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 Aéreas 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. |