Commission Opinions and Adjudicatory Orders

The Commission recently amended its Rules of Practice to include new electronic filing requirements.

The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

Opinions and Adjudicatory Orders RSS Feed


Date Sort ascending	Respondents
Dec. 30, 2019	Dutch Gold Resources, Inc. and Paracap Corporation (Opinion of the Commission) Release No. 34-87869 File Number: 3-19310
Dec. 26, 2019	Oriental Magic Soup, Inc., et al. (Opinion of the Commission as to Pan Ocean Container Supplies, Ltd. (n/k/a Red Wolf Enterprises Int. or Red Wolf Enterprises, Inc.)) Release No. 34-87857 File Number: 3-19325
Dec. 23, 2019	Bradley C. Reifler Financial Industry Regulatory Authority (Extension Order) Release No. 34-87850 File Number: 3-19589
Dec. 23, 2019	LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order) Release No. 34-87849 File Number: 3-18967
Dec. 20, 2019	Newport Coast Securities, Inc. (Order Extending Time to Issue Decision) Release No. 34-87833 File Number: 3-18555
Dec. 19, 2019	Quicksilver Stock Transfer, LLC aka Quicksilver Stock Transfer Corporation (Order Suspending Briefing Schedule) Release No. 34-87809 File Number: 3-19303
Dec. 18, 2019	TMR Bayhead Securities LLC (Order Extending Time to Issue Decision) Release No. 34-87800 File Number: 3-18869
Dec. 16, 2019	Alexandre S. Clug, et al. (Order Extending Time to Issue Decision) Release No. 33-10732, 34-87767, IC-33717 File Number: 3-16318
Dec. 12, 2019	Portfolio Advisors Alliance, Inc. (Order Granting Extension of Time) Release No. 34-87737 File Number: 3-19576
Dec. 12, 2019	Howard J. Allen III (Order Granting Extension of Time) Release No. 34-87736 File Number: 3-19577
Dec. 12, 2019	Kerri L. Wasserman (Order Granting Extension of Time) Release No. 34-87735 File Number: 3-19578
Dec. 12, 2019	Alpine Securities Corporation (Extension Order) Release No. 34-87734 File Number: 3-18979
Dec. 9, 2019	Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision) Release No. 34-87703 File Number: 3-18554
Dec. 9, 2019	Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision) Release No. 34-87702 File Number: 3-17560r, 3-17560
Dec. 9, 2019	Dutch Gold Resources, Inc. and Paracap Corporation (Order to Show Cause) Release No. 34-87700 File Number: 3-19310
Dec. 5, 2019	Artisanal Brands, Inc. and Daleco Resources Corporation (Order to Show Cause) Release No. 34-87668 File Number: 3-19308
Dec. 5, 2019	Agritech Worldwide, Inc., Consolidated Gems, Inc. and Dominovas Energy Corporation (Order to Show Cause) Release No. 34-87667 File Number: 3-19305
Dec. 5, 2019	American Business Services, Inc., Iris Biotechnologies, Inc. and Soul & Vibe Interactive Inc. (Order to Show Cause) Release No. 34-87666 File Number: 3-19296
Dec. 5, 2019	Alife Corporation, et al. (Order to Show Cause) Release No. 34-87669 File Number: 3-19313
Dec. 5, 2019	Axiom Corp., et al. (Order to Show Cause) Release No. 34-87664 File Number: 3-19295
Dec. 5, 2019	Arabella Exploration, Inc., Scivanta Medical Corp. and Westmountain Distressed Debt, Inc. (Order to Show Cause) Release No. 34-87665 File Number: 3-19297
Dec. 4, 2019	TMR Bayhead Securities LLC (Order Extending Time to Issue Decision) Release No. 34-87660 File Number: 3-18869
Dec. 4, 2019	Electronic Cigarettes International Group, Ltd., Seaniemac International, Ltd. and Ziwira, Inc. (Order to Show Cause) Release No. 34-87659 File Number: 3-19292
Dec. 4, 2019	American Rare Earths, et al. (Order to Show Cause) Release No. 34-87658 File Number: 3-19309
Dec. 3, 2019	Innocom Technology Holdings, Inc., The Pulse Beverage Corporation and Ystrategies Corp. (Opinion of the Commission as to Ystrategies Corp.) Release No. 34-87654 File Number: 3-19443
Dec. 3, 2019	BTHC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Opinion of the Commission as to Kama Resources Inc.) Release No. 34-87653 File Number: 3-19317
Dec. 3, 2019	NXChain, et al. (Opinion of the Commission as to Sooum Corp.) Release No. 34-87652 File Number: 3-19429
Nov. 27, 2019	Thaddeus J. North (Opinion of the Commission) Release No. 34-87638 File Number: 3-18150
Nov. 25, 2019	Consolidated Arbitration Applications (Order Consolidating Appeals) Release No. 34-87615 File Number: 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18894, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19019, 3-19219, 3-19228, 3-19405, 3-19573, 3-19574, 3-19588
Nov. 25, 2019	Talon Real Estate Holding Corp. (Opinion of the Commission) Release No. 34-87614 File Number: 3-18811
Nov. 22, 2019	Newport Coast Securities, Inc. (Order Extending Time to Issue Decision) Release No. 34-87601 File Number: 3-18555
Nov. 22, 2019	Alpine Securities Corporation (Order Denying Stay and Denying Motion for Protective Order) Release No. 34-87599 File Number: 3-18979
Nov. 21, 2019	Lawrence Allen Deshetler (Opinion of the Commission) Release No. IA-5411 File Number: 3-18854
Nov. 21, 2019	Bradley C. Reifler (Order Scheduling Briefs) Release No. 34-87585 File Number: 3-19589
Nov. 20, 2019	TMR Bayhead Securities LLC (Order Extending Time to Issue Decision) Release No. 34-87579 File Number: 3-18869
Nov. 18, 2019	Hybrid Coating Technologies, Inc., Infrastructure Developments Corp. and Oro East Mining, Inc. (Order to Show Cause as to Hybrid Coating Technologies, Inc., and Infrastructure Developments Corp.) Release No. 34-87566 File Number: 3-19286
Nov. 18, 2019	House of BODS Fitness, Inc., Reef Oil & Gas Income & Development Fund III LP and Techlabs, Inc. (Order to Show Cause) Release No. 34-87571 File Number: 3-19283
Nov. 18, 2019	Bioshaft Water Technology, Inc., MeeMee Media Inc. and Zeecol International, Inc. (Order to Show Cause) Release No. 34-87565 File Number: 3-19290
Nov. 18, 2019	Bingo Nation, Inc., Sino-American Net Media Corp. and Wussler Worldwide Media Co. (Order to Show Cause) Release No. 34-87570 File Number: 3-19282
Nov. 18, 2019	Cornerworld Corp. and DMH International, Inc. (Order to Show Cause) Release No. 34-87564 File Number: 3-19291
Nov. 18, 2019	MMRGlobal, Inc., Silver Hill Mines, Inc. and Sterling Group Ventures, Inc. (Order to Show Cause as to MMRglobal, Inc., and Silver Hill Mines, Inc.) Release No. 34-87569 File Number: 3-19287
Nov. 18, 2019	Blackcraft Cult, Inc. and Unified Signal, Inc. (Order to Show Cause as to Unified Signal, Inc.) Release No. 34-87563 File Number: 3-19289
Nov. 18, 2019	chatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc. (Order to Show Cause as to chatAND, Inc., and DTS8 Coffee Company, Ltd.) Release No. 34-87568 File Number: 3-19285
Nov. 18, 2019	Mariposa Health, Inc. and STL Marketing Group, Inc. (Order to Show Cause) Release No. 34-87572 File Number: 3-19284
Nov. 13, 2019	William Harper Minor, Jr. (Order to Show Cause) Release No. 34-87531, IA-5410 File Number: 3-19281
Nov. 13, 2019	Knowledgebroker, Inc., et al. (Order to Show Cause) Release No. 34-87535 File Number: 3-19270
Nov. 13, 2019	American Smooth Wave Ventures, Inc. (Order to Show Cause) Release No. 34-87530 File Number: 3-19265
Nov. 13, 2019	Enhanced Services Company, Inc. and Ingenex, Inc. (Order to Show Cause) Release No. 34-87534 File Number: 3-19271
Nov. 13, 2019	Equality Investments, Inc., Freedom Financial Corporation and Mustang Resources Inc. (Order to Show Cause) Release No. 34-87529 File Number: 3-19268
Nov. 13, 2019	Armco Metals Holdings, Inc., Global Future City Holding, Inc. and Traceguard Technologies, Inc. (Order to Show Cause) Release No. 34-87533 File Number: 3-19272
Nov. 13, 2019	NECO Energy Corporation, Neighborhood Investment, Ltd. and New Dawn Entertainment Inc. (Order to Show Cause) Release No. 34-87528 File Number: 3-19269
Nov. 13, 2019	Diversified Corporate Resources, Inc., Netwolves Corporation and Samdrew VIII, Inc. (Order to Show Cause) Release No. 34-87532 File Number: 3-19276
Nov. 13, 2019	Biolog, Inc., Bozki, Inc. and China Gewang Biotechnology, Inc. (Order to Show Cause) Release No. 34-87527 File Number: 3-19273
Nov. 13, 2019	Capital Trust Holdings, Inc., Florida Gaming Corporation and Go Public, Inc. (Order to Show Cause) Release No. 34-87525 File Number: 3-19274
Nov. 13, 2019	Biscayne Acquisition Group Inc. and Teleplus World, Corp. (Order to Show Cause) Release No. 34-87524 File Number: 3-19275
Nov. 12, 2019	LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order) Release No. 34-87507 File Number: 3-18967
Nov. 12, 2019	Gregory Acosta (Order Requesting Additional Briefing) Release No. 34-87509 File Number: 3-18637
Nov. 7, 2019	Daniel Sholom Frishberg (Renewed Order Requesting Additional Written Submission) Release No. IA-5409 File Number: 3-14393
Nov. 7, 2019	Marc Jay Bryant (a/k/a Marc Jay Welch) (Order Granting Extension of Time) Release No. 34-87493 File Number: 3-18808
Nov. 7, 2019	Can-Cal Resources, Ltd., China Fruits Corp. and Skystar Bio-Pharmaceutical Co. (Order in Response to Request to Supplement the Record) Release No. 34-87492 File Number: 3-18017
Nov. 6, 2019	Ernest J. Romer, III (Order) Release No. 34-87480 File Number: 3-19006
Nov. 6, 2019	NXChain, et al. (Order Requesting Additional Briefs) Release No. 34-87479 File Number: 3-19429
Nov. 5, 2019	Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP (Order Granting Extension of Time) Release No. 34-87471 File Number: 3-19564
Nov. 5, 2019	Howard J. Allen III (Order Granting Extension of Time) Release No. 34-87467 File Number: 3-19577
Nov. 5, 2019	Portfolio Advisors Alliance, Inc. (Order Granting Extension of Time) Release No. 34-87466 File Number: 3-19576
Nov. 5, 2019	Kerri L. Wasserman (Order Granting Extension of Time) Release No. 34-87473 File Number: 3-19578
Nov. 5, 2019	Falcon Technologies, Inc. (Order Scheduling Briefs) Release No. 34-87472 File Number: 3-19575
Nov. 4, 2019	Quicksilver Stock Transfer, LLC and a.k.a. Quicksilver Stock Transfer Corporation (Order Regarding Request for Subpoenas) Release No. 34-87451 File Number: 3-19303
Nov. 4, 2019	Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision) Release No. 34-87456 File Number: 3-17560r, 3-17560
Oct. 30, 2019	Talman Harris (Order Remanding Proceeding) Release No. 34-87425 File Number: 3-17874, 3-17875
Oct. 30, 2019	TMR Bayhead Securities LLC (Order Extending Time to Issue Decision) Release No. 34-87424 File Number: 3-18869
Oct. 28, 2019	Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP (Order) Release No. 34-87406 File Number: 3-19564
Oct. 28, 2019	Thaddeus J. North (Order Extending Time to Issue Decision) Release No. 34-87411 File Number: 3-18150
Oct. 28, 2019	Clayton T. Marshall (Order Dismissing Additional Proceedings) Release No. 33-10722, 34-87405 File Number: 3-15783
Oct. 22, 2019	John Boone Kincaid III (Opinion of the Commission) Release No. 34-87384 File Number: 3-18882
Oct. 22, 2019	Zoom Companies, Inc. (Order Dismissing Proceeding) Release No. 34-87383 File Number: 3-18261
Oct. 16, 2019	Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP (Order Regarding Service) Release No. 34-87325 File Number: 3-19564
Oct. 11, 2019	Albert K. Hu (Extension Order) Release No. IA-5403 File Number: 3-19510
Oct. 10, 2019	Saving2retire, LLC and Marian P. Young (Order Granting Petition for Review and Scheduling Briefs) Release No. IA-5402 File Number: 3-17352
Oct. 8, 2019	Fidelity Transfer Services, Inc. and Ruben Sanchez (Order) Release No. 34-87248, IC-33657 File Number: 3-19243
Oct. 8, 2019	Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation (Order Regarding Request for Subpoenas) Release No. 34-87247 File Number: 3-19303
Oct. 8, 2019	Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision) Release No. 34-87251 File Number: 3-18554
Oct. 7, 2019	Oscar Ferrer Rivera (Order to Show Cause) Release No. 34-87244 File Number: 3-19166
Oct. 4, 2019	Mark Feathers (Order) Release No. 34-87226 File Number: 3-15755
Oct. 4, 2019	Colorado Goldfields, Inc., Lyfe Communications, Inc. and Revolutions Medical Corporation (Order Dismissing Proceeding) Release No. 34-87236 File Number: 3-18801
Oct. 2, 2019	Daniel Sholom Frishberg (Order Requesting Additional Written Submission) Release No. IA-5399 File Number: 3-14393
Oct. 2, 2019	Green Ballast, Inc. and Lithium Exploration Group, Inc. (Order Requesting Additional Written Submissions) Release No. 34-87197 File Number: 3-19506
Oct. 2, 2019	Bruce M. Zipper and Dakota Securities International, Inc. (Order Regarding Briefs) Release No. 34-87202 File Number: 3-19138
Oct. 2, 2019	Artisanal Brands, Inc. and Daleco Resources Corporation (Initial Scheduling Order) Release No. 34-87201 File Number: 3-19308
Sept. 30, 2019	TMR Bayhead Securities LLC (Order Extending Time to Issue Decision) Release No. 34-87161 File Number: 3-18869
Sept. 30, 2019	Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision) Release No. 34-87156 File Number: 3-18612
Sept. 27, 2019	ASN Satellites, Inc., et al. (Order Directing Filing of Answer) Release No. 34-87147 File Number: 3-19315
Sept. 27, 2019	Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Scheduling Briefs) Release No. 34-87151 File Number: 3-19360
Sept. 27, 2019	Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Granting Motion to Withdraw Request for Stay and Terminating Interim Stay) Release No. 34-87146 File Number: 3-19360
Sept. 27, 2019	Michael T. Rand, CPA (Order Denying Stay) Release No. 34-87139 File Number: 3-19191
Sept. 27, 2019	Thaddeus J. North (Order Extending Time to Issue Decision) Release No. 34-87135 File Number: 3-18150
Sept. 23, 2019	Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation (Order Setting Briefing Schedule) Release No. 34-87061 File Number: 3-19303
Sept. 23, 2019	Sean P. Finn and M. Dwyer LLC (Order Remanding Proceeding) Release No. 34-87057 File Number: 3-17693
Sept. 20, 2019	MedPro Safety Products, Inc., et al. (Opinion of the Commission as to Medpro Safety Products, Inc.) Release No. 34-87042 File Number: 3-18764
Sept. 19, 2019	Royal B.Y. Investment Management LLC, et al. (Opinion of the Commission as to Royal B.Y. Investment Management LLC) Release No. 34-87010 File Number: 3-18746

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