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
Third Quarter
34-95913 Sep. 27, 2022 Oracle Corporation
34-95912 Sep. 26, 2022 Michael Robert Hicks
34-95911 Sep. 26, 2022 Alex Duain Forester
IA-6151 Sep. 26, 2022 James Patrick O'connell
IA-6150 Sep. 26, 2022 Randall H. Fields
IA-6148 Sep. 23, 2022 Lee A. Bressler
34-95906 Sep. 23, 2022 Jose Luis Casero Sanchez
Other Release No.: IA-6149
33-11107 Sep. 23, 2022 Compass Minerals International, Inc.
Other Release Nos.: 34-95889, AAER-4340
34-95893 Sep. 23, 2022 Rock Creek Pharmaceuticals, Inc.
34-95890 Sep. 23, 2022 Guozi Zhongyu Capital Holdings
33-11108 Sep. 23, 2022 Richard M. Crabtree
Other Release Nos.: 34-95898, IA-6147, IC-34717
34-95894 Sep. 23, 2022 Raymond T. Clark
34-95892 Sep. 23, 2022 Generex Biotechnology Corporation
34-95891 Sep. 23, 2022 Fuquan Financial Company
IA-6146 Sep. 23, 2022 Wave Equity Partners LLC
IA-6145 Sep. 23, 2022 Elbert L. Hardiman, Jr.
34-95887 Sep. 23, 2022 Friedman LLP
Other Release No.: AAER-4339
See also: Administrative Summary
34-95884 Sep. 22, 2022 Ira S. Viener, CPA
Other Release No.: AAER-4338
See also: Administrative Summary
33-11106 Sep. 22, 2022 Dennis A. Muilenburg
33-11105 Sep. 22, 2022 The Boeing Company
34-95882 Sep. 22, 2022 China XD Plastics Company Limited
34-95880 Sep. 22, 2022 Grown Rogue International Inc. (f/k/a Novicius Corporation.)
34-95879 Sep. 22, 2022 GlyEco, INC.
34-95875 Sep. 22, 2022 Raymond James & Associates, Inc.
See also: Administrative Summary
34-95872 Sep. 22, 2022 CannAwake Corporation
34-95868 Sep. 22, 2022 View Systems, Inc.
34-95866 Sep. 22, 2022 Steele Oceanic Corporation
IA-6144 Sep. 22, 2022 Jacob C. Glick
34-95873 Sep. 22, 2022 Oxbow Advisors, LLC
34-95864 Sep. 22, 2022 Axion International Holdings, Inc.
34-95863 Sep. 22, 2022 6D Global Technologies, Inc.
34-95862 Sep. 22, 2022 Water Now, Inc.
34-95861 Sep. 22, 2022 AngioGenex, Inc.
34-95858 Sep. 22, 2022 Robert A. Vanetten
34-95857 Sep. 21, 2022 Lightscape Technologies, Inc.
34-95856 Sep. 21, 2022 Manuel A. Romero
Other Release No.: AAER-4337
IA-6143 Sep. 21, 2022 Eugenio Garcia Jimenez, Jr.
34-95852 Sep. 21, 2022 Terrence J. Walton, CPA
Other Release No.: AAER-4336
IA-6142 Sep. 21, 2022 Ron K. Harrison
IA-6141 Sep. 21, 2022 Timothy Allcott
33-11104 Sep. 21, 2022 Sheng Fu and Ming Xu
Other Release No.: 34-95847
34-95839 Sep. 20, 2022 Enigma MPC, Inc.
34-95838 Sep. 20, 2022 Earth Search Sciences, Inc.
IA-6139 Sep. 20, 2022 Toews Corporation
See also: Administrative Summary
34-95836 Sep. 20, 2022 Corbin L. Lambert
Other Release No.: IA-6140
34-95835 Sep. 20, 2022 Timothy S. Hart, CPA
34-95832 Sep. 20, 2022 Morgan Stanley Smith Barney LLC
Other Release No.: IA-6138
IA-6137 Sep. 19, 2022 Arcadia Wealth Management, Inc.
See also: Administrative Summary
34-95833 Sep. 19, 2022 Matthew W. Dreyer, CPA
Other Release No.: AAER-4335
See also: Administrative Summary
34-95831 Sep. 19, 2022 TC Acquisition Corp.
34-95830 Sep. 19, 2022 Start Scientific, Inc.
34-95828 Sep. 19, 2022 Waddell & Reed, LLC
Other Release No.: IA-6136
See also: Administrative Summary
34-95826 Sep. 19, 2022 Shimon Rosenfeld, Esq.
34-95824 Sep. 19, 2022 Damilare Sonoiki
34-95821 Sep. 19, 2022 Ted L. Romeo
34-95818 Sep. 19, 2022 Scott Adam Brander
Other Release No.: IA-6134
33-11102 Sep. 19, 2022 Sparkster, Ltd. and Sajjad Daya
34-95816 Sep. 19, 2022 Neil B. Swartz
IA-6133 Sep. 16, 2022 Martin A. Ruiz
IA-6131 Sep. 16, 2022 Gregory M. Grenda
IA-6130 Sep. 16, 2022 Grenda Group, LLC
34-95815 Sep. 16, 2022 TBG Holdings Corporation
34-95805 Sep. 16, 2022 Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc. and Gavin D. Southwell
34-95804 Sep. 16, 2022 Sino Agro Food, Inc.
34-95803 Sep. 16, 2022 QMIS Finance Securities Corp.
34-95801 Sep. 16, 2022 Allianz Global Investors U.S. LLC
34-95800 Sep. 15, 2022 GOL Linhas AĆ©reas Inteligentes S.A.
See also: Administrative Summary
34-95797 Sep. 15, 2022 Williamsville Sears Management, Inc.
34-95796 Sep. 15, 2022 Nerium Biotechnology, Inc.
34-95794 Sep. 15, 2022 Van Nuys Studios, Inc.
34-95793 Sep. 15, 2022 Nanovation Microtech, Inc.
34-95792 Sep. 15, 2022 Sleepaid Holding Co. n/k/a QDM, Inc.
34-95790 Sep. 15, 2022 Sky Wolf Wind Turbine Corp.
IA-6129 Sep. 15, 2022 Starvest Management, Inc.
See also: Administrative Summary
IA-6128 Sep. 15, 2022 Highland Capital Partners LLC
See also: Administrative Summary
IA-6127 Sep. 15, 2022 Asset Management Group of Bank of Hawaii
See also: Administrative Summary
IA-6126 Sep. 15, 2022 Canaan Management, LLC
See also: Administrative Summary
34-95788 Sep. 15, 2022 Damian Ostertag
34-95787 Sep. 15, 2022 Premier Holding Corp.
34-95786 Sep. 15, 2022 Petrone Worldwide, Inc.
34-95785 Sep. 15, 2022 Mark Alan Lisser
34-95784 Sep. 15, 2022 Robert Lenard Booth (a/k/a Trevor Nicholas)
34-95779 Sep. 15, 2022 Arthur S. Hoffman
Other Release No.: IA-6125
34-95778 Sep. 15, 2022 Glohab, Inc.
34-95777 Sep. 15, 2022 Globe Photos, Inc.
34-95767 Sep. 14, 2022 Badree Komandur, ACA
Other Release No.: AAER-4334
34-95766 Sep. 14, 2022 Bayerische Motoren Werke Aktiengesellchaft, BMW of North America, LLC and BMW US Capital, LLC
34-95765 Sep. 14, 2022 DCA Asset Management, Inc.
34-95764 Sep. 14, 2022 Loop Capital Markets, LLC
IA-6123 Sep. 12, 2022 Christopher R. Bentley
34-95751 Sep. 13, 2022 TD Securities (USA) LLC
34-95750 Sep. 13, 2022 BNY Mellon Capital Markets, LLC
34-95749 Sep. 13, 2022 Jefferies LLC
34-95747 Sep. 13, 2022 Buckman Advisory Group, LLC and Harry J. Buckman, Jr.
Other Release No.: IA-6124
34-95746 Sep. 12, 2022 Original Source Music, Inc.
34-95745 Sep. 12, 2022 NuGenerex Immuno-Oncology, Inc.
33-11099 Sep. 12, 2022 VMware, Inc.
Other Release Nos.: 34-95744, AAER-4333
IA-6122 Sep. 12, 2022 Ruless Pierre (a/k/a Rules Pierre)
34-95733 Sep. 12, 2022 Wells Fargo & Company
IA-6121 Sep. 12, 2022 SparkLabs Global Ventures Management, LLC, SparkLabs Management, LLC and Bernard Moon
See also: Administrative Summary
34-95732 Sep. 12, 2022 GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc.
IA-6120 Sep. 12, 2022 Hudson Advisors L.P. and Lone Star Global Acquisitions, Ltd.
34-95728 Sep. 9, 2022 Centaurus Diamond Technologies, Inc.
34-95727 Sep. 9, 2022 Bridgeway National Corp.
34-95726 Sep. 9, 2022 Legacy Funding Services, LLC and Raymond Howard Sowell
See also: Administrative Summary
34-95720 Sep. 9, 2022 Lightscape Technologies, Inc.
34-95719 Sep. 9, 2022 Hygge Integrated Brands Corp.
IA-6119 Sep. 9, 2022 BiscayneAmericas Advisers L.L.C.
IA-6118 Sep. 9, 2022 Lend Academy Investments, LLC
IA-6117 Sep. 9, 2022 Ridgeview Asset Management Partners, LLC
IA-6116 Sep. 9, 2022 QVR, LLC
IA-6115 Sep. 9, 2022 Polaris Equity Management, Inc.
IA-6114 Sep. 9, 2022 Janus Henderson Investors US LLC
IA-6113 Sep. 9, 2022 Garrison Investment Group LP
IA-6112 Sep. 9, 2022 Titan Fund Management, LLC
IA-6111 Sep. 9, 2022 Steward Capital Management, Inc.
34-95706 Sep. 8, 2022 Gold Capital Corp. /Co/
34-95705 Sep. 8, 2022 Gold Camp Cripple Creek Colorado, Inc.
IA-6110 Sep. 8, 2022 NPA Asset Management, LLC
See also: Administrative Summary
IA-6109 Sep. 8, 2022 Benjamin Bin Chow
IA-6107 Sep. 8, 2022 Charles Pratt & Company, LLC
Other Release No.: AAER-4332
See also: Administrative Summary
34-95703 Sep. 8, 2022 Stanley B. Secor
Other Release No.: IA-6108
34-95702 Sep. 8, 2022 The Kraft Heinz Co. and Eduardo Pelleissone
34-95701 Sep. 7, 2022 Santa Fe Financial Corporation
34-95693 Sep. 7, 2022 DirectView Holdings, Inc.
34-95692 Sep. 7, 2022 Corporate Resource Services, Inc.
34-95690 Sep. 7, 2022 Lisa Gordon
34-95689 Sep. 7, 2022 Emerging Opportunities Corp.
34-95686 Sep. 7, 2022 Doers Education Asean Ltd.
34-95681 Sep. 7, 2022 Enova Systems, Inc.
34-95680 Sep. 7, 2022 Energem Resources, Inc. (f/k/a Diamondworks Ltd.)
34-95678 Sep. 6, 2022 American Pacific Minerals Ltd.
34-95677 Sep. 6, 2022 Adaptive Medias, Inc.
34-95673 Sep. 6, 2022 Perceptive Advisors LLC
Other Release No.: IA-6106
33-11097 Sep. 6, 2022 ELECTROPREMIUM
IA-6103 Sep. 6, 2022 Aventura Capital Management, LLC
See also: Administrative Summary
34-95671 Sep. 2, 2022 Leon Vaccarelli
Other Release No.: IA-6105
IA-6104 Sep. 2, 2022 Energy Innovation Capital Management, LLC
34-95668 Sep. 2, 2022 Glen Rose Petroleum Corp
34-95667 Sep. 2, 2022 FAB Universal Corp.
34-95666 Sep. 2, 2022 BLGI, Inc.
34-95665 Sep. 2, 2022 Basic Energy Services, Inc.
34-95663 Sep. 2, 2022 CHS Inc.
Other Release No.: AAER-4330
See also: Administrative Summary
34-95653 Sep. 1, 2022 Momentus, Inc., et al.
34-95649 Aug. 31, 2022 Micah J. Eldred
34-95648 Aug. 31, 2022 Carl E. Dilley
34-95643 Aug. 31, 2022 Fred Alger Management Inc. and Fred Alger & Company, Inc.
34-95642 Aug. 31, 2022 Miller Energy Resources, Inc., et al.
34-95641 Aug. 31, 2022 HCR Wealth Advisors
34-95640 Aug. 31, 2022 Taronis Technologies, Inc. (n/k/a BBHC, Inc.)
34-95630 Aug. 29, 2022 Jonathan Dax Cooke
Other Release No.: IA-6099
34-95628 Aug. 29, 2022 TAB Networks, Inc.
34-95627 Aug. 29, 2022 Worldwide Markets, Ltd.
34-95626 Aug. 29, 2022 Mark W. Heckele, Esq.
34-95625 Aug. 29, 2022 Mark W. Heckele, Esq.
34-95621 Aug. 26, 2022 Ian Horn, Esq.
34-95619 Aug. 26, 2022 Karina Chairez
33-11096 Aug. 26, 2022 Mark C. Kelly, CPA
Other Release Nos.: 34-95612, AAER-4329
See also: Administrative Summary
IA-6098 Aug. 26, 2022 Kovack Advisors, Inc.
See also: Administrative Summary
34-95617 Aug. 26, 2022 Douglas Martin
34-95611 Aug. 25, 2022 Jigisha Desai
Other Release No.: AAER-4327
34-95610 Aug. 25, 2022 Laurel Krzeminski
Other Release No.: AAER-4326
34-95609 Aug. 25, 2022 James H. Roberts
Other Release No.: AAER-4325
34-95608 Aug. 25, 2022 Matthew J. Skinner
IA-6097 Aug. 25, 2022 Swapnil J. Rege
34-95600 Aug. 25, 2022 Michael James Ferguson Jr. Foreign Private Trust
34-95594 Aug. 25, 2022 William B. Mchenry, Jr. and First South Investments, LLC
34-95593 Aug. 24, 2022 Farber Hass Hurley LLP; Michel Abedian, CPA; and Michael Hurley, CPA
Other Release No.: AAER-4324
See also: Administrative Summary
34-95589 Aug. 24, 2022 The Bancorp, Inc.
Other Release No.: AAER-4323
See also: Administrative Summary
IA-6095 Aug. 23, 2022 Virginia Himmelsteib King
34-95574 Aug. 22, 2022 The American Energy Group, Ltd.
34-95573 Aug. 22, 2022 Tasa Products Limited
34-95568 Aug. 22, 2022 WOD Retail Solutions, Inc.
34-95566 Aug. 22, 2022 Vu1 Corporation
34-95565 Aug. 22, 2022 VeriTeQ Corporation
34-95564 Aug. 22, 2022 Union Bridge Holdings Limited
34-95563 Aug. 22, 2022 Santa Fe Financial Corporation
34-95562 Aug. 22, 2022 Qornerstone Inc.
34-95554 Aug. 18, 2022 Northern Power Systems Corp.
34-95553 Aug. 18, 2022 NMI Health, Inc.
34-95543 Aug. 18, 2022 Plantation Corp.
34-95542 Aug. 18, 2022 Novelion Therapeutics Inc.
34-95541 Aug. 18, 2022 Tara Gold Resources Corp.
34-95540 Aug. 18, 2022 Shearson American REIT, Inc.
34-95539 Aug. 18, 2022 Newbridge Global Ventures, Inc.
34-95538 Aug. 18, 2022 Metwood Inc. (a/k/a Emerge Health International Inc.)
34-95536 Aug. 18, 2022 Lescarden Inc.
34-95535 Aug. 18, 2022 Insulcrete, Inc.
34-95533 Aug. 17, 2022 KinerjaPay Corp.
34-95523 Aug. 17, 2022 Andes 7, Inc.
34-95522 Aug. 17, 2022 Alanco Technologies, Inc.
34-95519 Aug. 17, 2022 Halo Companies, Inc.
34-95518 Aug. 17, 2022 IEH Corporation
34-95517 Aug. 17, 2022 Findex.Com, Inc.
34-95516 Aug. 17, 2022 Eco Science Solutions, Inc.
34-95515 Aug. 17, 2022 Dominion Minerals Corp.
34-95514 Aug. 17, 2022 Destination Maternity Corporation
34-95513 Aug. 17, 2022 DCA Asset Management, Inc.
34-95512 Aug. 17, 2022 Champion Pain Care Corp. (f/k/a OICCO Acquisition I, Inc.)
34-95511 Aug. 17, 2022 MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
33-11093 Aug. 16, 2022 Conrad Neil Normann
Other Release Nos.: 34-95510, IC-34675
See also: Administrative Summary
34-95508 Aug. 16, 2022 Bravo Enterprises Ltd.
34-95507 Aug. 16, 2022 Baynon International Corp.
34-95506 Aug. 16, 2022 Kahn Brothers Advisors, LLC and Thomas Kahn
33-11092 Aug. 16, 2022 Eagle Bancorp, Inc.
Other Release Nos.: 34-95505, AAER-4321
33-11091 Aug. 16, 2022 Gregory Blotnick and Brattle Street Capital, LLC
Other Release Nos.: 34-95502, IA-6090, IC-34674
See also: Administrative Summary
34-95487 Aug. 12, 2022 IMC Chicago, LLC
See also: Administrative Summary
IA-6087 Aug. 11, 2022 Sergei Polevikov
34-95482 Aug. 11, 2022 Ross Barish
34-95469 Aug. 11, 2022 Sepas Ahdoot
34-95468 Aug. 11, 2022 Soheil Ahdoot
34-95467 Aug. 11, 2022 Crown Bridge Partners, LLC
IA-6086 Aug. 10, 2022 IFP Advisors, LLC
See also: Administrative Summary
34-95462 Aug. 10, 2022 Richard Keith Robertson
Other Release Nos.: IA-6085, IC-34669
See also: Administrative Summary
33-11090 Aug. 10, 2022 Angel Oak Capital Advisors, LLC and Ashish Negandhi
Other Release No.: IA-6084
33-11089 Aug. 9, 2022 Bloom Protocol, LLC
See also: Administrative Summary
IA-6081 Aug. 9, 2022 Michelle Maccio
34-95453 Aug. 9, 2022 Dustin Paul Shafer
Other Release No.: IA-6082
34-95451 Aug. 9, 2022 Frank Okunak, CPA
Other Release No.: AAER-4320
34-95432 Aug. 5, 2022 Houston American Energy Corp., et al.
See also: Distribution Plan
34-95429 Aug. 4, 2022 Allianz Global Investors U.S. LLC
34-95427 Aug. 4, 2022 Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC
34-95421 Aug. 4, 2022 Kevin Gillespie
34-95418 Aug. 4, 2022 Fifth Third Bancorp and Daniel Poston
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
33-11088 Aug. 3, 2022 Surgalign Holdings, Inc. and Robert P. Jordheim
Other Release Nos.: 34-95415, AAER-4318
See also: Complaint
IA-6079 Aug. 3, 2022 Deccan Value Investors LP and Vinit Bodas
See also: Administrative Summary
IA-6078 Aug. 1, 2022 Donald S. Laguardia, Jr.
33-11086 Jul. 28, 2022 Aegis Capital Corp.
Other Release Nos.: 34-95390, IA-6076
33-11085 Jul. 28, 2022 Paul F. Gallivan
Other Release Nos.: 34-95389, IA-6075, IC-34655
34-95369 Jul. 27, 2022 TradeStation Securities, Inc.
34-95368 Jul. 27, 2022 UBS Financial Services Inc.
Other Release No.: IA-6074
34-95367 Jul. 27, 2022 J.P. Morgan Securities LLC
Other Release No.: IA-6073
IA-6072 Jul. 25, 2022 Christopher W. Burns
34-95351 Jul. 22, 2022 Mesirow Financial Investment Management, Inc.
Other Release No.: IA-6070
IA-6069 Jul. 21, 2022 Private Advisor Group, LLC
See also: Administrative Summary
33-11084 Jul. 20, 2022 Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc. and Gavin D. Southwell
Other Release No.: 34-95323
34-95311 Jul. 18, 2022 Securities America Advisors, Inc.
33-11083 Jul. 18, 2022 Equitable Financial Life Insurance Company
34-95293 Jul. 15, 2022 Allianz Global Investors U.S. LLC
34-95277 Jul. 14, 2022 The Kraft Heinz Co. and Eduardo Pelleissone
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-95261 Jul. 12, 2022 FCA US LLC and Fiat Chrysler Automobiles N.V.
See also: Distribution Plan
34-95255 Jul. 12, 2022 Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel
See also: Distribution Plan
34-95224 Jul. 8, 2022 Arcangelo Loberto, CPA and CA
Other Release No.: AAER-4316
34-95223 Jul. 8, 2022 Steven J. Sheinfeld, CPA
Other Release No.: AAER-4315
34-95212 Jul. 7, 2022 James M. Davis
Other Release No.: IA-6065
IA-6064 Jul. 7, 2022 Richard Gearhart
IA-6063 Jul. 7, 2022 George McKown
33-11080 Jul. 7, 2022 John W. Pauciulo, Esq.
Other Release No.: 34-95205
See also: Administrative Summary
33-11079 Jul. 7, 2022 Hugh Lee Sweeney
Other Release No.: 34-95204
See also: Administrative Summary
34-95194 Jul. 1, 2022 Efrain Betancourt Jr.
34-95193 Jul. 1, 2022 voxeljet AG and Rudolf Franz
Other Release No.: AAER-4314
See also: Administrative Summary
34-95192 Jul. 1, 2022 Baxter International Inc., Jeffrey Schaible, Scott Bohaboy
Second Quarter
IA-6062 Jun. 30, 2022 Corona Associates Capital Management, LLC, et al.
See also: Administrative Summary
34-95189 Jun. 30, 2022 Hamilton Investment Counsel, LLC and Jeffrey Kirkpatrick
Other Release No.: IA-6061
34-95187 Jun. 30, 2022 Wesley J. Evans
34-95186 Jun. 30, 2022 Wendy Elizabeth Sill Trust
See also: Administrative Summary
34-95185 Jun. 30, 2022 The Northgate Nobles Greenhouseabe Foreign Grantor Trust
See also: Administrative Summary
34-95184 Jun. 30, 2022 Ihsan Dariush Ibrahim Gholizadeh Inc. and Ihsan Dariush Ibrahim Gholizadeh Transfer Trust
See also: Administrative Summary
34-95183 Jun. 30, 2022 The Brandon Rawls Trust
See also: Administrative Summary
34-95182 Jun. 30, 2022 The Edward Walker Benifield Trust
See also: Administrative Summary
34-95181 Jun. 30, 2022 The Brian Madison Carnes Trust
See also: Administrative Summary
34-95168 Jun. 29, 2022 UBS Financial Services Inc.
Other Release No.: IA-6060
34-95172 Jun. 28, 2022 Poloniex, LLC
34-95167 Jun. 28, 2022 Ernst & Young LLP
Other Release No.: AAER-4313
IA-6059 Jun. 27, 2022 David Lee Bonuccelli
33-11078 Jun. 27, 2022 Sidney A. Spector, Md and Phd
Other Release No.: 34-95163
See also: Administrative Summary
34-95160 Jun. 27, 2022 German Nino
Other Release No.: IA-6058
33-11077 Jun. 24, 2022 Geluk Capital Management Ltd. and Douglas Gerald Fathers
Other Release Nos.: 34-95158, IA-6057, IC-34637
See also: Administrative Summary
34-95152 Jun. 24, 2022 Robinhood Financial, LLC
34-95149 Jun. 24, 2022 GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc
34-95138 Jun. 22, 2022 The Brink's Company
See also: Administrative Summary
34-95131 Jun. 21, 2022 Aaron B. Fletcher
Other Release No.: IA-6052
34-95127 Jun. 21, 2022 Egan-Jones Ratings Company and Sean Egan
34-95121 Jun. 17, 2022 Erin Verespy
Other Release No.: IA-6051
34-95110 Jun. 16, 2022 Sica Wealth Management, LLC and Jeffrey C. Sica
See also: Distribution Plan
34-95109 Jun. 16, 2022 William D. King, CPA
See also: Distribution Plan
IA-6049 Jun. 14, 2022 Energy Capital Partners Management, LP
34-95099 Jun. 14, 2022 Weiss Asset Management LP
33-11072 Jun. 13, 2022 Petroteq Energy, Inc. and Aleksandr Blyumkin
Other Release No.: 33-11072
See also: Administrative Summary, Complaint
34-95087 Jun. 13, 2022 Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc. and Schwab Wealth Investment Advisory, Inc.
Other Release No.: IA-6047
See also: Administrative Summary
34-95076 Jun. 9, 2022 Lijuan "Sandra" Hao, CPA
Other Release No.: AAER-4312
See also: Administrative Summary
34-95072 Jun. 8, 2022 Jae Cheol Oh
See also: Administrative Summary
34-95071 Jun. 8, 2022 Steven C. Avis, CPA, and Steven W. Hurd, CPA
Other Release No.: AAER-4311
34-95067 Jun. 8, 2022 Stephen M. Wyss, CPA, Stephen H. Jackson, CPA and Robert G. Hilbert, CPA
Other Release No.: AAER-4310
34-95066 Jun. 8, 2022 CohnReznick LLP
Other Release No.: AAER-4309
IA-6046 Jun. 7, 2022 Trust Advisory Group, Ltd.
See also: Administrative Summary
34-95055 Jun. 7, 2022 Ronald Prague, Esq.
Other Release No.: AAER-4308
34-95054 Jun. 7, 2022 Stephen G. Waldis
Other Release No.: AAER-4307
34-95053 Jun. 7, 2022 John Murdock
Other Release No.: AAER-4306
34-95052 Jun. 7, 2022 Daniel Ives
Other Release No.: AAER-4305
34-95051 Jun. 7, 2022 Marc Bandini
Other Release No.: AAER-4304
34-95050 Jun. 7, 2022 Clayton "Charlie" Thomas
Other Release No.: AAER-4303
34-95049 Jun. 7, 2022 Synchronoss Technologies, Inc.
Other Release No.: AAER-4302
34-95047 Jun. 6, 2022 John Paul Harnish d/b/a KM Advisory Services
Other Release No.: IA-6045
See also: Administrative Summary
34-95046 Jun. 6, 2022 Kathryn Jane Meredith d/b/a KM Advisory Services
Other Release No.: IA-6044
See also: Administrative Summary
34-95045 Jun. 6, 2022 Kahn Brothers Advisors, LLC and Thomas Kahn
Other Release No.: IA-6043
See also: Administrative Summary
IA-6041 Jun. 6, 2022 Adirondack Financial Services Corp.
34-95044 Jun. 6, 2022 Houston American Energy Corp., et al.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-95043 Jun. 6, 2022 Baxter International Inc.
IA-6040 Jun. 3, 2022 Alphacentric Advisors LLC
Other Release No.: IC-34608
See also: Administrative Summary
IA-6039 Jun. 3, 2022 Garrison Point Capital, LLC
Other Release No.: IC-34607
See also: Administrative Summary
34-95030 Jun. 2, 2022 Tenaris S.A.
34-95023 Jun. 2, 2022 Richard G. Duncan
Other Release No.: IA-6038
See also: Exhibit A
33-11069 Jun. 2, 2022 Town of Sterlington, Louisiana
Other Release No.: 34-95024
34-95008 May 31, 2022 Madison Avenue Securities, LLC
Other Release No.: IA-6036
See also: Administrative Summary
IA-6035 May 26, 2022 David Henry Hansen
34-94995 May 26, 2022 Securities America Advisors, Inc.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-94979 May 25, 2022 Bankrate, Inc.
34-94978 May 25, 2022 RiverSource Distributors, Inc.
Other Release No.: IC-34592
34-94976 May 24, 2022 Christopher Bauer, CPA
Other Release No.: AAER-4301
34-94967 May 23, 2022 Virtua Capital Management, LLC, et al.
Other Release No.: IA-6033
See also: Administrative Summary
33-11066 May 24, 2022 TradeZero America, Inc. and Daniel Pipitone (Corrected)
34-94962 May 23, 2022 Jillian Sidoti, Esq.
IA-6032 May 23, 2022 BNY Mellon Investment Adviser, Inc.
Other Release No.: IC-34591
33-11064 May 20, 2022 Daniel C. Masters
Other Release No.: 34-94956
34-94955 May 20, 2022 Wells Fargo Clearing Services, LLC.
Other Release No.: IA-6031
34-94948 May 19, 2022 FCA US LLC and Fiat Chrysler Automobiles N.V.
See also: Proposed Distribution Plan
IA-6030 May 19, 2022 First Republic Investment Management, Inc.
See also: Administrative Summary
34-94944 May 19, 2022 Thomas F. Plaut
34-94943 May 19, 2022 Michael Staisil
33-11063 May 19, 2022 Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC
Other Release Nos.: 34-94945, IA-6029, IC-34589
34-94937 May 18, 2022 Anthony Salandra
33-11062 May 18, 2022 Digi Outdoor Media, Inc.
34-94931 May 17, 2022 Alan H. New
34-94930 May 17, 2022 David N. Knuth
34-94927 May 17, 2022 Allianz Global Investors U.S. LLC
Other Release No.: IA-6027
34-94926 May 17, 2022 Stephen G. Bond-Nelson
Other Release No.: IA-6026
34-94925 May 17, 2022 Trevor L. Taylor
Other Release No.: IA-6025
34-94906 May 13, 2022 Douglas A. Richardson, CPA
Other Release No.: AAER-4300
34-94905 May 12, 2022 S&P Dow Jones Indices LLC
See also: Distribution Plan
34-94904 May 12, 2022 Peter J. Baker
IA-6020 May 11, 2022 Steven F. Muntin
34-94886 May 10, 2022 Robert Charles High, II
Other Release No.: IA-6019
34-94885 May 10, 2022 Lev Parnas
34-94877 May 9, 2022 Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-94861 May 6, 2022 Advanzeon Solutions, Inc.
IA-6017 May 6, 2022 George Kenneth Witherspoon, Jr.
IA-6016 May 6, 2022 Boveda Asset Management, Inc.
IA-6015 May 6, 2022 Perini Capital, LLC and Michael D. Perini
See also: Administrative Summary
33-11060 May 6, 2022 NVIDIA Corporation
Other Release No.: 34-94859
34-94858 May 5, 2022 Eric A. Alexander, CPA
Other Release No.: AAER-4299
34-94857 May 5, 2022 Laurence I. Balter d/b/a Oracle Investment Research
See also: Distribution Plan
34-94856 May 5, 2022 General Electric Company
See also: Distribution Plan
34-94852 May 5, 2022 Bobby Eugene Guess
34-94845 May 4, 2022 Omnibus Order Directing the Engagement of Two Tax Administrators for Appointment on a Case-By-Case Basis in Administrative Proceedings that Establish Distribution Funds
34-94834 May 2, 2022 Balasubrahmanya Kuchibhotla
See also: Administrative Summary
34-94833 May 2, 2022 Justin Wallace Herman
33-11059 May 2, 2022 True Link Financial Advisors, LLC and Kai H. Stinchcombe
Other Release No.: IA-6012
34-94830 May 2, 2022 Maplelane Capital LLC
Other Release No.: IA-6011
33-11057 Apr. 28, 2022 Medley Management Inc., Brook B. Taube and Seth B. Taube
Other Release Nos.: 34-94819, IA-6008
33-11056 Apr. 27, 2022 Wealth Plus, Inc.
Other Release Nos.: 34-94807, IA-6005
See also: Administrative Summary
33-11055 Apr. 27, 2022 Alexandra H. Cock
Other Release Nos.: 34-94806, IA-6004, IC-34573
See also: Administrative Summary
IA-6003 Apr. 27, 2022 Highpoint Advisor Group, LLC
See also: Administrative Summary
34-94790 Apr. 25, 2022 Scott A. Merkelson
IA-6001 Apr. 22, 2022 ARS Capital Advisors, Inc.
34-94786 Apr. 22, 2022 Carl Iberger
Other Release No.: AAER-4297
34-94785 Apr. 22, 2022 IOTA Communications, Inc. (f/k/a Arkados Group, Inc.)
34-94779 Apr. 22, 2022 Resolute Capital Partners Ltd, LLC, et al.
34-94769 Apr. 21, 2022 Bernard L. Compton
34-94768 Apr. 21, 2022 Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick Mcmurtry
IA-6000 Apr. 20, 2022 Gregory Lemelson
IA-5999 Apr. 20, 2022 John D. Ellis, Jr.
34-94760 Apr. 20, 2022 Stericycle, Inc.
34-94759 Apr. 19, 2022 Sica Wealth Management, LLC and Jeffrey C. Sica
See also: Proposed Distribution Plan
34-94758 Apr. 19, 2022 William D. King, CPA
See also: Proposed Distribution Plan
Comments received are available for this proposed plan.
34-94757 Apr. 19, 2022 Brian Dee Matlock, CPA
Other Release No.: AAER-4295
34-94756 Apr. 19, 2022 CareClix Holdings, Inc. (f/k/a Solei Systems, Inc.)
34-94755 Apr. 19, 2022 Jeffrey Schaible
34-94754 Apr. 19, 2022 Scott Bohaboy
34-94753 Apr. 19, 2022 Baxter International Inc.
34-94752 Apr. 19, 2022 Poloniex, LLC
33-11053 Apr. 19, 2022 The Legal Funding Group of Georgia, LLC and Benjamin S. Eichholz
See also: Administrative Summary
33-11052 Apr. 18, 2022 Rollins, Inc. and Paul Edward Northen
Other Release Nos.: 34-94742, AAER-4294
34-94727 Apr. 18, 2022 Liberated Syndication Inc.
IA-5997 Apr. 15, 2022 Elliot Smerling
34-94734 Apr. 15, 2022 Lynn D. Cawthorne
Other Release No.: IA-5998
34-94714 Apr. 13, 2022 Mark Loman, CPA
Other Release No.: AAER-4292
See also: Litigation Release
34-94703 Apr. 12, 2022 David Hansen
See also: Administrative Summary
34-94685 Apr. 12, 2022 Brian Buckley
34-94661 Apr. 8, 2022 Charles K. Topping
34-94660 Apr. 8, 2022 Anita Sgarro
34-94659 Apr. 8, 2022 Charles Smigrod
34-94658 Apr. 8, 2022 John William Gunn
34-94656 Apr. 8, 2022 Global Investment Strategy UK Ltd.
34-94628 Apr. 7, 2022 GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc.
See also: Distribution Plan
34-94627 Apr. 7, 2022 Bethany Liou and Golden California Regional Center, LLC
34-94623 Apr. 7, 2022 Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC
34-94591 Apr. 4, 2022 Lloyd D. Reed
See also: Administrative Summary
33-11050 Apr. 4, 2022 Hanze Asia Growth A
See also: Administrative Summary
34-94576 Apr. 1, 2022 Ronnie Lee Moss, Jr.
First Quarter
34-94570 Mar. 31, 2022 Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA
Other Release Nos.: IA-5989, AAER-4291
See also: Administrative Summary
IA-5987 Mar. 30, 2022 Spruce Investment Advisors, LLC
See also: Administrative Summary
34-94553 Mar. 30, 2022 Stephen Kenneth Grossman
33-11045 Mar. 28, 2022 Goldstone Financial Group, LLC, Anthony Pellegrino and Michael Pellegrino
Other Release Nos.: 34-94535, IA-5984, IC-34545
34-94525 Mar. 28, 2022 Unikrn, Inc.
34-94510 Mar. 24, 2022 MVP Manager LLC
See also: Distribution Plan
34-94500 Mar. 23, 2022 Global Boatworks Holdings, Inc.
34-94493 Mar. 23, 2022 Carl W. Jasper, CPA
Other Release No.: AAER-4290
34-94488 Mar. 22, 2022 Adrian Ortega
34-94480 Mar. 21, 2022 S&P Dow Jones Indices LLC
See also: Proposed Distribution Plan
34-94477 Mar. 18, 2022 Robert H. Van Zandt
Other Release No.: IA-5979
33-11040 Mar. 16, 2022 DF Growth REIT II, LLC
See also: Administrative Summary
34-94426 Mar. 16, 2022 Shelby L. Lackey, CPA
Other Release No.: AAER-4289
33-11039 Mar. 16, 2022 Crosby Independent School District
Other Release No.: 34-94425
34-94424 Mar. 15, 2022 GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc.
34-94414 Mar. 14, 2022 McArthur Jean
34-94413 Mar. 14, 2022 Janine Acosta
34-94412 Mar. 14, 2022 Scott Allen Fries
Other Release No.: IA-5978
34-94411 Mar. 14, 2022 Laurence G. Allen
Other Release No.: IA-5977
34-94410 Mar. 14, 2022 Halpern & Associates LLC and Barbara Halpern, CPA
Other Release No.: AAER-4288
See also: Administrative Summary
34-94387 Mar. 9, 2022 EnXnet, Inc.
34-94381 Mar. 8, 2022 BitClave PTE Ltd.
34-94380 Mar. 8, 2022 The Kraft Heinz Co. and Eduardo Pelleissone
IA-5976 Mar. 4, 2022 Educators Financial Services, Inc.
IA-5975 Mar. 4, 2022 Alumni Ventures Group, LLC and Michael Collins
IA-5974 Mar. 4, 2022 Stefan Qin
34-94360 Mar. 3, 2022 Securities America Advisors, Inc.
See also: Distribution Plan
34-94352 Mar. 3, 2022 City National Rochdale, LLC
Other Release No.: IA-5973
34-94350 Mar. 2, 2022 Christopher K. Davies, Esq.
33-11037 Mar. 2, 2022 Sivendran Vettivetpillai
Other Release Nos.: IA-5972, IC-34521
See also: Administrative Summary
33-11036 Mar. 2, 2022 Mark Alan Bourgeois
Other Release Nos.: 34-94341, IA-5971, IC-34520
See also: Administrative Summary
34-94326 Feb. 28, 2022 Scott Eugene Bachman
See also: Distribution Plan
34-94323 Feb. 28, 2022 General Electric Company
See also: Proposed Distribution Plan
Comments received are available for this proposed plan.
34-94322 Feb. 28, 2022 Fortem Resources Inc.
34-94320 Feb. 28, 2022 Sica Wealth Management, LLC and Jeffrey C. Sica
33-11035 Feb. 25, 2022 Paul M. Godfrey, Jr.
Other Release No.: 34-94317
34-94318 Feb. 25, 2022 Susan Woo, CPA
Other Release No.: AAER-4287
IA-5970 Feb. 25, 2022 Ameritas Advisory Services, LLC
See also: Administrative Summary
34-94312 Feb. 25, 2022 Laurence I. Balter d/b/a Oracle Investment Research
34-94306 Feb. 24, 2022 XT Energy Group, Inc.
34-94303 Feb. 23, 2022 West Coast Ventures Group Corp.
34-94300 Feb. 23, 2022 KPMG LLP and John Riordan, CPA
34-94299 Feb. 23, 2022 Oranco, Inc.
33-11034 Feb. 22, 2022 Scott Bohaboy (Corrected)
Other Release Nos.: 34-94296, AAER-4285
33-11033 Feb. 22, 2022 Jeffrey Schaible (Corrected)
Other Release Nos.: 34-94295, AAER-4284
33-11032 Feb. 22, 2022 Baxter International Inc.
Other Release Nos.: 34-94294, AAER-4283
34-94285 Feb. 18, 2022 Bluecrest Capital Management, Limited (Corrected)
See also: Distribution Plan
34-94279 Feb. 17, 2022 KT Corporation
34-94276 Feb. 17, 2022 Safety First Healthcare Corp.
34-94275 Feb. 17, 2022 Randolph Capital Group, Inc.
34-94269 Feb. 17, 2022 John Griffin
34-94268 Feb. 16, 2022 Xodtec Group USA, Inc.
34-94267 Feb. 15, 2022 Virolab, Inc.
IA-5967 Feb. 15, 2022 Stone Run Capital, LLC
IA-5966 Feb. 15, 2022 Hinsdale Associates, Inc.
IA-5965 Feb. 15, 2022 Personal Financial Planning, Inc.
IA-5964 Feb. 15, 2022 N.V.N.G. Investments, Inc.
IA-5963 Feb. 15, 2022 Arthur Zaske & Associates, LLC
IA-5962 Feb. 15, 2022 Gutt Financial Management, LLC
34-94250 Feb. 15, 2022 J.K. Financial Services, Inc.
34-94249 Feb. 15, 2022 Church, Gregory and Adams Securities Corporation
34-94248 Feb. 15, 2022 Banyan Securities, LLC
34-94247 Feb. 15, 2022 The Winning Edge Financial Group, Inc.
34-94246 Feb. 15, 2022 Watermark Securities, Inc.
34-94245 Feb. 15, 2022 Wall Street Access
34-94244 Feb. 14, 2022 CurAegis Technologies, Inc.
34-94243 Feb. 14, 2022 CMS Asset Holdings, Inc.
34-94240 Feb. 14, 2022 Symphony Acquisition Corp.
34-94239 Feb. 14, 2022 Sonant Systems, Inc.
33-11029 Feb. 14, 2022 BlockFi Lending LLC
Other Release No.: IC-34503
34-94236 Feb. 11, 2022 Careclix Holdings, Inc. (f/k/a Solei Systems, Inc.)
34-94235 Feb. 11, 2022 Capital Access Point III, Inc.
34-94230 Feb. 11, 2022 Bioscience Neutraceuticals, Inc.
34-94229 Feb. 11, 2022 Artemis Acquisition Corp.
34-94228 Feb. 11, 2022 Validian Corp.
34-94227 Feb. 11, 2022 Talware Networx Inc.
34-94225 Feb. 10, 2022 ZYQC Group Holding Limited
IA-5959 Feb. 10, 2022 Wahed Invest LLC
34-94221 Feb. 10, 2022 BlueCrest Capital Management Limited
34-94220 Feb. 10, 2022 Parallax Health Sciences, Inc.
34-94216 Feb. 10, 2022 ParagonCoin, Limited
34-94215 Feb. 10, 2022 Omphalos, Corp.
34-94214 Feb. 10, 2022 Double Down Holdings, Inc.
34-94213 Feb. 10, 2022 DBUB Group, Inc.
34-94210 Feb. 9, 2022 ZhongTai Biotechnology Pharmaceutical Group Co., Ltd.
34-94209 Feb. 9, 2022 Zenosense, Inc.
34-94200 Feb. 9, 2022 Qwick Media Inc.
34-94199 Feb. 9, 2022 Michael M. Krill, Esq.
34-94198 Feb. 9, 2022 Price Net U.S.A., Inc.
34-94195 Feb. 8, 2022 Kristian Sierp
34-94194 Feb. 8, 2022 Nearctic Nickel Mines, Inc.
34-94193 Feb. 8, 2022 Liberated Syndication Inc.
34-94191 Feb. 8, 2022 Michael Oswald Williams
IA-5954 Feb. 8, 2022 George S. Blankenbaker
34-94183 Feb. 8, 2022 Global Seed Corp.
34-94182 Feb. 8, 2022 EnXnet, Inc.
34-94173 Feb. 7, 2022 Inventergy Global, Inc.
34-94172 Feb. 7, 2022 Seyed Taher Kameli, Esq.
34-94171 Feb. 7, 2022 Gordon Biersch Brewery Restaurant Group, Inc.
34-94170 Feb. 7, 2022 Super Micro Computer, Inc.
See also: Amended Distribution Plan
34-94169 Feb. 7, 2022 Spar Street
34-94146 Feb. 3, 2022 Giggles N' Hugs, Inc.
34-94113 Jan. 31, 2022 BlueNRGY Group Ltd. (Corrected)
34-94112 Jan. 31, 2022 Blue State Corp. (Corrected)
34-94108 Jan. 31, 2022 Nathaniel Brown
Other Release No.: AAER-4280
34-94107 Jan. 31, 2022 GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
Comments received are available for this proposed plan.
34-94106 Jan. 31, 2022 Robinhood Financial, LLC
34-94102 Jan. 31, 2022 Robert H. Van Zandt
Other Release No.: IA-5951
34-94100 Jan. 28, 2022 Sector 5, Inc.
34-94099 Jan. 28, 2022 Jennifer F. Wolf, CPA
Other Release No.: AAER-4279
34-94098 Jan. 28, 2022 Petrolia Energy Corporation
34-94090 Jan. 27, 2022 West Coast Ventures Group Corp.
34-94085 Jan. 27, 2022 Two Rivers Water & Farming Company
34-94084 Jan. 27, 2022 XT Energy Group, Inc.
34-94081 Jan. 27, 2022 Star Buffet Inc.
34-94078 Jan. 27, 2022 Oranco, Inc.
34-94077 Jan. 27, 2022 IOTA Communications, Inc.
34-94063 Jan. 26, 2022 KinerjaPay Corp.
34-94060 Jan. 25, 2022 Bare Metal Standard, Inc. (a/k/a AS Capital, Inc.)
34-94058 Jan. 25, 2022 Apawthecary Pets USA
34-94057 Jan. 25, 2022 Heidi Mao
34-94056 Jan. 25, 2022 Celexus, Inc. (f/k/a Telupay International, Inc.)
34-94051 Jan. 25, 2022 Avteam, Inc.
34-94049 Jan. 25, 2022 Emmanuel Kouyoumdjian, (a/k/a Manny K)
34-94045 Jan. 24, 2022 Anthony M. Cottone
Other Release No.: IA-5949
34-94035 Jan. 24, 2022 MVP Manager LLC
See also: Proposed Distribution Plan
34-94033 Jan. 24, 2022 Fortem Resources Inc.
33-11025 Jan. 21, 2022 Cody C. Biggs
Other Release Nos.: 34-94028, IC-34479
See also: Administrative Summary
33-11024 Jan. 21, 2022 Benjamin D. Williams
Other Release Nos.: 34-94027, IA-5948, IC-34478
See also: Administrative Summary
34-94002 Jan. 19, 2022 Ivan Acevedo
33-11023 Jan. 18, 2022 Daniel J. Swinyar
Other Release Nos.: 34-93993, IA-5947, IC-34471
34-93981 Jan. 13, 2022 Covia Holdings Corp. Fairmount Santrol Holdings Inc.
See also: Distribution Plan
34-93980 Jan. 13, 2022 Howard Richards
See also: Distribution Plan
IA-5945 Jan. 13, 2022 CMG Capital Management Group, Inc.
See also: Administrative Summary
IA-5944 Jan. 11, 2022 O.N. Investment Management Company
See also: Administrative Summary
IA-5943 Jan. 11, 2022 Comprehensive Capital Management, Inc.
See also: Administrative Summary
34-93938 Jan. 10, 2022 tZERO ATS, LLC
See also: Administrative Summary
34-93932 Jan. 7, 2022 Yaniv Avnon, Ran Armon and G Six Trading Y.R Ltd.
34-93931 Jan. 7, 2022 Future Money Ltd.
34-93930 Jan. 7, 2022 Glenn Arcaro
34-93929 Jan. 7, 2022 Leaf Group Ltd.
See also: Administrative Summary
34-93926 Jan. 7, 2022 Michael F. Shillin
Other Release No.: IA-5939
34-93923 Jan. 7, 2022 Stephen Scott Moleski
Other Release No.: IA-5940
34-93892 Jan. 3, 2022 Securities America Advisors, Inc.
See also: Proposed Distribution Plan
Comments due: 30 days from date of this Notice
34-93890 Jan. 3, 2022 W O Group, Inc.