Administrative Proceedings

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. The list is arranged by notice or order date.

The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions

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Release No. Date Respondents
First Quarter
34-90938 Jan. 15, 2021 Wireline, Inc.
33-10920 Jan. 15, 2021 Wireline, Inc.
See also: Administrative Summary
34-90924 Jan. 14, 2021 Fortress Investment Management, LLC, William M. Malloy, III
See also: Distribution Plan
IA-5670 Jan. 14, 2021 Advanced Practice Advisors, LLC and Paul C. Spitzer
See also: Administrative Summary
34-90921 Jan. 14, 2021 Daniel J. Merriman
34-90920 Jan. 14, 2021 Thomas J. Robbins
34-90902 Jan. 11, 2021 Kerry L. Hoffman (Corrected)
Other Release No.: IA-5666
34-90898 Jan. 11, 2021 Wells Fargo & Company
See also: Distribution Plan
34-90875 Jan. 8, 2021 Deutsche Bank AG
Other Release No.: AAER-4201
See also: Administrative Summary
IA-5663 Jan. 6, 2021 Michelle Morton
34-90854 Jan. 5, 2021 Trans-Pacific Aerospace Company, Inc. and Vertical Computer Systems, Inc.
34-90848 Jan. 5, 2021 Barry F. Connell
Other Release No.: IA-5661
34-90846 Jan. 4, 2021 Thomas Rose, David Leeman and David Featherstone
Other Release Nos.: IA-5660, IC-34162
34-90842 Jan. 4, 2021 Eugene Terracciano
Other Release Nos.: IA-5659, IC-34160
34-90840 Jan. 4, 2021 Can-Cal Resources Ltd.
34-90845 Jan. 4, 2021 Scott W. Beynon (Corrected)
34-90844 Jan. 4, 2021 Christopher J. Ashby
34-90843 Jan. 4, 2021 Jordan S. Nelson (Corrected)