The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – 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.

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Administrative Proceedings Table

Respondents
Date: Respondents:
Ted Brent Alexander
Release No. IA-6508
File Number: 3-21813
Date: Respondents:
Scott Levine
Release No. 34-99178
File Number: 3-21812
Date: Respondents:
Credit Suisse Securities (USA) LLC; Credit Suisse Asset Management, LLC; and Credit Suisse Asset Management Limited
Release No. 34-99158, IA-6504, IC-35067
File Number: 3-21811
Date: Respondents:
The Boeing Company
Release No. 34-99146
File Number: 3-21140
Date: Respondents:
Frontier Wealth Management, LLC and Shawn Sokolosky
Release No. 34-99145
See Also: Plan of Distribution
File Number: 3-20526
Date: Respondents:
Fluor Corporation
Release No. 34-99144
File Number: 3-21610
Date: Respondents:
Scott Wayne Reed
Release No. 34-99128, IA-6501
File Number: 3-21810
Date: Respondents:
Alan Z. Appelbaum
Release No. 33-11257, 34-99117, IA-6500
File Number: 3-21809
Date: Respondents:
Rogue One, Inc.
Release No. 34-99080
File Number: 3-21657
Date: Respondents:
Youngevity International, Inc.
Release No. 34-99086
File Number: 3-21653
Date: Respondents:
Scott T Wolfrum
Release No. 34-99078
File Number: 3-20252
Date: Respondents:
Newell Brands Inc. and Michael B. Polk
Release No. 34-99077
File Number: 3-21766
Date: Respondents:
Compass Minerals International, Inc.
Release No. 34-99076
File Number: 3-21145
Date: Respondents:
CRANK MEDIA INC
Release No. 34-99069
File Number: 3-21625
Date: Respondents:
Energis P.L.C.
Release No. 34-99068
File Number: 3-21695
Date: Respondents:
Eagan Capital Management, LLC
Release No. IA-6491
See Also: Administrative Summary
File Number: 3-21807
Date: Respondents:
Mallinckrodt plc
Release No. 33-11256, 34-99058
See Also: Administrative Summary
File Number: 3-21806
Date: Respondents:
Prime Group Holdings, LLC
Release No. 34-99055
File Number: 3-21602
Date: Respondents:
Centaurus Financial, Inc., Ricky A. Mantei and Atul Makharia
Release No. 34-99054
File Number: 3-21295
Date: Respondents:
Barclays PLC and Barclays Bank PLC
Release No. 34-99038
File Number: 3-21181
Date: Respondents:
Exelon Corporation and Commonwealth Edison Company
Release No. 34-99039
File Number: 3-21761
Date: Respondents:
Daniel L. Rothbaum, CPA
Release No. 33-11255, 34-99033, AAER-4475
File Number: 3-18020
Date: Respondents:
Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC
Release No. 34-99016
See Also: Plan of Distribution
File Number: 3-20060
Date: Respondents:
Scott T. Wolfrum and Tyler C. Sadek
Release No. 34-99010
File Number: 3-20252, 3-20253
Date: Respondents:
Continental Energy Corp.
Release No. 34-99004
File Number: 3-21803
Date: Respondents:
Michael V. Shustek
Release No. 34-99006, IA-6489
File Number: 3-21804
Date: Respondents:
Bradley C. Reifler
Release No. IA-6487
File Number: 3-21303
Date: Respondents:
Marguerite Cassandra Toroian
Release No. IA-6486
File Number: 3-21802
Date: Respondents:
Adam D. Bering, Esq.
Release No. 34-98992
File Number: 3-20671
Date: Respondents:
Laidlaw and Company (UK) Ltd.
Release No. 34-98983
See Also: Administrative Summary
File Number: 3-21800
Date: Respondents:
Richard Michalski and Michael Murray
Release No. 34-98984
See Also: Administrative Summary
File Number: 3-21801
Date: Respondents:
David M. Rees
Release No. 34-98971
Date: Respondents:
Citigroup Global Markets, Inc., Morgan Stanley Smith Barney LLC
Release No. 34-98940
See Also: Plan of Distribution
File Number: 3-17808, 3-17809
Date: Respondents:
HCR Wealth Advisors
Release No. 34-98939
File Number: 3-19494
Date: Respondents:
Jack C. Ridall
Release No. IA-6483
File Number: 3-21798
Date: Respondents:
Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc. and Gavin D. Southwell
Release No. 34-98936
See Also: Plan of Disribution
File Number: 3-20932
Date: Respondents:
Charter Communications, Inc.
Release No. 34-98923
File Number: 3-21797
Date: Respondents:
Eagle Bancorp, Inc.
Release No. 34-98922
File Number: 3-20963
Date: Respondents:
Barclays PLC and Barclays Bank PLC
Release No. 34-98918
File Number: 3-21181
Date: Respondents:
Prime Group Holdings, LLC,
Release No. 34-98916
File Number: 3-21602
Date: Respondents:
Fluor Corporation, Jon Eric Best, James F. Brittain, Robin K. Chopra, CA, Bradley R. Scott, Kent N. Smith
Release No. 34-98914
File Number: 3-21610
Date: Respondents:
Jeremy Shor
Release No. IA-6481
File Number: 3-21795
Date: Respondents:
Ronald T. Molo
Release No. 34-98890, IA-6480
File Number: 3-21794
Date: Respondents:
Red White & Bloom Brands Inc. (f/k/a Tidal Royalty Corp.)
Release No. 34-98871
File Number: 3-21721
Date: Respondents:
Original Sixteen to One Mine, Inc.
Release No. 34-98870
File Number: 3-21690
Date: Respondents:
Stoner Cats 2, LLC
Release No. 34-98851
File Number: 3-21655
Date: Respondents:
Royal Bank of Canada
Release No. 34-98849, AAER-4473
File Number: 3-21792
Date: Respondents:
Covia Holdings Corp., Fairmount Santrol Holdings Inc. and Now Known as Bison Merger Sub I, LLC
Release No. 34-98844
File Number: 3-20163
Date: Respondents:
Patrick N. Thayer
Release No. 34-98840, IA-6474
File Number: 3-21791
Date: Respondents:
Eric Christopher Cannon
Release No. 34-98827
File Number: 3-21790
Date: Respondents:
Joseph Conlan
Release No. 34-98824
See Also: Administrative Summary
File Number: 3-21789
Date: Respondents:
Bradley M. Holts
Release No. 34-98823
File Number: 3-21788
Date: Respondents:
Scott T. Wolfrum
Release No. 34-98804
File Number: 3-20252
Date: Respondents:
Impact Theory, LLC
Release No. 34-98803
File Number: 3-21585
Date: Respondents:
Brian Keat Hobbs
Release No. IA-6470
File Number: 3-21787
Date: Respondents:
BlackRock Advisors, LLC
Release No. IA-6468, IC-35035
File Number: 3-21786
Date: Respondents:
DongFang City Holding Group Company Limited
Release No. 34-98786
File Number: 3-21466
Date: Respondents:
Marco A. Perez, aka Marc Perez
Release No. 34-98788, AAER-4472
File Number: 3-21785
Date: Respondents:
Luther C. Speight, III, CPA and Luther Speight & Company, LLC
Release No. 34-98779, AAER-4471
File Number: 3-21784
Date: Respondents:
Novation Companies, Inc.
Release No. 34-98773
File Number: 3-21394
Date: Respondents:
Neuropathix, Inc.
Release No. 34-98774
File Number: 3-21716
Date: Respondents:
Rivulet Media, Inc.
Release No. 34-98776
File Number: 3-21722
Date: Respondents:
Anson Advisors Inc.
Release No. 34-98775
See Also: Administrative Summary
File Number: 3-21783
Date: Respondents:
Anthony B. Brandel and M.Y. Consultants, Inc.
Release No. 34-98763
File Number: 3-19734
Date: Respondents:
Frontier Wealth Management, LLC and Shawn Sokolosky
Release No. 34-98762
See Also: Proposed Plan of Distribution
File Number: 3-20526
Date: Respondents:
Renavotio, Inc.
Release No. 34-98750
File Number: 3-21457
Date: Respondents:
The Boeing Company
Release No. 34-98735
See Also: Proposed Plan of Distribution
Comments Due:

Thirty (30) days from the date of this Notice
Submit Comments on: Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number: 3-21140
Date: Respondents:
Martin, Thomas Garnette, Jr.
Release No. IA-6460
File Number: 3-21278
Date: Respondents:
American Fiber Green Products, Inc.
Release No. 34-98723
File Number: 3-21446
Date: Respondents:
Collaborative Financial Consulting LLC and Jason Todd Reynolds
Release No. IA-6457, IC-35031
See Also: Administrative Summary
File Number: 3-21782
Date: Respondents:
Ronald E. Filoramo
Release No. 34-98716, IA-6456
File Number: 3-21781
Date: Respondents:
Wilmington Trust Investment Management, LLC
Release No. IA-6455
See Also: Administrative Summary
File Number: 3-21780
Date: Respondents:
Kahn Brothers Advisors, LLC and Thomas Kahn
Release No. 34-98714
See Also: Plan of Distribution
File Number: 3-20880
Date: Respondents:
Quantstamp, Inc.
Release No. 34-98705
See Also: Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order
File Number: 3-21535
Date: Respondents:
StHealth Capital Investment Corporation
Release No. 34-98694
File Number: 3-21461
Date: Respondents:
Douglas MacWright
Release No. 34-98669, IA-6453
File Number: 3-21778
Date: Respondents:
Jonathan J. Ferrie
Release No. 34-98667, AAER-4470
File Number: 3-21777
Date: Respondents:
Appomattox Advisory Inc. and Oscar Gustavo Gil Vollmer
Release No. IA-6451
See Also: Administrative Summary
File Number: 3-21774
Date: Respondents:
D. E. Shaw & Co, L.P.
Release No. 34-98641, IA-6452
File Number: 3-21775
Date: Respondents:
Florence Capital Advisors, LLC and Gregory A. Hersch
Release No. IA-6450
See Also: Administrative Summary
File Number: 3-21771
Date: Respondents:
Nathan N. Nguyen
Release No. 34-98608
File Number: 3-21751
Date: Respondents:
Brian Lam
Release No. IA-6439
File Number: 3-21752
Date: Respondents:
Interactive Brokers Corp. and Interactive Brokers LLC
Release No. 34-98633
File Number: 3-21770
Date: Respondents:
Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP
Release No. 34-98632, IA-6449
File Number: 3-21769
Date: Respondents:
Robert W. Baird & Co. Incorporated
Release No. 34-98631, IA-6448
File Number: 3-21768
Date: Respondents:
Nuveen Securities, LLC
Release No. 34-98630
File Number: 3-21767
Date: Respondents:
Fifth Third Securities, Inc.
Release No. 34-98627, IA-6447
File Number: 3-21765
Date: Respondents:
William Blair & Company, L.L.C., and William Blair Investment Management, LLC
Release No. 34-98626, IA-6446
File Number: 3-21764
Date: Respondents:
Maxim Group, LLC
Release No. 34-98605
See Also: Administrative Summary
File Number: 3-21749
Date: Respondents:
Kroll Bond Rating Agency, LLC
Release No. 34-98654
File Number: 3-21776
Date: Respondents:
DBRS, Inc.
Release No. 34-98638
File Number: 3-21773
Date: Respondents:
DBRS, Inc.
Release No. 34-98636
File Number: 3-21772
Date: Respondents:
Newell Brands Inc. and Michael B. Polk
Release No. 33-11251, 34-98629, AAER-4469
File Number: 3-21766
Date: Respondents:
Albemarle Corporation
Release No. 34-98622, AAER-4468
File Number: 3-21763
Date: Respondents:
Spruce Power Holding Corporation
Release No. 33-11247, 34-98612
File Number: 3-21748
Date: Respondents:
Woodbury Financial Services, Inc.
Release No. IA-6444
See Also: Administrative Summary
File Number: 3-21760
Date: Respondents:
SagePoint Financial, Inc.
Release No. IA-6443
See Also: Administrative Summary
File Number: 3-21759
Date: Respondents:
Osaic Wealth, Inc.
Release No. IA-6442
See Also: Administrative Summary
File Number: 3-21758
Date: Respondents:
FSC Securities Corporation
Release No. IA-6441
See Also: Administrative Summary
File Number: 3-21757
Date: Respondents:
Salomon Whitney LLC
Release No. 34-98619
See Also: Administrative Summary
File Number: 3-21762
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