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)