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 |
|---|---|---|
| Fourth Quarter | ||
| 34-93375 | Oct. 18, 2021 | Securities America Advisors, Inc. |
| 34-93373 | Oct. 18, 2021 | Securities America Advisors, Inc. |
| 33-10999 | Oct. 15, 2021 | Life Science Holdings, Inc. |
| IA-5888 | Oct. 15, 2021 | Clifton Curtis Sneed, Jr. |
| 34-93351 | Oct. 15, 2021 | Kimberly L. Sredich |
| 34-93341 | Oct. 15, 2021 | Amyris, Inc.
Other Release No.: AAER-4264 See also: Administrative Summary |
| 34-93327 | Oct. 14, 2021 | OrangeHook, Inc. |
| 34-93321 | Oct. 14, 2021 | William D. King, CPA |
| 34-93320 | Oct. 14, 2021 | William D. King, CPA |
| 34-93317 | Oct. 14, 2021 | Laurence I. Balter d/b/a Oracle Investment Research |
| 34-93315 | Oct. 14, 2021 | Scott Eugene Bachman
See also: Cease and Desist Order |
| 34-93313 | Oct. 14, 2021 | GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. |
| 34-93310 | Oct. 13, 2021 | Robert J. Balunas |
| 34-93307 | Oct. 13, 2021 | Ibrahim Almagarby |
| 34-93290 | Oct. 12, 2021 | FlatWorld Acquisition Corp. |
| 34-93257 | Oct. 4, 2021 | GeoPetro Resources Co. |
| Third Quarter | ||
| 34-93220 | Sep. 30, 2021 | Chad Thomas Mackland
Other Release No.: IA-5883 |
| IA-5884 | Sep. 30, 2021 | Naseem Mohammed Salamah
See also: Litigation Release |
| IA-5882 | Sep. 30, 2021 | Richard Vu Nguyen |
| 33-10994 | Sep. 30, 2021 | Adam Heimann, et al.
Other Release No.: 34-93205 |
| 33-10992 | Sep. 30, 2021 | LPL Financial LLC
Other Release Nos.: 34-93201, IA-5881 See also: Administrative Summary |
| 34-93207 | Sep. 30, 2021 | Spar Street |
| 34-93202 | Sep. 30, 2021 | Victoria Chan, Esq. |
| IA-5880 | Sep. 30, 2021 | Redwood Wealth Management, LLC and Benjamin Lincoln
See also: Administrative Summary |
| 33-10991 | Sep. 30, 2021 | Robert D. Press
Other Release Nos.: 34-93200, IA-5879, IC-34391, AAER-4263 |
| 33-10990 | Sep. 30, 2021 | Donna M. Silverman
Other Release Nos.: IA-5878, AAER-4262 |
| IA-5877 | Sep. 28, 2021 | Soteira Capital, LLC; Derek Charles Clark; and Laura Santos
Other Release No.: IC-34388 See also: Administrative Summary |
| 34-93170 | Sep. 29, 2021 | Dane R. Roseman |
| 34-93168 | Sep. 28, 2021 | ARC Group, Inc. |
| 34-93154 | Sep. 28, 2021 | Tradition Securities and Derivatives, LLC |
| 34-93146 | Sep. 28, 2021 | John Howley
Other Release Nos.: IA-5876, IC-34387 |
| IA-5874 | Sep. 27, 2021 | Cowen Prime Advisors LLC
See also: Administrative Summary |
| 34-93137 | Sep. 27, 2021 | Ramón Lafarga Bátiz
Other Release No.: AAER-4261 See also: Administrative Summary |
| 34-93136 | Sep. 27, 2021 | Noe Corrales Reyes
Other Release No.: AAER-4260 See also: Administrative Summary |
| 34-93135 | Sep. 27, 2021 | Carlos Javier Moctezuma Velasco
Other Release No.: AAER-4259 See also: Administrative Summary |
| 33-10989 | Sep. 27, 2021 | Xuepeng Xie
Other Release No.: 34-93131 See also: Administrative Summary |
| 34-93133 | Sep. 27, 2021 | Ravindranathan Raghunathan, CPA and Craig A. Golding, CPA
Other Release No.: AAER-4258 See also: Administrative Summary |
| 34-93126 | Sep. 24, 2021 | Jonah Engler a/k/a/ Jonah Engler-Silberman |
| 34-93123 | Sep. 24, 2021 | Ivan Acevedo |
| 33-10987 | Sep. 24, 2021 | Resolute Capital Partners Ltd, LLC, et al.
Other Release Nos.: 34-93124, IA-5872, IC-34382 |
| 34-93117 | Sep. 24, 2021 | WPP plc
Other Release No.: AAER-4257 |
| 34-93116 | Sep. 23, 2021 | Michael E. Noble |
| 34-93115 | Sep. 23, 2021 | Jin Wan Hong International Holdings Ltd |
| 34-93110 | Sep. 23, 2021 | Fifth Third Bancorp and Daniel Poston |
| 34-93109 | Sep. 23, 2021 | Fred Alger Management, Inc. and Fred Alger & Company, Incorporated |
| 34-93106 | Sep. 23, 2021 | Fiat Chrysler Automobiles N.V.
See also: Distribution Plan |
| 34-93105 | Sep. 23, 2021 | Paula Permenter |
| 34-93096 | Sep. 21, 2021 | Vista International Technologies Inc. |
| IA-5869 | Sep. 21, 2021 | Daniel B. Kamenksy (Corrected) |
| 34-93101 | Sep. 21, 2021 | Peter Dichiara
Other Release No.: AAER-4256 |
| 34-93099 | Sep. 21, 2021 | Yus International Group, Ltd. |
| 34-93091 | Sep. 21, 2021 | Helikon Investments Ltd. |
| 34-93090 | Sep. 21, 2021 | Daniel B. Kamensky, Esq. |
| 34-93089 | Sep. 21, 2021 | Frederick Bauman, Esq. |
| 34-93087 | Sep. 21, 2021 | Brian Koslow |
| 34-93086 | Sep. 21, 2021 | David Waltzer |
| 34-93085 | Sep. 21, 2021 | Kevin Drost |
| 34-93084 | Sep. 21, 2021 | Mark Thomas Johnson
Other Release No.: IA-5868 |
| 34-93083 | Sep. 21, 2021 | Poloniex, LLC |
| 34-93081 | Sep. 21, 2021 | WorldNet, Inc. of Nevada |
| 34-93080 | Sep. 21, 2021 | HEPI Pharmaceuticals, Inc. |
| 34-93079 | Sep. 20, 2021 | Skye Life Ventures Ltd. |
| 34-93077 | Sep. 20, 2021 | Real Goods Solar, Inc. |
| 34-93068 | Sep. 20, 2021 | Jason Dwayne Watson |
| 34-93063 | Sep. 20, 2021 | Stealth Technologies, Inc. |
| 34-93060 | Sep. 20, 2021 | Sports Field Holdings, Inc. |
| 34-93065 | Sep. 20, 2021 | Revere Securities, LLC and Oseas Zuluaga |
| 33-10985 | Sep. 20, 2021 | Coda Markets, Inc. and Edward G. O'Malley
Other Release No.: 34-93071 See also: Administrative Summary |
| 34-93062 | Sep. 20, 2021 | Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
See also: Second Distribution Plan |
| 34-93058 | Sep. 20, 2021 | Enterprise IV Corporation |
| 34-93050 | Sep. 17, 2021 | Poloniex, LLC |
| 34-93046 | Sep. 17, 2021 | Ronald P. Haller |
| 34-93044 | Sep. 17, 2021 | Jaime L. Durando |
| 34-93043 | Sep. 17, 2021 | Kenneth G. Friedrich |
| 34-93042 | Sep. 17, 2021 | RBC Capital Markets, LLC |
| 34-93040 | Sep. 16, 2021 | Online Disruptive Technologies, Inc. |
| 34-93038 | Sep. 16, 2021 | Ngen Technologies Holdings Corp. |
| 34-93035 | Sep. 16, 2021 | Regal Investment Advisors LLC, et al.
Other Release No.: IA-5865 See also: Administrative Summary |
| 34-93033 | Sep. 16, 2021 | Berthel Fisher & Company Financial Services, Inc.
Other Release No.: IA-5864 |
| 34-93031 | Sep. 16, 2021 | MyDx, Inc. |
| 34-93029 | Sep. 16, 2021 | General Electric Company |
| 34-93028 | Sep. 16, 2021 | Medifirst Solutions, Inc. |
| IA-5863 | Sep. 16, 2021 | BFC Planning, Inc. |
| 34-93026 | Sep. 16, 2021 | Taberna Capital Management, LLC, Michael Fralin and Raphael Licht |
| 34-93025 | Sep. 16, 2021 | Maxwell Technologies, Inc., et al. |
| 34-93022 | Sep. 16, 2021 | Morgan Stanley and Co. LLC, et al. |
| 34-93020 | Sep. 16, 2021 | deVere USA, Inc. |
| 34-93018 | Sep. 16, 2021 | John M. Williams
Other Release No.: AAER-4254 |
| 34-93014 | Sep. 16, 2021 | Richard J. Koch, CPA
Other Release No.: AAER-4253 |
| 33-10981 | Sep. 16, 2021 | Sweetwater Union High School District |
| 34-93008 | Sep. 15, 2021 | Citadel Exploration, Inc. |
| 34-93006 | Sep. 15, 2021 | Consumer Capital Group, Inc. |
| 34-92997 | Sep. 15, 2021 | Incoming, Inc. |
| 34-92995 | Sep. 15, 2021 | GelTech Solutions, Inc. |
| 34-92993 | Sep. 15, 2021 | LevelBlox, Inc. |
| 34-92991 | Sep. 15, 2021 | Intelligent Highway Solutions, Inc. |
| 34-93012 | Sep. 15, 2021 | Alok Saraf, CA
Other Release No.: AAER-4252 |
| 33-10980 | Sep. 15, 2021 | Charles Parkinson Lloyd |
| 34-92979 | Sep. 14, 2021 | Brightlane Corp. |
| 34-92977 | Sep. 14, 2021 | Calmare Therapeutics Incorporated |
| 34-92975 | Sep. 14, 2021 | App Annie Inc. and Bertrand Schmitt
See also: Administrative Summary |
| 34-92961 | Sep. 13, 2021 | Bnet Media Group, Inc. |
| 34-92957 | Sep. 13, 2021 | Blackridge Technology International, Inc. |
| 34-92949 | Sep. 13, 2021 | Arc Group, Inc. |
| 34-92947 | Sep. 13, 2021 | Aeon Global Health Corp. |
| 34-92956 | Sep. 13, 2021 | Arista Financial Corp. |
| 34-92953 | Sep. 13, 2021 | ALCO Stores, Inc. |
| 34-92952 | Sep. 13, 2021 | DBRS, Inc.
See also: Administrative Summary |
| 34-92951 | Sep. 13, 2021 | Rothschild Investment Corporation |
| 34-92945 | Sep. 13, 2021 | JW Korth & Company L.P., James W. Korth and Holly Macdonald-Korth
Other Release No.: IA-5859 |
| 34-92944 | Sep. 13, 2021 | Leonard R. Barr |
| 33-10979 | Sep. 13, 2021 | GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. |
| 34-92935 | Sep. 10, 2021 | MML Investors Services, LLC
Other Release No.: IA-5856 |
| IA-5855 | Sep. 10, 2021 | Diastole Wealth Management, Inc. and Elizabeth D. Eden |
| 34-92928 | Sep. 9, 2021 | Eventure Interactive, Inc. |
| 34-92927 | Sep. 9, 2021 | Elite Performance Holding Corp. |
| IA-5853 | Sep. 8, 2021 | Horter Investment Management, LLC and Drew K. Horter |
| IA-5852 | Sep. 8, 2021 | Paradigm Wealth Advisory, LLC |
| IA-5851 | Sep. 7, 2021 | David Wagner |
| IA-5850 | Sep. 7, 2021 | Douglas E. Elstun |
| 33-10978 | Sep. 3, 2021 | Frontier Wealth Management, LLC and Shawn Sokolosky
Other Release Nos.: IA-5847, IC-34371 See also: Administrative Summary |
| IA-5846 | Sep. 3, 2021 | Direct Lending Investments, LLC |
| 33-10977 | Sep. 3, 2021 | The Kraft Heinz Co. and Eduardo Pelleissone
Other Release Nos.: 34-92874, AAER-4248 |
| 34-92862 | Sep. 2, 2021 | NVCN Corporation |
| 34-92875 | Sep. 2, 2021 | Michael A. Bressman
Other Release No.: IA-5845 |
| 33-10975 | Sep. 2, 2021 | Pareteum Corporation
Other Release Nos.: 34-92866, AAER-4247 See also: Administrative Summary |
| 33-10974 | Sep. 2, 2021 | George L. Divel, III |
| 34-92858 | Sep. 2, 2021 | VIVI Holdings, Inc. |
| 34-92857 | Sep. 2, 2021 | Infinity Distribution Inc. |
| 34-92855 | Sep. 2, 2021 | Sylios Corp. |
| 34-92850 | Sep. 1, 2021 | Amazing Energy Oil and Gas, Co. |
| 34-92846 | Sep. 1, 2021 | Covia Holdings Corp., Fairmount Santrol Holdings Inc. and Now Known as Bison Merger Sub I, LLC |
| 34-92843 | Sep. 1, 2021 | Nostalgia Family Brands, Inc. |
| 34-92842 | Sep. 1, 2021 | Ironclad Encryption Corporation |
| 34-92841 | Sep. 1, 2021 | Mancera, et al. |
| 34-92838 | Sep. 1, 2021 | American Retail Group, Inc. |
| 34-92836 | Sep. 1, 2021 | Advanced Bioenergy, LLC |
| 34-92835 | Sep. 1, 2021 | Jonathan Brett Woodard
Other Release No.: AAER-4245 |
| 34-92832 | Aug. 31, 2021 | Jade Global Holdings, Inc. (f/k/a Media Analytics Corporation) |
| 34-92831 | Aug. 31, 2021 | Emarine Global Inc. |
| 34-92823 | Aug. 31, 2021 | Prime Global Capital Group Incorporated |
| 34-92821 | Aug. 31, 2021 | Theron Resource Group |
| 33-10973 | Aug. 31, 2021 | Mcdonald Partners, LLC
Other Release Nos.: 34-92826, IA-5842 |
| 34-92825 | Aug. 31, 2021 | David F. Bandimere
See also: Proposed Distribution Plan Comments Due: September 30, 2021 |
| 33-10972 | Aug. 31, 2021 | Anthony A. Falsetta
Other Release Nos.: 34-92820, IC-34369 See also: Administrative Summary |
| 34-92815 | Aug. 30, 2021 | Pura Naturals, Inc. |
| 34-92813 | Aug. 30, 2021 | Dragon Jade International Limited |
| 34-92811 | Aug. 30, 2021 | GRAND PERFECTA, INC. |
| 34-92819 | Aug. 30, 2021 | Michael Vax |
| 34-92817 | Aug. 30, 2021 | Alexander Goldschmidt |
| 33-10970 | Aug. 30, 2021 | Roger E. Dobrovodsky
Other Release Nos.: 34-92804, IA-5837 |
| 33-10971 | Aug. 30, 2021 | Michael P. Egan
Other Release Nos.: 34-92805, IA-5838, IC-34368 |
| 33-10969 | Aug. 30, 2021 | Michael R. Arbuckle
Other Release Nos.: 34-92803, IA-5835, IC-34367 |
| 34-92809 | Aug. 30, 2021 | Cantella & Co., Inc.
Other Release No.: IA-5841 |
| 34-92810 | Aug. 30, 2021 | Scott and Lisa Chasin
See also: Administrative Summary |
| 34-92807 | Aug. 30, 2021 | KMS Financial Services, Inc.
Other Release No.: IA-5840 |
| 34-92806 | Aug. 30, 2021 | Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc.
Other Release No.: IA-5839 |
| 34-92800 | Aug. 30, 2021 | Cetera Advisor Networks LLC, et al.
Other Release No.: IA-5834 |
| 34-92801 | Aug. 30, 2021 | Beth Mueller
See also: Administrative Summary |
| IA-5836 | Aug. 27, 2021 | Educators Financial Services, Inc. |
| 34-92794 | Aug. 27, 2021 | CBA FLORIDA, Inc. (f/k/a Cord Blood of America, Inc.) |
| 34-92791 | Aug. 27, 2021 | Blue Eagle Lithium Inc. |
| 34-92787 | Aug. 27, 2021 | Petróleo Brasilerio and S.A. - Petrobras
See also: Distribution Plan |
| 34-92784 | Aug. 27, 2021 | General Electric Company |
| 34-92782 | Aug. 27, 2021 | BlueCrest Capital Management Limited |
| 34-92781 | Aug. 27, 2021 | William B. Fretz, Jr., et al. |
| 34-92779 | Aug. 27, 2021 | Wilmington Trust Corporation |
| 34-92776 | Aug. 27, 2021 | AI Document Services, Inc. |
| 34-92775 | Aug. 26, 2021 | Alpine Securities Corporation |
| 34-92773 | Aug. 26, 2021 | Wari, Inc. |
| 34-92771 | Aug. 26, 2021 | United Cannabis Corporation |
| 34-92769 | Aug. 26, 2021 | Rush F. Harding III |
| 34-92768 | Aug. 26, 2021 | Crews & Associates, Inc. |
| 34-92764 | Aug. 25, 2021 | Giggles N' Hugs, Inc. |
| 34-92762 | Aug. 25, 2021 | Geopetro Resources Co. |
| 34-92759 | Aug. 25, 2021 | Triton Emission Solutions Inc. |
| 34-92757 | Aug. 25, 2021 | Sunburst Acquisitions V, Inc. |
| IA-5832 | Aug. 25, 2021 | Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. |
| IA-5831 | Aug. 25, 2021 | Charles Samel |
| 34-92746 | Aug. 24, 2021 | EV CHARGING USA, INC. |
| 34-92744 | Aug. 24, 2021 | Empire Post Media |
| 34-92742 | Aug. 24, 2021 | Chineseinvestors.Com, Inc. |
| 34-92740 | Aug. 24, 2021 | ATI Nationwide Holding Corp. |
| IA-5830 | Aug. 24, 2021 | Northwest Advisors, Inc.
See also: Administrative Summary |
| 34-92736 | Aug. 24, 2021 | Robert Gilliam |
| 33-10967 | Aug. 24, 2021 | Healthcare Services Group, Inc., John C. Shea, CPA and Derya D. Warner
Other Release Nos.: 34-92735, AAER-4244 |
| IA-5826 | Aug. 19, 2021 | Sofi Wealth, LLC.
See also: Administrative Summary |
| 34-92707 | Aug. 18, 2021 | William Scott Lawler, Esq. |
| 34-92705 | Aug. 18, 2021 | Robinhood Financial, LLC |
| 34-92704 | Aug. 18, 2021 | Wendan Bao, et al. |
| 34-92688 | Aug. 17, 2021 | Matthew O. Clason
Other Release No.: IA-5824 |
| 34-92684 | Aug. 17, 2021 | Murchinson Ltd., Marc Bistricer and Paul Zogala |
| 33-10963 | Aug. 16, 2021 | Pearson Plc
Other Release No.: 34-92676 See also: Administrative Summary |
| 34-92675 | Aug. 16, 2021 | Christopher E. Knauth, CPA
Other Release No.: AAER-4242 See also: Administrative Summary |
| 34-92674 | Aug. 13, 2021 | David P. Ortiz
Other Release No.: IA-5821 |
| IA-5820 | Aug. 13, 2021 | ISC Advisors, Inc. |
| IA-5819 | Aug. 12, 2021 | Edgar M. Radjabli |
| 34-92642 | Aug. 11, 2021 | Erik Christian Jones |
| 34-92624 | Aug. 10, 2021 | Zorayr Mikael Manukyan-Zakaryan
See also: Administrative Summary |
| 34-92611 | Aug. 9, 2021 | Gary S. Klein
Other Release No.: AAER-4241 See also: Administrative Summary |
| 34-92607 | Aug. 9, 2021 | Poloniex, LLC |
| 34-92603 | Aug. 6, 2021 | Sica Wealth Management, LLC and Jeffrey C. Sica |
| 33-10962 | Aug. 6, 2021 | Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC
Other Release Nos.: 34-92598, IA-5818, IC-34352 |
| 34-92591 | Aug. 6, 2021 | Robinhood Financial, LLC
See also: Distribution Plan |
| 33-10961 | Aug. 6, 2021 | Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough and Derek Acree
Other Release No.: 34-92588 |
| 33-10960 | Aug. 4, 2021 | Wendan Bao, et al.
Other Release Nos.: 34-92564, IA-5817, IC-34349 |
| 34-92560 | Aug. 4, 2021 | National Beverage Corp.
See also: Administrative Summary |
| 34-92554 | Aug. 3, 2021 | Douglas Michael Hodge
Other Release No.: IA-5816 |
| 34-92553 | Aug. 3, 2021 | USA Financial Securities Corporation
Other Release No.: IA-5815 See also: Administrative Summary |
| IA-5812 | Aug. 2, 2021 | First Heartland Consultants, Inc. |
| 34-92540 | Aug. 2, 2021 | Ernst & Young LLP, et al.
Other Release No.: AAER-4239 |
| 34-92539 | Aug. 2, 2021 | William G. Stiehl, CPA
Other Release No.: AAER-4238 |
| 34-92527 | Jul. 30, 2021 | Paycom Software, Inc.
See also: Administrative Summary |
| 33-10959 | Jul. 30, 2021 | Herbert J. Sims & Co., Inc.
Other Release No.: 34-92538 See also: Administrative Summary |
| 33-10958 | Jul. 30, 2021 | Integral Financial, LLC and Weiming "Frank" Ho
Other Release No.: 34-92537 See also: Administrative Summary |
| 34-92526 | Jul. 30, 2021 | Coburn & Meredith, Inc.
Other Release No.: IA-5810 |
| 34-92523 | Jul. 29, 2021 | ForeverGreen Worldwide Corporation |
| 34-92514 | Jul. 28, 2021 | David Britt, CPA
Other Release No.: AAER-4235 |
| 34-92513 | Jul. 28, 2021 | Thomas Whittle, CPA
Other Release No.: AAER-4234 |
| 34-92512 | Jul. 28, 2021 | UBS Financial Services Inc. of Puerto Rico |
| 34-92511 | Jul. 28, 2021 | Fifth Third Bancorp and Daniel Poston |
| 34-92510 | Jul. 28, 2021 | Shaun Greenwald, CPA |
| 34-92507 | Jul. 26, 2021 | Michael Mortimer
Other Release No.: AAER-4233 |
| 34-92505 | Jul. 26, 2021 | Brent Whiteley, Esq, |
| 34-92503 | Jul. 26, 2021 | Steven A. Splain, CPA
Other Release No.: AAER-4232 |
| 34-92498 | Jul. 26, 2021 | Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
See also: Proposed Second Plan of Distribution |
| 34-92497 | Jul. 26, 2021 | Scott A. Doak
See also: Distribution Plan |
| IA-5806 | Jul. 26, 2021 | Carmel Capital Management, LLC |
| IA-5805 | Jul. 26, 2021 | Westbourne Investments, Inc. |
| IA-5804 | Jul. 26, 2021 | The Cavanaugh Group, Inc. |
| IA-5803 | Jul. 26, 2021 | O'Brien Greene & Co., Inc. |
| IA-5802 | Jul. 26, 2021 | Mighty Oak Strong America Investment Company |
| IA-5801 | Jul. 26, 2021 | Sauberan & Company, LLC |
| IA-5800 | Jul. 26, 2021 | Eastside Financial Advisors, LLC |
| IA-5799 | Jul. 26, 2021 | Dynamic Trading Management, LLC |
| IA-5798 | Jul. 26, 2021 | Cohen Klingenstein, LLC |
| IA-5797 | Jul. 26, 2021 | Harold Davidson & Associates, Inc. |
| IA-5796 | Jul. 26, 2021 | Castle Wealth Planning LLC |
| IA-5795 | Jul. 26, 2021 | Paratus Financial, Inc. |
| IA-5794 | Jul. 26, 2021 | Summit Financial Advisors, Inc. |
| IA-5793 | Jul. 26, 2021 | Quantitative Asset Management, LLC |
| IA-5792 | Jul. 26, 2021 | Madden Funds Management, Ltd. |
| IA-5791 | Jul. 26, 2021 | Embree Financial Group, Inc. |
| IA-5790 | Jul. 26, 2021 | Minot DeBlois Advisors LLC |
| IA-5789 | Jul. 26, 2021 | Medallion Wealth Advisors, LLC |
| IA-5788 | Jul. 26, 2021 | Canton Hathaway LLC |
| IA-5787 | Jul. 26, 2021 | John A. Bysko Associates |
| IA-5786 | Jul. 26, 2021 | Altschuler, James Stephen (d/b/a Altschuler Financial Services) |
| 34-92490 | Jul. 26, 2021 | Capital Portfolio Management, Inc. |
| 34-92489 | Jul. 26, 2021 | Birkelbach & Co. |
| 34-92488 | Jul. 26, 2021 | Greentree Investment Services, Inc. |
| 34-92487 | Jul. 26, 2021 | Bill Parker Agency |
| 34-92486 | Jul. 26, 2021 | Tradier Brokerage, Inc. |
| 34-92485 | Jul. 26, 2021 | St Invest LLC d/b/a Trade App |
| 34-92475 | Jul. 23, 2021 | Tan V. Kha
See also: Administrative Summary |
| 34-92474 | Jul. 23, 2021 | Alan L. Alexander
See also: Administrative Summary |
| 34-92473 | Jul. 22, 2021 | Texas South Energy, Inc. |
| 34-92471 | Jul. 22, 2021 | OrangeHook, Inc. |
| 34-92461 | Jul. 21, 2021 | Quantum Materials Corp. |
| 34-92457 | Jul. 21, 2021 | Miguel Holguin
Other Release No.: IC-34339 |
| 34-92463 | Jul. 21, 2021 | Executive Financial Services, Inc. |
| 34-92462 | Jul. 21, 2021 | Paul Hanson |
| IA-5783 | Jul. 21, 2021 | Suneet Singal |
| 34-92455 | Jul. 21, 2021 | Tandy Leather Factory, Inc. and Shannon Greene, CPA
Other Release No.: AAER-4228 |
| 34-92447 | Jul. 20, 2021 | Shaun Greenwald, CPA
Other Release No.: AAER-4227 |
| IA-5781 | Jul. 19, 2021 | UBS Financial Services Inc. |
| 34-92427 | Jul. 16, 2021 | John Clifford Park |
| 34-92426 | Jul. 16, 2021 | Securities America Advisors, Inc. |
| 34-92425 | Jul. 16, 2021 | S&P Dow Jones Indices LLC |
| 34-92424 | Jul. 16, 2021 | S&P Dow Jones Indices LLC |
| 34-92423 | Jul. 15, 2021 | David Aaron Rockwell
Other Release No.: IA-5780 |
| 34-92390 | Jul. 14, 2021 | Cascade Investment Group, Inc.
Other Release No.: IA-5776 See also: Administrative Summary |
| 33-10956 | Jul. 14, 2021 | Blotics Ltd. f/d/b/a Coinschedule Ltd. |
| 34-92397 | Jul. 13, 2021 | Frederick M. Stow |
| 33-10955 | Jul. 13, 2021 | Stable Road Acquisition Corp., et al.
Other Release No.: 34-92391 |
| 34-92382 | Jul. 13, 2021 | Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA
Other Release Nos.: IA-5773, AAER-4226 See also: Administrative Summary |
| 34-92378 | Jul. 13, 2021 | Paul L. Chancey, Jr. CPA
Other Release No.: AAER-4225 See also: Administrative Summary |
| 33-10954 | Jul. 13, 2021 | TIAA-CREF Individual & Institutional Services, LLC
Other Release Nos.: 34-92376, IA-5772 |
| IA-5771 | Jul. 9, 2021 | Kestra Private Wealth Services, LLC
See also: Administrative Summary |
| IA-5770 | Jul. 9, 2021 | Kestra Advisory Services, LLC
See also: Administrative Summary |
| 34-92370 | Jul. 9, 2021 | Hilltop Securities Inc. and Daniel C. Tracy
Other Release No.: IA-5768 See also: Administrative Summary |
| 34-92361 | Jul. 9, 2021 | PLS, CPA, et al.
Other Release No.: AAER-4224 See also: Administrative Summary |
| IA-5767 | Jul. 8, 2021 | St. Germain Investment Management, Inc. |
| 34-92327 | Jul. 6, 2021 | Exeled Holdings Inc. |
| IA-5764 | Jul. 2, 2021 | Raj Rajaratnam |
| 34-92324 | Jul. 2, 2021 | Michael Barry Carter
Other Release No.: IA-5765 |
| 34-92309 | Jul. 1, 2021 | Deandre P. Sears |
| Second Quarter | ||
| 34-92302 | Jun. 30, 2021 | Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc. |
| IA-5762 | Jun. 30, 2021 | Securities America Advisors, Inc.
See also: Administrative Summary |
| 34-92306 | Jun. 30, 2021 | Nathan E. Guido |
| 34-92305 | Jun. 30, 2021 | Mounir N. Gad |
| 33-10953 | Jun. 30, 2021 | Reuben Robert Goldman, Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research
See also: Administrative Summary |
| 34-92293 | Jun. 29, 2021 | Elaine A. Dowling, Esq. |
| 34-92292 | Jun. 29, 2021 | Harold P. Gewerter, Esq. |
| 33-10952 | Jun. 29, 2021 | Howard Davner
Other Release No.: 34-92286 |
| 34-92285 | Jun. 29, 2021 | Neovest, Inc. |
| 34-92276 | Jun. 28, 2021 | Paragon Coin, Inc. |
| 34-92274 | Jun. 28, 2021 | Petróleo Brasilerio and S.A. - Petrobras
See also: Proposed Distribution Plan |
| 34-92273 | Jun. 28, 2021 | Andrea S. Trout, Esq. |
| 34-92259 | Jun. 25, 2021 | Amec Foster Wheeler Limited |
| 34-92258 | Jun. 24, 2021 | Crown Capital Securities, L.P.
Other Release No.: IA-5760 See also: Administrative Summary |
| 33-10951 | Jun. 24, 2021 | Gateway One Lending & Finance, LLC
See also: Administrative Summary |
| 34-92237 | Jun. 23, 2021 | Guggenheim Securities, LLC
See also: Administrative Summary |
| 33-10950 | Jun. 22, 2021 | Loci, Inc. and John Wise
Other Release No.: 34-92215 |
| 34-92211 | Jun. 21, 2021 | Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC |
| 34-92205 | Jun. 17, 2021 | Unikrn, Inc. |
| 34-92202 | Jun. 17, 2021 | Scott A. Doak
See also: Proposed plan of Distribution |
| 34-92195 | Jun. 16, 2021 | REACH Genetics, Inc. |
| 34-92187 | Jun. 16, 2021 | Anthony Nicolosi (f/k/a Anthony Peluso) |
| 34-92176 | Jun. 14, 2021 | First American Financial Corporation |
| 34-92166 | Jun. 14, 2021 | Intervest International, Inc. and Craig L. Carson
Other Release No.: IA-5752 See also: Administrative Summary |
| IA-5750 | Jun. 11, 2021 | Feltl Advisors, LLC |
| IA-5749 | Jun. 11, 2021 | Bingqing Yang |
| 34-92156 | Jun. 11, 2021 | David G. Martin
Other Release No.: IC-34297 |
| 34-92143 | Jun. 10, 2021 | Scott Eugene Bachman
See Also: Cease and Desist Order |
| 34-92140 | Jun. 10, 2021 | Scott A. Doak |
| IA-5748 | Jun. 7, 2021 | Verus Capital Partners, LLC
See also: Administrative Summary |
| 34-92124 | Jun. 7, 2021 | David F. Bandimere |
| 34-92115 | Jun. 4, 2021 | Robinhood Financial, LLC
See also: Proposed Distribution Plan Comments received are available for this plan. Comments due: July 4, 2021 |
| 34-92114 | Jun. 4, 2021 | Gurprit Chandhoke and VII Peaks Capital, LLC
Other Release Nos.: IA-5746, IC-34294 See also: Administrative Summary |
| IA-5747 | Jun. 4, 2021 | Michelle E. MacDonald
See also: Administrative Summary |
| 34-92106 | Jun. 3, 2021 | Mark Gasarch, Esq. |
| 34-92097 | Jun. 3, 2021 | Bluecrest Capital Management Limited |
| 34-92096 | Jun. 3, 2021 | Morgan Stanley Smith Barney LLC |
| IA-5745 | Jun. 3, 2021 | Emperor Investments, Inc.
See also: Administrative Summary |
| 34-92095 | Jun. 2, 2021 | Centaurus Financial, Inc.
Other Release No.: IA-5744 See also: Administrative Summary |
| 34-92080 | Jun. 1, 2021 | Intelligent Cloud Resources, Inc. |
| 34-92084 | Jun. 1, 2021 | Golden Goliath Resources Ltd. |
| 34-92083 | Jun. 1, 2021 | Globesat Holding Corp. |
| 34-92075 | May 28, 2021 | Randall Goulding, Esq. |
| 34-92066 | May 28, 2021 | Stephen Michael Thompson |
| 33-10945 | May 27, 2021 | Arjuna Ariathurai
Other Release Nos.: 34-92061, IA-5741, IC-34291 |
| 34-92049 | May 27, 2021 | XSport Global, Inc. |
| 34-92047 | May 27, 2021 | Rich Pharmaceuticals, Inc. |
| 34-92063 | May 27, 2021 | Glacier Holdings, Inc. (n/k/a Stylemaster, Inc.) |
| 34-92062 | May 27, 2021 | General Energy Resources & Technology Corp. |
| 34-92056 | May 27, 2021 | Immune Pharmaceuticals Inc. |
| 34-92046 | May 27, 2021 | Mediterranean Minerals Corp. |
| 34-92045 | May 27, 2021 | International Technology Enterprises Ltd. |
| 34-92043 | May 27, 2021 | Spongetech Delivery Systems, Inc. |
| 34-92042 | May 27, 2021 | Rystar Communications Ltd. |
| 34-92041 | May 27, 2021 | Gemini Equipment Partners Income Fund IX LP |
| 34-92039 | May 27, 2021 | Gemini Equipment Partners Income Fund VIII LP |
| 34-92026 | May 26, 2021 | General Builders Corp. |
| 34-92025 | May 26, 2021 | Gemini Equipment Partners Income Fund X |
| 34-92006 | May 25, 2021 | Morris Business Development Co. |
| 34-92004 | May 25, 2021 | Jin Wan Hong International Holdings Ltd. |
| 34-92010 | May 25, 2021 | CathayOnline, Inc. |
| 34-92008 | May 25, 2021 | Digital Donations Technologies, Inc. |
| 34-91999 | May 25, 2021 | Gemini Equipment Partners Income Fund IV LP |
| 34-91998 | May 25, 2021 | Galea Life Sciences, Inc. |
| 34-91997 | May 25, 2021 | FCA US LLC and Fiat Chrysler Automobiles N.V. |
| 34-91996 | May 25, 2021 | Gemini Equipment Partners Income Fund VI LP |
| 34-91995 | May 25, 2021 | Gemini Equipment Partners Income Fund V |
| 34-91993 | May 25, 2021 | Roy Y. Gagaza
Other Release No.: IA-5738 |
| 34-91989 | May 24, 2021 | Intelligent Cloud Resources, Inc. |
| 34-91987 | May 24, 2021 | Global Capital Partners, Inc. |
| IA-5737 | May 24, 2021 | George Heckler |
| 34-91974 | May 21, 2021 | Emil Botvinnik |
| 34-91972 | May 21, 2021 | Generation Next Franchise Brands, Inc. |
| 34-91970 | May 21, 2021 | Freeseas Inc. |
| 34-91966 | May 21, 2021 | Securities America Advisors, Inc. |
| 34-91956 | May 20, 2021 | Creative Waste Solutions, Inc. |
| 34-91954 | May 20, 2021 | Clic Technology, Inc. |
| 34-91945 | May 19, 2021 | AtheroNova, Inc. |
| 34-91943 | May 19, 2021 | Arias Intel Corp. |
| 34-91941 | May 19, 2021 | Chelsea Oil & Gas Ltd. |
| 34-91939 | May 19, 2021 | Boston Carriers, Inc. |
| 34-91938 | May 19, 2021 | Gil Beserglik, Raz Beserglik and Kai Christian Petersen |
| 34-91934 | May 19, 2021 | Wireline, Inc. |
| 34-91928 | May 18, 2021 | Echo Therapeutics, Inc. |
| 34-91924 | May 18, 2021 | Seth A. Leyton |
| 34-91911 | May 17, 2021 | USA Zhimingde International Group Corp. |
| 34-91908 | May 17, 2021 | YBCC, Inc. |
| 34-91907 | May 17, 2021 | Traqer Corp. |
| 34-91905 | May 17, 2021 | W O Group, Inc. |
| 34-91900 | May 17, 2021 | Ubi Blockchain Internet Ltd. |
| 34-91899 | May 17, 2021 | Spectrascience, Inc. |
| 33-10943 | May 17, 2021 | S&P Dow Jones Indices LLC |
| 34-91891 | May 13, 2021 | Vilacto Bio, Inc. |
| 34-91889 | May 13, 2021 | US-China Biomedical Technology, Inc. |
| 34-91888 | May 13, 2021 | Clinton Maurice Tucker II |
| 34-91884 | May 13, 2021 | Securities America Advisors, Inc. |
| 34-91882 | May 12, 2021 | Pledge Petroleum Corp. |
| 34-91879 | May 12, 2021 | Moregain Pictures, Inc. |
| 34-91869 | May 12, 2021 | Texas South Energy, Inc. |
| 34-91867 | May 12, 2021 | Quantum Materials Corp. |
| 34-91856 | May 12, 2021 | AirXpanders, Inc. |
| 34-91855 | May 12, 2021 | Aedan Financial Corporation |
| 34-91853 | May 12, 2021 | GWFS Equities, Inc. |
| 34-91850 | May 11, 2021 | MJ Biotech, Inc. (f/k/a Michael James Enterprises, Inc.) |
| 34-91848 | May 11, 2021 | Gala Pharmaceutical, Inc. |
| 34-91846 | May 11, 2021 | Freestone Resources, Inc. |
| 34-91842 | May 11, 2021 | Flatworld Acquisition Corp. |
| 34-91828 | May 10, 2021 | China Soar Information Technology, Inc. |
| 34-91826 | May 10, 2021 | Cerebain Biotech Corp. |
| 34-91822 | May 10, 2021 | Ameritek Ventures, Inc. |
| 34-91819 | May 10, 2021 | Alphacom Holdings, Inc. |
| 34-91818 | May 10, 2021 | Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited |
| 34-91816 | May 10, 2021 | Wilmington Trust Corporation |
| 34-91815 | May 10, 2021 | Bethany Liou and Golden California Regional Center, LLC |
| 34-91814 | May 10, 2021 | Gregory P. Herlean |
| 34-91811 | May 10, 2021 | Stephen J. Byrne |
| IA-5732 | May 10, 2021 | Peter J. Decaprio
See also: Administrative Summary |
| 34-91800 | May 7, 2021 | Biohemp International, Inc. |
| 34-91796 | May 7, 2021 | Apotheca Biosciences, Inc. |
| 34-91795 | May 7, 2021 | Corbyn W. Jones, Esq.
See also: Administrative Summary |
| 34-91793 | May 7, 2021 | Reliance Financial Advisors, LLC, Timothy S. Dembski and Walter F. Grenda, Jr. |
| 34-91792 | May 7, 2021 | Mancera, et al. |
| 34-91774 | May 5, 2021 | Clontech Laboratories, Inc. n/k/a Takara Bio USA, Inc. |
| 34-91772 | May 5, 2021 | Seth P. Levine, Esq. |
| IA-5731 | May 5, 2021 | Hai Khoa Dang |
| 33-10941 | May 5, 2021 | Maxwell Drever
See also: Administrative Summary |
| 34-91749 | May 4, 2021 | Bradley J. Tennison
Other Release No.: IA-5729 |
| 33-10940 | May 3, 2021 | Under Armour, Inc.
Other Release Nos.: 34-91741, AAER-4220 |
| 34-91739 | May 3, 2021 | Kenneth Ciapala |
| 34-91738 | Apr. 30, 2021 | Laurence I. Balter d/b/a Oracle Investment Research |
| 34-91737 | Apr. 30, 2021 | Morgan Stanley Smith Barney LLC |
| 34-91704 | Apr. 29, 2021 | Cyclone Power Technologies, Inc. and Ecolocap Solutions, Inc. |
| 34-91723 | Apr. 29, 2021 | HQDA Elderly Life Network, Inc. (Corrected)
Other Release No.: AAER-4219 |
| 34-91722 | Apr. 29, 2021 | Daniels Corporate Advisory Company, Inc.
Other Release No.: AAER-4218 |
| 34-91721 | Apr. 29, 2021 | Rokk3r, Inc.
Other Release No.: AAER-4217 |
| 34-91719 | Apr. 29, 2021 | Igen Networks Corp.
Other Release No.: AAER-4216 |
| 34-91718 | Apr. 29, 2021 | Asta Funding, Inc.
Other Release No.: AAER-4215 |
| 34-91717 | Apr. 29, 2021 | ShiftPixy, Inc.
Other Release No.: AAER-4214 |
| 34-91716 | Apr. 29, 2021 | Trutankless, Inc.
Other Release No.: AAER-4213 |
| 34-91715 | Apr. 29, 2021 | Fortem Resources, Inc.
Other Release No.: AAER-4212 |
| 34-91647 | Apr. 22, 2021 | BitClave PTE, Ltd. |
| 34-91642 | Apr. 22, 2021 | FCA US LLC and Fiat Chrysler Automobiles N.V. |
| 34-91628 | Apr. 22, 2021 | Amit Tandon, Esq. |
| 34-91613 | Apr. 19, 2021 | Jaime M. Westenbarger
Other Release No.: IA-5725 |
| IA-5724 | Apr. 19, 2021 | Dean Mustaphalli |
| IA-5723 | Apr. 19, 2021 | Martin Silver, CPA
Other Release No.: AAER-4210 |
| 34-91606 | Apr. 16, 2021 | General Electric Company |
| 34-91591 | Apr. 16, 2021 | Christopher Lee Hibbard
Other Release No.: IA-5721 |
| 34-91590 | Apr. 16, 2021 | Robinhood Financial, LLC |
| 34-91589 | Apr. 16, 2021 | Signator Investors, Inc. and Gregory J. Mitchell; |
| 34-91588 | Apr. 16, 2021 | Bluecrest Capital Management Limited |
| 34-91574 | Apr. 15, 2021 | Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. |
| IA-5719 | Apr. 15, 2021 | Mason Investment Advisory Services, Inc. |
| 34-91572 | Apr. 15, 2021 | Fiat Chrysler Automobiles N.V. |
| 34-91571 | Apr. 15, 2021 | Fiat Chrysler Automobiles N.V. |
| 34-91570 | Apr. 15, 2021 | Laurence I. Balter d/b/a Oracle Investment Research |
| 34-91569 | Apr. 15, 2021 | Trinity Capital Corporation |
| 34-91536 | Apr. 12, 2021 | Craig R. Fronckiewicz, CPA
Other Release No.: AAER-4208 |
| 34-91522 | Apr. 9, 2021 | Paragon Coin, Inc. |
| IA-5715 | Apr. 8, 2021 | Don Warner Reinhard |
| 34-91511 | Apr. 8, 2021 | John Alexander Van Arem |
| 34-91509 | Apr. 8, 2021 | Fifth Street Management, LLC |
| 34-91508 | Apr. 8, 2021 | Fortress Investment Management, LLC, William M. Malloy, III. |
| 34-91507 | Apr. 8, 2021 | Super Micro Computer, Inc.
See also: Distribution Plan |
| IA-5713 | Apr. 5, 2021 | E*Hedge Securities Inc. f/k/a E*Hedge Inc. and Devon W. Parks |
| 34-91475 | Apr. 5, 2021 | Christopher E. Knauth, CPA
Other Release No.: AAER-4207 |
| 34-91470 | Apr. 2, 2021 | Carol J. Wayland |
| First Quarter | ||
| 34-91447 | Mar. 31, 2021 | Soupman, Inc. and Trailblazer Resources, Inc. |
| IA-5710 | Mar. 29, 2021 | Edward F. Gobora |
| 34-91412 | Mar. 25, 2021 | Integral Technologies, Inc. |
| 34-91405 | Mar. 24, 2021 | Christopher D. Dantin |
| 34-91404 | Mar. 24, 2021 | Chris A. Dantin |
| IA-5707 | Mar. 24, 2021 | Tyler C. Sadek
See also: Administrative Summary |
| 34-91401 | Mar. 24, 2021 | Scott T. Wolfrum
Other Release No.: IA-5706 See also: Administrative Summary |
| 33-10937 | Mar. 24, 2021 | Troy E. Marchand
Other Release Nos.: 34-91400, IA-5705, IC-34235 See also: Administrative Summary |
| 34-91392 | Mar. 23, 2021 | Andrew L. White |
| 34-91379 | Mar. 22, 2021 | World Tree Financial, LLC
Other Release No.: IA-5702 |
| 34-91378 | Mar. 22, 2021 | Wesley Kyle Perkins
Other Release No.: IA-5701 |
| IA-5700 | Mar. 22, 2021 | Isaiah L. Goodman |
| 34-91346 | Mar. 18, 2021 | Ivan Ramos |
| 34-91337 | Mar. 16, 2021 | Joel M. Frank |
| 33-10932 | Mar. 15, 2021 | Ettro Capital Management Corp. and Peter Ettro
Other Release Nos.: 34-91325, IA-5697, IC-34222 See also: Administrative Summary |
| 34-91310 | Mar. 12, 2021 | Michael Sean Murphy |
| 34-91304 | Mar. 11, 2021 | Glen A. Stewart |
| 34-91289 | Mar. 10, 2021 | Minish "Joe" Hede |
| 34-91270 | Mar. 5, 2021 | Jocelyn Murphy |
| 34-91255 | Mar. 4, 2021 | Gray Financial Group, Inc., et al. |
| 34-91246 | Mar. 3, 2021 | Kevin Graetz |
| 34-91244 | Mar. 2, 2021 | General Electric Company |
| 34-91243 | Mar. 2, 2021 | Ross McLellan |
| IA-5694 | Mar. 2, 2021 | Gregory Moats Sampson
See also: Administrative Summary |
| 34-91209 | Feb. 25, 2021 | Allan L. Lundervold (Corrected) |
| 33-10930 | Feb. 24, 2021 | Michael G. Moore
Other Release No.: 34-91195 |
| 34-91201 | Feb. 24, 2021 | Craig A. Zabala
Other Release No.: IA-5691 |
| 34-91196 | Feb. 24, 2021 | Gulfport Energy Corporation |
| 34-91187 | Feb. 23, 2021 | Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC |
| 34-91186 | Feb. 23, 2021 | Jennifer M. Stewart, CPA
Other Release No.: AAER-4205 |
| 34-91185 | Feb. 23, 2021 | Christopher L. Stanley, CPA
Other Release No.: AAER-4204 |
| 34-91174 | Feb. 19, 2021 | Long Blockchain Corp. |
| 34-91149 | Feb. 17, 2021 | Steven Pagartanis |
| 34-91140 | Feb. 17, 2021 | David Correia |
| 34-91134 | Feb. 16, 2021 | Zachary Brooke Roberts, Esq. |
| 34-91131 | Feb. 16, 2021 | Edward T. Kelly, CPA
Other Release No.: AAER-4203 |
| 34-91129 | Feb. 16, 2021 | All Grade Mining, Inc. |
| 34-91118 | Feb. 11, 2021 | Winslow and Evans & Crocker, Inc. (Corrected) Other Release No.: IA-5684 |
| 34-91115 | Feb. 11, 2021 | Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich |
| 34-91111 | Feb. 11, 2021 | Signator Investors, Inc and Gregory J. Mitchell
See also: Distribution Plan |
| IA-5683 | Feb. 11, 2021 | Derek Payne Burcham |
| 34-91103 | Feb. 11, 2021 | Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC |
| 34-91102 | Feb. 11, 2021 | BlueCrest Capital Management Limited |
| 34-91099 | Feb. 10, 2021 | Anthony Killarney |
| IA-5682 | Feb. 9, 2021 | Daniel Sholom Frishberg |
| IA-5680 | Feb. 5, 2021 | Rosedale Asset Management, LLC f/k/a Princeton Advisory Wealth Management, LLC |
| IA-5679 | Feb. 4, 2021 | Mathew Martoma |
| 34-91059 | Feb. 4, 2021 | David Hu
Other Release No.: IA-5678 |
| 34-91046 | Feb. 3, 2021 | Super Micro Computer, Inc.
See also: Proposed Plan of Distribution |
| 33-10925 | Feb. 2, 2021 | Joseph Jackson and Colm Callan
Other Release Nos.: 34-91042, AAER-4202 |
| 33-10924 | Feb. 2, 2021 | Lightspeed Trading, LLC |
| 34-91026 | Feb. 1, 2021 | Amogh Karney
Other Release No.: IA-5677 |
| 34-91022 | Jan. 29, 2021 | Green Bud Initiatives LLC |
| 34-91021 | Jan. 29, 2021 | Jeremy Johnson |
| 34-91020 | Jan. 29, 2021 | Anthony Todd Johnson |
| IA-5675 | Jan. 29, 2021 | Daniel Investment Associates, LLC and Gregory D. Van Wyk
See also: Administrative Summary |
| 34-91013 | Jan. 29, 2021 | Karen McKinley
Other Release No.: IA-5676 |
| 34-90959 | Jan. 21, 2021 | Dominick & Dominick LLC and Robert X. Reilly |
| IA-5671 | Jan. 21, 2021 | Reginald Buddy Ringgold, III and Aka Rasool Abdul Rahim El |
| 34-90950 | Jan. 19, 2021 | Richard Portillo and CIS Marketing, LLC |
| 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 (Corrected) |
| 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) |