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: Sept. 29, 2023	Respondents: Douglas MacWright Release No. 34-98669, IA-6453 File Number: 3-21778
Date: Sept. 29, 2023	Respondents: Jonathan J. Ferrie Release No. 34-98667, AAER-4470 File Number: 3-21777
Date: Sept. 29, 2023	Respondents: Appomattox Advisory Inc. and Oscar Gustavo Gil Vollmer Release No. IA-6451 See Also: Administrative Summary File Number: 3-21774
Date: Sept. 29, 2023	Respondents: D. E. Shaw & Co, L.P. Release No. 34-98641, IA-6452 File Number: 3-21775
Date: Sept. 29, 2023	Respondents: Florence Capital Advisors, LLC and Gregory A. Hersch Release No. IA-6450 See Also: Administrative Summary File Number: 3-21771
Date: Sept. 29, 2023	Respondents: Nathan N. Nguyen Release No. 34-98608 File Number: 3-21751
Date: Sept. 29, 2023	Respondents: Brian Lam Release No. IA-6439 File Number: 3-21752
Date: Sept. 29, 2023	Respondents: Interactive Brokers Corp. and Interactive Brokers LLC Release No. 34-98633 File Number: 3-21770
Date: Sept. 29, 2023	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: Sept. 29, 2023	Respondents: Robert W. Baird & Co. Incorporated Release No. 34-98631, IA-6448 File Number: 3-21768
Date: Sept. 29, 2023	Respondents: Nuveen Securities, LLC Release No. 34-98630 File Number: 3-21767
Date: Sept. 29, 2023	Respondents: Fifth Third Securities, Inc. Release No. 34-98627, IA-6447 File Number: 3-21765
Date: Sept. 29, 2023	Respondents: William Blair & Company, L.L.C., and William Blair Investment Management, LLC Release No. 34-98626, IA-6446 File Number: 3-21764
Date: Sept. 29, 2023	Respondents: Maxim Group, LLC Release No. 34-98605 See Also: Administrative Summary File Number: 3-21749
Date: Sept. 29, 2023	Respondents: Kroll Bond Rating Agency, LLC Release No. 34-98654 File Number: 3-21776
Date: Sept. 29, 2023	Respondents: DBRS, Inc. Release No. 34-98638 File Number: 3-21773
Date: Sept. 29, 2023	Respondents: DBRS, Inc. Release No. 34-98636 File Number: 3-21772
Date: Sept. 29, 2023	Respondents: Newell Brands Inc. and Michael B. Polk Release No. 33-11251, 34-98629, AAER-4469 File Number: 3-21766
Date: Sept. 29, 2023	Respondents: Albemarle Corporation Release No. 34-98622, AAER-4468 File Number: 3-21763
Date: Sept. 28, 2023	Respondents: Spruce Power Holding Corporation Release No. 33-11247, 34-98612 File Number: 3-21748
Date: Sept. 28, 2023	Respondents: Woodbury Financial Services, Inc. Release No. IA-6444 See Also: Administrative Summary File Number: 3-21760
Date: Sept. 28, 2023	Respondents: SagePoint Financial, Inc. Release No. IA-6443 See Also: Administrative Summary File Number: 3-21759
Date: Sept. 28, 2023	Respondents: Osaic Wealth, Inc. Release No. IA-6442 See Also: Administrative Summary File Number: 3-21758
Date: Sept. 28, 2023	Respondents: FSC Securities Corporation Release No. IA-6441 See Also: Administrative Summary File Number: 3-21757
Date: Sept. 28, 2023	Respondents: Salomon Whitney LLC Release No. 34-98619 See Also: Administrative Summary File Number: 3-21762
Date: Sept. 28, 2023	Respondents: Jose D. Rocha Release No. IA-6445 File Number: 3-21756
Date: Sept. 28, 2023	Respondents: Forepont Capital LLC Release No. IA-6438, AAER-4464 See Also: Administrative Summary File Number: 3-21750
Date: Sept. 28, 2023	Respondents: Apexium Financial LP Release No. IA-6437 See Also: Administrative Summary File Number: 3-21747
Date: Sept. 28, 2023	Respondents: Exelon Corporation and Commonwealth Edison Company Release No. 33-11248, 34-98616, AAER-4467 File Number: 3-21761
Date: Sept. 28, 2023	Respondents: Citigroup Global Markets, Inc. and Citi International Financial Services, LLC, now known as Insigneo International Financial Services, LLC Release No. 34-98609, IA-6440 See Also: Administrative Summary File Number: 3-21753
Date: Sept. 28, 2023	Respondents: TAL Education Group Release No. 34-98611, AAER-4465 File Number: 3-21754
Date: Sept. 28, 2023	Respondents: Clear Channel Outdoor Holdings, Inc. Release No. 34-98615, AAER-4466 File Number: 3-21755
Date: Sept. 28, 2023	Respondents: Surgalign Holdings, Inc. and Robert P. Jordheim Release No. 34-98600 File Number: 3-20945
Date: Sept. 28, 2023	Respondents: Robert Del Prete Release No. 34-98595, AAER-4463 File Number: 3-21746
Date: Sept. 28, 2023	Respondents: Kathryn Jane Meredith d/b/a KM Advisory Services Release No. 34-98594 See Also: Plan of Distribution File Number: 3-20881
Date: Sept. 28, 2023	Respondents: Stanley Stefanski, CPA Release No. 33-11245, 34-98577, AAER-4462 File Number: 3-21745
Date: Sept. 27, 2023	Respondents: Cloudastructure, Inc. Release No. 33-11244, 34-98575 See Also: Administrative Summary File Number: 3-21743
Date: Sept. 27, 2023	Respondents: Hightimes Holding Corp. Release No. 33-11243, 34-98574 See Also: Administrative Summary File Number: 3-21741
Date: Sept. 27, 2023	Respondents: Nancy Williams Release No. 34-98576 File Number: 3-21744
Date: Sept. 27, 2023	Respondents: Weatherford International PLC, et al. Release No. 34-98569 File Number: 3-17582
Date: Sept. 27, 2023	Respondents: ZNERGY, INC. Release No. 34-98556 File Number: 3-21740
Date: Sept. 27, 2023	Respondents: LIFE ON EARTH, INC. Release No. 34-98555 File Number: 3-21739
Date: Sept. 27, 2023	Respondents: Cumberland Pharmaceuticals Inc. Release No. 34-98553 File Number: 3-21738
Date: Sept. 27, 2023	Respondents: AgEagle Aerial Systems Inc. Release No. 34-98552 File Number: 3-21737
Date: Sept. 27, 2023	Respondents: eXp World Holdings, Inc. Release No. 34-98551 File Number: 3-21736
Date: Sept. 27, 2023	Respondents: Peixin Xu Release No. 34-98550 File Number: 3-21735
Date: Sept. 27, 2023	Respondents: SolarEdge Technologies, Inc. Release No. 34-98549 File Number: 3-21734
Date: Sept. 27, 2023	Respondents: Lattice Semiconductor Corporation Release No. 34-98548 File Number: 3-21733
Date: Sept. 27, 2023	Respondents: Matthias L. Heilmann Release No. 34-98547 File Number: 3-21732
Date: Sept. 27, 2023	Respondents: Nicole M. Fernandez-McGovern Release No. 34-98546 File Number: 3-21731
Date: Sept. 27, 2023	Respondents: Lawrence I. Rosen Release No. 34-98545 File Number: 3-21730
Date: Sept. 27, 2023	Respondents: Avery More Release No. 34-98543 File Number: 3-21729
Date: Sept. 27, 2023	Respondents: Joseph Theodore Lukens, Jr. Release No. 34-98542 File Number: 3-21728
Date: Sept. 27, 2023	Respondents: Baynon International Corp. Release No. 34-98540 File Number: 3-20964
Date: Sept. 26, 2023	Respondents: Toga Limited Release No. 34-98538 File Number: 3-21385
Date: Sept. 26, 2023	Respondents: Green Automotive Company Release No. 34-98518 File Number: 3-21718
Date: Sept. 26, 2023	Respondents: Monica M. O’Mealia Release No. 34-98537 File Number: 3-21727
Date: Sept. 26, 2023	Respondents: Brian Bartlett Amoah and Elbert “Al” Elliott Release No. 34-98526 See Also: Administrative Summary File Number: 3-21726
Date: Sept. 26, 2023	Respondents: Bruderman Asset Management, LLC, n/k/a Gary Goldberg Planning Services, LLC and Matthew J. Bruderman Release No. IA-6435 File Number: 3-21725
Date: Sept. 26, 2023	Respondents: AssetMark, Inc. Release No. IA-6434 File Number: 3-21724
Date: Sept. 26, 2023	Respondents: Steven A. Fernandez Release No. 34-98525 File Number: 3-21723
Date: Sept. 26, 2023	Respondents: Rivulet Media, Inc. Release No. 34-98524 File Number: 3-21722
Date: Sept. 26, 2023	Respondents: Red White & Bloom Brands Inc. (f/k/a Tidal Royalty Corp.) Release No. 34-98523 File Number: 3-21721
Date: Sept. 26, 2023	Respondents: Anthony R. Sichenzio Release No. 34-98522 File Number: 3-21720
Date: Sept. 26, 2023	Respondents: Joseph M. Laura, Esq. Release No. 34-98521 File Number: 3-21719
Date: Sept. 26, 2023	Respondents: William B. McHenry, Jr. and First South Investments, LLC Release No. 34-98520 File Number: 3-20999
Date: Sept. 26, 2023	Respondents: Kiwa Bio-Tech Products Group Corporation Release No. 34-98517 File Number: 3-21382
Date: Sept. 25, 2023	Respondents: Baxter International Inc. Release No. 34-98512 See Also: Plan of Distribution File Number: 3-20781
Date: Sept. 25, 2023	Respondents: Fieldman Rolapp & Associates, Inc. and Anna Sarabian Release No. 34-98510 See Also: Administrative Summary File Number: 3-21717
Date: Sept. 25, 2023	Respondents: Neuropathix, Inc. Release No. 34-98507 File Number: 3-21716
Date: Sept. 25, 2023	Respondents: Lux Amber, Corp. Release No. 34-98506 File Number: 3-21715
Date: Sept. 25, 2023	Respondents: Rampart Studios Inc. Release No. 34-98503 File Number: 3-21714
Date: Sept. 25, 2023	Respondents: Radale Imports, Inc. Release No. 34-98501 File Number: 3-21713
Date: Sept. 25, 2023	Respondents: Michael D. Messina, CPA Release No. 34-98499, AAER-4461 See Also: Administrative Summary File Number: 3-21712
Date: Sept. 25, 2023	Respondents: David C. Powell Release No. 34-98492, AAER-4460 See Also: Administrative Summary File Number: 3-21710
Date: Sept. 25, 2023	Respondents: GTT Communications, Inc. Release No. 33-11241, 34-98491, AAER-4459 File Number: 3-21708
Date: Sept. 25, 2023	Respondents: Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 34-98493 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: 3-20932
Date: Sept. 25, 2023	Respondents: Wellesley Asset Management, Inc. Release No. IA-6433 See Also: Administrative Summary File Number: 3-21711
Date: Sept. 25, 2023	Respondents: DWS Investment Management Americas, Inc. Release No. IA-6431 File Number: 3-21707
Date: Sept. 25, 2023	Respondents: DWS Investment Management Americas, Inc. Release No. IA-6432 File Number: 3-21709
Date: Sept. 22, 2023	Respondents: Super Micro Computer, Inc. Release No. 34-98487 File Number: 3-19927
Date: Sept. 22, 2023	Respondents: Houston American Energy Corp., et al. Release No. 34-98486 File Number: 3-16000
Date: Sept. 22, 2023	Respondents: Douglas Hawkins Release No. 34-98485 File Number: 3-21706
Date: Sept. 22, 2023	Respondents: Elsa M. Doyle Release No. IA-6429 See Also: Administrative Summary File Number: 3-21705
Date: Sept. 22, 2023	Respondents: American Infrastructure Funds, LLC Release No. IA-6428 File Number: 3-21704
Date: Sept. 22, 2023	Respondents: Citadel Securities, LLC Release No. 34-98482 File Number: 3-21703
Date: Sept. 22, 2023	Respondents: Gosun Communications Limited Inc. Release No. 34-98480 File Number: 3-21701
Date: Sept. 22, 2023	Respondents: Life Clips, Inc. Release No. 34-98481 File Number: 3-21702
Date: Sept. 22, 2023	Respondents: Goldman Sachs & Co. LLC Release No. 34-98479 File Number: 3-21700
Date: Sept. 22, 2023	Respondents: Carl M. Hennig, Inc. Release No. 34-98478 See Also: Administrative Summary File Number: 3-21699
Date: Sept. 21, 2023	Respondents: EQUUS CAPITAL PARTNERS LP Release No. 34-98477 File Number: 3-21698
Date: Sept. 21, 2023	Respondents: Kandi Technologies Group, Inc. Release No. 33-11240 See Also: Administrative Summary File Number: 3-21697
Date: Sept. 21, 2023	Respondents: Xoma Ltd. Release No. 34-98473 File Number: 3-21696
Date: Sept. 21, 2023	Respondents: Energis P.L.C. Release No. 34-98471 File Number: 3-21695
Date: Sept. 21, 2023	Respondents: THE DOCS, INC. Release No. 34-98469 File Number: 3-21694
Date: Sept. 21, 2023	Respondents: William K. Ichioka Release No. IA-6426 File Number: 3-21692
Date: Sept. 21, 2023	Respondents: Smartchase Corp. Release No. 34-98466 File Number: 3-21693
Date: Sept. 21, 2023	Respondents: 12 ReTech Corporation Release No. 34-98462 File Number: 3-21688
Date: Sept. 21, 2023	Respondents: ePresence, Inc. Release No. 34-98463 File Number: 3-21689
Date: Sept. 21, 2023	Respondents: Original Sixteen to One Mine, Inc. Release No. 34-98464 File Number: 3-21690