Administrative Proceedings

The links below direct you to the individual case pages for litigated administrative proceedings adjudicated by the Commission, including its consideration of appeals from initial decisions issued by administrative law judges or from SRO or PCAOB action. The case pages contain the Commission opinions and orders as well as significant filings in such matters. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

Below is a chronological list of links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, pursuant to delegated authority. The orders and other issuances in litigated administrative proceedings below also may be found on the individual case pages linked on the Open Litigated Administrative Proceedings and Closed Litigated Administrative Proceedings pages, together with filings made in the proceedings. The issuances pertaining to distribution proceedings may also be found in the individual case charts on the Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds page.

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Date Sort descending	Respondents
Aug. 2, 2019	Watson, Jason Dwayne Release No. 34-86555 File Number: 3-19304
Aug. 2, 2019	Agritech Worldwide, Inc. Consolidated Gems, Inc. Dominovas Energy Corporation Release No. 34-86559 File Number: 3-19305
Aug. 2, 2019	Empire Energy Corporation International Moller International, Inc. Rangeford Resources, Inc. Release No. 34-86561 File Number: 3-19306
Aug. 1, 2019	Kendall J. Groom, CPA Release No. 34-86541 See Also: Administrative Summary File Number: 3-19301
Aug. 1, 2019	Alan Shinderman Release No. 34-86543 File Number: 3-19302
Aug. 1, 2019	Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation Release No. 34-86544 File Number: 3-19303
Aug. 1, 2019	Fifth Street Management, LLC Release No. 34-86551 See Also: Distribution Plan File Number: 3-18909
Aug. 1, 2019	Brixmor Property Group Inc. Release No. 34-86538, AAER-4061 File Number: 3-19300
Aug. 1, 2019	Kendall J. Groom, CPA Release No. 34-86540, IA-5313, IC-33582 See Also: Administrative Summary File Number: 3-19301
July 31, 2019	Jonathan Brosk Release No. 34-86522, IA-5312, IC-33581 File Number: 3-19294
July 31, 2019	James W. Holden Release No. 34-86521 File Number: 3-19293
July 31, 2019	John P. Kirk Release No. 34-86530 File Number: 3-19298
July 31, 2019	Paul G. Kirk, Esq. Release No. 34-86531 File Number: 3-19299
July 31, 2019	Axiom Corp. Smartchase Corp. Veracity Management Global, Inc. n/k/a Santa Fe Resource Development, Inc. Release No. 34-86524 File Number: 3-19295
July 31, 2019	American Business Services, Inc. Iris Biotechnologies, Inc. Soul & Vibe Interactive Inc. Release No. 34-86526 File Number: 3-19296
July 31, 2019	Arabella Exploration, Inc. Scivanta Medical Corp. Westmountain Distressed Debt, Inc. Release No. 34-86528 File Number: 3-19297
July 30, 2019	Blackcraft Cult, Inc. Unified Signal, Inc. Release No. 34-86513 File Number: 3-19289
July 30, 2019	Bioshaft Water Technology, Inc. MeeMee Media Inc. Zeecol International, Inc. Release No. 34-86515 File Number: 3-19290
July 30, 2019	Cornerworld Corp. DMH International, Inc. Release No. 34-86517 File Number: 3-19291
July 30, 2019	Electronic Cigarettes International Group, Ltd. Seaniemac International, Ltd. Ziwira, Inc. Release No. 34-86519 File Number: 3-19292
July 29, 2019	Christopher Plaford Release No. IA-5311 See Also: Administrative Summary File Number: 3-19288
July 29, 2019	chatAND, Inc. DTS8 Coffee Company, Ltd. Greenfield Farms Food, Inc. Release No. 34-86500 File Number: 3-19285
July 29, 2019	Hybrid Coating Technologies, Inc. Infrastructure Developments Corp. Oro East Mining, Inc. Release No. 34-86503 File Number: 3-19286
July 29, 2019	MMRGlobal, Inc. Silver Hill Mines, Inc. Sterling Group Ventures, Inc. Release No. 34-86506 File Number: 3-19287
July 26, 2019	Bingo Nation, Inc. Sino-American Net Media Corp. Wussler Worldwide Media Co. Release No. 34-86485 File Number: 3-19282
July 26, 2019	House of BODS Fitness, Inc. Reef Oil & Gas Income & Development Fund III LP Techlabs, Inc. Release No. 34-86486 File Number: 3-19283
July 26, 2019	Mariposa Health, Inc. STL Marketing Group, Inc. Release No. 34-86487 File Number: 3-19284
July 26, 2019	Timothy M. Rooney, Sr. Release No. 34-86489, IA-5310, IC-33577 File Number: 3-19280
July 26, 2019	Chua Seong Seng, aka Robbie Chua Release No. 34-86481 File Number: 3-19279
July 26, 2019	Minor, William Harper, Jr. Release No. 34-86483, IA-5308 File Number: 3-19281
July 26, 2019	Nevanna Sacks, CPA Release No. 34-86495, AAER-4060, AAER-4060 File Number: 3-12326
July 25, 2019	Sohin S. Shah Release No. 34-86466 File Number: 3-19277
July 25, 2019	5BARz International, Inc. Eagle Mountain Corporation EFT Holdings, Inc. Release No. 34-86467 File Number: 3-19278
July 25, 2019	BKS Advisors LLC and Roger T. Denha, BKS Advisors, LLC and Robert T. Denha Release No. 34-86472 See Also: Distribution Plan File Number: 3-18648, 3-18649
July 25, 2019	Morgan Stanley and Co. LLC, et al. Release No. 34-86474 File Number: 3-15982
July 24, 2019	Equality Investments, Inc. Freedom Financial Corporation Mustang Resources Inc. Release No. 34-86448 File Number: 3-19268
July 24, 2019	Neco Energy Corporation Neighborhood Investment, Ltd. New Dawn Entertainment Inc. Release No. 34-86449 File Number: 3-19269
July 24, 2019	Knowledgebroker, Inc. Millers American Group, Inc. (a/k/a Millers Mutual Fire Insurance Co.) Omega Orthodontics, Inc. Release No. 34-86450 File Number: 3-19270
July 24, 2019	Enhanced Services Company, Inc. Ingenex, Inc. Release No. 34-86451 File Number: 3-19271
July 24, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. 33-10663, 34-86459, IC-33567 File Number: 3-17716
July 24, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. 33-10664, 34-86461, IC-33574 File Number: 3-17716
July 24, 2019	Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel Release No. 34-86446, IA-5306 See Also: Administrative Summary File Number: 3-19266
July 24, 2019	N. Gary Price Release No. IA-5307 See Also: Administrative Summary File Number: 3-19267
July 24, 2019	Diversified Corporate Resources, Inc. NetWolves Corporation Samdrew VIII, Inc. Release No. 34-86456 File Number: 3-19276
July 24, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. 33-10665, 34-86462, IC-33575 File Number: 3-17716
July 24, 2019	Armco Metals Holdings, Inc. Global Future City Holding, Inc. TraceGuard Technologies, Inc. Release No. 34-86452 File Number: 3-19272
July 24, 2019	Biolog, Inc. Bozki, Inc. China Gewang Biotechnology, Inc. Release No. 34-86453 File Number: 3-19273
July 24, 2019	Capital Trust Holdings, Inc. Florida Gaming Corporation Go Public, Inc. Release No. 34-86454 File Number: 3-19274
July 24, 2019	Biscayne Acquisition Group Inc. Teleplus World, Corp. Release No. 34-86455 File Number: 3-19275
July 23, 2019	Balaji Sundarraj and David O'brien Release No. 34-86435 See Also: Administrative Summary File Number: 3-19261
July 23, 2019	Africa Growth Corporation Gold Dynamics Corp. Release No. 34-86438 File Number: 3-19263
July 23, 2019	Gold Lakes Corp. Novagen Ingenium Inc. Release No. 34-86439 File Number: 3-19262
July 23, 2019	QuantumSphere, Inc. Shenzhen Yidian Double Way of Innovation Culture Media Corp. Release No. 34-86441 File Number: 3-19264
July 23, 2019	American Smooth Wave Ventures, Inc. Release No. 34-86445 File Number: 3-19265
July 22, 2019	Microsoft Corporation Release No. 34-86421 See Also: Administrative Summary File Number: 3-19260
July 19, 2019	Account Management LLC, Christopher de Roetth and Peter de Roetth Release No. IA-5305 File Number: 3-19259
July 18, 2019	Swapnil Rege Release No. IA-5303, IC-33561 File Number: 3-19257
July 18, 2019	Henry J. Wieniewitz, III Release No. 34-86409, IA-5304 File Number: 3-19258
July 17, 2019	Salus, LP, et al. Release No. IA-5302, IC-33560 See Also: Administrative Summary File Number: 3-19256
July 16, 2019	Dov Weinstein, CPA and Dov Weinstein & Co., CPA Release No. 34-86385, AAER-4059 See Also: Administrative Summary File Number: 3-19251
July 16, 2019	Hana Woosuk Byun and a/k/a Hana Kevin Byun Release No. IA-5301, IC-33557 File Number: 3-19252
July 16, 2019	Dale Scott & Company, Inc. Release No. 34-86393 See Also: Administrative Summary File Number: 3-19253
July 16, 2019	G. Wayne Oetken Release No. 34-86395 See Also: Administrative Summary File Number: 3-19254
July 16, 2019	School Services of California, Inc. Release No. 34-86396 See Also: Administrative Summary File Number: 3-19255
July 16, 2019	Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. Release No. 34-86397, IC-33559 File Number: 3-16353
July 15, 2019	Nomura Securities International, Inc. Release No. 34-86372 File Number: 3-19248
July 15, 2019	Nomura Securities International, Inc. Release No. 34-86373 File Number: 3-19249
July 15, 2019	Alexander Capital, L.P. Release No. 34-86382 File Number: 3-18561
July 12, 2019	Kwen Y. Chun Release No. 34-86369, IA-5299 File Number: 3-19247
July 11, 2019	Hannan, Kimm C. Release No. IA-5295 File Number: 3-19245
July 11, 2019	Jehu Hand, Esq. Release No. 34-86357 File Number: 3-19246
July 10, 2019	Fidelity Transfer Services, Inc. Sanchez, Ruben Release No. 34-86347, IC-33550 See Also: Administrative Summary File Number: 3-19243
July 10, 2019	Thomas H. Laws, CPA Release No. 34-86350, AAER-4058 File Number: 3-19244
July 9, 2019	Paul Douglas Vandivier Release No. 34-86331 File Number: 3-19241
July 8, 2019	Visium Asset Management, LP Release No. 34-86330 See Also: Distribution Plan File Number: 3-18473
July 5, 2019	Pedro L. Gonzalez-Seijo Release No. 34-86317, IA-5289 File Number: 3-19240
July 3, 2019	White, Alexander Charles Release No. 34-86294 File Number: 3-19237
July 2, 2019	The Parrish Group, LLC and Daryl M. Davis Release No. IA-5270, IC-33540 File Number: 3-19235
July 2, 2019	James B. Catledge Release No. 34-86273 File Number: 3-19236
July 1, 2019	GT Media, Inc. Release No. 33-10656 File Number: 3-19229
July 1, 2019	Fieldstone Financial Management Group, LLC and Kristofor R. Behn Release No. 33-10655, 34-86251, IA-5263, IC-33538 File Number: 3-19227
July 1, 2019	Thomas Chang, CPA Release No. 34-86252, AAER-4057 File Number: 3-19226
July 1, 2019	Laverne C. Moter Release No. 34-86254, IA-5264 File Number: 3-19230
July 1, 2019	Goss, Edward Dean Release No. 34-86265 File Number: 3-19231
July 1, 2019	Gross, Kenneth S. Release No. 34-86266 File Number: 3-19232
July 1, 2019	Shoucair, Jonathan E. Release No. 34-86267 File Number: 3-19233
July 1, 2019	Tory J. R. Schalkle Release No. 34-86268 File Number: 3-19234
June 28, 2019	Avi Chiat, Esq. Release No. IA-5262 File Number: 3-19223
June 28, 2019	R. Gordon Jones, CPA Release No. 34-86239, AAER-4055 File Number: 3-19224
June 28, 2019	S. Jeffrey Jones, CPA Release No. 34-86240, AAER-4056 File Number: 3-19225
June 28, 2019	CellCyte Genetics Corp. China Pediatric Pharmaceuticals, Inc. Hawker Energy, Inc. Release No. 34-86243 File Number: 3-18141
June 27, 2019	IFS Securities Release No. 34-86210 File Number: 3-19220
June 27, 2019	State Street Bank and Trust Company Release No. IC-33534 File Number: 3-19221
June 27, 2019	Mandracken, Nicholi Release No. 34-86215 File Number: 3-19222
June 26, 2019	Gregory T. Dean Release No. 34-86196 File Number: 3-19217
June 25, 2019	Amrit J. S. Chahal Release No. IA-5261 File Number: 3-19218
June 24, 2019	Anastasios P. "Tommy" Belesis Release No. 34-86181 File Number: 3-18088
June 24, 2019	Suzanne Aileen Gagnier Release No. 34-86185 File Number: 3-19215
June 24, 2019	Fifth Street Management, LLC Release No. 34-86190 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: 3-18909 File Number: 3-18909
June 21, 2019	Edward Lee Moody, Jr. Release No. IA-5259 File Number: 3-19212

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