Administrative Proceedings

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.

Date	Respondents
Date: May 4, 2023	Respondents: Shlomo Mordechai Bistritzky Release No. IA-6299 File Number: 3-21401
Date: May 2, 2023	Respondents: Michael Sztrom and David Sztrom Release No. IA-6296 File Number: 3-21400
Date: April 28, 2023	Respondents: Pavel Ruiz Release No. 34-97407 File Number: 3-21399
Date: April 28, 2023	Respondents: Neil Bergquist; Up, Global SEZC; Coinme, Inc. Release No. 33-11179 See Also: Administrative Summary File Number: 3-21398
Date: April 27, 2023	Respondents: Comscore, Inc., Serge Matta Release No. 34-97389 File Number: 3-19499, 3-19500
Date: April 27, 2023	Respondents: Taberna Capital Management, LLC, Michael Fralin and Raphael Licht Release No. 34-97388 File Number: 3-16776
Date: April 26, 2023	Respondents: Frank's International N.V. Release No. 34-97381, AAER-4403 See Also: Administrative Summary File Number: 3-21397
Date: April 25, 2023	Respondents: QHY Group Release No. 34-97370 File Number: 3-21395
Date: April 25, 2023	Respondents: Novation Companies, Inc. Release No. 34-97369 File Number: 3-21394
Date: April 24, 2023	Respondents: Joshua David Nicholas Release No. IA-6291 File Number: 3-21393
Date: April 24, 2023	Respondents: Mountain High Acquisitions Corp. Release No. 34-97352 File Number: 3-21392
Date: April 24, 2023	Respondents: Medifocus Inc. Release No. 34-97351 File Number: 3-21391
Date: April 21, 2023	Respondents: Blox, Inc. Release No. 34-97350 File Number: 3-21389
Date: April 21, 2023	Respondents: Astro Aerospace Ltd. Release No. 34-97349 File Number: 3-21388
Date: April 21, 2023	Respondents: Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC Release No. 34-97345 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC - Notice of Proposed Plan of Distribution and Opportunity to Comment File Number: 3-20060
Date: April 21, 2023	Respondents: 3D Pioneer Systems, Inc. Release No. 34-97344 File Number: 3-21387
Date: April 21, 2023	Respondents: Yew Bio-Pharm Group, Inc. Release No. 34-97343 File Number: 3-21386
Date: April 20, 2023	Respondents: Well-being Holdings, Inc. Release No. 34-97340 File Number: 3-21379
Date: April 20, 2023	Respondents: Wasatch Pharmaceutical, Inc. Release No. 34-97339 File Number: 3-21378
Date: April 20, 2023	Respondents: Toga Limited Release No. 34-97338 File Number: 3-21385
Date: April 20, 2023	Respondents: Rito Group Corp. Release No. 34-97337 File Number: 3-21384
Date: April 20, 2023	Respondents: Madison Avenue Holdings, Inc. Release No. 34-97335 File Number: 3-21383
Date: April 20, 2023	Respondents: Kiwa Bio-Tech Products Group Corporation Release No. 34-97334 File Number: 3-21382
Date: April 20, 2023	Respondents: Northstar Electronics, Inc. Release No. 34-97333 File Number: 3-21381
Date: April 20, 2023	Respondents: Noble Vici Group, Inc. Release No. 34-97332 File Number: 3-21380
Date: April 20, 2023	Respondents: HAHA Generation Corp. Release No. 34-97331 File Number: 3-21377
Date: April 20, 2023	Respondents: Diamond Wellness Holdings, Inc. Release No. 34-97330 File Number: 3-21376
Date: April 19, 2023	Respondents: Credex Corporation Release No. 34-97329 File Number: 3-21375
Date: April 19, 2023	Respondents: Canna Corporation Release No. 34-97328 File Number: 3-21374
Date: April 18, 2023	Respondents: Betterment LLC Release No. IA-6288 File Number: 3-21373
Date: April 17, 2023	Respondents: Martha Patricia Bustos, CPA Release No. 34-97317, AAER-4401 File Number: 3-21372
Date: April 14, 2023	Respondents: Ashish Dole Release No. IA-6286 File Number: 3-21371
Date: April 14, 2023	Respondents: Amin Majidi Release No. 34-97312, IA-6285 File Number: 3-21370
Date: April 14, 2023	Respondents: Corvex Management LP Release No. IA-6284 See Also: Administrative Summary File Number: 3-21369
Date: April 13, 2023	Respondents: Jerome Austin Release No. 34-97299 File Number: 3-21368
Date: April 13, 2023	Respondents: George A. Schmidt, Jr. Release No. 34-97298 File Number: 3-21367
Date: April 13, 2023	Respondents: Douglas F. Cmelik Release No. IA-6283 File Number: 3-21366
Date: April 12, 2023	Respondents: Timothy Allcott Release No. IA-6282 File Number: 3-21120
Date: April 12, 2023	Respondents: Michael K. Molen Release No. 34-97292, AAER-4400 File Number: 3-21365
Date: April 11, 2023	Respondents: Beam, Marcus Release No. IA-6279 File Number: 3-21364
Date: April 7, 2023	Respondents: William Eric Meek Release No. 34-97270, AAER-4398 File Number: 21363
Date: April 7, 2023	Respondents: Bobby Peavler Release No. 34-97269, AAER-4397 File Number: 3-21362
Date: April 6, 2023	Respondents: James Fitts, CPA, Release No. 34-97259, AAER-4396 File Number: 3-21361
Date: April 6, 2023	Respondents: Alexander Capital, L.P., Philip A. Noto II, Barry T. Eisenberg Release No. 34-97258 File Number: 3-18561, 3-18562, 3-18563
Date: April 4, 2023	Respondents: Darren L. Ofsink Release No. 34-97245 File Number: 3-21360
Date: April 4, 2023	Respondents: Joseph Kirkland Release No. 34-97244, IA-6273 File Number: 3-21359
Date: April 4, 2023	Respondents: Michael T. Morris Release No. 34-97243 File Number: 3-21357
Date: April 4, 2023	Respondents: Roberto Mejill-Tellado Release No. IA-6272 File Number: 3-21358
Date: April 3, 2023	Respondents: Merrill Lynch, Pierce, Fenner & Smith Incorporated Release No. 34-97242, IA-6271 File Number: 3-21356
Date: April 3, 2023	Respondents: Chatham Asset Management, LLC and Anthony Melchiorre Release No. IA-6270, IC-34875 File Number: 3-21355
Date: March 30, 2023	Respondents: Barclays PLC and Barclays Bank PLC Release No. 34-97221 File Number: 3-21181
Date: March 29, 2023	Respondents: Spicer Jeffries LLP and Sean P. Tafaro Release No. 34-97216, AAER-4394 File Number: 3-21353
Date: March 29, 2023	Respondents: Justin A. Greenblum Release No. 34-97219
Date: March 28, 2023	Respondents: Mario E. Rivero Release No. 34-97213, IA-6266 File Number: 3-21352
Date: March 27, 2023	Respondents: Dicken, Shawn K. Release No. 34-97203 File Number: 3-18831
Date: March 27, 2023	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 34-97208 File Number: 3-20781
Date: March 23, 2023	Respondents: Momentus, Inc., et al. Release No. 34-97187
Date: March 22, 2023	Respondents: Shaffer Chimere Smith Release No. 33-11170
Date: March 22, 2023	Respondents: Jake Joseph Paul Release No. 33-11171
Date: March 22, 2023	Respondents: Aliaune Damala Badara Akon Thiam Release No. 33-11172
Date: March 22, 2023	Respondents: Lindsay Dee Lohan Release No. 33-11173
Date: March 22, 2023	Respondents: Michele Anne Mason Release No. 33-11174
Date: March 22, 2023	Respondents: Miles Parks McCollum Release No. 33-11175
Date: March 21, 2023	Respondents: Richard Keith Robertson, IFP Advisors, LLC Release No. 34-97175 File Number: 3-20954, 3-20955
Date: March 20, 2023	Respondents: Parker, Bernard M. Release No. 34-97166, IA-6265 File Number: 3-21345
Date: March 20, 2023	Respondents: BNY Mellon Securities LLC and Mark Shaw Release No. 34-97172 File Number: 3-14191, 3-14192
Date: March 17, 2023	Respondents: Cucinella, John Release No. 34-97155 File Number: 3-21344
Date: March 16, 2023	Respondents: Sica Wealth Management, LLC and Jeffrey C. Sica Release No. 34-97152
Date: March 16, 2023	Respondents: deVere USA, Inc. Release No. 34-97153
Date: March 16, 2023	Respondents: Almost Never Films Inc. Release No. 34-97154 File Number: 3-21343
Date: March 14, 2023	Respondents: DXC Technology Company Release No. 33-11166, 34-97140, AAER-4391
Date: March 13, 2023	Respondents: E. Magnus Oppenheim & Co. Inc. Release No. 34-97114, IA-6259 See Also: Administrative Summary File Number: 3-21340
Date: March 13, 2023	Respondents: Steven Xigoros Release No. IA-6260 File Number: 3-21341
Date: March 13, 2023	Respondents: Bandimere, David F. Young, John O. Release No. 34-97122 File Number: 3-15124
Date: March 13, 2023	Respondents: Sino Agro Food, Inc. Release No. 34-97128 File Number: 3-21096
Date: March 9, 2023	Respondents: Ralph Bartel Release No. 34-97084 See Also: Administrative Summary File Number: 3-21337
Date: March 9, 2023	Respondents: Jason P. Wootten Release No. 34-97096 File Number: 3-21338
Date: March 9, 2023	Respondents: Blackbaud, Inc. Release No. 33-11165, 34-97098
Date: March 8, 2023	Respondents: Balter, Laurence I. d/b/a Oracle Investment Research Release No. 34-97083 File Number: 3-17614
Date: March 7, 2023	Respondents: KeyBanc Capital Markets Inc. Release No. 34-97064 See Also: Administrative Summary File Number: 3-21336
Date: March 6, 2023	Respondents: Flutter Entertainment and plc as successor-in-interest to The Stars Group, Inc. (Corrected) Release No. 34-97044, AAER-4384 See Also: Administrative Summary File Number: 3-21330
Date: March 6, 2023	Respondents: Guzman, Gustavo A. Release No. IA-6255 File Number: 3-21333
Date: March 6, 2023	Respondents: James R. Thompson, Esq. Release No. 34-97045
Date: March 6, 2023	Respondents: Rio Tinto plc Release No. 34-97049, AAER-4386
Date: March 6, 2023	Respondents: Barry D. Loveless, CPA Release No. 34-97050, AAER-4385
Date: March 3, 2023	Respondents: Joshua Simmons Release No. 34-97030
Date: March 3, 2023	Respondents: Daniel Valentino Release No. 34-97031
Date: March 3, 2023	Respondents: Robert Daniel Louis Release No. 34-97032
Date: March 3, 2023	Respondents: Dave Nicolas Release No. 34-97033
Date: March 3, 2023	Respondents: Daniel J. Mackle, Sr. and Silver Edge Financial LLC Release No. 34-97034, IA-6254
Date: March 3, 2023	Respondents: Equity Acquisition Company Ltd. and Carsten Klein Release No. 34-97035
Date: March 3, 2023	Respondents: Scott Esposito Release No. 34-97036
Date: March 3, 2023	Respondents: Richard Konopka Release No. 34-97037
Date: March 3, 2023	Respondents: Todd J. Prince Release No. 34-97038 File Number: 3-21329
Date: March 2, 2023	Respondents: William A. Furman Release No. 33-11161, 34-97016
Date: March 2, 2023	Respondents: The Greenbrier Companies, Inc. Release No. 33-11162, 34-97017
Date: March 2, 2023	Respondents: Cambria Capital, LLC Release No. 34-97020, IA-6253 See Also: Administrative Summary
Date: March 2, 2023	Respondents: Chembio Diagnostics, Inc. Release No. 33-11163 See Also: Administrative Summary File Number: 3-21320
Date: March 1, 2023	Respondents: Surgalign Holdings, Inc. and Robert P. Jordheim Release No. 34-96997 File Number: 3-20945
Date: March 1, 2023	Respondents: Nikola Corporation Release No. 34-96998 File Number: 3-20687