
Edward M. Daspin and a/k/a "Edward (Ed) Michael" (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 33-11194, 34-97536
File Number: 3-16509
Date: Respondents:
Christopher W. Burns (CORRECTED ORDER REGARDING SERVICE)
Release No. IA-6313
File Number: 3-20935
Date: Respondents:
Basic Energy Services, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97533
File Number: 3-21023
Date: Respondents:
Omphalos, Corp. (OPINION OF THE COMMISSION)
Release No. 34-97534
File Number: 3-20747
Date: Respondents:
WOD Retail Solutions, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97535
File Number: 3-20993
Date: Respondents:
Christopher Peter Tranchina (EXTENSION ORDER)
Release No. 34-97532
File Number: 3-21390
Date: Respondents:
Southeast Investments, N.C., Inc. Frank Harmon Black (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97531
File Number: 3-19185
Date: Respondents:
Madison Avenue Holdings, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97527
File Number: 3-21383
Date: Respondents:
Toga Limited (ORDER TO SHOW CAUSE)
Release No. 34-97526
File Number: 3-21385
Date: Respondents:
Jason Lynn DiPaola (ORDER SCHEDULING BRIEFS)
Release No. 34-97518
File Number: 3-21402
Date: Respondents:
Anita Sgarro (ORDER EXTENDING TIME FOR RESPONDENT TO FILE A BRIEF OPPOSING SUMMARY DISPOSITION AND FOR THE DIVISION OF ENFORCEMENT TO FILE A REPLY)
Release No. 34-97515
File Number: 3-20816
Date: Respondents:
Ramón Lafarga Bátiz (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97512, AAER-4409
File Number: 3-20603
Date: Respondents:
Michael Andrew DeMaria (OPINION OF THE COMMISSION)
Release No. 34-97511
File Number: 3-20199
Date: Respondents:
Noe Corrales Reyes (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97510 , AAER-4408
File Number: 3-20602
Date: Respondents:
Carlos Javier Moctezuma Velasco (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97509, AAER-4407
File Number: 3-20601
Date: Respondents:
Shaun Perry Nicholson (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97505
File Number: 3-20529
Date: Respondents:
Alice Jean Solomon (ORDER GRANTING MOTION TO WITHDRAW APPLICATION FOR REVIEW)
Release No. 34-97502
File Number: 3-20631
Date: Respondents:
Neil Joseph Gagnon (ORDER GRANTING MOTION TO WITHDRAW APPLICATION FOR REVIEW)
Release No. 34-97501
File Number: 3-20819
Date: Respondents:
Christopher M. Gibson (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97500 , IA-6309, IC-34916
File Number: 3-17184
Date: Respondents:
The Robare Group, Ltd., Mark L. Robare, and Jack L. Jones, Jr. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. IA-6308
File Number: 3-16047
Date: Respondents:
Roman Sledziejowski (OPINION OF THE COMMISSION)
Release No. 34-97485
File Number: 3-19502
Date: Respondents:
Conrad A. Coggeshall (OPINION OF THE COMMISSION)
Release No. 34-97474, IA-6306
File Number: 3-20142
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97472
File Number: 3-19652
Date: Respondents:
Sandeep Varma (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97458
File Number: 3-20317
Date: Respondents:
Wilson-Davis & Co., James C. Snow and Byron B. Barkley (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97453
File Number: 3-19666
Date: Respondents:
Kent Vincent Pearce (OPINION OF THE COMMISSION)
Release No. 34-97451
File Number: 3-19228
Date: Respondents:
Bradley C. Reifler (ORDER DENYING REQUEST FOR POSTPONEMENT OR ADJOURNMENT AND DIRECTING PREHEARING CONFERENCE)
Release No. IA-6304
File Number: 3-21303
Date: Respondents:
Damian Ostertag (ORDER DIRECTING SUBMISSION OF STATUS REPORT FROM THE PARTIES)
Release No. 34-97447
File Number: 3-21087
Date: Respondents:
Christopher Peter Tranchina (ORDER SCHEDULING BRIEFS)
Release No. 34-97441
File Number: 3-21390
Date: Respondents:
Credex Corporation (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-97428
File Number: 3-21375
Date: Respondents:
Leon Vaccarelli (ORDER SCHEDULING BRIEFS)
Release No. 34-97425, IA-6298
File Number: 3-21030
Date: Respondents:
Kiwa Bio-Tech Products Group Corporation (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-97415
File Number: 3-21382
Date: Respondents:
Horter Investment Management, LLC and Drew K. Horter (ORDER GRANTING PETITION FOR REVIEW AND SCHEDULING BRIEFS)
Release No. IA-6295
File Number: 3-20531
Date: Respondents:
Alan J. Markowitz, CPA (ORDER)
Release No. 34-97414:, AAER-4405
File Number: 3-21314
Date: Respondents:
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97413, AAER-4404
File Number: 3-18292
Date: Respondents:
Kent Vincent Pearce (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97412
File Number: 3-19228
Date: Respondents:
Joseph S. Amundsen, Michael T. Remus and Michael Remus CPA (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97411
File Number: 3-18994
Date: Respondents:
Alton Theodore Davis, Jr. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97410
File Number: 3-19588
Date: Respondents:
James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 33-11181, 34-97409, IA-6294, IC-34904
File Number: 3-17253
Date: Respondents:
Alpine Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97402
File Number: 3-18979
Date: Respondents:
Thomas H. Vetter (ORDER EXTENDING TIME FOR RESPONDENT TO FILE A BRIEF OPPOSING SUMMARY DISPOSITION AND FOR THE DIVISION OF ENFORCEMENT TO FILE A REPLY)
Release No. 34-97391
File Number: 3-19606
Date: Respondents:
Daniel Thomas Broyles (ORDER REGARDING SERVICE)
Release No. 34-97390
File Number: 3-21206
Date: Respondents:
Michelle Maccio (ORDER DIRECTING SUBMISSION FROM THE DIVISION OF ENFORCEMENT)
Release No. IA-6293
File Number: 3-20950
Date: Respondents:
Robert Lenard Booth a/k/a Trevor Nicholas (ORDER DIRECTING SUBMISSION FROM THE DIVISION OF ENFORCEMENT)
Release No. 34-97382
File Number: 3-21084
Date: Respondents:
Richard Gearhart (ORDER DIRECTING PREHEARING CONFERENCE)
Release No. IA-6292
File Number: 3-20928
Date: Respondents:
Gregory M. Grenda (ORDER REGARDING PREHEARING CONFERENCE)
Release No. 34-97380
File Number: 3-21098
Date: Respondents:
Grenda Group, LLC (ORDER REGARDING PREHEARING CONFERENCE)
Release No. 34-97379
File Number: 3-21097
Date: Respondents:
Charles K. Topping (ORDER TO SHOW CAUSE)
Release No. 34-97377
File Number: 3-20817
Date: Respondents:
Warren A. Davis and Gibraltar Global Securities, Inc. (ORDER CONSOLIDATING PROCEEDINGS AND REQUESTING ADDITIONAL BRIEFING AND MATERIALS)
Release No. 34-97376
File Number: 3-19814
Date: Respondents:
Daliang "David" Guo (SCHEDULING ORDER)
Release No. 34-97359
File Number: 3-21225
Date: Respondents:
Robert L. Bryant III (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97357
File Number: 3-19892
Date: Respondents:
Jonathan William Lonske (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97356
File Number: 3-20633
Date: Respondents:
William Joseph Kielczewski (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97355
File Number: 3-20636
Date: Respondents:
Alpine Securities Corporation (OPINION OF THE COMMISSION)
Release No. 34-97347
File Number: 3-20818
Date: Respondents:
Scott Allen Fries (ORDER TO SHOW CAUSE)
Release No. 34-97336, IA-6290
File Number: 3-20796
Date: Respondents:
Edward Beyn and Craig S. Taddonio (OPINION OF THE COMMISSION)
Release No. 34-97325
File Number: 3-19007, 3-19012
Date: Respondents:
Neil Joseph Gagnon (ORDER SCHEDULING BRIEFS)
Release No. 34-97324
File Number: 3-20819
Date: Respondents:
James Thomas Young (ORDER SCHEDULING BRIEFS)
Release No. 34-97323
File Number: 3-20905
Date: Respondents:
Alice Jean Solomon (ORDER SCHEDULING BRIEFS)
Release No. 34-97322
File Number: 3-20631
Date: Respondents:
Nicholas J. Genovese (ORDER DIRECTING RESPONSE FROM RESPONDENT)
Release No. IA-6289
File Number: 3-19733
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97321
File Number: 3-19185
Date: Respondents:
Petrolia Energy Corporation (ORDER REQUESTING ADDITIONAL BRIEFING)
Release No. 34-97320
File Number: 3-20724
Date: Respondents:
Smith, Paul Horton, Sr. (ORDER DENYING RESPONDENT’S MOTION TO STAY PROCEEDING AND DIRECTING RESPONDENT TO SHOW CAUSE)
Release No. IA-6287
File Number: 3-20134
Date: Respondents:
Thomas J. Lykos, Jr. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97316
File Number: 3-20703
Date: Respondents:
Laurie Bebo and John Buono, CPA (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97315
File Number: 3-16293
Date: Respondents:
Thomas Lee Johnson (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97314
File Number: 3-20646
Date: Respondents:
Curtis Richard Edmark (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97313
File Number: 3-19594
Date: Respondents:
Christopher Anthony Sumner (Order Dismissing Application for Review)
Release No. 34-97310
File Number: 3-21291
Date: Respondents:
Michael A. Gramins (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-97282
File Number: 3-21266
Date: Respondents:
Albert K. Hu (ORDER REQUESTING ADDITIONAL BRIEFING AND MATERIALS)
Release No. IA-6278
File Number: 3-19510
Date: Respondents:
Lisa Gordon (ORDER TO SHOW CAUSE)
Release No. 34-97281
File Number: 3-21039
Date: Respondents:
Saving2retire, LLC and Marian P. Young (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. IA-6277
File Number: 3-17352
Date: Respondents:
The Peter Joseph Polinski Trust (ORDER SCHEDULING BRIEFS)
Release No. 34-97279
File Number: 3-21264
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97278
File Number: 3-19652
Date: Respondents:
EyeCity.Com, Inc. (n/k/a/ Carex Blockchain Platform, Inc.) (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97277
File Number: 3-19406
Date: Respondents:
Eric S. Smith (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97275
File Number: 3-20127
Date: Respondents:
Good Vibration Shoes, Inc. (n/k/a Allied Corp.) (ORDER EXTENDING TIME TO ISSUE DECISION
Release No. 34-97276
File Number: 3-19407
Date: Respondents:
Robbi J. Jones and Kipling Jones & Co., Ltd. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97274
File Number: 3-20209
Date: Respondents:
Timothy W. Carnahan and Cyios Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 33-11177, 34-97273
File Number: 3-16386
Date: Respondents:
Michele Gray (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97272
File Number: 3-20651
Date: Respondents:
Jennifer Anne Johnston (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97271
File Number: 3-20120
Date: Respondents:
Ron K. Harrison (ORDER REGARDING SERVICE)
Release No. IA-6276
File Number: 3-21121
Date: Respondents:
Wilson-Davis & Co., James C. Snow and Byron B. Barkley (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97265
File Number: 3-19666
Date: Respondents:
Mark W. Heckele, Esq. (ORDER REGARDING PREHEARING CONFERENCE)
Release No. 34-97264
File Number: 3-21015
Date: Respondents:
Joshua Constantin (ORDER VACATING INVESTMENT ADVISER, MUNICIPAL SECURITIES DEALER, MUNICIPAL ADVISOR, TRANSFER AGENT, AND NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION BARS)
Release No. 34-97256
File Number: 3-15332
Date: Respondents:
Jeffrey Yokuty (ORDER VACATING BROKER, DEALER, MUNICIPAL SECURITIES DEALER, AND TRANSFER AGENT BARS)
Release No. IA-6275
File Number: 3-14484
Date: Respondents:
Eric A. Bloom (ORDER VACATING BROKER, DEALER, MUNICIPAL SECURITIES DEALER, AND TRANSFER AGENT BARS)
Release No. IA-6274
File Number: 3-16722
Date: Respondents:
Alpine Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97254
File Number: 3-20818
Date: Respondents:
Matthew J. Skinner (ORDER TO SHOW CAUSE)
Release No. 34-97253
File Number: 3-21001
Date: Respondents:
The Consolidated Arbitration Applications for Review of Action Taken By FINRA (OPINION OF THE COMMISSION)
Release No. 34-97248
File Number: 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20467, 3-20499, 3-20620, 3-20621, 3-18616
Date: Respondents:
Jason Jianxun Tang, CPA (POSTPONEMENT ORDER)
Release No. 34-97246, AAER-4395
File Number: 3-21241
Date: Respondents:
Joshua Abrahams, CPA (SCHEDULING ORDER)
Release No. 34-97238
File Number: 3-21214
Date: Respondents:
Elbert Lamont Hardiman, Jr. (Second Order Regarding Service)
Release No. IA-6268
File Number: 3-21143
Date: Respondents:
Mark W. Heckele, Esq. (Order Denying Motion for a More Definite Statement)
Release No. 34-97233
File Number: 3-21015
Date: Respondents:
Gustavo A. Guzman (Order Granting Extension of Time)
Release No. IA-6269
File Number: 3-21333, 3-21333
Date: Respondents:
Reginald Buddy Ringgold, III Aka Rasool Abdul Rahim El (Opinion of the Commission)
Release No. IA-6267
File Number: 3-20208
Date: Respondents:
Alan J. Markowitz (Order Setting Deadline for Markowitz's Answer)
Release No. 34-97209, AAER-4393
File Number: 3-21314
Date: Respondents:
Deep ATS, LLC (Order Extending Time to Issue Decision)
Release No. 34-97215
File Number: 3-20362
Date: Respondents:
Alpine Securities Corporation (Order Extending Time to Issue Decision)
Release No. 34-97217
File Number: 3-18979
Date: Respondents:
Ryan William Mummert (Order Extending Time to Issue Decision)
Release No. 34-97204
File Number: 3-20210
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