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:
Lyft, Inc.
Release No. 34-98413
File Number: 3-21672
Date: Respondents:
Coastal Caribbean Oils & Minerals, Ltd.
Release No. 34-98412
File Number: 3-21671
Date: Respondents:
China Crescent Enterprises, Inc.
Release No. 34-98411
File Number: 3-21670
Date: Respondents:
HCR Wealth Advisors
Release No. 34-98408
See Also: Distribution Plan
File Number: 3-19494
Date: Respondents:
Xia Hong
Release No. 34-98401
See Also: Administrative Summary
File Number: 3-21668
Date: Respondents:
Citigroup Global Markets, Inc., Morgan Stanley Smith Barney LLC
Release No. 34-98399
See Also: Proposed Distribution Plan
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: 3-17808, 3-17809
Date: Respondents:
GlennCap LLC and Jonathan Vincent Glenn
Release No. 33-11234, 34-98392, IA-6422, IC-34997
File Number: 3-21667
Date: Respondents:
The Kraft Heinz Co. and Eduardo Pelleissone
Release No. 34-98398
File Number: 3-20523
Date: Respondents:
Allen Mecham
Release No. 34-98391
File Number: 3-21666
Date: Respondents:
Latteno Food Corp.
Release No. 34-98384
File Number: 3-21665
Date: Respondents:
IMAGINON, INC.
Release No. 34-98383
File Number: 3-21664
Date: Respondents:
Acacia Diversified Holdings, Inc.
Release No. 34-98382
File Number: 3-21663
Date: Respondents:
Artemis Wealth Advisors, LLC
Release No. 34-98381, IA-6421
File Number: 3-21662
Date: Respondents:
INTERDYNE COMPANY
Release No. 34-98379
File Number: 3-21661
Date: Respondents:
Rand Heckler
Release No. 34-98374, IA-6419
File Number: 3-21660
Date: Respondents:
EPIRUS BIOPHARMACEUTICALS, INC. (f/k/a Zalicus, Inc.)
Release No. 34-98371
File Number: 3-21658
Date: Respondents:
Rogue One, Inc.
Release No. 34-98370
File Number: 3-21657
Date: Respondents:
Kibush Capital Corp.
Release No. 34-98369
File Number: 3-21656
Date: Respondents:
Stoner Cats 2, LLC
Release No. 33-11233
File Number: 3-21655
Date: Respondents:
Ameri Metro, Inc.
Release No. 34-98364
File Number: 3-21654
Date: Respondents:
Youngevity International, Inc.
Release No. 34-98356
File Number: 3-21653
Date: Respondents:
Yieldstreet Inc., and Yieldstreet Management, LLC
Release No. 33-11230, IA-6414
File Number: 3-21651
Date: Respondents:
True Capital Management, LLC
Release No. 34-98354, IA-6415
See Also: Administrative Summary
File Number: 3-21652
Date: Respondents:
Alfonse Gregory Giugliano, CPA
Release No. 34-98352, AAER-4458
File Number: 3-21650
Date: Respondents:
Maximus, Inc.
Release No. 34-98351
See Also: Administrative Summary
File Number: 3-21649
Date: Respondents:
Trowbridge Capital Partners LLC
Release No. IA-6412
File Number: 3-21644
Date: Respondents:
MRA Advisory Group
Release No. IA-6411
File Number: 3-21643
Date: Respondents:
McElhenny Sheffield Capital Management, LLC
Release No. IA-6410
File Number: 3-21642
Date: Respondents:
Macroclimate LLC
Release No. IA-6409
File Number: 3-21641
Date: Respondents:
Linden Thomas Advisory Services, LLC
Release No. IA-6408
File Number: 3-21640
Date: Respondents:
Hansen and Associates Financial Group Inc.
Release No. IA-6407
File Number: 3-21639
Date: Respondents:
Elm Partners Management LLC
Release No. IA-6406
File Number: 3-21638
Date: Respondents:
BTS Asset Management Inc.
Release No. IA-6405
File Number: 3-21637
Date: Respondents:
Banorte Asset Management, Inc.
Release No. IA-6404
File Number: 3-21636
Date: Respondents:
Simplex Trading, LLC
Release No. 34-98346
See Also: Administrative Summary
File Number: 3-21648
Date: Respondents:
UNI-PIXEL, INC.
Release No. 34-98345
File Number: 3-21647
Date: Respondents:
Mortgage Industry Advisory Corporation
Release No. IA-6413
See Also: Administrative Summary
File Number: 3-21646
Date: Respondents:
ForceField Energy Inc.
Release No. 34-98344
File Number: 3-21645
Date: Respondents:
JS BEAUTY LAND NETWORK TECHNOLOGY INC.
Release No. 34-98341
File Number: 3-21634
Date: Respondents:
Daniel E. Levin
Release No. 34-98343
File Number: 3-21635
Date: Respondents:
Jacob R. Orvidas
Release No. 33-11231, 34-98323
File Number: 3-21630
Date: Respondents:
Richard D. Whitney
Release No. 34-98326
File Number: 3-21633
Date: Respondents:
Ngoc-Ha T. Nguyen
Release No. 34-98325
File Number: 3-21632
Date: Respondents:
Luke Ho
Release No. 34-98324
File Number: 3-21631
Date: Respondents:
Monolith Resources, LLC
Release No. 34-98322
File Number: 3-21629
Date: Respondents:
Linus Financial, Inc.
Release No. 33-11229
File Number: 3-21627
Date: Respondents:
Empower Clinics, Inc.
Release No. 34-98315
File Number: 3-21626
Date: Respondents:
CRANK MEDIA INC
Release No. 34-98313
File Number: 3-21625
Date: Respondents:
Actua Corp.
Release No. 34-98310
File Number: 3-21624
Date: Respondents:
Atlantic Industries Inc. /CO/
Release No. 34-98309
File Number: 3-21623
Date: Respondents:
Mark Wogsland
Release No. 34-98307, AAER-4456
File Number: 3-21622
Date: Respondents:
Bret Naggs
Release No. 34-98306, AAER-4455
File Number: 3-21621
Date: Respondents:
ARCH LEASING CORP
Release No. 34-98305
File Number: 3-21620
Date: Respondents:
Xeikon N.V.
Release No. 34-98301
File Number: 3-21619
Date: Respondents:
Realmark Property Investors Ltd Partnership IV
Release No. 34-98300
File Number: 3-21618
Date: Respondents:
Realmark Property Investors Ltd Partnership III
Release No. 34-98299
File Number: 3-21617
Date: Respondents:
Winthrop California Investors Ltd Partnership
Release No. 34-98298
File Number: 3-21611
Date: Respondents:
Kent N. Smith
Release No. 34-98297
File Number: 3-21616
Date: Respondents:
Bradley R. Scott
Release No. 34-98296
File Number: 3-21615
Date: Respondents:
Robin K. Chopra, CA
Release No. 34-98295
File Number: 3-21614
Date: Respondents:
James F. Brittain
Release No. 34-98294
File Number: 3-21613
Date: Respondents:
Jon Eric Best
Release No. 34-98293
File Number: 3-21612
Date: Respondents:
Fluor Corporation
Release No. 34-98292
File Number: 3-21610
Date: Respondents:
Robinhood Financial, LLC
Release No. 34-98289
File Number: 3-20771
Date: Respondents:
Disruptive Technology Advisers LLC
Release No. IA-6400
File Number: 3-21609
Date: Respondents:
The Eideard Group, LLC
Release No. IA-6399
File Number: 3-21608
Date: Respondents:
Bluestone Capital Management, LLC
Release No. IA-6398
File Number: 3-21607
Date: Respondents:
Lloyd George Management (HK) Limited
Release No. IA-6395
File Number: 3-21605
Date: Respondents:
Apex Financial Advisors, Inc.
Release No. ia-6396
File Number: 3-21606
Date: Respondents:
Sungroup Inc.
Release No. 34-98282
File Number: 3-21604
Date: Respondents:
Realmark Property Investors Limited Partnership Vi-B (a/k/a Realmark Property Investors Limited Partnership - VI B)
Release No. 34-98281
File Number: 3-21603
Date: Respondents:
Prime Group Holdings, LLC
Release No. 33-11228
File Number: 3-21602
Date: Respondents:
Jason Nordlund
Release No. IA-6394
File Number: 3-21601
Date: Respondents:
SQN Capital Management, LLC and Jeremiah Silkowski
Release No. 34-98272, IA-6393, AAER-4453
See Also: Administrative Summary
File Number: 3-21600
Date: Respondents:
Independence Resources PLC
Release No. 34-98270
File Number: 3-21599
Date: Respondents:
HomeCapital Investment Corp.
Release No. 34-98269
File Number: 3-21598
Date: Respondents:
Halstead Energy Corp.
Release No. 34-98257
File Number: 3-21597
Date: Respondents:
China Pacific, Inc. (n/k/a Yorkston Holdings, Inc.)
Release No. 34-98256
File Number: 3-21596
Date: Respondents:
Nano World Projects Corp.
Release No. 34-98255
File Number: 3-21595
Date: Respondents:
Krupp Cash Plus Ltd Partnership
Release No. 34-98254
File Number: 3-21594
Date: Respondents:
Teltrust, Inc.
Release No. 34-98251
File Number: 3-21593
Date: Respondents:
TAYC Capital Trust I
Release No. 34-98250
File Number: 3-21592
Date: Respondents:
King, Leroy
Release No. 34-98246
File Number: 3-21204
Date: Respondents:
Blake Cathey
Release No. 34-98244
File Number: 3-21589
Date: Respondents:
Chad Stickforth
Release No. IA-6391
File Number: 3-21590
Date: Respondents:
Anthony B. Liddle
Release No. 34-98248, IA-6392
File Number: 3-21591
Date: Respondents:
Plug Power Inc.
Release No. 34-98243, AAER-4452
See Also: Administrative Summary
File Number: 3-21588
Date: Respondents:
Citigroup Global Markets Inc.
Release No. 34-98238
File Number: 3-21583
Date: Respondents:
Archipelago Trading Services, Inc.
Release No. 34-98234
File Number: 3-21587
Date: Respondents:
Legacy Hospitality II, LLC, Legendary Capital REIT III, LLC and Corey R. Maple
Release No. 33-11227
See Also: Administrative Summary
File Number: 3-21586
Date: Respondents:
Impact Theory, LLC
Release No. 33-11226
File Number: 3-21585
Date: Respondents:
Peter Armbruster, CPA
Release No. 34-98229, AAER-4451
File Number: 3-21584
Date: Respondents:
3M Company
Release No. 34-98222, AAER-4450
File Number: 3-21581
Date: Respondents:
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Release No. 34-98221, IA-6387
File Number: 3-21580
Date: Respondents:
Mac Wayne Billings, CPA
Release No. 34-98218, AAER-4449
File Number: 3-21579
Date: Respondents:
Momentus, Inc., et al.
Release No. 34-98209
File Number: 3-20393
Date: Respondents:
Vivic Corp.
Release No. 34-98194, AAER-4448
See Also: Administrative Summary
File Number: 3-21577
Date: Respondents:
ReShape Lifesciences Inc.
Release No. 34-98193, AAER-4447
See Also: Administrative Summary
File Number: 3-21576
Date: Respondents:
Omnia Wellness Inc.
Release No. 34-98192, AAER-4446
See Also: Administrative Summary
File Number: 3-21574
Date: Respondents:
Alpine 4 Holdings, Inc.
Release No. 34-98190, AAER-4444
See Also: Administrative Summary
File Number: 3-21573
401 to 500 of 17571 items