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

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No. Date Respondents

Fourth Quarter

34-90199 Oct. 15, 2020 Consorteum Holdings, Inc. and Coates International Ltd.
34-90208 Oct. 15, 2020 Andeavor LLC
Other Release No.: AAER-4190
34-90188 Oct. 15, 2020 Bankrate, Inc. and Hyunjin Lerner, CPA
See also: Distribution Plan
34-90187 Oct. 15, 2020 MVP Manager LLC
34-90175 Oct. 14, 2020 Token Communities Ltd.
34-90170 Oct. 14, 2020 J&F Investimentos, S.A., JBS, S.A., Joesley Batista, Wesley Batista
Other Release No.: AAER-4189
34-90168 Oct. 14, 2020 Allen Garner
Other Release No.: AAER-4188
34-90167 Oct. 14, 2020 Daniel O'Neal
Other Release No.: AAER-4187
34-90166 Oct. 14, 2020 James DePalma, CPA
Other Release No.: AAER-4186
34-90149 Oct. 9, 2020 Vitro Diagnostics, Inc.
33-10872 Oct. 8, 2020 Francis V. Lorenzo
Other Release No.: 34-90110
34-90097 Oct. 6, 2020 Anthony Goldstein
34-90095 Oct. 6, 2020 Wells Fargo & Company
34-90090 Oct. 5, 2020 Gary S. Wykle a/k/a Gary S. Wyckel
34-90089 Oct. 5, 2020 Nicholas Tornello, CPA
Other Release No.: AAER-4184
IA-5605 Oct. 5, 2020 Phillip Timothy Howard, Esq.
34-90069 Oct. 1, 2020 Alejandro Cortes

Third Quarter

34-90061 Sep. 30, 2020 Meredith A. Simmons, Esq.
Other Release Nos.: IA-5603, IC-34038
See also: Administrative Summary
33-10869 Sep. 30, 2020 Great Plains Trust Company, Inc.
Other Release No.: IC-34037
See also: Administrative Summary
33-10868 Sep. 30, 2020 HP Inc.
Other Release Nos.: 34-90060, AAER-4183
34-90052 Sep. 30, 2020 Hilton Worldwide Holdings Inc.
Other Release No.: AAER-4182
34-90053 Sep. 30, 2020 Gerald Allan Eaton
Other Release No.: IA-5600
34-90056 Sep. 30, 2020 Benjamin Durant, III
Other Release No.: IA-5601
IA-5599 Sep. 30, 2020 Transamerica Asset Management, Inc.
Other Release No.: IC-34035
See also: Administrative Summary
34-90051 Sep. 30, 2020 Milton J. Dosal, Jr.
33-10867 Sep. 30, 2020 BGC Partners, Inc.
Other Release Nos.: 34-90050, AAER-4181
See also: Administrative Summary
33-10865 Sep. 30, 2020 Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc.
See also: Administrative Summary
34-90047 Sep. 29, 2020 Vitro Diagnostics, Inc.
34-90046 Sep. 30, 2020 Morgan Stanley & Co. LLC
34-90041 Sep. 29, 2020 Players Network, Inc.
33-10863 Sep. 29, 2020 Michael Schneider, CPA
Other Release Nos.: 34-90045, AAER-4180
33-10862 Sep. 29, 2020 Stephen Harrison
Other Release Nos.: 34-90044, AAER-4179
33-10861 Sep. 29, 2020 Andrew Rooke
Other Release Nos.: 34-90043, AAER-4178
33-10860 Sep. 29, 2020 Manitex International, Inc.
Other Release Nos.: 34-90042, AAER-4177
34-90040 Sep. 29, 2020 Jeffrey Stebbins
34-90038 Sep. 29, 2020 Kroll Bond Rating Agency, LLC
34-90037 Sep. 29, 2020 Kroll Bond Rating Agency, LLC
34-90036 Sep. 29, 2020 Kroll Bond Rating Agency, LLC
IA-5598 Sep. 29, 2020 David C. Coggins
33-10858 Sep. 29, 2020 J.P. Morgan Securities LLC
Other Release No.: 34-90035
34-90032 Sep. 28, 2020 Benjamin Mekawy
34-90031 Sep. 28, 2020 Fiat Chrysler Automobiles N.V.
34-90030 Sep. 28, 2020 Casimer Anthony Polanchek
34-90029 Sep. 28, 2020 Brian Buckley
34-90025 Sep. 28, 2020 Kanako Matsumoto, CPA
Other Release No.: AAER-4176
33-10857 Sep. 28, 2020 Scott Eugene Bachman
Other Release No.: 34-90028
See also: Administrative Summary
33-10856 Sep. 28, 2020 David Taylor
Other Release No.: 34-90027
See also: Administrative Summary
33-10855 Sep. 28, 2020 Raymond Allan Fine
Other Release No.: 34-90026
See also: Administrative Summary
IA-5597 Sep. 28, 2020 Gary Edward Haynes
33-10854 Sep. 28, 2020 Interface, Inc., et al.
Other Release Nos.: 34-90018, AAER-4175
34-90017 Sep. 28, 2020 Fulton Financial Corporation
Other Release No.: AAER-4174
34-90016 Sep. 25, 2020 Rachelle A. Thatcher
34-90015 Sep. 25, 2020 Christopher D. Bachinski
34-90014 Sep. 25, 2020 Creative Financial Designs, Inc.
Other Release No.: IA-5596
See also: Administrative Summary
34-90013 Sep. 25, 2020 Dana J. Bradley
34-90012 Sep. 25, 2020 Big Time Holdings, Inc.
34-90011 Sep. 25, 2020 HK Apollo Motors Corporation
34-90010 Sep. 25, 2020 Lam D. Ha, CPA
Other Release No.: AAER-4173
See also: Administrative Summary
34-90008 Sep. 25, 2020 James L. Thompson, CPA
Other Release No.: AAER-4172
See also: Administrative Summary
34-90009 Sep. 25, 2020 Marlin S. Hershey
34-90006 Sep. 25, 2020 Leonardo Cornide and Jorge Falcon
34-90004 Sep. 25, 2020 Hancock Whitney Investment Services, Inc.
Other Release No.: IA-5595
See also: Administrative Summary
34-90003 Sep. 25, 2020 Aeon Global Health Corp.
Other Release No.: AAER-4171
See also: Administrative Summary
IA-5594 Sep. 25, 2020 Sabra Capital Partners, LLC and Zvi Rhine
Other Release No.: IC-34028
See also: Administrative Summary
34-90002 Sep. 25, 2020 Funding the Gap, LLC and Irene P. Carroll
See also: Administrative Summary
33-10853 Sep. 25, 2020 SoluTech, Inc. and Nathan Pitruzzello
Other Release No.: 34-89999
See also: Administrative Summary
34-89997 Sep. 25, 2020 Precigen, Inc. (f/k/a Intrexon Corporation)
34-89992 Sep. 24, 2020 I-Wellness Marketing Group Inc.
34-89990 Sep. 24, 2020 Spring Pharmaceutical Group, Inc.
34-89988 Sep. 24, 2020 ID Perfumes, Inc.
34-89986 Sep. 24, 2020 DLD Group, Inc.
34-89985 Sep. 24, 2020 Custom Protection Services, Inc. (f/k/a PowerChannel, Inc.)
34-89981 Sep. 24, 2020 LegacyXChange, Inc.
IA-5593 Sep. 24, 2020 Finser International Corporation and Andrew H. Jacobus
33-10852 Sep. 24, 2020 Platinum Wealth Partners, Inc. and David L. Potter
Other Release Nos.: IC-34027, IA-5592
34-89984 Sep. 24, 2020 Power Solutions International, Inc.
Other Release No.: AAER-4169
34-89983 Sep. 24, 2020 James Vincent Marino
Other Release No.: IA-5591
34-89980 Sep. 24, 2020 Emmanuel Kouyoumdjian a/k/a "Manny K"
34-89979 Sep. 24, 2020 Morgan Wilshire Securities, Inc.
See also: Administrative Summary
33-10851 Sep. 24, 2020 Steven Rosen
Other Release No.: IA-5590
See also: Administrative Summary
33-10850 Sep. 24, 2020 Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC
33-10849 Sep. 24, 2020 Michael Vernon
Other Release No.: IA-5589
See also: Administrative Summary
34-89978 Sep. 24, 2020 HS3 Technologies, Inc.
33-10848 Sep. 23, 2020 Alan J. Kau
Other Release No.: 34-89977
See also: Administrative Summary
33-10847 Sep. 23, 2020 Daniel C. Masters
Other Release No.: 34-89976
See also: Administrative Summary
34-89975 Sep. 23, 2020 Jonestrading Institutional Services LLC
See also: Administrative Summary
34-89966 Sep. 23, 2020 LHI Acquisition Corporation
34-89965 Sep. 23, 2020 TSLC I, Inc.
34-89959 Sep. 22, 2020 Vortex Blockchain Technologies Inc.
34-89957 Sep. 22, 2020 Core Lithium Corp.
34-89955 Sep. 22, 2020 International Leaders Capital Corporation
34-89953 Sep. 22, 2020 Genesis Financial, Inc.
34-89947 Sep. 22, 2020 Credit Suisse Securities (USA) LLC
Other Release No.: IA-5587
See also: Administrative Summary
34-89961 Sep. 22, 2020 Eliseo Sampayo
Other Release No.: IA-5588
See also: Administrative Summary
34-89951 Sep. 22, 2020 Stratabase
34-89950 Sep. 22, 2020 Travco, Inc.
34-89945 Sep. 21, 2020 Progreen US, Inc.
34-89943 Sep. 21, 2020 Integral Technologies, Inc.
34-89940 Sep. 21, 2020 Zenergy Brands, Inc.
34-89938 Sep. 21, 2020 HK eBus Corporation
34-89934 Sep. 21, 2020 A La Carte Charts Corp., Iron Sands Corp. and TOPAW, Inc.
34-89933 Sep. 21, 2020 Agora Holdings, Inc.
IA-5586 Sep. 21, 2020 Palmer Square Capital Management LLC
Other Release No.: IC-34017
See also: Administrative Summary
34-89936 Sep. 21, 2020 Steven L. Jenkins, CPA
Other Release No.: AAER-4168
See also: Administrative Summary
34-89935 Sep. 21, 2020 RCI Hospitality Holdings, Inc., Eric S. Langan and Phillip K. Marshall, CPA
See also: Administrative Summary
IA-5585 Sep. 18, 2020 Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited
See also: Administrative Summary
IA-5584 Sep. 18, 2020 Keyport Venture Advisors LLC, et al.
See also: Administrative Summary
33-10844 Sep. 18, 2020 Loyal Source Market Services, et al.
33-10843 Sep. 18, 2020 Crest Radius, et al.
34-89922 Sep. 18, 2020 Tri Clean Enterprises Inc.
34-89921 Sep. 18, 2020 Ihealthcare, Inc.
34-89919 Sep. 18, 2020 The Miix Group, Incorporated
34-89918 Sep. 18, 2020 Perkins Oil & Gas, Inc.
34-89917 Sep. 18, 2020 Energy Conversion Services, Inc.
34-89916 Sep. 18, 2020 V3 Semiconductor, Inc.
34-89910 Sep. 17, 2020 The General Chemical Group Inc.
34-89908 Sep. 17, 2020 Players Network, Inc.
34-89906 Sep. 17, 2020 Ezy Cloud Holding, Inc.
34-89904 Sep. 17, 2020 Epoxy, Inc.
34-89914 Sep. 17, 2020 WCAS Management Corporation
See also: Administrative Summary
IA-5583 Sep. 17, 2020 Steven Fitzgerald Brown
IA-5582 Sep. 17, 2020 Gilder Gagnon Howe & Co. LLC and Bonnie M. Haupt
Other Release No.: IC-34014
34-89903 Sep. 17, 2020 Navian Capital Securities LLC and Robert P. Jenkins
See also: Administrative Summary
34-89900 Sep. 17, 2020 Coordinated Capital Securities, Inc.
Other Release No.: IA-5581
See also: Administrative Summary
34-89894 Sep. 16, 2020 ExeLED Holdings Inc.
34-89892 Sep. 16, 2020 Vape Holdings, Inc.
34-89887 Sep. 16, 2020 Smartag International, Inc.
34-89896 Sep. 16, 2020 David F. Bandimere
34-89890 Sep. 16, 2020 Source Media Inc.
34-89889 Sep. 16, 2020 Worldtek Corp. (f/k/a Lundell Technologies, Inc.)
34-89885 Sep. 16, 2020 Kenneth A. Stromsland
34-89882 Sep. 15, 2020 Steri-Oss, Inc.
34-89881 Sep. 15, 2020 Samdrew VII, Inc.
34-89873 Sep. 15, 2020 Alan Fraade
34-89872 Sep. 15, 2020 Frederick Mintz
33-10841 Sep. 15, 2020 Unikrn, Inc.
34-89861 Sep. 14, 2020 Henry Seth Brock, CPA
Other Release No.: AAER-4167
IA-5580 Sep. 14, 2020 John Geraci
34-89853 Sep. 14, 2020 Quest Entertainment Corp.
34-89852 Sep. 14, 2020 Peaksoft Multinet Corp.
34-89851 Sep. 14, 2020 Life Critical Care Corporation
33-10839 Sep. 14, 2020 William W. Welsh
Other Release Nos.: 34-89856, IC-34009
See also: Administrative Summary
33-10838 Sep. 14, 2020 Thomas Vigorito
Other Release Nos.: 34-89855, IC-34008
See also: Administrative Summary
33-10837 Sep. 14, 2020 Roosevelt & Cross, Inc.
Other Release No.: 34-89854
See also: Administrative Summary
34-89857 Sep. 14, 2020 Emin Cohen
34-89848 Sep. 11, 2020 William D. King, CPA
Other Release Nos.: IA-5579, IC-34007
See also: Administrative Summary
33-10836 Sep. 11, 2020 Clifford Harris, Jr.
34-89843 Sep. 11, 2020 Steven D. Rodemer
Other Release No.: IA-5577
34-89842 Sep. 11, 2020 Samdrew IX, Inc.
34-89841 Sep. 11, 2020 Royale Globe Holding Inc.
34-89840 Sep. 11, 2020 Reach Genetics, Inc.
34-89839 Sep. 11, 2020 Franklin Hill Acquisition Corporation
34-89838 Sep. 11, 2020 Escondido Innovations, Inc.
34-89837 Sep. 11, 2020 Clontech Laboratories, Inc. n/k/a Takara Bio USA, Inc.
34-89829 Sep. 11, 2020 Dominic Tropiano
34-89827 Sep. 10, 2020 American Blockchain Biochar Corporation
34-89821 Sep. 10, 2020 IHO-Agro International, Inc. n/k/a Grandwon Corp.
34-89816 Sep. 10, 2020 Craig P. Moyes
See also: Administrative Summary
34-89815 Sep. 10, 2020 American Gene Engineer Corp.
34-89814 Sep. 10, 2020 Armada Enterprises, LP n/k/a BIM Homes, Inc.
34-89813 Sep. 10, 2020 Steven M Sexton
34-89812 Sep. 10, 2020 Gulf Biomedical Corporation n/k/a Southern Star Energy Corporation
34-89811 Sep. 10, 2020 GRG, Inc. n/k/a EFT Holdings, Inc.
34-89810 Sep. 10, 2020 G.I. Joe's, Inc.
34-89808 Sep. 10, 2020 Benaiah Holdings Group, Inc.
34-89807 Sep. 10, 2020 Awareness for Teens, Inc.
34-89806 Sep. 10, 2020 Atlas Resources Series 33-2013 L.P.
34-89805 Sep. 10, 2020 Krystal Industries, Inc.
34-89804 Sep. 10, 2020 Hollywood Entertainment Edu Holdings, Inc.
34-89803 Sep. 10, 2020 HD View 360, Inc.
IA-5576 Sep. 10, 2020 Graham, Bordelon and Golson & Gilbert, Inc.
IA-5575 Sep. 10, 2020 Dionne Van Zyl
34-89791 Sep. 9, 2020 AFH Acquisition IX, Inc.
34-89785 Sep. 8, 2020 Alexander S. Gould
IA-5574 Sep. 8, 2020 Alexander S. Gould
Other Release No.: IC-34004
See also: Administrative Summary
IA-5573 Sep. 4, 2020 SQN Capital Management, LLC
Other Release No.: AAER-4166
See also: Administrative Summary
34-89770 Sep. 4, 2020 Vereit, Inc.
34-89762 Sep. 3, 2020 Token Communities Ltd.
34-89761 Sep. 3, 2020 Cür Media, Inc., Crednology Holding Corporation (n/k/a Corptech Holding, Inc.)
IA-5571 Sep. 3, 2020 Signature Financial Services, Ltd.
See also: Administrative Summary
33-10833 Sep. 3, 2020 Covalent Collective, Inc.
See also: Administrative Summary
33-10832 Sep. 3, 2020 National Financial Services LLC
Other Release Nos.: 34-89756, IA-5569
See also: Administrative Summary
33-10831 Sep. 3, 2020 FuelCell Energy, Inc.
See also: Administrative Summary
IA-5570 Sep. 3, 2020 Vladislav Khalupsky
34-89758 Sep. 3, 2020 Wilmington Trust Corporation
See also: Final Distribution Plan and Exhibits
34-89757 Sep. 3, 2020 Yue Li
See also: Administrative Summary
34-89744 Sep. 2, 2020 Rorine International Holding Corporation
34-89742 Sep. 2, 2020 Unifunds Limited
34-89738 Sep. 2, 2020 Anton Senderov and Lior Barbazara
34-89755 Sep. 2, 2020 Bethany Liou and Golden California Regional Center, LLC
See also: Proposed Distribution Plan
Comments received are available for this plan.
34-89728 Sep. 1, 2020 Green Technology Solutions, Inc.
34-89726 Sep. 1, 2020 US VR Global.Com Inc.
34-89720 Sep. 1, 2020 Sean R. Stewart
Other Release No.: IA-5567
34-89716 Aug. 31, 2020 Oncolix, Inc.
34-89714 Aug. 31, 2020 Northsight Capital Inc.
34-89711 Aug. 28, 2020 Bankrate, Inc.
See also: Proposed Plan of Distribution
Comments due:  30 days from date of this Notice
34-89708 Aug. 28, 2020 VEREIT, Inc.
34-89704 Aug. 28, 2020 Herbalife Nutrition Ltd.
Other Release No.: AAER-4165
34-89702 Aug. 27, 2020 Grandbanc, Inc.
34-89701 Aug. 27, 2020 Affiliated Food Stores, Inc.
34-89698 Aug. 27, 2020 Terra Telecommunications Corp.
34-89697 Aug. 27, 2020 American Blockchain Biochar Corporation
34-89696 Aug. 27, 2020 Weedclub, Inc.
34-89695 Aug. 27, 2020 ERBA Diagnostics, Inc. and Eternity Healthcare, Inc.
34-89690 Aug. 27, 2020 Inventabiotech Inc.
34-89688 Aug. 27, 2020 ICTV Brands Inc.
34-89699 Aug. 27, 2020 Richard Barone
33-10828 Aug. 27, 2020 Christopher Barone
Other Release Nos.: 34-89700, IC-33997
IA-5566 Aug. 27, 2020 Aldo Marchena
34-89687 Aug. 27, 2020 Vstock Transfer LLC
See also: Administrative Summary
34-89681 Aug. 26, 2020 Forevergreen Worldwide Corporation
34-89680 Aug. 26, 2020 Spindle, Inc.
34-89677 Aug. 26, 2020 BorgWarner Inc.
Other Release No.: AAER-4164
34-89665 Aug. 25, 2020 All Marketing Solutions, Inc.
34-89660 Aug. 25, 2020 Agora Holdings, Inc.
34-89658 Aug. 25, 2020 Charles Liang
Other Release No.: AAER-4163
34-89657 Aug. 25, 2020 Howard Hideshima
Other Release No.: AAER-4162
33-10822 Aug. 25, 2020 Super Micro Computer, Inc.
Other Release Nos.: 34-89656, AAER-4161
34-89650 Aug. 25, 2020 Billion Holding Inc.
34-89649 Aug. 25, 2020 Celebiddy, Inc.
34-89648 Aug. 25, 2020 MC Informatics
34-89647 Aug. 24, 2020 Dale Tenhulzen
34-89644 Aug. 24, 2020 Digiliti Money Group, Inc.
34-89642 Aug. 24, 2020 THT Heat Transfer Technology, Inc.
IA-5564 Aug. 24, 2020 Patrick Morgan Schiro
34-89641 Aug. 21, 2020 Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
34-89637 Aug. 21, 2020 Consorteum Holdings, Inc. and Coates International Ltd.
34-89629 Aug. 21, 2020 Steven Pagartanis
34-89625 Aug. 20, 2020 Stephen Douglas Pizzuti
Other Release No.: IA-5563
34-89624 Aug. 20, 2020 NPB Financial Group, LLC
Other Release No.: IA-5562
See also: Administrative Summary
34-89588 Aug. 17, 2020 Devere USA, Inc.
See also: Modified Plan of Distribution
34-89568 Aug. 14, 2020 Milan K. Patel, Esq.
34-89552 Aug. 13, 2020 Brian Dee Matlock, CPA
Other Release No.: AAER-4159
See also: Administrative Summary
33-10818 Aug. 13, 2020 Garrett Gaylor
Other Release No.: 34-89553
See also: Administrative Summary
IA-5560 Aug. 13, 2020 SCF Investment Advisors, Inc.
33-10817 Aug. 13, 2020 Kelvin Boon, LLC and Rajesh Pavithran
Other Release No.: 34-89548
34-89529 Aug. 12, 2020 HypGen, Inc. and Lifestyle Medical Network, Inc.
34-89521 Aug. 11, 2020 Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel
34-89524 Aug. 11, 2020 Joshua Turney
34-89523 Aug. 11, 2020 Hector Perez
34-89522 Aug. 11, 2020 Barbara Desiderio
34-89517 Aug. 10, 2020 Nicholas Mejia Scrivener
See also: Administrative Summary
34-89510 Aug. 10, 2020 Interactive Brokers LLC
See also: Administrative Summary
IA-5558 Aug. 7, 2020 Rialto Capital Management, LLC
34-89501 Aug. 6, 2020 Wells Fargo & Company
See also: Proposed Distribution Plan
Comments received are available for this plan.
34-89489 Aug. 6, 2020 World Acceptance Corporation
Other Release No.: AAER-4158
33-10816 Aug. 5, 2020 Scott M. Dittman, CPA
Other Release No.: AAER-4157
34-89481 Aug. 5, 2020 WBI Investments, Inc. and Millington Securities, Inc.
Other Release No.: IA-5557
34-89477 Aug. 5, 2020 Randolph Acquisitions, Inc.
34-89475 Aug. 4, 2020 Tommy Shek, CPA
Other Release No.: AAER-4156
33-10812 Jul. 31, 2020 Tanya R. Carro, CPA
Other Release Nos.: 34-89445, AAER-4155
33-10811 Jul. 31, 2020 Howard B. Schiller
Other Release No.: 34-89444
33-10810 Jul. 31, 2020 J. Michael Pearson
Other Release Nos.: 34-89443, AAER-4154
33-10809 Jul. 31, 2020 Valeant Pharmaceuticals International, Inc. and n/k/a Bausch Health Companies Inc.
Other Release Nos.: 34-89442, AAER-4153
IA-5555 Jul. 31, 2020 Birinyi Associates, Inc.
See also: Administrative Summary
34-89429 Jul. 30, 2020 Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc.
34-89407 Jul. 28, 2020 VALIC Financial Advisors, Inc.
Other Release No.: IA-5551
34-89405 Jul. 28, 2020 VALIC Financial Advisors, Inc.
Other Release No.: IA-5550
34-89404 Jul. 27, 2020 Celadon Financial Group LLC
See also: Administrative Summary
34-89390 Jul. 23, 2020 Leonardo Cornide and Jorge Falcon
34-89383 Jul. 23, 2020 Morgan Stanley Smith Barney LLC
33-10806 Jul. 22, 2020 Carlos Renato Cano
Other Release Nos.: 34-89380, IA-5548, IC-33944
See also: Administrative Summary
33-10805 Jul. 22, 2020 IRTH Communications, LLC and Andrew Haag
See also: Administrative Summary
34-89352 Jul. 21, 2020 Edmond Leung
See also: Administrative Summary
34-89350 Jul. 21, 2020 Joseph Zhang
See also: Administrative Summary
34-89348 Jul. 20, 2020 UBS Financial Services Inc.
34-89347 Jul. 20, 2020 John J. Marvin
Other Release No.: IA-5546
34-89346 Jul. 20, 2020 William S. Costas
Other Release No.: IA-5545
34-89345 Jul. 20, 2020 Merlyn Curt Geisler
34-89336 Jul. 17, 2020 Jack Alan Abramoff
34-89333 Jul. 16, 2020 Weatherford International PLC, et al.
34-89332 Jul. 16, 2020 Robert Russel Tweed
Other Release No.: IA-5542
IA-5543 Jul. 16, 2020 First Western Capital Management Company
See also: Administrative Summary
IA-5541 Jul. 16, 2020 Dionne Van Zyl
34-89326 Jul. 15, 2020 Paul J. Konigsberg
Other Release No.: AAER-4152
33-10802 Jul. 14, 2020 Abetterfinancialplan.Com, LLC, d/b/a a Better Financial Plan and Dean J. Vagnozzi
Other Release No.: 34-89318
See also: Administrative Summary
IA-5540 Jul. 14, 2020 Temenos Advisory, Inc.
34-89314 Jul. 14, 2020 George L. Taylor
Other Release No.: IA-5539
34-89300 Jul. 13, 2020 World Moto, Inc.
34-89298 Jul. 13, 2020 Wonhe High-Tech International, Inc.
34-89295 Jul. 13, 2020 Ultimate Products Corporation, et al.
34-89294 Jul. 13, 2020 Hidden Forest Acquisition Corp. and Global 2.0 Corporation
33-10801 Jul. 13, 2020 Plutus Financial Inc. d/b/a Abra and Plutus Technologies Philippines Corp.
Other Release No.: 34-89296
34-89287 Jul. 10, 2020 Wilmington Trust Corporation
See also: Distribution Plan
Comments received are available for this proposed plan.
34-89278 Jul. 9, 2020 Sky Resort International Limited and Median Group, Inc. (f/k/a China Media Group Corporation)
34-89276 Jul. 9, 2020 Trans-Pacific Aerospace Company and Inc. and Vertical Computer Systems, Inc.
34-89284 Jul. 9, 2020 EliteSoft Global Inc. and Capital Access Point 1, Inc.
34-89283 Jul. 9, 2020 Aspen Marine Group Inc. and Biocircuits Corporation
34-89280 Jul. 9, 2020 Synthonics Technologies, Inc.
IA-5536 Jul. 9, 2020 Benjamin Alderson
IA-5535 Jul. 9, 2020 BNB Wealth Management, LLC
34-89253 Jul. 8, 2020 Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc.
34-89251 Jul. 8, 2020 Sirrus Corp. and Sinorama Corporation
34-89249 Jul. 8, 2020 Yong (Michael) Chen
34-89245 Jul. 7, 2020 Protalex, Inc. and Provision Holding, Inc.
34-89243 Jul. 7, 2020 Cür Media, Inc. and Crednology Holding Corporation (n/k/a Corptech Holding, Inc.)
34-89231 Jul. 6, 2020 Notis Global, Inc. and Nexus Biopharma, Inc.
34-89229 Jul. 6, 2020 Hypgen, Inc. and Lifestyle Medical Network, Inc.
34-89223 Jul. 6, 2020 Orthofix International N.V.
34-89221 Jul. 6, 2020 Ralph C. Greaves, Esq.
IA-5531 Jul. 2, 2020 Franklin Advisers and Inc. and Franklin Templeton Investments Corp.
Other Release No.: IC-33919
See also: Administrative Summary
33-10797 Jul. 2, 2020 Michael D. Tannen
Other Release Nos.: 34-89215, IC-33918
See also: Administrative Summary
34-89214 Jul. 2, 2020 Alexion Pharmaceuticals, Inc.
Other Release Nos.: AAER-4151
34-89210 Jul. 1, 2020 Gilla, Inc. and Evergreen-Agra Global Investments, Inc.
34-89208 Jul. 1, 2020 ERBA Diagnostics, Inc. and Eternity Healthcare, Inc.
IA-5530 Jul. 1, 2020 Neil Burkholz
33-10796 Jul. 1, 2020 David Rumsey
See also: Administrative Summary

Second Quarter

34-89204 Jun. 30, 2020 Eos Petro, Inc. and eFleets Corporation
34-89201 Jun. 30, 2020 Morgan Stanley, Co. LLC; Morgan Stanley Abs Capital I Inc; and Morgan Stanley Mortgage Capital Holdings LLC
See also: Distribution Plan
34-89200 Jun. 30, 2020 Apex Fund Services (Us), Inc.
34-89198 Jun. 30, 2020 Cyclone Power Technologies, Inc. and Ecolocap Solutions, Inc.
IA-5529 Jun. 30, 2020 Frank Bianco
34-89195 Jun. 30, 2020 UBS Financial Services Inc. of Puerto Rico
33-10795 Jun. 30, 2020 Potamus Trading LLC and Eric J. Pritchett
Other Release Nos.: 34-89190, IC-33915
See also: Administrative Summary
33-10794 Jun. 30, 2020 Michelle Dipp
Other Release Nos.: 34-89187
See also: Administrative Summary
34-89183 Jun. 29, 2020 Consorteum Holdings, Inc. and Coates International Ltd.
34-89181 Jun. 29, 2020 Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
34-89178 Jun. 29, 2020 Dandan Wu
34-89177 Jun. 29, 2020 BNP Paribas Securities Corp.
See also: Administrative Summary
34-89171 Jun. 29, 2020 John Christopher Polit
Other Release No.: IA-5528
IA-5527 Jun. 26, 2020 Gregory Alan Smith
34-89159 Jun. 25, 2020 Dain F. Stokes
Other Release No.: IA-5526
34-89149 Jun. 25, 2020 Novartis AG
Other Release No.: AAER-4150
34-89144 Jun. 24, 2020 Michael Douglas Billings and Mdb Group, LLC
34-89143 Jun. 24, 2020 SG Americas Securities, LLC
34-89139 Jun. 24, 2020 Todd H. Lahr, Esq.
33-10793 Jun. 23, 2020 Vereit, Inc.
Other Release Nos.: 34-89133, AAER-4149
See also: Administrative Summary
34-89135 Jun. 23, 2020 Trinity Capital Corporation
34-89113 Jun. 22, 2020 BKS Advisors LLC
34-89112 Jun. 22, 2020 Visium Asset Management, LP
34-89111 Jun. 22, 2020 Matthew Ledvina, Esq.
34-89096 Jun. 18, 2020 Harbour Investments, Inc.
34-89094 Jun. 18, 2020 Diane J. Harrison, Esq.
IA-5524 Jun. 17, 2020 Sultan S. Issa
34-89078 Jun. 16, 2020 Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
Other Release Nos.: IA-5523, IC-33895
See also: Administrative Summary
IA-5522 Jun. 16, 2020 Richard T. Diver
IA-5520 Jun. 12, 2020 Louis Navellier and Navellier & Associates, Inc.
34-89044 Jun. 11, 2020 ChatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc.
34-89023 Jun. 5, 2020 Jana Faith Kiena, CPA
Other Release No.: AAER-4147
See also: Administrative Summary
IA-5519 Jun. 5, 2020 Douglas Leighton
34-89025 Jun. 5, 2020 Jeremy A. Licht d/b/a JL Capital Management
34-89024 Jun. 5, 2020 Fifth Street Management, LLC
34-89021 Jun. 5, 2020 Tamara Steele
Other Release No.: IA-5516
34-89013 Jun. 4, 2020 Train and Babcock Advisors LLC
34-89009 Jun. 4, 2020 Argo Group International Holdings, Ltd.
Other Release No.: AAER-4146
34-88998 Jun. 3, 2020 Christopher D. Larson (CPA)
Other Release No.: AAER-4145
33-10789 Jun. 2, 2020 William Vescio
Other Release Nos.: 34-88996, IA-5515
See also: Administrative Summary
34-88991 Jun. 2, 2020 Todd A. Esh
Other Release No.: IA-5514
34-88976 Jun. 1, 2020 U.S. Bancorp Investments, Inc.
Other Release No.: IA-5513
IA-5512 May 29, 2020 Oxbow Advisors, LLC
34-88969 May 28, 2020 Morgan Stanley Smith Barney LLC
33-10788 May 28, 2020 BitClave PTE Ltd.
34-88965 May 28, 2020 Gibraltar Global Securities, Inc.
34-88964 May 28, 2020 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
34-88963 May 28, 2020 Focus Media Holding Limited and Jason Jiang
IA-5511 May 27, 2020 Syed Arham Arbab
34-88962 May 27, 2020 Warren A. Davis
34-88951 May 26, 2020 Robert C. Weaver, Jr., Esq.
IA-5510 May 26, 2020 Ares Management LLC
34-88941 May 26, 2020 William Andrew Hightower
Other Release No.: IA-5509
34-88937 May 22, 2020 Robert Gilbert
34-88936 May 22, 2020 Paul Ewer
34-88935 May 22, 2020 American Realty Funds Corporation
IA-5508 May 22, 2020 TSP Capital Management Group, LLC
Other Release No.: AAER-4144
See also: Administrative Summary
34-88931 May 21, 2020 Nicholas Fleming aka "Nick Franklin"
34-88921 May 21, 2020 Wells Fargo & Company
34-88920 May 21, 2020 Visium Asset Management, LP
34-88919 May 21, 2020 Devere USA, Inc.
34-88897 May 18, 2020 John Donovan, CPA
Other Release No.: AAER-4143
34-88896 May 18, 2020 Michael Bellach, CPA
Other Release No.: AAER-4142
34-88895 May 18, 2020 Timothy Daly, CPA
Other Release No.: AAER-4141
34-88880 May 15, 2020 Morningstar Credit Ratings, LLC
34-88865 May 14, 2020 Ronald D. Swanson Aka Ronald D. Swanson-Cerna
34-88862 May 13, 2020 Sergey Pustelnik a/k/a Serge Pustelnik
34-88864 May 13, 2020 1Globe Capital, LLC and Jiaqiang "Chiang" Li
See also: Administrative Summary
IA-5502 May 12, 2020 Travis Laska
IA-5501 May 12, 2020 Stacy L. Beane
IA-5500 May 12, 2020 Justin N. Deckert
34-88860 May 12, 2020 Wallace Byers
34-88856 May 12, 2020 Morgan Stanley Smith Barney LLC
Other Release No.: IA-5499
34-88855 May 11, 2020 Diane Kaylor
34-88849 May 11, 2020 Equinox Fund Management, LLC
34-88847 May 11, 2020 Mergenet Medical, Inc., et al.
34-88848 May 11, 2020 Lawrence E. Hagedorn
Other Release No.: IA-5498
33-10783 May 6, 2020 Bloomberg Tradebook LLC
Other Release No.: 34-88830
IA-5497 May 5, 2020 Barry R. Bekkedam
34-88808 May 5, 2020 Jeffery A. Curran, CA
Other Release No.: AAER-4138
34-88804 May 4, 2020 Pennant Management, Inc.
34-88797 May 1, 2020 Wendy Lieberman Kirkland, et al.
Other Release Nos.: IA-5494, IC-33860
34-88791 May 1, 2020 Todd H. Takeyasu, CA
Other Release No.: AAER-4134
33-10779 Apr. 30, 2020 American Bondholders Foundation, LLC and Jonna Bianco
33-10778 Apr. 30, 2020 Wei Duan
Other Release No.: 34-88781
See also: Administrative Summary
IA-5491 Apr. 30, 2020 Everest Capital LLC and Marko Dimitrijevic
See also: Administrative Summary
34-88784 Apr. 30, 2020 Jerry E. Orellana
Other Release No.: IA-5492
See also: Administrative Summary
34-88780 Apr. 30, 2020 Portfolio Advisors Alliance, Inc.
IA-5490 Apr. 30, 2020 Monsoon Capital, LLC and Gautam Prakash
Other Release No.: IC-33858
See also: Administrative Summary
34-88779 Apr. 30, 2020 Wilmington Trust Corporation
34-88777 Apr. 30, 2020 Leonardo Cornide and Jorge Falcon
34-88773 Apr. 29, 2020 Lee C. Schlesinger
34-88763 Apr. 28, 2020 William M. Aisenberg, CPA (Corrected)
Other Release No.: AAER-4132
34-88762 Apr. 28, 2020 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
IA-5489 Apr. 28, 2020 Semper Capital Management, L.P.
Other Release No.: IC-33856
See also: Administrative Summary
34-88751 Apr. 27, 2020 Anthony C. Ciccone
34-88747 Apr. 24, 2020 Jeffrey G. Klein
34-88739 Apr. 24, 2020 PLS, CPA, et al. (Corrected)
Other Release No.: AAER-4131
See also: Administrative Summary
33-10777 Apr. 24, 2020 RBC Capital Markets LLC
Other Release Nos.: 34-88745, IA-5487
See also: Administrative Summary
34-88744 Apr. 24, 2020 Biltmore International Corporation
See also: Administrative Summary
34-88733 Apr. 23, 2020 Great Basin Scientific, Inc.
34-88732 Apr. 23, 2020 Stephen Douglas Pizzuti
Other Release No.: IA-5486
34-88731 Apr. 22, 2020 Elliot R. Berman, CPA
Other Release No.: AAER-4130
IA-5485 Apr. 22, 2020 Monomoy Capital Management, L.P.
See also: Administrative Summary
IA-5484 Apr. 22, 2020 N. Scott Gillis, CPA
Other Release No.: AAER-4126
IA-5483 Apr. 22, 2020 Brian A. Oliver
IA-5482 Apr. 22, 2020 Robert J. Jesenik
34-88724 Apr. 22, 2020 Brian M. Storms
Other Release No.: AAER-4129
34-88723 Apr. 22, 2020 Kenneth D. Shifrin, CPA
Other Release No.: AAER-4128
33-10775 Apr. 22, 2020 Brian L. Ferdinand
Other Release Nos.: 34-88720, AAER-4127
34-88695 Apr. 20, 2020 Axiom Corp., et al.
IA-5480 Apr. 17, 2020 Eagle Strategies LLC
IA-5479 Apr. 17, 2020 Merrill Lynch, Pierce and Fenner & Smith, Incorporated
IA-5478 Apr. 17, 2020 Old Ironsides Energy, LLC,
See also: Administrative Summary
IA-5477 Apr. 17, 2020 Cozad Asset Management, Inc.
34-88686 Apr. 17, 2020 Brian Robert Sodi, CPA
Other Release No.: AAER-4125
34-88680 Apr. 17, 2020 James Arthur Young III
Other Release No.: IA-5481
34-88679 Apr. 17, 2020 Eni S.p.A.
Other Release No.: AAER-4124
See also: Administrative Summary
34-88662 Apr. 16, 2020 Boenning & Scattergood, Inc., Craig Burdulis and Brian Gillespie
34-88659 Apr. 16, 2020 Miranda Suen, CPA
Other Release No.: AAER-4123
34-88653 Apr. 15, 2020 Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP
Other Release No.: AAER-4122
34-88652 Apr. 15, 2020 Anthony Vassallo
34-88651 Apr. 15, 2020 Sergio Ramirez
34-88650 Apr. 15, 2020 Ronald Hardy
34-88635 Apr. 14, 2020 Attis Industries, Inc.
34-88597 Apr. 8, 2020 Fortress Investment Management, LLC, and William M. Malloy, III
34-88588 Apr. 8, 2020 Fortress Investment Management, LLC, and William M. Malloy, III
34-88598 Apr. 8, 2020 Sica Wealth Management, LLC and Jeffrey C. Sica
IA-5474 Apr. 7, 2020 Geoffrey J. Thompson
34-88567 Apr. 6, 2020 Cantor Fitzgerald & Co.
34-88544 Apr. 2, 2020 Cybrdi, Inc.
IA-5471 Apr. 1, 2020 Adam Matthew Root

First Quarter

34-88529 Mar. 31, 2020 Donald J. Fowler
34-88510 Mar. 30, 2020 Augustine Capital Management, et al.
34-88506 Mar. 27, 2020 Bryan Cohen
34-88498 Mar. 27, 2020 Benjamin Kirkland
34-88489 Mar. 26, 2020 Endless Charge, Inc.
34-88480 Mar. 26, 2020 PositiveID Corporation
34-88463 Mar. 24, 2020 Anthony B. Brandel and M.Y. Consultants, Inc.
IA-5468 Mar. 24, 2020 Nicholas J. Genovese
34-88454 Mar. 23, 2020 EZTD Inc.
34-88453 Mar. 23, 2020 Wells Fargo & Company
34-88452 Mar. 23, 2020 Devere USA, Inc.
See also: Distribution Plan
Comments received are available for this proposed plan.
34-88442 Mar. 20, 2020 Bethany Liou and Golden California Regional Center, LLC
34-88432 Mar. 20, 2020 Ronald Emma, CPA
Other Release No.: AAER-4120
34-88430 Mar. 19, 2020 Magnachip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
34-88423 Mar. 19, 2020 Gerald C. Parker
34-88395 Mar. 16, 2020 Wilmington Trust Corporation
34-88388 Mar. 16, 2020 Marcus Boggs
Other Release No.: IA-5465
34-88387 Mar. 16, 2020 HSBC Securities (USA) Inc.
Other Release No.: IA-5464
See also: Administrative Summary
34-88377 Mar. 12, 2020 David G. Dreslin, CPA
Other Release No.: AAER-4119
IA-5462 Mar. 12, 2020 Motty Mizrahi
IA-5461 Mar. 12, 2020 Naya Ventures, LLC, Dayakar Puskoor and Prabhakar Reddy
34-88371 Mar. 12, 2020 BMA Securities, LLC
34-88353 Mar. 10, 2020 Wells Fargo & Company
34-88347 Mar. 10, 2020 Bruce C. Worthington
Other Release No.: IA-5460
34-88344 Mar. 9, 2020 Dennis M. Farrah
34-88338 Mar. 5, 2020 Attis Industries, Inc.
IA-5458 Mar. 4, 2020 Eric D. Lyons
34-88316 Mar. 4, 2020 E. Herbert Hafen
Other Release No.: IA-5456
IA-5457 Mar. 4, 2020 Motty Mizrahi
34-88314 Mar. 3, 2020 Daniel B. Vazquez, Sr.
Other Release No.: IA-5455
34-88305 Feb. 28, 2020 Yaniv Avnon, Ran Armon and G Six Trading Y.R Ltd.
33-10761 Feb. 28, 2020 Shawn Severson
See also: Administrative Summary
34-88303 Feb. 28, 2020 Cardinal Health, Inc.
Other Release No.: AAER-4118
34-88295 Feb. 27, 2020 Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Other Release No.: IA-5451
IA-5453 Feb. 27, 2020 Sica Wealth Management, LLC and Jeffrey C. Sica
See also: Administrative Summary
IA-5452 Feb. 27, 2020 Fortress Investment Management, LLC, William M. Malloy, III
Other Release No.: IC-33807
See also: Administrative Summary
IA-5450 Feb. 27, 2020 Steven E. Fishman
Other Release No.: IC-33806
33-10760 Feb. 27, 2020 Steven Seagal
34-88290 Feb. 26, 2020 Brett Pittsenbargar
34-88289 Feb. 26, 2020 Axiom Corp., et al.
34-88287 Feb. 26, 2020 RSM US LLP (f/k/a/ Mcgladrey LLP)
Other Release No.: AAER-4117
See also: Administrative Summary
34-88280 Feb. 25, 2020 Thomas J. Craft, Jr.
34-88274 Feb. 24, 2020 Charles F. Kerwin
See also: Administrative Summary
34-88270 Feb. 24, 2020 Faiyaz Dean
IA-5448 Feb. 24, 2020 Lone Star Value Management LLC and Jeffrey Eberwein
34-88258 Feb. 21, 2020 Richard Jeffrey Rubin
34-88257 Feb. 21, 2020 Wells Fargo & Company
See also: Waiver Order
34-88256 Feb. 21, 2020 Marcus Boggs
Other Release No.: IA-5447
34-88249 Feb. 20, 2020 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
See also: Plan of Distribution
33-10756 Feb. 19, 2020 Diageo plc
Other Release No.: 34-88234
33-10755 Feb. 19, 2020 Enigma MPC
34-88223 Feb. 14, 2020 National Stock Exchange and David Colker
34-88205 Feb. 13, 2020 Marc A. Celello, Esq.
34-88202 Feb. 13, 2020 BPU Investment Management, Inc.
Other Release No.: IA-5444
See also: Administrative Summary
34-88192 Feb. 13, 2020 Martin J. Kinchloe (corrected)
34-88155 Feb. 7, 2020 Randall Goulding, Esq.
34-88150 Feb. 7, 2020 Thomas Troy Brooks
34-88153 Feb. 7, 2020 Joseph A. Meyer, Jr.
Other Release No.: IA-5443
34-88145 Feb. 7, 2020 Leonardo Cornide and Jorge Falcon
34-88144 Feb. 7, 2020 Leonardo Cornide and Jorge Falcon
34-88143 Feb. 7, 2020 Wayne Scott Simpson
34-88140 Feb. 6, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: AAER-4116
See also: Administrative Summary
IA-5442 Feb. 6, 2020 Jay Costa Kelter
34-88139 Feb. 6, 2020 ABN AMRO Clearing Chicago LLC
34-88123 Feb. 5, 2020 David Alan Wolfson
34-88121 Feb. 5, 2020 Glenn Joseph Story
34-88119 Feb. 5, 2020 Gordon Caplan, Esq.
IA-5441 Feb. 4, 2020 Cannell Capital, LLC
See also: Administrative Summary
34-88117 Feb. 4, 2020 Jason David St. Amour
34-88116 Feb. 4, 2020 Gregory Lamont Drake
34-88114 Feb. 3, 2020 Edward E. Matthes
Other Release No.: IA-5440
IA-5439 Jan. 31, 2020 Barton W. Stuck
34-88104 Jan. 30, 2020 Daniel Markel
34-88073 Jan. 29, 2020 Jeffrey L. Wendel
34-88072 Jan. 29, 2020 Jeffrey Goldman
34-88071 Jan. 29, 2020 Charles N. Nilosek
34-88070 Jan. 29, 2020 Paramount Financial Services, Inc. d/b/a Live Abundant
34-88063 Jan. 28, 2020 Donald Anthony Mackenzie
34-88062 Jan. 28, 2020 Gregory A. Koch
34-88061 Jan. 28, 2020 Richard Fritts
34-88059 Jan. 28, 2020 Erik Rhodes
34-88057 Jan. 28, 2020 Gary R. Smith
34-88048 Jan. 27, 2020 Steven M. Des Champs, CPA
IA-5436 Jan. 27, 2020 Catalyst Capital Advisors, LLC and Jerry Szilagyi
34-88043 Jan. 27, 2020 Robert S. "Lute" Davis, Jr.
34-88042 Jan. 27, 2020 Aaron R. Andrew
34-88041 Jan. 27, 2020 Gregory W. Anderson
34-88035 Jan. 24, 2020 Jay Zola Scoratow
34-88034 Jan. 24, 2020 Scott Charles Messier
IA-5366A Jan. 24, 2020 Leonardo Cornide and Jorge Falcon
34-88024 Jan. 23, 2020 Medigreen Holdings Corporation (a/k/a Rapid Fire Marketing, Inc.)
33-10748 Jan. 23, 2020 Benjamin L. Bunker, Esq.
Other Release No.: 34-88018
See also: Administrative Summary
34-88005 Jan. 17, 2020 Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams
34-87999 Jan. 16, 2020 Soupman, Inc. and Trailblazer Resources, Inc.
34-87996 Jan. 16, 2020 Medical Innovation Holdings, Inc.
33-10745 Jan. 16, 2020 Chad Starkey
34-87983 Jan. 15, 2020 Great Basin Scientific, Inc.
34-87979 Jan. 15, 2020 Genoil Inc. and SAMEX Mining Corp.
34-87975 Jan. 15, 2020 Brett Hamburger
34-87974 Jan. 15, 2020 Jonathan Morrone
34-87973 Jan. 15, 2020 Anthony Orth
34-87972 Jan. 15, 2020 Paul Jurberg
34-87970 Jan. 15, 2020 Jeffrey Wada, CPA
Other Release No.: AAER-4113
34-87969 Jan. 15, 2020 David Middendorf, CPA
Other Release No.: AAER-4112
34-87968 Jan. 15, 2020 Gregory L. Kelly, Esq.
34-87967 Jan. 14, 2020 Lester W. Burroughs
Other Release No.: IA-5432
34-87966 Jan. 14, 2020 MediaWorx, Inc. and Perrin Partners, Inc.
34-87965 Jan. 14, 2020 Sea Breeze Power Corp. et al.
34-87961 Jan. 14, 2020 Mongolia Holdings, Inc. and MyGo Games Holding Co.
34-87954 Jan. 13, 2020 Piedmont Mining Company, Inc. and Rainbow Coral Corp.
34-87949 Jan. 13, 2020 GroGenesis, Inc. and Golden Gate Partners, Inc.
34-87947 Jan. 13, 2020 Primera Foods Corporation, Rubicon Corp. a/k/a Osprey Holding, Inc. and Super 8 Motels Texas Ltd.
34-87945 Jan. 13, 2020 Conversion Services International, Inc. and Chester County Bancshares, Inc.
34-87940 Jan. 10, 2020 Toshoan Holdings, Inc. and Toa Optical Tech, Inc.
34-87939 Jan. 10, 2020 Howard J. Allen III
34-87938 Jan. 10, 2020 Trimerica Energy Corporation f/k/a Treaty Energy Corporation
33-10742 Jan. 10, 2020 John James Sheehan, Jr.
34-87937 Jan. 10, 2020 Kerri L. Wasserman
34-87936 Jan. 10, 2020 United City Corp. and Worldwide Internet Marketing, Inc.
34-87934 Jan. 10, 2020 Michael Mindlin
Other Release Nos.: IA-5431, IC-33744
See also: Administrative Summary
34-87933 Jan. 10, 2020 Rick D. Mullins
34-87931 Jan. 9, 2020 Debt Resolve, Inc. and Elite Group, Inc.
34-87925 Jan. 9, 2020 CannaSys, Inc., China Modern Agricultural Information, Inc. and Cinderella Target Value Zones Inc. f/k/a China Travel Resort Holdings, Inc.
34-87923 Jan. 9, 2020 Bluefire Renewables, Inc. and Canadian Cannabis Corp.
34-87922 Jan. 9, 2020 Danka Business Systems PLC
34-87921 Jan. 9, 2020 Credit Suisse Securities (USA) LLC
34-87916 Jan. 9, 2020 Franklin Scientific, Inc. and Goodwell Inc.
33-10741 Jan. 9, 2020 J.P. Morgan Securities LLC
Other Release Nos.: 34-87919, IA-5429
See also: Administrative Summary
34-87904 Jan. 7, 2020 Bradley C. Mascho
Other Release No.: IA-5427
34-87899 Jan. 7, 2020 Luke Christopher Zouvas, Esq.
34-87895 Jan. 6, 2020 Gray Financial Group, Inc., et al.
34-87893 Jan. 6, 2020 Dennis Gibb and Sweetwater Investments, Inc.
34-87890 Jan. 6, 2020 Aladdin Capital Management LLC and Aladdin Capital LLC
34-87889 Jan. 6, 2020 Petróleo Brasileiro S.A. - Petrobras
IA-5424 Jan. 6, 2020 Stephen Condon Peters
34-87884 Jan. 3, 2020 Robert A. Karmann, CPA
Other Release No.: AAER-4111
34-87878 Jan. 2, 2020 Ryan K. Dunaske
SEC.gov | Administrative Proceedings

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

Third Quarter | Second Quarter | First Quarter

Additional Archives

RSS Feed SEC Administrative Proceedings RSS Feed

Release No. Date Respondents

Third Quarter

34-89813 Sep. 10, 2020 Steven M Sexton
34-89805 Sep. 10, 2020 Krystal Industries, Inc.
34-89804 Sep. 10, 2020 Hollywood Entertainment Edu Holdings, Inc.
34-89803 Sep. 10, 2020 HD View 360, Inc.
IA-5576 Sep. 10, 2020 Graham, Bordelon and Golson & Gilbert, Inc.
34-89791 Sep. 9, 2020 AFH Acquisition IX, Inc.
34-89785 Sep. 8, 2020 Alexander S. Gould
IA-5574 Sep. 8, 2020 Alexander S. Gould
Other Release No.: IC-34004
See also: Administrative Summary
IA-5573 Sep. 4, 2020 SQN Capital Management, LLC
Other Release No.: AAER-4166
See also: Administrative Summary
34-89770 Sep. 4, 2020 Vereit, Inc.
34-89762 Sep. 3, 2020 Token Communities Ltd.
34-89761 Sep. 3, 2020 Cür Media, Inc., Crednology Holding Corporation (n/k/a Corptech Holding, Inc.)
IA-5571 Sep. 3, 2020 Signature Financial Services, Ltd.
See also: Administrative Summary
33-10833 Sep. 3, 2020 Covalent Collective, Inc.
See also: Administrative Summary
33-10832 Sep. 3, 2020 National Financial Services LLC
Other Release Nos.: 34-89756, IA-5569
See also: Administrative Summary
33-10831 Sep. 3, 2020 FuelCell Energy, Inc.
See also: Administrative Summary
IA-5570 Sep. 3, 2020 Vladislav Khalupsky
34-89758 Sep. 3, 2020 Wilmington Trust Corporation
See also: Final Distribution Plan and Exhibits
34-89757 Sep. 3, 2020 Yue Li
See also: Administrative Summary
34-89744 Sep. 2, 2020 Rorine International Holding Corporation
34-89742 Sep. 2, 2020 Unifunds Limited
34-89738 Sep. 2, 2020 Anton Senderov and Lior Barbazara
34-89755 Sep. 2, 2020 Bethany Liou and Golden California Regional Center, LLC
See also: Proposed Distribution Plan
34-89728 Sep. 1, 2020 Green Technology Solutions, Inc.
34-89726 Sep. 1, 2020 US VR Global.Com Inc.
34-89720 Sep. 1, 2020 Sean R. Stewart
Other Release No.: IA-5567
34-89716 Aug. 31, 2020 Oncolix, Inc.
34-89714 Aug. 31, 2020 Northsight Capital Inc.
34-89711 Aug. 28, 2020 Bankrate, Inc.
See also: Proposed Plan of Distribution
Comments due:  30 days from date of this Notice
34-89708 Aug. 28, 2020 VEREIT, Inc.
34-89704 Aug. 28, 2020 Herbalife Nutrition Ltd.
Other Release No.: AAER-4165
34-89702 Aug. 27, 2020 Grandbanc, Inc.
34-89701 Aug. 27, 2020 Affiliated Food Stores, Inc.
34-89698 Aug. 27, 2020 Terra Telecommunications Corp.
34-89697 Aug. 27, 2020 American Blockchain Biochar Corporation
34-89696 Aug. 27, 2020 Weedclub, Inc.
34-89695 Aug. 27, 2020 ERBA Diagnostics, Inc. and Eternity Healthcare, Inc.
34-89690 Aug. 27, 2020 Inventabiotech Inc.
34-89688 Aug. 27, 2020 ICTV Brands Inc.
34-89699 Aug. 27, 2020 Richard Barone
33-10828 Aug. 27, 2020 Christopher Barone
Other Release Nos.: 34-89700, IC-33997
IA-5566 Aug. 27, 2020 Aldo Marchena
34-89687 Aug. 27, 2020 Vstock Transfer LLC
See also: Administrative Summary
34-89681 Aug. 26, 2020 Forevergreen Worldwide Corporation
34-89680 Aug. 26, 2020 Spindle, Inc.
34-89677 Aug. 26, 2020 BorgWarner Inc.
Other Release No.: AAER-4164
34-89665 Aug. 25, 2020 All Marketing Solutions, Inc.
34-89660 Aug. 25, 2020 Agora Holdings, Inc.
34-89658 Aug. 25, 2020 Charles Liang
Other Release No.: AAER-4163
34-89657 Aug. 25, 2020 Howard Hideshima
Other Release No.: AAER-4162
33-10822 Aug. 25, 2020 Super Micro Computer, Inc.
Other Release Nos.: 34-89656, AAER-4161
34-89650 Aug. 25, 2020 Billion Holding Inc.
34-89649 Aug. 25, 2020 Celebiddy, Inc.
34-89648 Aug. 25, 2020 MC Informatics
34-89647 Aug. 24, 2020 Dale Tenhulzen
34-89644 Aug. 24, 2020 Digiliti Money Group, Inc.
34-89642 Aug. 24, 2020 THT Heat Transfer Technology, Inc.
IA-5564 Aug. 24, 2020 Patrick Morgan Schiro
34-89641 Aug. 21, 2020 Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
34-89637 Aug. 21, 2020 Consorteum Holdings, Inc. and Coates International Ltd.
34-89629 Aug. 21, 2020 Steven Pagartanis
34-89625 Aug. 20, 2020 Stephen Douglas Pizzuti
Other Release No.: IA-5563
34-89624 Aug. 20, 2020 NPB Financial Group, LLC
Other Release No.: IA-5562
See also: Administrative Summary
34-89588 Aug. 17, 2020 Devere USA, Inc.
See also: Modified Plan of Distribution
34-89568 Aug. 14, 2020 Milan K. Patel, Esq.
34-89552 Aug. 13, 2020 Brian Dee Matlock, CPA
Other Release No.: AAER-4159
See also: Administrative Summary
33-10818 Aug. 13, 2020 Garrett Gaylor
Other Release No.: 34-89553
See also: Administrative Summary
IA-5560 Aug. 13, 2020 SCF Investment Advisors, Inc.
33-10817 Aug. 13, 2020 Kelvin Boon, LLC and Rajesh Pavithran
Other Release No.: 34-89548
34-89529 Aug. 12, 2020 HypGen, Inc. and Lifestyle Medical Network, Inc.
34-89521 Aug. 11, 2020 Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel
34-89524 Aug. 11, 2020 Joshua Turney
34-89523 Aug. 11, 2020 Hector Perez
34-89522 Aug. 11, 2020 Barbara Desiderio
34-89517 Aug. 10, 2020 Nicholas Mejia Scrivener
See also: Administrative Summary
34-89510 Aug. 10, 2020 Interactive Brokers LLC
See also: Administrative Summary
IA-5558 Aug. 7, 2020 Rialto Capital Management, LLC
34-89501 Aug. 6, 2020 Wells Fargo & Company
See also: Distribution Plan
34-89489 Aug. 6, 2020 World Acceptance Corporation
Other Release No.: AAER-4158
33-10816 Aug. 5, 2020 Scott M. Dittman, CPA
Other Release No.: AAER-4157
34-89481 Aug. 5, 2020 WBI Investments, Inc. and Millington Securities, Inc.
Other Release No.: IA-5557
34-89477 Aug. 5, 2020 Randolph Acquisitions, Inc.
34-89475 Aug. 4, 2020 Tommy Shek, CPA
Other Release No.: AAER-4156
33-10812 Jul. 31, 2020 Tanya R. Carro, CPA
Other Release Nos.: 34-89445, AAER-4155
33-10811 Jul. 31, 2020 Howard B. Schiller
Other Release No.: 34-89444
33-10810 Jul. 31, 2020 J. Michael Pearson
Other Release Nos.: 34-89443, AAER-4154
33-10809 Jul. 31, 2020 Valeant Pharmaceuticals International, Inc. and n/k/a Bausch Health Companies Inc.
Other Release Nos.: 34-89442, AAER-4153
IA-5555 Jul. 31, 2020 Birinyi Associates, Inc.
See also: Administrative Summary
34-89429 Jul. 30, 2020 Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc.
34-89407 Jul. 28, 2020 VALIC Financial Advisors, Inc.
Other Release No.: IA-5551
34-89405 Jul. 28, 2020 VALIC Financial Advisors, Inc.
Other Release No.: IA-5550
34-89404 Jul. 27, 2020 Celadon Financial Group LLC
See also: Administrative Summary
34-89390 Jul. 23, 2020 Leonardo Cornide and Jorge Falcon
34-89383 Jul. 23, 2020 Morgan Stanley Smith Barney LLC
33-10806 Jul. 22, 2020 Carlos Renato Cano
Other Release Nos.: 34-89380, IA-5548, IC-33944
See also: Administrative Summary
33-10805 Jul. 22, 2020 IRTH Communications, LLC and Andrew Haag
See also: Administrative Summary
34-89352 Jul. 21, 2020 Edmond Leung
See also: Administrative Summary
34-89350 Jul. 21, 2020 Joseph Zhang
See also: Administrative Summary
34-89348 Jul. 20, 2020 UBS Financial Services Inc.
34-89347 Jul. 20, 2020 John J. Marvin
Other Release No.: IA-5546
34-89346 Jul. 20, 2020 William S. Costas
Other Release No.: IA-5545
34-89345 Jul. 20, 2020 Merlyn Curt Geisler
34-89336 Jul. 17, 2020 Jack Alan Abramoff
34-89333 Jul. 16, 2020 Weatherford International PLC, et al.
34-89332 Jul. 16, 2020 Robert Russel Tweed
Other Release No.: IA-5542
IA-5543 Jul. 16, 2020 First Western Capital Management Company
See also: Administrative Summary
IA-5541 Jul. 16, 2020 Dionne Van Zyl
34-89326 Jul. 15, 2020 Paul J. Konigsberg
Other Release No.: AAER-4152
33-10802 Jul. 14, 2020 Abetterfinancialplan.Com, LLC, d/b/a a Better Financial Plan and Dean J. Vagnozzi
Other Release No.: 34-89318
See also: Administrative Summary
IA-5540 Jul. 14, 2020 Temenos Advisory, Inc.
34-89314 Jul. 14, 2020 George L. Taylor
Other Release No.: IA-5539
34-89300 Jul. 13, 2020 World Moto, Inc.
34-89298 Jul. 13, 2020 Wonhe High-Tech International, Inc.
34-89295 Jul. 13, 2020 Ultimate Products Corporation, et al.
34-89294 Jul. 13, 2020 Hidden Forest Acquisition Corp. and Global 2.0 Corporation
33-10801 Jul. 13, 2020 Plutus Financial Inc. d/b/a Abra and Plutus Technologies Philippines Corp.
Other Release No.: 34-89296
34-89287 Jul. 10, 2020 Wilmington Trust Corporation
See also: Distribution Plan
Comments received are available for this proposed plan.
34-89278 Jul. 9, 2020 Sky Resort International Limited and Median Group, Inc. (f/k/a China Media Group Corporation)
34-89276 Jul. 9, 2020 Trans-Pacific Aerospace Company and Inc. and Vertical Computer Systems, Inc.
34-89284 Jul. 9, 2020 EliteSoft Global Inc. and Capital Access Point 1, Inc.
34-89283 Jul. 9, 2020 Aspen Marine Group Inc. and Biocircuits Corporation
34-89280 Jul. 9, 2020 Synthonics Technologies, Inc.
IA-5536 Jul. 9, 2020 Benjamin Alderson
IA-5535 Jul. 9, 2020 BNB Wealth Management, LLC
34-89253 Jul. 8, 2020 Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc.
34-89251 Jul. 8, 2020 Sirrus Corp. and Sinorama Corporation
34-89249 Jul. 8, 2020 Yong (Michael) Chen
34-89245 Jul. 7, 2020 Protalex, Inc. and Provision Holding, Inc.
34-89243 Jul. 7, 2020 Cür Media, Inc. and Crednology Holding Corporation (n/k/a Corptech Holding, Inc.)
34-89231 Jul. 6, 2020 Notis Global, Inc. and Nexus Biopharma, Inc.
34-89229 Jul. 6, 2020 Hypgen, Inc. and Lifestyle Medical Network, Inc.
34-89223 Jul. 6, 2020 Orthofix International N.V.
34-89221 Jul. 6, 2020 Ralph C. Greaves, Esq.
IA-5531 Jul. 2, 2020 Franklin Advisers and Inc. and Franklin Templeton Investments Corp.
Other Release No.: IC-33919
See also: Administrative Summary
33-10797 Jul. 2, 2020 Michael D. Tannen
Other Release Nos.: 34-89215, IC-33918
See also: Administrative Summary
34-89214 Jul. 2, 2020 Alexion Pharmaceuticals, Inc.
Other Release Nos.: AAER-4151
34-89210 Jul. 1, 2020 Gilla, Inc. and Evergreen-Agra Global Investments, Inc.
34-89208 Jul. 1, 2020 ERBA Diagnostics, Inc. and Eternity Healthcare, Inc.
IA-5530 Jul. 1, 2020 Neil Burkholz
33-10796 Jul. 1, 2020 David Rumsey
See also: Administrative Summary

Second Quarter

34-89204 Jun. 30, 2020 Eos Petro, Inc. and eFleets Corporation
34-89201 Jun. 30, 2020 Morgan Stanley, Co. LLC; Morgan Stanley Abs Capital I Inc; and Morgan Stanley Mortgage Capital Holdings LLC
See also: Distribution Plan
34-89200 Jun. 30, 2020 Apex Fund Services (Us), Inc.
34-89198 Jun. 30, 2020 Cyclone Power Technologies, Inc. and Ecolocap Solutions, Inc.
IA-5529 Jun. 30, 2020 Frank Bianco
34-89195 Jun. 30, 2020 UBS Financial Services Inc. of Puerto Rico
33-10795 Jun. 30, 2020 Potamus Trading LLC and Eric J. Pritchett
Other Release Nos.: 34-89190, IC-33915
See also: Administrative Summary
33-10794 Jun. 30, 2020 Michelle Dipp
Other Release Nos.: 34-89187
See also: Administrative Summary
34-89183 Jun. 29, 2020 Consorteum Holdings, Inc. and Coates International Ltd.
34-89181 Jun. 29, 2020 Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
34-89178 Jun. 29, 2020 Dandan Wu
34-89177 Jun. 29, 2020 BNP Paribas Securities Corp.
See also: Administrative Summary
34-89171 Jun. 29, 2020 John Christopher Polit
Other Release No.: IA-5528
IA-5527 Jun. 26, 2020 Gregory Alan Smith
34-89159 Jun. 25, 2020 Dain F. Stokes
Other Release No.: IA-5526
34-89149 Jun. 25, 2020 Novartis AG
Other Release No.: AAER-4150
34-89144 Jun. 24, 2020 Michael Douglas Billings and Mdb Group, LLC
34-89143 Jun. 24, 2020 SG Americas Securities, LLC
34-89139 Jun. 24, 2020 Todd H. Lahr, Esq.
33-10793 Jun. 23, 2020 Vereit, Inc.
Other Release Nos.: 34-89133, AAER-4149
See also: Administrative Summary
34-89135 Jun. 23, 2020 Trinity Capital Corporation
34-89113 Jun. 22, 2020 BKS Advisors LLC
34-89112 Jun. 22, 2020 Visium Asset Management, LP
34-89111 Jun. 22, 2020 Matthew Ledvina, Esq.
34-89096 Jun. 18, 2020 Harbour Investments, Inc.
34-89094 Jun. 18, 2020 Diane J. Harrison, Esq.
IA-5524 Jun. 17, 2020 Sultan S. Issa
34-89078 Jun. 16, 2020 Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
Other Release Nos.: IA-5523, IC-33895
See also: Administrative Summary
IA-5522 Jun. 16, 2020 Richard T. Diver
IA-5520 Jun. 12, 2020 Louis Navellier and Navellier & Associates, Inc.
34-89044 Jun. 11, 2020 ChatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc.
34-89023 Jun. 5, 2020 Jana Faith Kiena, CPA
Other Release No.: AAER-4147
See also: Administrative Summary
IA-5519 Jun. 5, 2020 Douglas Leighton
34-89025 Jun. 5, 2020 Jeremy A. Licht d/b/a JL Capital Management
34-89024 Jun. 5, 2020 Fifth Street Management, LLC
34-89021 Jun. 5, 2020 Tamara Steele
Other Release No.: IA-5516
34-89013 Jun. 4, 2020 Train and Babcock Advisors LLC
34-89009 Jun. 4, 2020 Argo Group International Holdings, Ltd.
Other Release No.: AAER-4146
34-88998 Jun. 3, 2020 Christopher D. Larson (CPA)
Other Release No.: AAER-4145
33-10789 Jun. 2, 2020 William Vescio
Other Release Nos.: 34-88996, IA-5515
See also: Administrative Summary
34-88991 Jun. 2, 2020 Todd A. Esh
Other Release No.: IA-5514
34-88976 Jun. 1, 2020 U.S. Bancorp Investments, Inc.
Other Release No.: IA-5513
IA-5512 May 29, 2020 Oxbow Advisors, LLC
34-88969 May 28, 2020 Morgan Stanley Smith Barney LLC
33-10788 May 28, 2020 BitClave PTE Ltd.
34-88965 May 28, 2020 Gibraltar Global Securities, Inc.
34-88964 May 28, 2020 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
34-88963 May 28, 2020 Focus Media Holding Limited and Jason Jiang
IA-5511 May 27, 2020 Syed Arham Arbab
34-88962 May 27, 2020 Warren A. Davis
34-88951 May 26, 2020 Robert C. Weaver, Jr., Esq.
IA-5510 May 26, 2020 Ares Management LLC
34-88941 May 26, 2020 William Andrew Hightower
Other Release No.: IA-5509
34-88937 May 22, 2020 Robert Gilbert
34-88936 May 22, 2020 Paul Ewer
34-88935 May 22, 2020 American Realty Funds Corporation
IA-5508 May 22, 2020 TSP Capital Management Group, LLC
Other Release No.: AAER-4144
See also: Administrative Summary
34-88931 May 21, 2020 Nicholas Fleming aka "Nick Franklin"
34-88921 May 21, 2020 Wells Fargo & Company
34-88920 May 21, 2020 Visium Asset Management, LP
34-88919 May 21, 2020 Devere USA, Inc.
34-88897 May 18, 2020 John Donovan, CPA
Other Release No.: AAER-4143
34-88896 May 18, 2020 Michael Bellach, CPA
Other Release No.: AAER-4142
34-88895 May 18, 2020 Timothy Daly, CPA
Other Release No.: AAER-4141
34-88880 May 15, 2020 Morningstar Credit Ratings, LLC
34-88865 May 14, 2020 Ronald D. Swanson Aka Ronald D. Swanson-Cerna
34-88862 May 13, 2020 Sergey Pustelnik a/k/a Serge Pustelnik
34-88864 May 13, 2020 1Globe Capital, LLC and Jiaqiang "Chiang" Li
See also: Administrative Summary
IA-5502 May 12, 2020 Travis Laska
IA-5501 May 12, 2020 Stacy L. Beane
IA-5500 May 12, 2020 Justin N. Deckert
34-88860 May 12, 2020 Wallace Byers
34-88856 May 12, 2020 Morgan Stanley Smith Barney LLC
Other Release No.: IA-5499
34-88855 May 11, 2020 Diane Kaylor
34-88849 May 11, 2020 Equinox Fund Management, LLC
34-88847 May 11, 2020 Mergenet Medical, Inc., et al.
34-88848 May 11, 2020 Lawrence E. Hagedorn
Other Release No.: IA-5498
33-10783 May 6, 2020 Bloomberg Tradebook LLC
Other Release No.: 34-88830
IA-5497 May 5, 2020 Barry R. Bekkedam
34-88808 May 5, 2020 Jeffery A. Curran, CA
Other Release No.: AAER-4138
34-88804 May 4, 2020 Pennant Management, Inc.
34-88797 May 1, 2020 Wendy Lieberman Kirkland, et al.
Other Release Nos.: IA-5494, IC-33860
34-88791 May 1, 2020 Todd H. Takeyasu, CA
Other Release No.: AAER-4134
33-10779 Apr. 30, 2020 American Bondholders Foundation, LLC and Jonna Bianco
33-10778 Apr. 30, 2020 Wei Duan
Other Release No.: 34-88781
See also: Administrative Summary
IA-5491 Apr. 30, 2020 Everest Capital LLC and Marko Dimitrijevic
See also: Administrative Summary
34-88784 Apr. 30, 2020 Jerry E. Orellana
Other Release No.: IA-5492
See also: Administrative Summary
34-88780 Apr. 30, 2020 Portfolio Advisors Alliance, Inc.
IA-5490 Apr. 30, 2020 Monsoon Capital, LLC and Gautam Prakash
Other Release No.: IC-33858
See also: Administrative Summary
34-88779 Apr. 30, 2020 Wilmington Trust Corporation
34-88777 Apr. 30, 2020 Leonardo Cornide and Jorge Falcon
34-88773 Apr. 29, 2020 Lee C. Schlesinger
34-88763 Apr. 28, 2020 William M. Aisenberg, CPA (Corrected)
Other Release No.: AAER-4132
34-88762 Apr. 28, 2020 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
IA-5489 Apr. 28, 2020 Semper Capital Management, L.P.
Other Release No.: IC-33856
See also: Administrative Summary
34-88751 Apr. 27, 2020 Anthony C. Ciccone
34-88747 Apr. 24, 2020 Jeffrey G. Klein
34-88739 Apr. 24, 2020 PLS, CPA, et al. (Corrected)
Other Release No.: AAER-4131
See also: Administrative Summary
33-10777 Apr. 24, 2020 RBC Capital Markets LLC
Other Release Nos.: 34-88745, IA-5487
See also: Administrative Summary
34-88744 Apr. 24, 2020 Biltmore International Corporation
See also: Administrative Summary
34-88733 Apr. 23, 2020 Great Basin Scientific, Inc.
34-88732 Apr. 23, 2020 Stephen Douglas Pizzuti
Other Release No.: IA-5486
34-88731 Apr. 22, 2020 Elliot R. Berman, CPA
Other Release No.: AAER-4130
IA-5485 Apr. 22, 2020 Monomoy Capital Management, L.P.
See also: Administrative Summary
IA-5484 Apr. 22, 2020 N. Scott Gillis, CPA
Other Release No.: AAER-4126
IA-5483 Apr. 22, 2020 Brian A. Oliver
IA-5482 Apr. 22, 2020 Robert J. Jesenik
34-88724 Apr. 22, 2020 Brian M. Storms
Other Release No.: AAER-4129
34-88723 Apr. 22, 2020 Kenneth D. Shifrin, CPA
Other Release No.: AAER-4128
33-10775 Apr. 22, 2020 Brian L. Ferdinand
Other Release Nos.: 34-88720, AAER-4127
34-88695 Apr. 20, 2020 Axiom Corp., et al.
IA-5480 Apr. 17, 2020 Eagle Strategies LLC
IA-5479 Apr. 17, 2020 Merrill Lynch, Pierce and Fenner & Smith, Incorporated
IA-5478 Apr. 17, 2020 Old Ironsides Energy, LLC,
See also: Administrative Summary
IA-5477 Apr. 17, 2020 Cozad Asset Management, Inc.
34-88686 Apr. 17, 2020 Brian Robert Sodi, CPA
Other Release No.: AAER-4125
34-88680 Apr. 17, 2020 James Arthur Young III
Other Release No.: IA-5481
34-88679 Apr. 17, 2020 Eni S.p.A.
Other Release No.: AAER-4124
See also: Administrative Summary
34-88662 Apr. 16, 2020 Boenning & Scattergood, Inc., Craig Burdulis and Brian Gillespie
34-88659 Apr. 16, 2020 Miranda Suen, CPA
Other Release No.: AAER-4123
34-88653 Apr. 15, 2020 Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP
Other Release No.: AAER-4122
34-88652 Apr. 15, 2020 Anthony Vassallo
34-88651 Apr. 15, 2020 Sergio Ramirez
34-88650 Apr. 15, 2020 Ronald Hardy
34-88635 Apr. 14, 2020 Attis Industries, Inc.
34-88597 Apr. 8, 2020 Fortress Investment Management, LLC, and William M. Malloy, III
34-88588 Apr. 8, 2020 Fortress Investment Management, LLC, and William M. Malloy, III
34-88598 Apr. 8, 2020 Sica Wealth Management, LLC and Jeffrey C. Sica
IA-5474 Apr. 7, 2020 Geoffrey J. Thompson
34-88567 Apr. 6, 2020 Cantor Fitzgerald & Co.
34-88544 Apr. 2, 2020 Cybrdi, Inc.
IA-5471 Apr. 1, 2020 Adam Matthew Root

First Quarter

34-88529 Mar. 31, 2020 Donald J. Fowler
34-88510 Mar. 30, 2020 Augustine Capital Management, et al.
34-88506 Mar. 27, 2020 Bryan Cohen
34-88498 Mar. 27, 2020 Benjamin Kirkland
34-88489 Mar. 26, 2020 Endless Charge, Inc.
34-88480 Mar. 26, 2020 PositiveID Corporation
34-88463 Mar. 24, 2020 Anthony B. Brandel and M.Y. Consultants, Inc.
IA-5468 Mar. 24, 2020 Nicholas J. Genovese
34-88454 Mar. 23, 2020 EZTD Inc.
34-88453 Mar. 23, 2020 Wells Fargo & Company
34-88452 Mar. 23, 2020 Devere USA, Inc.
See also: Distribution Plan
Comments received are available for this proposed plan.
34-88442 Mar. 20, 2020 Bethany Liou and Golden California Regional Center, LLC
34-88432 Mar. 20, 2020 Ronald Emma, CPA
Other Release No.: AAER-4120
34-88430 Mar. 19, 2020 Magnachip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
34-88423 Mar. 19, 2020 Gerald C. Parker
34-88395 Mar. 16, 2020 Wilmington Trust Corporation
34-88388 Mar. 16, 2020 Marcus Boggs
Other Release No.: IA-5465
34-88387 Mar. 16, 2020 HSBC Securities (USA) Inc.
Other Release No.: IA-5464
See also: Administrative Summary
34-88377 Mar. 12, 2020 David G. Dreslin, CPA
Other Release No.: AAER-4119
IA-5462 Mar. 12, 2020 Motty Mizrahi
IA-5461 Mar. 12, 2020 Naya Ventures, LLC, Dayakar Puskoor and Prabhakar Reddy
34-88371 Mar. 12, 2020 BMA Securities, LLC
34-88353 Mar. 10, 2020 Wells Fargo & Company
34-88347 Mar. 10, 2020 Bruce C. Worthington
Other Release No.: IA-5460
34-88344 Mar. 9, 2020 Dennis M. Farrah
34-88338 Mar. 5, 2020 Attis Industries, Inc.
IA-5458 Mar. 4, 2020 Eric D. Lyons
34-88316 Mar. 4, 2020 E. Herbert Hafen
Other Release No.: IA-5456
IA-5457 Mar. 4, 2020 Motty Mizrahi
34-88314 Mar. 3, 2020 Daniel B. Vazquez, Sr.
Other Release No.: IA-5455
34-88305 Feb. 28, 2020 Yaniv Avnon, Ran Armon and G Six Trading Y.R Ltd.
33-10761 Feb. 28, 2020 Shawn Severson
See also: Administrative Summary
34-88303 Feb. 28, 2020 Cardinal Health, Inc.
Other Release No.: AAER-4118
34-88295 Feb. 27, 2020 Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Other Release No.: IA-5451
IA-5453 Feb. 27, 2020 Sica Wealth Management, LLC and Jeffrey C. Sica
See also: Administrative Summary
IA-5452 Feb. 27, 2020 Fortress Investment Management, LLC, William M. Malloy, III
Other Release No.: IC-33807
See also: Administrative Summary
IA-5450 Feb. 27, 2020 Steven E. Fishman
Other Release No.: IC-33806
33-10760 Feb. 27, 2020 Steven Seagal
34-88290 Feb. 26, 2020 Brett Pittsenbargar
34-88289 Feb. 26, 2020 Axiom Corp., et al.
34-88287 Feb. 26, 2020 RSM US LLP (f/k/a/ Mcgladrey LLP)
Other Release No.: AAER-4117
See also: Administrative Summary
34-88280 Feb. 25, 2020 Thomas J. Craft, Jr.
34-88274 Feb. 24, 2020 Charles F. Kerwin
See also: Administrative Summary
34-88270 Feb. 24, 2020 Faiyaz Dean
IA-5448 Feb. 24, 2020 Lone Star Value Management LLC and Jeffrey Eberwein
34-88258 Feb. 21, 2020 Richard Jeffrey Rubin
34-88257 Feb. 21, 2020 Wells Fargo & Company
See also: Waiver Order
34-88256 Feb. 21, 2020 Marcus Boggs
Other Release No.: IA-5447
34-88249 Feb. 20, 2020 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
See also: Plan of Distribution
33-10756 Feb. 19, 2020 Diageo plc
Other Release No.: 34-88234
33-10755 Feb. 19, 2020 Enigma MPC
34-88223 Feb. 14, 2020 National Stock Exchange and David Colker
34-88205 Feb. 13, 2020 Marc A. Celello, Esq.
34-88202 Feb. 13, 2020 BPU Investment Management, Inc.
Other Release No.: IA-5444
See also: Administrative Summary
34-88192 Feb. 13, 2020 Martin J. Kinchloe (corrected)
34-88155 Feb. 7, 2020 Randall Goulding, Esq.
34-88150 Feb. 7, 2020 Thomas Troy Brooks
34-88153 Feb. 7, 2020 Joseph A. Meyer, Jr.
Other Release No.: IA-5443
34-88145 Feb. 7, 2020 Leonardo Cornide and Jorge Falcon
34-88144 Feb. 7, 2020 Leonardo Cornide and Jorge Falcon
34-88143 Feb. 7, 2020 Wayne Scott Simpson
34-88140 Feb. 6, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: AAER-4116
See also: Administrative Summary
IA-5442 Feb. 6, 2020 Jay Costa Kelter
34-88139 Feb. 6, 2020 ABN AMRO Clearing Chicago LLC
34-88123 Feb. 5, 2020 David Alan Wolfson
34-88121 Feb. 5, 2020 Glenn Joseph Story
34-88119 Feb. 5, 2020 Gordon Caplan, Esq.
IA-5441 Feb. 4, 2020 Cannell Capital, LLC
See also: Administrative Summary
34-88117 Feb. 4, 2020 Jason David St. Amour
34-88116 Feb. 4, 2020 Gregory Lamont Drake
34-88114 Feb. 3, 2020 Edward E. Matthes
Other Release No.: IA-5440
IA-5439 Jan. 31, 2020 Barton W. Stuck
34-88104 Jan. 30, 2020 Daniel Markel
34-88073 Jan. 29, 2020 Jeffrey L. Wendel
34-88072 Jan. 29, 2020 Jeffrey Goldman
34-88071 Jan. 29, 2020 Charles N. Nilosek
34-88070 Jan. 29, 2020 Paramount Financial Services, Inc. d/b/a Live Abundant
34-88063 Jan. 28, 2020 Donald Anthony Mackenzie
34-88062 Jan. 28, 2020 Gregory A. Koch
34-88061 Jan. 28, 2020 Richard Fritts
34-88059 Jan. 28, 2020 Erik Rhodes
34-88057 Jan. 28, 2020 Gary R. Smith
34-88048 Jan. 27, 2020 Steven M. Des Champs, CPA
IA-5436 Jan. 27, 2020 Catalyst Capital Advisors, LLC and Jerry Szilagyi
34-88043 Jan. 27, 2020 Robert S. "Lute" Davis, Jr.
34-88042 Jan. 27, 2020 Aaron R. Andrew
34-88041 Jan. 27, 2020 Gregory W. Anderson
34-88035 Jan. 24, 2020 Jay Zola Scoratow
34-88034 Jan. 24, 2020 Scott Charles Messier
IA-5366A Jan. 24, 2020 Leonardo Cornide and Jorge Falcon
34-88024 Jan. 23, 2020 Medigreen Holdings Corporation (a/k/a Rapid Fire Marketing, Inc.)
33-10748 Jan. 23, 2020 Benjamin L. Bunker, Esq.
Other Release No.: 34-88018
See also: Administrative Summary
34-88005 Jan. 17, 2020 Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams
34-87999 Jan. 16, 2020 Soupman, Inc. and Trailblazer Resources, Inc.
34-87996 Jan. 16, 2020 Medical Innovation Holdings, Inc.
33-10745 Jan. 16, 2020 Chad Starkey
34-87983 Jan. 15, 2020 Great Basin Scientific, Inc.
34-87979 Jan. 15, 2020 Genoil Inc. and SAMEX Mining Corp.
34-87975 Jan. 15, 2020 Brett Hamburger
34-87974 Jan. 15, 2020 Jonathan Morrone
34-87973 Jan. 15, 2020 Anthony Orth
34-87972 Jan. 15, 2020 Paul Jurberg
34-87970 Jan. 15, 2020 Jeffrey Wada, CPA
Other Release No.: AAER-4113
34-87969 Jan. 15, 2020 David Middendorf, CPA
Other Release No.: AAER-4112
34-87968 Jan. 15, 2020 Gregory L. Kelly, Esq.
34-87967 Jan. 14, 2020 Lester W. Burroughs
Other Release No.: IA-5432
34-87966 Jan. 14, 2020 MediaWorx, Inc. and Perrin Partners, Inc.
34-87965 Jan. 14, 2020 Sea Breeze Power Corp. et al.
34-87961 Jan. 14, 2020 Mongolia Holdings, Inc. and MyGo Games Holding Co.
34-87954 Jan. 13, 2020 Piedmont Mining Company, Inc. and Rainbow Coral Corp.
34-87949 Jan. 13, 2020 GroGenesis, Inc. and Golden Gate Partners, Inc.
34-87947 Jan. 13, 2020 Primera Foods Corporation, Rubicon Corp. a/k/a Osprey Holding, Inc. and Super 8 Motels Texas Ltd.
34-87945 Jan. 13, 2020 Conversion Services International, Inc. and Chester County Bancshares, Inc.
34-87940 Jan. 10, 2020 Toshoan Holdings, Inc. and Toa Optical Tech, Inc.
34-87939 Jan. 10, 2020 Howard J. Allen III
34-87938 Jan. 10, 2020 Trimerica Energy Corporation f/k/a Treaty Energy Corporation
33-10742 Jan. 10, 2020 John James Sheehan, Jr.
34-87937 Jan. 10, 2020 Kerri L. Wasserman
34-87936 Jan. 10, 2020 United City Corp. and Worldwide Internet Marketing, Inc.
34-87934 Jan. 10, 2020 Michael Mindlin
Other Release Nos.: IA-5431, IC-33744
See also: Administrative Summary
34-87933 Jan. 10, 2020 Rick D. Mullins
34-87931 Jan. 9, 2020 Debt Resolve, Inc. and Elite Group, Inc.
34-87925 Jan. 9, 2020 CannaSys, Inc., China Modern Agricultural Information, Inc. and Cinderella Target Value Zones Inc. f/k/a China Travel Resort Holdings, Inc.
34-87923 Jan. 9, 2020 Bluefire Renewables, Inc. and Canadian Cannabis Corp.
34-87922 Jan. 9, 2020 Danka Business Systems PLC
34-87921 Jan. 9, 2020 Credit Suisse Securities (USA) LLC
34-87916 Jan. 9, 2020 Franklin Scientific, Inc. and Goodwell Inc.
33-10741 Jan. 9, 2020 J.P. Morgan Securities LLC
Other Release Nos.: 34-87919, IA-5429
See also: Administrative Summary
34-87904 Jan. 7, 2020 Bradley C. Mascho
Other Release No.: IA-5427
34-87899 Jan. 7, 2020 Luke Christopher Zouvas, Esq.
34-87895 Jan. 6, 2020 Gray Financial Group, Inc., et al.
34-87893 Jan. 6, 2020 Dennis Gibb and Sweetwater Investments, Inc.
34-87890 Jan. 6, 2020 Aladdin Capital Management LLC and Aladdin Capital LLC
34-87889 Jan. 6, 2020 Petróleo Brasileiro S.A. - Petrobras
IA-5424 Jan. 6, 2020 Stephen Condon Peters
34-87884 Jan. 3, 2020 Robert A. Karmann, CPA
Other Release No.: AAER-4111
34-87878 Jan. 2, 2020 Ryan K. Dunaske
SEC.gov | Administrative Proceedings

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

Third Quarter | Second Quarter | First Quarter

Additional Archives

RSS Feed SEC Administrative Proceedings RSS Feed

Release No. Date Respondents

Third Quarter

34-90032 Sep. 28, 2020 Benjamin Mekawy
34-90030 Sep. 28, 2020 Casimer Anthony Polanchek
34-90031 Sep. 28, 2020 Fiat Chrysler Automobiles N.V.
34-90029 Sep. 28, 2020 Brian Buckley
34-90025 Sep. 28, 2020 Kanako Matsumoto, CPA
Other Release No.: AAER-4176
33-10857 Sep. 28, 2020 Scott Eugene Bachman
Other Release No.: 34-90028
See also: Administrative Summary
33-10856 Sep. 28, 2020 David Taylor
Other Release No.: 34-90027
See also: Administrative Summary
33-10855 Sep. 28, 2020 Raymond Allan Fine
Other Release No.: 34-90026
See also: Administrative Summary
IA-5597 Sep. 28, 2020 Gary Edward Haynes
33-10854 Sep. 28, 2020 Interface, Inc., et al.
Other Release Nos.: 34-90018, AAER-4175
34-90017 Sep. 28, 2020 Fulton Financial Corporation
Other Release No.: AAER-4174
34-90016 Sep. 25, 2020 Rachelle A. Thatcher
34-90015 Sep. 25, 2020 Christopher D. Bachinski
34-90014 Sep. 25, 2020 Creative Financial Designs, Inc.
Other Release No.: IA-5596
See also: Administrative Summary
34-90013 Sep. 25, 2020 Dana J. Bradley
34-90012 Sep. 25, 2020 Big Time Holdings, Inc.
34-90011 Sep. 25, 2020 HK Apollo Motors Corporation
34-90010 Sep. 25, 2020 Lam D. Ha, CPA
Other Release No.: AAER-4173
See also: Administrative Summary
34-90008 Sep. 25, 2020 James L. Thompson, CPA
Other Release No.: AAER-4172
See also: Administrative Summary
34-90009 Sep. 25, 2020 Marlin S. Hershey
34-90006 Sep. 25, 2020 Leonardo Cornide and Jorge Falcon
34-90004 Sep. 25, 2020 Hancock Whitney Investment Services, Inc.
Other Release No.: IA-5595
See also: Administrative Summary
34-90003 Sep. 25, 2020 Aeon Global Health Corp.
Other Release No.: AAER-4171
See also: Administrative Summary
IA-5594 Sep. 25, 2020 Sabra Capital Partners, LLC and Zvi Rhine
Other Release No.: IC-34028
See also: Administrative Summary
34-90002 Sep. 25, 2020 Funding the Gap, LLC and Irene P. Carroll
See also: Administrative Summary
33-10853 Sep. 25, 2020 SoluTech, Inc. and Nathan Pitruzzello
Other Release No.: 34-89999
See also: Administrative Summary
34-89997 Sep. 25, 2020 Precigen, Inc. (f/k/a Intrexon Corporation)
34-89992 Sep. 24, 2020 I-Wellness Marketing Group Inc.
34-89990 Sep. 24, 2020 Spring Pharmaceutical Group, Inc.
34-89988 Sep. 24, 2020 ID Perfumes, Inc.
34-89986 Sep. 24, 2020 DLD Group, Inc.
34-89985 Sep. 24, 2020 Custom Protection Services, Inc. (f/k/a PowerChannel, Inc.)
34-89981 Sep. 24, 2020 LegacyXChange, Inc.
IA-5593 Sep. 24, 2020 Finser International Corporation and Andrew H. Jacobus
33-10852 Sep. 24, 2020 Platinum Wealth Partners, Inc. and David L. Potter
Other Release Nos.: IC-34027, IA-5592
34-89984 Sep. 24, 2020 Power Solutions International, Inc.
Other Release No.: AAER-4169
34-89983 Sep. 24, 2020 James Vincent Marino
Other Release No.: IA-5591
34-89980 Sep. 24, 2020 Emmanuel Kouyoumdjian a/k/a "Manny K"
34-89979 Sep. 24, 2020 Morgan Wilshire Securities, Inc.
See also: Administrative Summary
33-10851 Sep. 24, 2020 Steven Rosen
Other Release No.: IA-5590
See also: Administrative Summary
33-10850 Sep. 24, 2020 Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC
33-10849 Sep. 24, 2020 Michael Vernon
Other Release No.: IA-5589
See also: Administrative Summary
34-89978 Sep. 24, 2020 HS3 Technologies, Inc.
33-10848 Sep. 23, 2020 Alan J. Kau
Other Release No.: 34-89977
See also: Administrative Summary
33-10847 Sep. 23, 2020 Daniel C. Masters
Other Release No.: 34-89976
See also: Administrative Summary
34-89975 Sep. 23, 2020 Jonestrading Institutional Services LLC
See also: Administrative Summary
34-89966 Sep. 23, 2020 LHI Acquisition Corporation
34-89965 Sep. 23, 2020 TSLC I, Inc.
34-89959 Sep. 22, 2020 Vortex Blockchain Technologies Inc.
34-89957 Sep. 22, 2020 Core Lithium Corp.
34-89955 Sep. 22, 2020 International Leaders Capital Corporation
34-89953 Sep. 22, 2020 Genesis Financial, Inc.
34-89947 Sep. 22, 2020 Credit Suisse Securities (USA) LLC
Other Release No.: IA-5587
See also: Administrative Summary
34-89961 Sep. 22, 2020 Eliseo Sampayo
Other Release No.: IA-5588
See also: Administrative Summary
34-89951 Sep. 22, 2020 Stratabase
34-89950 Sep. 22, 2020 Travco, Inc.
34-89945 Sep. 21, 2020 Progreen US, Inc.
34-89943 Sep. 21, 2020 Integral Technologies, Inc.
34-89940 Sep. 21, 2020 Zenergy Brands, Inc.
34-89938 Sep. 21, 2020 HK eBus Corporation
34-89934 Sep. 21, 2020 A La Carte Charts Corp., Iron Sands Corp. and TOPAW, Inc.
34-89933 Sep. 21, 2020 Agora Holdings, Inc.
IA-5586 Sep. 21, 2020 Palmer Square Capital Management LLC
Other Release No.: IC-34017
See also: Administrative Summary
34-89936 Sep. 21, 2020 Steven L. Jenkins, CPA
Other Release No.: AAER-4168
See also: Administrative Summary
34-89935 Sep. 21, 2020 RCI Hospitality Holdings, Inc., Eric S. Langan and Phillip K. Marshall, CPA
See also: Administrative Summary
IA-5585 Sep. 18, 2020 Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited
See also: Administrative Summary
IA-5584 Sep. 18, 2020 Keyport Venture Advisors LLC, et al.
See also: Administrative Summary
33-10844 Sep. 18, 2020 Loyal Source Market Services, et al.
33-10843 Sep. 18, 2020 Crest Radius, et al.
34-89922 Sep. 18, 2020 Tri Clean Enterprises Inc.
34-89921 Sep. 18, 2020 Ihealthcare, Inc.
34-89919 Sep. 18, 2020 The Miix Group, Incorporated
34-89918 Sep. 18, 2020 Perkins Oil & Gas, Inc.
34-89917 Sep. 18, 2020 Energy Conversion Services, Inc.
34-89916 Sep. 18, 2020 V3 Semiconductor, Inc.
34-89910 Sep. 17, 2020 The General Chemical Group Inc.
34-89908 Sep. 17, 2020 Players Network, Inc.
34-89906 Sep. 17, 2020 Ezy Cloud Holding, Inc.
34-89904 Sep. 17, 2020 Epoxy, Inc.
34-89914 Sep. 17, 2020 WCAS Management Corporation
See also: Administrative Summary
IA-5583 Sep. 17, 2020 Steven Fitzgerald Brown
IA-5582 Sep. 17, 2020 Gilder Gagnon Howe & Co. LLC and Bonnie M. Haupt
Other Release No.: IC-34014
34-89903 Sep. 17, 2020 Navian Capital Securities LLC and Robert P. Jenkins
See also: Administrative Summary
34-89900 Sep. 17, 2020 Coordinated Capital Securities, Inc.
Other Release No.: IA-5581
See also: Administrative Summary
34-89894 Sep. 16, 2020 ExeLED Holdings Inc.
34-89892 Sep. 16, 2020 Vape Holdings, Inc.
34-89887 Sep. 16, 2020 Smartag International, Inc.
34-89896 Sep. 16, 2020 David F. Bandimere
34-89890 Sep. 16, 2020 Source Media Inc.
34-89889 Sep. 16, 2020 Worldtek Corp. (f/k/a Lundell Technologies, Inc.)
34-89885 Sep. 16, 2020 Kenneth A. Stromsland
34-89882 Sep. 15, 2020 Steri-Oss, Inc.
34-89881 Sep. 15, 2020 Samdrew VII, Inc.
34-89873 Sep. 15, 2020 Alan Fraade
34-89872 Sep. 15, 2020 Frederick Mintz
33-10841 Sep. 15, 2020 Unikrn, Inc.
34-89861 Sep. 14, 2020 Henry Seth Brock, CPA
Other Release No.: AAER-4167
IA-5580 Sep. 14, 2020 John Geraci
34-89853 Sep. 14, 2020 Quest Entertainment Corp.
34-89852 Sep. 14, 2020 Peaksoft Multinet Corp.
34-89851 Sep. 14, 2020 Life Critical Care Corporation
33-10839 Sep. 14, 2020 William W. Welsh
Other Release Nos.: 34-89856, IC-34009
See also: Administrative Summary
33-10838 Sep. 14, 2020 Thomas Vigorito
Other Release Nos.: 34-89855, IC-34008
See also: Administrative Summary
33-10837 Sep. 14, 2020 Roosevelt & Cross, Inc.
Other Release No.: 34-89854
See also: Administrative Summary
34-89857 Sep. 14, 2020 Emin Cohen
34-89848 Sep. 11, 2020 William D. King, CPA
Other Release Nos.: IA-5579, IC-34007
See also: Administrative Summary
33-10836 Sep. 11, 2020 Clifford Harris, Jr.
34-89843 Sep. 11, 2020 Steven D. Rodemer
Other Release No.: IA-5577
34-89842 Sep. 11, 2020 Samdrew IX, Inc.
34-89841 Sep. 11, 2020 Royale Globe Holding Inc.
34-89840 Sep. 11, 2020 Reach Genetics, Inc.
34-89839 Sep. 11, 2020 Franklin Hill Acquisition Corporation
34-89838 Sep. 11, 2020 Escondido Innovations, Inc.
34-89837 Sep. 11, 2020 Clontech Laboratories, Inc. n/k/a Takara Bio USA, Inc.
34-89829 Sep. 11, 2020 Dominic Tropiano
34-89827 Sep. 10, 2020 American Blockchain Biochar Corporation
34-89821 Sep. 10, 2020 IHO-Agro International, Inc. n/k/a Grandwon Corp.
34-89816 Sep. 10, 2020 Craig P. Moyes
See also: Administrative Summary
34-89815 Sep. 10, 2020 American Gene Engineer Corp.
34-89814 Sep. 10, 2020 Armada Enterprises, LP n/k/a BIM Homes, Inc.
34-89813 Sep. 10, 2020 Steven M Sexton
34-89812 Sep. 10, 2020 Gulf Biomedical Corporation n/k/a Southern Star Energy Corporation
34-89811 Sep. 10, 2020 GRG, Inc. n/k/a EFT Holdings, Inc.
34-89810 Sep. 10, 2020 G.I. Joe's, Inc.
34-89808 Sep. 10, 2020 Benaiah Holdings Group, Inc.
34-89807 Sep. 10, 2020 Awareness for Teens, Inc.
34-89806 Sep. 10, 2020 Atlas Resources Series 33-2013 L.P.
34-89805 Sep. 10, 2020 Krystal Industries, Inc.
34-89804 Sep. 10, 2020 Hollywood Entertainment Edu Holdings, Inc.
34-89803 Sep. 10, 2020 HD View 360, Inc.
IA-5576 Sep. 10, 2020 Graham, Bordelon and Golson & Gilbert, Inc.
IA-5575 Sep. 10, 2020 Dionne Van Zyl
34-89791 Sep. 9, 2020 AFH Acquisition IX, Inc.
34-89785 Sep. 8, 2020 Alexander S. Gould
IA-5574 Sep. 8, 2020 Alexander S. Gould
Other Release No.: IC-34004
See also: Administrative Summary
IA-5573 Sep. 4, 2020 SQN Capital Management, LLC
Other Release No.: AAER-4166
See also: Administrative Summary
34-89770 Sep. 4, 2020 Vereit, Inc.
34-89762 Sep. 3, 2020 Token Communities Ltd.
34-89761 Sep. 3, 2020 Cür Media, Inc., Crednology Holding Corporation (n/k/a Corptech Holding, Inc.)
IA-5571 Sep. 3, 2020 Signature Financial Services, Ltd.
See also: Administrative Summary
33-10833 Sep. 3, 2020 Covalent Collective, Inc.
See also: Administrative Summary
33-10832 Sep. 3, 2020 National Financial Services LLC
Other Release Nos.: 34-89756, IA-5569
See also: Administrative Summary
33-10831 Sep. 3, 2020 FuelCell Energy, Inc.
See also: Administrative Summary
IA-5570 Sep. 3, 2020 Vladislav Khalupsky
34-89758 Sep. 3, 2020 Wilmington Trust Corporation
See also: Final Distribution Plan and Exhibits
34-89757 Sep. 3, 2020 Yue Li
See also: Administrative Summary
34-89744 Sep. 2, 2020 Rorine International Holding Corporation
34-89742 Sep. 2, 2020 Unifunds Limited
34-89738 Sep. 2, 2020 Anton Senderov and Lior Barbazara
34-89755 Sep. 2, 2020 Bethany Liou and Golden California Regional Center, LLC
See also: Proposed Distribution Plan
Comments received are available for this plan.
34-89728 Sep. 1, 2020 Green Technology Solutions, Inc.
34-89726 Sep. 1, 2020 US VR Global.Com Inc.
34-89720 Sep. 1, 2020 Sean R. Stewart
Other Release No.: IA-5567
34-89716 Aug. 31, 2020 Oncolix, Inc.
34-89714 Aug. 31, 2020 Northsight Capital Inc.
34-89711 Aug. 28, 2020 Bankrate, Inc.
See also: Proposed Plan of Distribution
Comments due:  30 days from date of this Notice
34-89708 Aug. 28, 2020 VEREIT, Inc.
34-89704 Aug. 28, 2020 Herbalife Nutrition Ltd.
Other Release No.: AAER-4165
34-89702 Aug. 27, 2020 Grandbanc, Inc.
34-89701 Aug. 27, 2020 Affiliated Food Stores, Inc.
34-89698 Aug. 27, 2020 Terra Telecommunications Corp.
34-89697 Aug. 27, 2020 American Blockchain Biochar Corporation
34-89696 Aug. 27, 2020 Weedclub, Inc.
34-89695 Aug. 27, 2020 ERBA Diagnostics, Inc. and Eternity Healthcare, Inc.
34-89690 Aug. 27, 2020 Inventabiotech Inc.
34-89688 Aug. 27, 2020 ICTV Brands Inc.
34-89699 Aug. 27, 2020 Richard Barone
33-10828 Aug. 27, 2020 Christopher Barone
Other Release Nos.: 34-89700, IC-33997
IA-5566 Aug. 27, 2020 Aldo Marchena
34-89687 Aug. 27, 2020 Vstock Transfer LLC
See also: Administrative Summary
34-89681 Aug. 26, 2020 Forevergreen Worldwide Corporation
34-89680 Aug. 26, 2020 Spindle, Inc.
34-89677 Aug. 26, 2020 BorgWarner Inc.
Other Release No.: AAER-4164
34-89665 Aug. 25, 2020 All Marketing Solutions, Inc.
34-89660 Aug. 25, 2020 Agora Holdings, Inc.
34-89658 Aug. 25, 2020 Charles Liang
Other Release No.: AAER-4163
34-89657 Aug. 25, 2020 Howard Hideshima
Other Release No.: AAER-4162
33-10822 Aug. 25, 2020 Super Micro Computer, Inc.
Other Release Nos.: 34-89656, AAER-4161
34-89650 Aug. 25, 2020 Billion Holding Inc.
34-89649 Aug. 25, 2020 Celebiddy, Inc.
34-89648 Aug. 25, 2020 MC Informatics
34-89647 Aug. 24, 2020 Dale Tenhulzen
34-89644 Aug. 24, 2020 Digiliti Money Group, Inc.
34-89642 Aug. 24, 2020 THT Heat Transfer Technology, Inc.
IA-5564 Aug. 24, 2020 Patrick Morgan Schiro
34-89641 Aug. 21, 2020 Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
34-89637 Aug. 21, 2020 Consorteum Holdings, Inc. and Coates International Ltd.
34-89629 Aug. 21, 2020 Steven Pagartanis
34-89625 Aug. 20, 2020 Stephen Douglas Pizzuti
Other Release No.: IA-5563
34-89624 Aug. 20, 2020 NPB Financial Group, LLC
Other Release No.: IA-5562
See also: Administrative Summary
34-89588 Aug. 17, 2020 Devere USA, Inc.
See also: Modified Plan of Distribution
34-89568 Aug. 14, 2020 Milan K. Patel, Esq.
34-89552 Aug. 13, 2020 Brian Dee Matlock, CPA
Other Release No.: AAER-4159
See also: Administrative Summary
33-10818 Aug. 13, 2020 Garrett Gaylor
Other Release No.: 34-89553
See also: Administrative Summary
IA-5560 Aug. 13, 2020 SCF Investment Advisors, Inc.
33-10817 Aug. 13, 2020 Kelvin Boon, LLC and Rajesh Pavithran
Other Release No.: 34-89548
34-89529 Aug. 12, 2020 HypGen, Inc. and Lifestyle Medical Network, Inc.
34-89521 Aug. 11, 2020 Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel
34-89524 Aug. 11, 2020 Joshua Turney
34-89523 Aug. 11, 2020 Hector Perez
34-89522 Aug. 11, 2020 Barbara Desiderio
34-89517 Aug. 10, 2020 Nicholas Mejia Scrivener
See also: Administrative Summary
34-89510 Aug. 10, 2020 Interactive Brokers LLC
See also: Administrative Summary
IA-5558 Aug. 7, 2020 Rialto Capital Management, LLC
34-89501 Aug. 6, 2020 Wells Fargo & Company
See also: Proposed Distribution Plan
Comments received are available for this plan.
34-89489 Aug. 6, 2020 World Acceptance Corporation
Other Release No.: AAER-4158
33-10816 Aug. 5, 2020 Scott M. Dittman, CPA
Other Release No.: AAER-4157
34-89481 Aug. 5, 2020 WBI Investments, Inc. and Millington Securities, Inc.
Other Release No.: IA-5557
34-89477 Aug. 5, 2020 Randolph Acquisitions, Inc.
34-89475 Aug. 4, 2020 Tommy Shek, CPA
Other Release No.: AAER-4156
33-10812 Jul. 31, 2020 Tanya R. Carro, CPA
Other Release Nos.: 34-89445, AAER-4155
33-10811 Jul. 31, 2020 Howard B. Schiller
Other Release No.: 34-89444
33-10810 Jul. 31, 2020 J. Michael Pearson
Other Release Nos.: 34-89443, AAER-4154
33-10809 Jul. 31, 2020 Valeant Pharmaceuticals International, Inc. and n/k/a Bausch Health Companies Inc.
Other Release Nos.: 34-89442, AAER-4153
IA-5555 Jul. 31, 2020 Birinyi Associates, Inc.
See also: Administrative Summary
34-89429 Jul. 30, 2020 Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc.
34-89407 Jul. 28, 2020 VALIC Financial Advisors, Inc.
Other Release No.: IA-5551
34-89405 Jul. 28, 2020 VALIC Financial Advisors, Inc.
Other Release No.: IA-5550
34-89404 Jul. 27, 2020 Celadon Financial Group LLC
See also: Administrative Summary
34-89390 Jul. 23, 2020 Leonardo Cornide and Jorge Falcon
34-89383 Jul. 23, 2020 Morgan Stanley Smith Barney LLC
33-10806 Jul. 22, 2020 Carlos Renato Cano
Other Release Nos.: 34-89380, IA-5548, IC-33944
See also: Administrative Summary
33-10805 Jul. 22, 2020 IRTH Communications, LLC and Andrew Haag
See also: Administrative Summary
34-89352 Jul. 21, 2020 Edmond Leung
See also: Administrative Summary
34-89350 Jul. 21, 2020 Joseph Zhang
See also: Administrative Summary
34-89348 Jul. 20, 2020 UBS Financial Services Inc.
34-89347 Jul. 20, 2020 John J. Marvin
Other Release No.: IA-5546
34-89346 Jul. 20, 2020 William S. Costas
Other Release No.: IA-5545
34-89345 Jul. 20, 2020 Merlyn Curt Geisler
34-89336 Jul. 17, 2020 Jack Alan Abramoff
34-89333 Jul. 16, 2020 Weatherford International PLC, et al.
34-89332 Jul. 16, 2020 Robert Russel Tweed
Other Release No.: IA-5542
IA-5543 Jul. 16, 2020 First Western Capital Management Company
See also: Administrative Summary
IA-5541 Jul. 16, 2020 Dionne Van Zyl
34-89326 Jul. 15, 2020 Paul J. Konigsberg
Other Release No.: AAER-4152
33-10802 Jul. 14, 2020 Abetterfinancialplan.Com, LLC, d/b/a a Better Financial Plan and Dean J. Vagnozzi
Other Release No.: 34-89318
See also: Administrative Summary
IA-5540 Jul. 14, 2020 Temenos Advisory, Inc.
34-89314 Jul. 14, 2020 George L. Taylor
Other Release No.: IA-5539
34-89300 Jul. 13, 2020 World Moto, Inc.
34-89298 Jul. 13, 2020 Wonhe High-Tech International, Inc.
34-89295 Jul. 13, 2020 Ultimate Products Corporation, et al.
34-89294 Jul. 13, 2020 Hidden Forest Acquisition Corp. and Global 2.0 Corporation
33-10801 Jul. 13, 2020 Plutus Financial Inc. d/b/a Abra and Plutus Technologies Philippines Corp.
Other Release No.: 34-89296
34-89287 Jul. 10, 2020 Wilmington Trust Corporation
See also: Distribution Plan
Comments received are available for this proposed plan.
34-89278 Jul. 9, 2020 Sky Resort International Limited and Median Group, Inc. (f/k/a China Media Group Corporation)
34-89276 Jul. 9, 2020 Trans-Pacific Aerospace Company and Inc. and Vertical Computer Systems, Inc.
34-89284 Jul. 9, 2020 EliteSoft Global Inc. and Capital Access Point 1, Inc.
34-89283 Jul. 9, 2020 Aspen Marine Group Inc. and Biocircuits Corporation
34-89280 Jul. 9, 2020 Synthonics Technologies, Inc.
IA-5536 Jul. 9, 2020 Benjamin Alderson
IA-5535 Jul. 9, 2020 BNB Wealth Management, LLC
34-89253 Jul. 8, 2020 Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc.
34-89251 Jul. 8, 2020 Sirrus Corp. and Sinorama Corporation
34-89249 Jul. 8, 2020 Yong (Michael) Chen
34-89245 Jul. 7, 2020 Protalex, Inc. and Provision Holding, Inc.
34-89243 Jul. 7, 2020 Cür Media, Inc. and Crednology Holding Corporation (n/k/a Corptech Holding, Inc.)
34-89231 Jul. 6, 2020 Notis Global, Inc. and Nexus Biopharma, Inc.
34-89229 Jul. 6, 2020 Hypgen, Inc. and Lifestyle Medical Network, Inc.
34-89223 Jul. 6, 2020 Orthofix International N.V.
34-89221 Jul. 6, 2020 Ralph C. Greaves, Esq.
IA-5531 Jul. 2, 2020 Franklin Advisers and Inc. and Franklin Templeton Investments Corp.
Other Release No.: IC-33919
See also: Administrative Summary
33-10797 Jul. 2, 2020 Michael D. Tannen
Other Release Nos.: 34-89215, IC-33918
See also: Administrative Summary
34-89214 Jul. 2, 2020 Alexion Pharmaceuticals, Inc.
Other Release Nos.: AAER-4151
34-89210 Jul. 1, 2020 Gilla, Inc. and Evergreen-Agra Global Investments, Inc.
34-89208 Jul. 1, 2020 ERBA Diagnostics, Inc. and Eternity Healthcare, Inc.
IA-5530 Jul. 1, 2020 Neil Burkholz
33-10796 Jul. 1, 2020 David Rumsey
See also: Administrative Summary

Second Quarter

34-89204 Jun. 30, 2020 Eos Petro, Inc. and eFleets Corporation
34-89201 Jun. 30, 2020 Morgan Stanley, Co. LLC; Morgan Stanley Abs Capital I Inc; and Morgan Stanley Mortgage Capital Holdings LLC
See also: Distribution Plan
34-89200 Jun. 30, 2020 Apex Fund Services (Us), Inc.
34-89198 Jun. 30, 2020 Cyclone Power Technologies, Inc. and Ecolocap Solutions, Inc.
IA-5529 Jun. 30, 2020 Frank Bianco
34-89195 Jun. 30, 2020 UBS Financial Services Inc. of Puerto Rico
33-10795 Jun. 30, 2020 Potamus Trading LLC and Eric J. Pritchett
Other Release Nos.: 34-89190, IC-33915
See also: Administrative Summary
33-10794 Jun. 30, 2020 Michelle Dipp
Other Release Nos.: 34-89187
See also: Administrative Summary
34-89183 Jun. 29, 2020 Consorteum Holdings, Inc. and Coates International Ltd.
34-89181 Jun. 29, 2020 Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
34-89178 Jun. 29, 2020 Dandan Wu
34-89177 Jun. 29, 2020 BNP Paribas Securities Corp.
See also: Administrative Summary
34-89171 Jun. 29, 2020 John Christopher Polit
Other Release No.: IA-5528
IA-5527 Jun. 26, 2020 Gregory Alan Smith
34-89159 Jun. 25, 2020 Dain F. Stokes
Other Release No.: IA-5526
34-89149 Jun. 25, 2020 Novartis AG
Other Release No.: AAER-4150
34-89144 Jun. 24, 2020 Michael Douglas Billings and Mdb Group, LLC
34-89143 Jun. 24, 2020 SG Americas Securities, LLC
34-89139 Jun. 24, 2020 Todd H. Lahr, Esq.
33-10793 Jun. 23, 2020 Vereit, Inc.
Other Release Nos.: 34-89133, AAER-4149
See also: Administrative Summary
34-89135 Jun. 23, 2020 Trinity Capital Corporation
34-89113 Jun. 22, 2020 BKS Advisors LLC
34-89112 Jun. 22, 2020 Visium Asset Management, LP
34-89111 Jun. 22, 2020 Matthew Ledvina, Esq.
34-89096 Jun. 18, 2020 Harbour Investments, Inc.
34-89094 Jun. 18, 2020 Diane J. Harrison, Esq.
IA-5524 Jun. 17, 2020 Sultan S. Issa
34-89078 Jun. 16, 2020 Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
Other Release Nos.: IA-5523, IC-33895
See also: Administrative Summary
IA-5522 Jun. 16, 2020 Richard T. Diver
IA-5520 Jun. 12, 2020 Louis Navellier and Navellier & Associates, Inc.
34-89044 Jun. 11, 2020 ChatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc.
34-89023 Jun. 5, 2020 Jana Faith Kiena, CPA
Other Release No.: AAER-4147
See also: Administrative Summary
IA-5519 Jun. 5, 2020 Douglas Leighton
34-89025 Jun. 5, 2020 Jeremy A. Licht d/b/a JL Capital Management
34-89024 Jun. 5, 2020 Fifth Street Management, LLC
34-89021 Jun. 5, 2020 Tamara Steele
Other Release No.: IA-5516
34-89013 Jun. 4, 2020 Train and Babcock Advisors LLC
34-89009 Jun. 4, 2020 Argo Group International Holdings, Ltd.
Other Release No.: AAER-4146
34-88998 Jun. 3, 2020 Christopher D. Larson (CPA)
Other Release No.: AAER-4145
33-10789 Jun. 2, 2020 William Vescio
Other Release Nos.: 34-88996, IA-5515
See also: Administrative Summary
34-88991 Jun. 2, 2020 Todd A. Esh
Other Release No.: IA-5514
34-88976 Jun. 1, 2020 U.S. Bancorp Investments, Inc.
Other Release No.: IA-5513
IA-5512 May 29, 2020 Oxbow Advisors, LLC
34-88969 May 28, 2020 Morgan Stanley Smith Barney LLC
33-10788 May 28, 2020 BitClave PTE Ltd.
34-88965 May 28, 2020 Gibraltar Global Securities, Inc.
34-88964 May 28, 2020 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
34-88963 May 28, 2020 Focus Media Holding Limited and Jason Jiang
IA-5511 May 27, 2020 Syed Arham Arbab
34-88962 May 27, 2020 Warren A. Davis
34-88951 May 26, 2020 Robert C. Weaver, Jr., Esq.
IA-5510 May 26, 2020 Ares Management LLC
34-88941 May 26, 2020 William Andrew Hightower
Other Release No.: IA-5509
34-88937 May 22, 2020 Robert Gilbert
34-88936 May 22, 2020 Paul Ewer
34-88935 May 22, 2020 American Realty Funds Corporation
IA-5508 May 22, 2020 TSP Capital Management Group, LLC
Other Release No.: AAER-4144
See also: Administrative Summary
34-88931 May 21, 2020 Nicholas Fleming aka "Nick Franklin"
34-88921 May 21, 2020 Wells Fargo & Company
34-88920 May 21, 2020 Visium Asset Management, LP
34-88919 May 21, 2020 Devere USA, Inc.
34-88897 May 18, 2020 John Donovan, CPA
Other Release No.: AAER-4143
34-88896 May 18, 2020 Michael Bellach, CPA
Other Release No.: AAER-4142
34-88895 May 18, 2020 Timothy Daly, CPA
Other Release No.: AAER-4141
34-88880 May 15, 2020 Morningstar Credit Ratings, LLC
34-88865 May 14, 2020 Ronald D. Swanson Aka Ronald D. Swanson-Cerna
34-88862 May 13, 2020 Sergey Pustelnik a/k/a Serge Pustelnik
34-88864 May 13, 2020 1Globe Capital, LLC and Jiaqiang "Chiang" Li
See also: Administrative Summary
IA-5502 May 12, 2020 Travis Laska
IA-5501 May 12, 2020 Stacy L. Beane
IA-5500 May 12, 2020 Justin N. Deckert
34-88860 May 12, 2020 Wallace Byers
34-88856 May 12, 2020 Morgan Stanley Smith Barney LLC
Other Release No.: IA-5499
34-88855 May 11, 2020 Diane Kaylor
34-88849 May 11, 2020 Equinox Fund Management, LLC
34-88847 May 11, 2020 Mergenet Medical, Inc., et al.
34-88848 May 11, 2020 Lawrence E. Hagedorn
Other Release No.: IA-5498
33-10783 May 6, 2020 Bloomberg Tradebook LLC
Other Release No.: 34-88830
IA-5497 May 5, 2020 Barry R. Bekkedam
34-88808 May 5, 2020 Jeffery A. Curran, CA
Other Release No.: AAER-4138
34-88804 May 4, 2020 Pennant Management, Inc.
34-88797 May 1, 2020 Wendy Lieberman Kirkland, et al.
Other Release Nos.: IA-5494, IC-33860
34-88791 May 1, 2020 Todd H. Takeyasu, CA
Other Release No.: AAER-4134
33-10779 Apr. 30, 2020 American Bondholders Foundation, LLC and Jonna Bianco
33-10778 Apr. 30, 2020 Wei Duan
Other Release No.: 34-88781
See also: Administrative Summary
IA-5491 Apr. 30, 2020 Everest Capital LLC and Marko Dimitrijevic
See also: Administrative Summary
34-88784 Apr. 30, 2020 Jerry E. Orellana
Other Release No.: IA-5492
See also: Administrative Summary
34-88780 Apr. 30, 2020 Portfolio Advisors Alliance, Inc.
IA-5490 Apr. 30, 2020 Monsoon Capital, LLC and Gautam Prakash
Other Release No.: IC-33858
See also: Administrative Summary
34-88779 Apr. 30, 2020 Wilmington Trust Corporation
34-88777 Apr. 30, 2020 Leonardo Cornide and Jorge Falcon
34-88773 Apr. 29, 2020 Lee C. Schlesinger
34-88763 Apr. 28, 2020 William M. Aisenberg, CPA (Corrected)
Other Release No.: AAER-4132
34-88762 Apr. 28, 2020 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
IA-5489 Apr. 28, 2020 Semper Capital Management, L.P.
Other Release No.: IC-33856
See also: Administrative Summary
34-88751 Apr. 27, 2020 Anthony C. Ciccone
34-88747 Apr. 24, 2020 Jeffrey G. Klein
34-88739 Apr. 24, 2020 PLS, CPA, et al. (Corrected)
Other Release No.: AAER-4131
See also: Administrative Summary
33-10777 Apr. 24, 2020 RBC Capital Markets LLC
Other Release Nos.: 34-88745, IA-5487
See also: Administrative Summary
34-88744 Apr. 24, 2020 Biltmore International Corporation
See also: Administrative Summary
34-88733 Apr. 23, 2020 Great Basin Scientific, Inc.
34-88732 Apr. 23, 2020 Stephen Douglas Pizzuti
Other Release No.: IA-5486
34-88731 Apr. 22, 2020 Elliot R. Berman, CPA
Other Release No.: AAER-4130
IA-5485 Apr. 22, 2020 Monomoy Capital Management, L.P.
See also: Administrative Summary
IA-5484 Apr. 22, 2020 N. Scott Gillis, CPA
Other Release No.: AAER-4126
IA-5483 Apr. 22, 2020 Brian A. Oliver
IA-5482 Apr. 22, 2020 Robert J. Jesenik
34-88724 Apr. 22, 2020 Brian M. Storms
Other Release No.: AAER-4129
34-88723 Apr. 22, 2020 Kenneth D. Shifrin, CPA
Other Release No.: AAER-4128
33-10775 Apr. 22, 2020 Brian L. Ferdinand
Other Release Nos.: 34-88720, AAER-4127
34-88695 Apr. 20, 2020 Axiom Corp., et al.
IA-5480 Apr. 17, 2020 Eagle Strategies LLC
IA-5479 Apr. 17, 2020 Merrill Lynch, Pierce and Fenner & Smith, Incorporated
IA-5478 Apr. 17, 2020 Old Ironsides Energy, LLC,
See also: Administrative Summary
IA-5477 Apr. 17, 2020 Cozad Asset Management, Inc.
34-88686 Apr. 17, 2020 Brian Robert Sodi, CPA
Other Release No.: AAER-4125
34-88680 Apr. 17, 2020 James Arthur Young III
Other Release No.: IA-5481
34-88679 Apr. 17, 2020 Eni S.p.A.
Other Release No.: AAER-4124
See also: Administrative Summary
34-88662 Apr. 16, 2020 Boenning & Scattergood, Inc., Craig Burdulis and Brian Gillespie
34-88659 Apr. 16, 2020 Miranda Suen, CPA
Other Release No.: AAER-4123
34-88653 Apr. 15, 2020 Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP
Other Release No.: AAER-4122
34-88652 Apr. 15, 2020 Anthony Vassallo
34-88651 Apr. 15, 2020 Sergio Ramirez
34-88650 Apr. 15, 2020 Ronald Hardy
34-88635 Apr. 14, 2020 Attis Industries, Inc.
34-88597 Apr. 8, 2020 Fortress Investment Management, LLC, and William M. Malloy, III
34-88588 Apr. 8, 2020 Fortress Investment Management, LLC, and William M. Malloy, III
34-88598 Apr. 8, 2020 Sica Wealth Management, LLC and Jeffrey C. Sica
IA-5474 Apr. 7, 2020 Geoffrey J. Thompson
34-88567 Apr. 6, 2020 Cantor Fitzgerald & Co.
34-88544 Apr. 2, 2020 Cybrdi, Inc.
IA-5471 Apr. 1, 2020 Adam Matthew Root

First Quarter

34-88529 Mar. 31, 2020 Donald J. Fowler
34-88510 Mar. 30, 2020 Augustine Capital Management, et al.
34-88506 Mar. 27, 2020 Bryan Cohen
34-88498 Mar. 27, 2020 Benjamin Kirkland
34-88489 Mar. 26, 2020 Endless Charge, Inc.
34-88480 Mar. 26, 2020 PositiveID Corporation
34-88463 Mar. 24, 2020 Anthony B. Brandel and M.Y. Consultants, Inc.
IA-5468 Mar. 24, 2020 Nicholas J. Genovese
34-88454 Mar. 23, 2020 EZTD Inc.
34-88453 Mar. 23, 2020 Wells Fargo & Company
34-88452 Mar. 23, 2020 Devere USA, Inc.
See also: Distribution Plan
Comments received are available for this proposed plan.
34-88442 Mar. 20, 2020 Bethany Liou and Golden California Regional Center, LLC
34-88432 Mar. 20, 2020 Ronald Emma, CPA
Other Release No.: AAER-4120
34-88430 Mar. 19, 2020 Magnachip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
34-88423 Mar. 19, 2020 Gerald C. Parker
34-88395 Mar. 16, 2020 Wilmington Trust Corporation
34-88388 Mar. 16, 2020 Marcus Boggs
Other Release No.: IA-5465
34-88387 Mar. 16, 2020 HSBC Securities (USA) Inc.
Other Release No.: IA-5464
See also: Administrative Summary
34-88377 Mar. 12, 2020 David G. Dreslin, CPA
Other Release No.: AAER-4119
IA-5462 Mar. 12, 2020 Motty Mizrahi
IA-5461 Mar. 12, 2020 Naya Ventures, LLC, Dayakar Puskoor and Prabhakar Reddy
34-88371 Mar. 12, 2020 BMA Securities, LLC
34-88353 Mar. 10, 2020 Wells Fargo & Company
34-88347 Mar. 10, 2020 Bruce C. Worthington
Other Release No.: IA-5460
34-88344 Mar. 9, 2020 Dennis M. Farrah
34-88338 Mar. 5, 2020 Attis Industries, Inc.
IA-5458 Mar. 4, 2020 Eric D. Lyons
34-88316 Mar. 4, 2020 E. Herbert Hafen
Other Release No.: IA-5456
IA-5457 Mar. 4, 2020 Motty Mizrahi
34-88314 Mar. 3, 2020 Daniel B. Vazquez, Sr.
Other Release No.: IA-5455
34-88305 Feb. 28, 2020 Yaniv Avnon, Ran Armon and G Six Trading Y.R Ltd.
33-10761 Feb. 28, 2020 Shawn Severson
See also: Administrative Summary
34-88303 Feb. 28, 2020 Cardinal Health, Inc.
Other Release No.: AAER-4118
34-88295 Feb. 27, 2020 Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Other Release No.: IA-5451
IA-5453 Feb. 27, 2020 Sica Wealth Management, LLC and Jeffrey C. Sica
See also: Administrative Summary
IA-5452 Feb. 27, 2020 Fortress Investment Management, LLC, William M. Malloy, III
Other Release No.: IC-33807
See also: Administrative Summary
IA-5450 Feb. 27, 2020 Steven E. Fishman
Other Release No.: IC-33806
33-10760 Feb. 27, 2020 Steven Seagal
34-88290 Feb. 26, 2020 Brett Pittsenbargar
34-88289 Feb. 26, 2020 Axiom Corp., et al.
34-88287 Feb. 26, 2020 RSM US LLP (f/k/a/ Mcgladrey LLP)
Other Release No.: AAER-4117
See also: Administrative Summary
34-88280 Feb. 25, 2020 Thomas J. Craft, Jr.
34-88274 Feb. 24, 2020 Charles F. Kerwin
See also: Administrative Summary
34-88270 Feb. 24, 2020 Faiyaz Dean
IA-5448 Feb. 24, 2020 Lone Star Value Management LLC and Jeffrey Eberwein
34-88258 Feb. 21, 2020 Richard Jeffrey Rubin
34-88257 Feb. 21, 2020 Wells Fargo & Company
See also: Waiver Order
34-88256 Feb. 21, 2020 Marcus Boggs
Other Release No.: IA-5447
34-88249 Feb. 20, 2020 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
See also: Plan of Distribution
33-10756 Feb. 19, 2020 Diageo plc
Other Release No.: 34-88234
33-10755 Feb. 19, 2020 Enigma MPC
34-88223 Feb. 14, 2020 National Stock Exchange and David Colker
34-88205 Feb. 13, 2020 Marc A. Celello, Esq.
34-88202 Feb. 13, 2020 BPU Investment Management, Inc.
Other Release No.: IA-5444
See also: Administrative Summary
34-88192 Feb. 13, 2020 Martin J. Kinchloe (corrected)
34-88155 Feb. 7, 2020 Randall Goulding, Esq.
34-88150 Feb. 7, 2020 Thomas Troy Brooks
34-88153 Feb. 7, 2020 Joseph A. Meyer, Jr.
Other Release No.: IA-5443
34-88145 Feb. 7, 2020 Leonardo Cornide and Jorge Falcon
34-88144 Feb. 7, 2020 Leonardo Cornide and Jorge Falcon
34-88143 Feb. 7, 2020 Wayne Scott Simpson
34-88140 Feb. 6, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: AAER-4116
See also: Administrative Summary
IA-5442 Feb. 6, 2020 Jay Costa Kelter
34-88139 Feb. 6, 2020 ABN AMRO Clearing Chicago LLC
34-88123 Feb. 5, 2020 David Alan Wolfson
34-88121 Feb. 5, 2020 Glenn Joseph Story
34-88119 Feb. 5, 2020 Gordon Caplan, Esq.
IA-5441 Feb. 4, 2020 Cannell Capital, LLC
See also: Administrative Summary
34-88117 Feb. 4, 2020 Jason David St. Amour
34-88116 Feb. 4, 2020 Gregory Lamont Drake
34-88114 Feb. 3, 2020 Edward E. Matthes
Other Release No.: IA-5440
IA-5439 Jan. 31, 2020 Barton W. Stuck
34-88104 Jan. 30, 2020 Daniel Markel
34-88073 Jan. 29, 2020 Jeffrey L. Wendel
34-88072 Jan. 29, 2020 Jeffrey Goldman
34-88071 Jan. 29, 2020 Charles N. Nilosek
34-88070 Jan. 29, 2020 Paramount Financial Services, Inc. d/b/a Live Abundant
34-88063 Jan. 28, 2020 Donald Anthony Mackenzie
34-88062 Jan. 28, 2020 Gregory A. Koch
34-88061 Jan. 28, 2020 Richard Fritts
34-88059 Jan. 28, 2020 Erik Rhodes
34-88057 Jan. 28, 2020 Gary R. Smith
34-88048 Jan. 27, 2020 Steven M. Des Champs, CPA
IA-5436 Jan. 27, 2020 Catalyst Capital Advisors, LLC and Jerry Szilagyi
34-88043 Jan. 27, 2020 Robert S. "Lute" Davis, Jr.
34-88042 Jan. 27, 2020 Aaron R. Andrew
34-88041 Jan. 27, 2020 Gregory W. Anderson
34-88035 Jan. 24, 2020 Jay Zola Scoratow
34-88034 Jan. 24, 2020 Scott Charles Messier
IA-5366A Jan. 24, 2020 Leonardo Cornide and Jorge Falcon
34-88024 Jan. 23, 2020 Medigreen Holdings Corporation (a/k/a Rapid Fire Marketing, Inc.)
33-10748 Jan. 23, 2020 Benjamin L. Bunker, Esq.
Other Release No.: 34-88018
See also: Administrative Summary
34-88005 Jan. 17, 2020 Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams
34-87999 Jan. 16, 2020 Soupman, Inc. and Trailblazer Resources, Inc.
34-87996 Jan. 16, 2020 Medical Innovation Holdings, Inc.
33-10745 Jan. 16, 2020 Chad Starkey
34-87983 Jan. 15, 2020 Great Basin Scientific, Inc.
34-87979 Jan. 15, 2020 Genoil Inc. and SAMEX Mining Corp.
34-87975 Jan. 15, 2020 Brett Hamburger
34-87974 Jan. 15, 2020 Jonathan Morrone
34-87973 Jan. 15, 2020 Anthony Orth
34-87972 Jan. 15, 2020 Paul Jurberg
34-87970 Jan. 15, 2020 Jeffrey Wada, CPA
Other Release No.: AAER-4113
34-87969 Jan. 15, 2020 David Middendorf, CPA
Other Release No.: AAER-4112
34-87968 Jan. 15, 2020 Gregory L. Kelly, Esq.
34-87967 Jan. 14, 2020 Lester W. Burroughs
Other Release No.: IA-5432
34-87966 Jan. 14, 2020 MediaWorx, Inc. and Perrin Partners, Inc.
34-87965 Jan. 14, 2020 Sea Breeze Power Corp. et al.
34-87961 Jan. 14, 2020 Mongolia Holdings, Inc. and MyGo Games Holding Co.
34-87954 Jan. 13, 2020 Piedmont Mining Company, Inc. and Rainbow Coral Corp.
34-87949 Jan. 13, 2020 GroGenesis, Inc. and Golden Gate Partners, Inc.
34-87947 Jan. 13, 2020 Primera Foods Corporation, Rubicon Corp. a/k/a Osprey Holding, Inc. and Super 8 Motels Texas Ltd.
34-87945 Jan. 13, 2020 Conversion Services International, Inc. and Chester County Bancshares, Inc.
34-87940 Jan. 10, 2020 Toshoan Holdings, Inc. and Toa Optical Tech, Inc.
34-87939 Jan. 10, 2020 Howard J. Allen III
34-87938 Jan. 10, 2020 Trimerica Energy Corporation f/k/a Treaty Energy Corporation
33-10742 Jan. 10, 2020 John James Sheehan, Jr.
34-87937 Jan. 10, 2020 Kerri L. Wasserman
34-87936 Jan. 10, 2020 United City Corp. and Worldwide Internet Marketing, Inc.
34-87934 Jan. 10, 2020 Michael Mindlin
Other Release Nos.: IA-5431, IC-33744
See also: Administrative Summary
34-87933 Jan. 10, 2020 Rick D. Mullins
34-87931 Jan. 9, 2020 Debt Resolve, Inc. and Elite Group, Inc.
34-87925 Jan. 9, 2020 CannaSys, Inc., China Modern Agricultural Information, Inc. and Cinderella Target Value Zones Inc. f/k/a China Travel Resort Holdings, Inc.
34-87923 Jan. 9, 2020 Bluefire Renewables, Inc. and Canadian Cannabis Corp.
34-87922 Jan. 9, 2020 Danka Business Systems PLC
34-87921 Jan. 9, 2020 Credit Suisse Securities (USA) LLC
34-87916 Jan. 9, 2020 Franklin Scientific, Inc. and Goodwell Inc.
33-10741 Jan. 9, 2020 J.P. Morgan Securities LLC
Other Release Nos.: 34-87919, IA-5429
See also: Administrative Summary
34-87904 Jan. 7, 2020 Bradley C. Mascho
Other Release No.: IA-5427
34-87899 Jan. 7, 2020 Luke Christopher Zouvas, Esq.
34-87895 Jan. 6, 2020 Gray Financial Group, Inc., et al.
34-87893 Jan. 6, 2020 Dennis Gibb and Sweetwater Investments, Inc.
34-87890 Jan. 6, 2020 Aladdin Capital Management LLC and Aladdin Capital LLC
34-87889 Jan. 6, 2020 Petróleo Brasileiro S.A. - Petrobras
IA-5424 Jan. 6, 2020 Stephen Condon Peters
34-87884 Jan. 3, 2020 Robert A. Karmann, CPA
Other Release No.: AAER-4111
34-87878 Jan. 2, 2020 Ryan K. Dunaske
SEC.gov | Administrative Proceedings

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

Third Quarter | Second Quarter | First Quarter

Additional Archives

RSS Feed SEC Administrative Proceedings RSS Feed

Release No. Date Respondents

Third Quarter

34-89813 Sep. 10, 2020 Steven M Sexton
34-89805 Sep. 10, 2020 Krystal Industries, Inc.
34-89804 Sep. 10, 2020 Hollywood Entertainment Edu Holdings, Inc.
34-89803 Sep. 10, 2020 HD View 360, Inc.
IA-5576 Sep. 10, 2020 Graham, Bordelon and Golson & Gilbert, Inc.
34-89791 Sep. 9, 2020 AFH Acquisition IX, Inc.
34-89785 Sep. 8, 2020 Alexander S. Gould
IA-5574 Sep. 8, 2020 Alexander S. Gould
Other Release No.: IC-34004
See also: Administrative Summary
IA-5573 Sep. 4, 2020 SQN Capital Management, LLC
Other Release No.: AAER-4166
See also: Administrative Summary
34-89770 Sep. 4, 2020 Vereit, Inc.
34-89762 Sep. 3, 2020 Token Communities Ltd.
34-89761 Sep. 3, 2020 Cür Media, Inc., Crednology Holding Corporation (n/k/a Corptech Holding, Inc.)
IA-5571 Sep. 3, 2020 Signature Financial Services, Ltd.
See also: Administrative Summary
33-10833 Sep. 3, 2020 Covalent Collective, Inc.
See also: Administrative Summary
33-10832 Sep. 3, 2020 National Financial Services LLC
Other Release Nos.: 34-89756, IA-5569
See also: Administrative Summary
33-10831 Sep. 3, 2020 FuelCell Energy, Inc.
See also: Administrative Summary
IA-5570 Sep. 3, 2020 Vladislav Khalupsky
34-89758 Sep. 3, 2020 Wilmington Trust Corporation
See also: Final Distribution Plan and Exhibits
34-89757 Sep. 3, 2020 Yue Li
See also: Administrative Summary
34-89744 Sep. 2, 2020 Rorine International Holding Corporation
34-89742 Sep. 2, 2020 Unifunds Limited
34-89738 Sep. 2, 2020 Anton Senderov and Lior Barbazara
34-89755 Sep. 2, 2020 Bethany Liou and Golden California Regional Center, LLC
See also: Proposed Distribution Plan
34-89728 Sep. 1, 2020 Green Technology Solutions, Inc.
34-89726 Sep. 1, 2020 US VR Global.Com Inc.
34-89720 Sep. 1, 2020 Sean R. Stewart
Other Release No.: IA-5567
34-89716 Aug. 31, 2020 Oncolix, Inc.
34-89714 Aug. 31, 2020 Northsight Capital Inc.
34-89711 Aug. 28, 2020 Bankrate, Inc.
See also: Proposed Plan of Distribution
Comments due:  30 days from date of this Notice
34-89708 Aug. 28, 2020 VEREIT, Inc.
34-89704 Aug. 28, 2020 Herbalife Nutrition Ltd.
Other Release No.: AAER-4165
34-89702 Aug. 27, 2020 Grandbanc, Inc.
34-89701 Aug. 27, 2020 Affiliated Food Stores, Inc.
34-89698 Aug. 27, 2020 Terra Telecommunications Corp.
34-89697 Aug. 27, 2020 American Blockchain Biochar Corporation
34-89696 Aug. 27, 2020 Weedclub, Inc.
34-89695 Aug. 27, 2020 ERBA Diagnostics, Inc. and Eternity Healthcare, Inc.
34-89690 Aug. 27, 2020 Inventabiotech Inc.
34-89688 Aug. 27, 2020 ICTV Brands Inc.
34-89699 Aug. 27, 2020 Richard Barone
33-10828 Aug. 27, 2020 Christopher Barone
Other Release Nos.: 34-89700, IC-33997
IA-5566 Aug. 27, 2020 Aldo Marchena
34-89687 Aug. 27, 2020 Vstock Transfer LLC
See also: Administrative Summary
34-89681 Aug. 26, 2020 Forevergreen Worldwide Corporation
34-89680 Aug. 26, 2020 Spindle, Inc.
34-89677 Aug. 26, 2020 BorgWarner Inc.
Other Release No.: AAER-4164
34-89665 Aug. 25, 2020 All Marketing Solutions, Inc.
34-89660 Aug. 25, 2020 Agora Holdings, Inc.
34-89658 Aug. 25, 2020 Charles Liang
Other Release No.: AAER-4163
34-89657 Aug. 25, 2020 Howard Hideshima
Other Release No.: AAER-4162
33-10822 Aug. 25, 2020 Super Micro Computer, Inc.
Other Release Nos.: 34-89656, AAER-4161
34-89650 Aug. 25, 2020 Billion Holding Inc.
34-89649 Aug. 25, 2020 Celebiddy, Inc.
34-89648 Aug. 25, 2020 MC Informatics
34-89647 Aug. 24, 2020 Dale Tenhulzen
34-89644 Aug. 24, 2020 Digiliti Money Group, Inc.
34-89642 Aug. 24, 2020 THT Heat Transfer Technology, Inc.
IA-5564 Aug. 24, 2020 Patrick Morgan Schiro
34-89641 Aug. 21, 2020 Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
34-89637 Aug. 21, 2020 Consorteum Holdings, Inc. and Coates International Ltd.
34-89629 Aug. 21, 2020 Steven Pagartanis
34-89625 Aug. 20, 2020 Stephen Douglas Pizzuti
Other Release No.: IA-5563
34-89624 Aug. 20, 2020 NPB Financial Group, LLC
Other Release No.: IA-5562
See also: Administrative Summary
34-89588 Aug. 17, 2020 Devere USA, Inc.
See also: Modified Plan of Distribution
34-89568 Aug. 14, 2020 Milan K. Patel, Esq.
34-89552 Aug. 13, 2020 Brian Dee Matlock, CPA
Other Release No.: AAER-4159
See also: Administrative Summary
33-10818 Aug. 13, 2020 Garrett Gaylor
Other Release No.: 34-89553
See also: Administrative Summary
IA-5560 Aug. 13, 2020 SCF Investment Advisors, Inc.
33-10817 Aug. 13, 2020 Kelvin Boon, LLC and Rajesh Pavithran
Other Release No.: 34-89548
34-89529 Aug. 12, 2020 HypGen, Inc. and Lifestyle Medical Network, Inc.
34-89521 Aug. 11, 2020 Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel
34-89524 Aug. 11, 2020 Joshua Turney
34-89523 Aug. 11, 2020 Hector Perez
34-89522 Aug. 11, 2020 Barbara Desiderio
34-89517 Aug. 10, 2020 Nicholas Mejia Scrivener
See also: Administrative Summary
34-89510 Aug. 10, 2020 Interactive Brokers LLC
See also: Administrative Summary
IA-5558 Aug. 7, 2020 Rialto Capital Management, LLC
34-89501 Aug. 6, 2020 Wells Fargo & Company
See also: Distribution Plan
34-89489 Aug. 6, 2020 World Acceptance Corporation
Other Release No.: AAER-4158
33-10816 Aug. 5, 2020 Scott M. Dittman, CPA
Other Release No.: AAER-4157
34-89481 Aug. 5, 2020 WBI Investments, Inc. and Millington Securities, Inc.
Other Release No.: IA-5557
34-89477 Aug. 5, 2020 Randolph Acquisitions, Inc.
34-89475 Aug. 4, 2020 Tommy Shek, CPA
Other Release No.: AAER-4156
33-10812 Jul. 31, 2020 Tanya R. Carro, CPA
Other Release Nos.: 34-89445, AAER-4155
33-10811 Jul. 31, 2020 Howard B. Schiller
Other Release No.: 34-89444
33-10810 Jul. 31, 2020 J. Michael Pearson
Other Release Nos.: 34-89443, AAER-4154
33-10809 Jul. 31, 2020 Valeant Pharmaceuticals International, Inc. and n/k/a Bausch Health Companies Inc.
Other Release Nos.: 34-89442, AAER-4153
IA-5555 Jul. 31, 2020 Birinyi Associates, Inc.
See also: Administrative Summary
34-89429 Jul. 30, 2020 Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc.
34-89407 Jul. 28, 2020 VALIC Financial Advisors, Inc.
Other Release No.: IA-5551
34-89405 Jul. 28, 2020 VALIC Financial Advisors, Inc.
Other Release No.: IA-5550
34-89404 Jul. 27, 2020 Celadon Financial Group LLC
See also: Administrative Summary
34-89390 Jul. 23, 2020 Leonardo Cornide and Jorge Falcon
34-89383 Jul. 23, 2020 Morgan Stanley Smith Barney LLC
33-10806 Jul. 22, 2020 Carlos Renato Cano
Other Release Nos.: 34-89380, IA-5548, IC-33944
See also: Administrative Summary
33-10805 Jul. 22, 2020 IRTH Communications, LLC and Andrew Haag
See also: Administrative Summary
34-89352 Jul. 21, 2020 Edmond Leung
See also: Administrative Summary
34-89350 Jul. 21, 2020 Joseph Zhang
See also: Administrative Summary
34-89348 Jul. 20, 2020 UBS Financial Services Inc.
34-89347 Jul. 20, 2020 John J. Marvin
Other Release No.: IA-5546
34-89346 Jul. 20, 2020 William S. Costas
Other Release No.: IA-5545
34-89345 Jul. 20, 2020 Merlyn Curt Geisler
34-89336 Jul. 17, 2020 Jack Alan Abramoff
34-89333 Jul. 16, 2020 Weatherford International PLC, et al.
34-89332 Jul. 16, 2020 Robert Russel Tweed
Other Release No.: IA-5542
IA-5543 Jul. 16, 2020 First Western Capital Management Company
See also: Administrative Summary
IA-5541 Jul. 16, 2020 Dionne Van Zyl
34-89326 Jul. 15, 2020 Paul J. Konigsberg
Other Release No.: AAER-4152
33-10802 Jul. 14, 2020 Abetterfinancialplan.Com, LLC, d/b/a a Better Financial Plan and Dean J. Vagnozzi
Other Release No.: 34-89318
See also: Administrative Summary
IA-5540 Jul. 14, 2020 Temenos Advisory, Inc.
34-89314 Jul. 14, 2020 George L. Taylor
Other Release No.: IA-5539
34-89300 Jul. 13, 2020 World Moto, Inc.
34-89298 Jul. 13, 2020 Wonhe High-Tech International, Inc.
34-89295 Jul. 13, 2020 Ultimate Products Corporation, et al.
34-89294 Jul. 13, 2020 Hidden Forest Acquisition Corp. and Global 2.0 Corporation
33-10801 Jul. 13, 2020 Plutus Financial Inc. d/b/a Abra and Plutus Technologies Philippines Corp.
Other Release No.: 34-89296
34-89287 Jul. 10, 2020 Wilmington Trust Corporation
See also: Distribution Plan
Comments received are available for this proposed plan.
34-89278 Jul. 9, 2020 Sky Resort International Limited and Median Group, Inc. (f/k/a China Media Group Corporation)
34-89276 Jul. 9, 2020 Trans-Pacific Aerospace Company and Inc. and Vertical Computer Systems, Inc.
34-89284 Jul. 9, 2020 EliteSoft Global Inc. and Capital Access Point 1, Inc.
34-89283 Jul. 9, 2020 Aspen Marine Group Inc. and Biocircuits Corporation
34-89280 Jul. 9, 2020 Synthonics Technologies, Inc.
IA-5536 Jul. 9, 2020 Benjamin Alderson
IA-5535 Jul. 9, 2020 BNB Wealth Management, LLC
34-89253 Jul. 8, 2020 Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc.
34-89251 Jul. 8, 2020 Sirrus Corp. and Sinorama Corporation
34-89249 Jul. 8, 2020 Yong (Michael) Chen
34-89245 Jul. 7, 2020 Protalex, Inc. and Provision Holding, Inc.
34-89243 Jul. 7, 2020 Cür Media, Inc. and Crednology Holding Corporation (n/k/a Corptech Holding, Inc.)
34-89231 Jul. 6, 2020 Notis Global, Inc. and Nexus Biopharma, Inc.
34-89229 Jul. 6, 2020 Hypgen, Inc. and Lifestyle Medical Network, Inc.
34-89223 Jul. 6, 2020 Orthofix International N.V.
34-89221 Jul. 6, 2020 Ralph C. Greaves, Esq.
IA-5531 Jul. 2, 2020 Franklin Advisers and Inc. and Franklin Templeton Investments Corp.
Other Release No.: IC-33919
See also: Administrative Summary
33-10797 Jul. 2, 2020 Michael D. Tannen
Other Release Nos.: 34-89215, IC-33918
See also: Administrative Summary
34-89214 Jul. 2, 2020 Alexion Pharmaceuticals, Inc.
Other Release Nos.: AAER-4151
34-89210 Jul. 1, 2020 Gilla, Inc. and Evergreen-Agra Global Investments, Inc.
34-89208 Jul. 1, 2020 ERBA Diagnostics, Inc. and Eternity Healthcare, Inc.
IA-5530 Jul. 1, 2020 Neil Burkholz
33-10796 Jul. 1, 2020 David Rumsey
See also: Administrative Summary

Second Quarter

34-89204 Jun. 30, 2020 Eos Petro, Inc. and eFleets Corporation
34-89201 Jun. 30, 2020 Morgan Stanley, Co. LLC; Morgan Stanley Abs Capital I Inc; and Morgan Stanley Mortgage Capital Holdings LLC
See also: Distribution Plan
34-89200 Jun. 30, 2020 Apex Fund Services (Us), Inc.
34-89198 Jun. 30, 2020 Cyclone Power Technologies, Inc. and Ecolocap Solutions, Inc.
IA-5529 Jun. 30, 2020 Frank Bianco
34-89195 Jun. 30, 2020 UBS Financial Services Inc. of Puerto Rico
33-10795 Jun. 30, 2020 Potamus Trading LLC and Eric J. Pritchett
Other Release Nos.: 34-89190, IC-33915
See also: Administrative Summary
33-10794 Jun. 30, 2020 Michelle Dipp
Other Release Nos.: 34-89187
See also: Administrative Summary
34-89183 Jun. 29, 2020 Consorteum Holdings, Inc. and Coates International Ltd.
34-89181 Jun. 29, 2020 Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
34-89178 Jun. 29, 2020 Dandan Wu
34-89177 Jun. 29, 2020 BNP Paribas Securities Corp.
See also: Administrative Summary
34-89171 Jun. 29, 2020 John Christopher Polit
Other Release No.: IA-5528
IA-5527 Jun. 26, 2020 Gregory Alan Smith
34-89159 Jun. 25, 2020 Dain F. Stokes
Other Release No.: IA-5526
34-89149 Jun. 25, 2020 Novartis AG
Other Release No.: AAER-4150
34-89144 Jun. 24, 2020 Michael Douglas Billings and Mdb Group, LLC
34-89143 Jun. 24, 2020 SG Americas Securities, LLC
34-89139 Jun. 24, 2020 Todd H. Lahr, Esq.
33-10793 Jun. 23, 2020 Vereit, Inc.
Other Release Nos.: 34-89133, AAER-4149
See also: Administrative Summary
34-89135 Jun. 23, 2020 Trinity Capital Corporation
34-89113 Jun. 22, 2020 BKS Advisors LLC
34-89112 Jun. 22, 2020 Visium Asset Management, LP
34-89111 Jun. 22, 2020 Matthew Ledvina, Esq.
34-89096 Jun. 18, 2020 Harbour Investments, Inc.
34-89094 Jun. 18, 2020 Diane J. Harrison, Esq.
IA-5524 Jun. 17, 2020 Sultan S. Issa
34-89078 Jun. 16, 2020 Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
Other Release Nos.: IA-5523, IC-33895
See also: Administrative Summary
IA-5522 Jun. 16, 2020 Richard T. Diver
IA-5520 Jun. 12, 2020 Louis Navellier and Navellier & Associates, Inc.
34-89044 Jun. 11, 2020 ChatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc.
34-89023 Jun. 5, 2020 Jana Faith Kiena, CPA
Other Release No.: AAER-4147
See also: Administrative Summary
IA-5519 Jun. 5, 2020 Douglas Leighton
34-89025 Jun. 5, 2020 Jeremy A. Licht d/b/a JL Capital Management
34-89024 Jun. 5, 2020 Fifth Street Management, LLC
34-89021 Jun. 5, 2020 Tamara Steele
Other Release No.: IA-5516
34-89013 Jun. 4, 2020 Train and Babcock Advisors LLC
34-89009 Jun. 4, 2020 Argo Group International Holdings, Ltd.
Other Release No.: AAER-4146
34-88998 Jun. 3, 2020 Christopher D. Larson (CPA)
Other Release No.: AAER-4145
33-10789 Jun. 2, 2020 William Vescio
Other Release Nos.: 34-88996, IA-5515
See also: Administrative Summary
34-88991 Jun. 2, 2020 Todd A. Esh
Other Release No.: IA-5514
34-88976 Jun. 1, 2020 U.S. Bancorp Investments, Inc.
Other Release No.: IA-5513
IA-5512 May 29, 2020 Oxbow Advisors, LLC
34-88969 May 28, 2020 Morgan Stanley Smith Barney LLC
33-10788 May 28, 2020 BitClave PTE Ltd.
34-88965 May 28, 2020 Gibraltar Global Securities, Inc.
34-88964 May 28, 2020 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
34-88963 May 28, 2020 Focus Media Holding Limited and Jason Jiang
IA-5511 May 27, 2020 Syed Arham Arbab
34-88962 May 27, 2020 Warren A. Davis
34-88951 May 26, 2020 Robert C. Weaver, Jr., Esq.
IA-5510 May 26, 2020 Ares Management LLC
34-88941 May 26, 2020 William Andrew Hightower
Other Release No.: IA-5509
34-88937 May 22, 2020 Robert Gilbert
34-88936 May 22, 2020 Paul Ewer
34-88935 May 22, 2020 American Realty Funds Corporation
IA-5508 May 22, 2020 TSP Capital Management Group, LLC
Other Release No.: AAER-4144
See also: Administrative Summary
34-88931 May 21, 2020 Nicholas Fleming aka "Nick Franklin"
34-88921 May 21, 2020 Wells Fargo & Company
34-88920 May 21, 2020 Visium Asset Management, LP
34-88919 May 21, 2020 Devere USA, Inc.
34-88897 May 18, 2020 John Donovan, CPA
Other Release No.: AAER-4143
34-88896 May 18, 2020 Michael Bellach, CPA
Other Release No.: AAER-4142
34-88895 May 18, 2020 Timothy Daly, CPA
Other Release No.: AAER-4141
34-88880 May 15, 2020 Morningstar Credit Ratings, LLC
34-88865 May 14, 2020 Ronald D. Swanson Aka Ronald D. Swanson-Cerna
34-88862 May 13, 2020 Sergey Pustelnik a/k/a Serge Pustelnik
34-88864 May 13, 2020 1Globe Capital, LLC and Jiaqiang "Chiang" Li
See also: Administrative Summary
IA-5502 May 12, 2020 Travis Laska
IA-5501 May 12, 2020 Stacy L. Beane
IA-5500 May 12, 2020 Justin N. Deckert
34-88860 May 12, 2020 Wallace Byers
34-88856 May 12, 2020 Morgan Stanley Smith Barney LLC
Other Release No.: IA-5499
34-88855 May 11, 2020 Diane Kaylor
34-88849 May 11, 2020 Equinox Fund Management, LLC
34-88847 May 11, 2020 Mergenet Medical, Inc., et al.
34-88848 May 11, 2020 Lawrence E. Hagedorn
Other Release No.: IA-5498
33-10783 May 6, 2020 Bloomberg Tradebook LLC
Other Release No.: 34-88830
IA-5497 May 5, 2020 Barry R. Bekkedam
34-88808 May 5, 2020 Jeffery A. Curran, CA
Other Release No.: AAER-4138
34-88804 May 4, 2020 Pennant Management, Inc.
34-88797 May 1, 2020 Wendy Lieberman Kirkland, et al.
Other Release Nos.: IA-5494, IC-33860
34-88791 May 1, 2020 Todd H. Takeyasu, CA
Other Release No.: AAER-4134
33-10779 Apr. 30, 2020 American Bondholders Foundation, LLC and Jonna Bianco
33-10778 Apr. 30, 2020 Wei Duan
Other Release No.: 34-88781
See also: Administrative Summary
IA-5491 Apr. 30, 2020 Everest Capital LLC and Marko Dimitrijevic
See also: Administrative Summary
34-88784 Apr. 30, 2020 Jerry E. Orellana
Other Release No.: IA-5492
See also: Administrative Summary
34-88780 Apr. 30, 2020 Portfolio Advisors Alliance, Inc.
IA-5490 Apr. 30, 2020 Monsoon Capital, LLC and Gautam Prakash
Other Release No.: IC-33858
See also: Administrative Summary
34-88779 Apr. 30, 2020 Wilmington Trust Corporation
34-88777 Apr. 30, 2020 Leonardo Cornide and Jorge Falcon
34-88773 Apr. 29, 2020 Lee C. Schlesinger
34-88763 Apr. 28, 2020 William M. Aisenberg, CPA (Corrected)
Other Release No.: AAER-4132
34-88762 Apr. 28, 2020 Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
IA-5489 Apr. 28, 2020 Semper Capital Management, L.P.
Other Release No.: IC-33856
See also: Administrative Summary
34-88751 Apr. 27, 2020 Anthony C. Ciccone
34-88747 Apr. 24, 2020 Jeffrey G. Klein
34-88739 Apr. 24, 2020 PLS, CPA, et al. (Corrected)
Other Release No.: AAER-4131
See also: Administrative Summary
33-10777 Apr. 24, 2020 RBC Capital Markets LLC
Other Release Nos.: 34-88745, IA-5487
See also: Administrative Summary
34-88744 Apr. 24, 2020 Biltmore International Corporation
See also: Administrative Summary
34-88733 Apr. 23, 2020 Great Basin Scientific, Inc.
34-88732 Apr. 23, 2020 Stephen Douglas Pizzuti
Other Release No.: IA-5486
34-88731 Apr. 22, 2020 Elliot R. Berman, CPA
Other Release No.: AAER-4130
IA-5485 Apr. 22, 2020 Monomoy Capital Management, L.P.
See also: Administrative Summary
IA-5484 Apr. 22, 2020 N. Scott Gillis, CPA
Other Release No.: AAER-4126
IA-5483 Apr. 22, 2020 Brian A. Oliver
IA-5482 Apr. 22, 2020 Robert J. Jesenik
34-88724 Apr. 22, 2020 Brian M. Storms
Other Release No.: AAER-4129
34-88723 Apr. 22, 2020 Kenneth D. Shifrin, CPA
Other Release No.: AAER-4128
33-10775 Apr. 22, 2020 Brian L. Ferdinand
Other Release Nos.: 34-88720, AAER-4127
34-88695 Apr. 20, 2020 Axiom Corp., et al.
IA-5480 Apr. 17, 2020 Eagle Strategies LLC
IA-5479 Apr. 17, 2020 Merrill Lynch, Pierce and Fenner & Smith, Incorporated
IA-5478 Apr. 17, 2020 Old Ironsides Energy, LLC,
See also: Administrative Summary
IA-5477 Apr. 17, 2020 Cozad Asset Management, Inc.
34-88686 Apr. 17, 2020 Brian Robert Sodi, CPA
Other Release No.: AAER-4125
34-88680 Apr. 17, 2020 James Arthur Young III
Other Release No.: IA-5481
34-88679 Apr. 17, 2020 Eni S.p.A.
Other Release No.: AAER-4124
See also: Administrative Summary
34-88662 Apr. 16, 2020 Boenning & Scattergood, Inc., Craig Burdulis and Brian Gillespie
34-88659 Apr. 16, 2020 Miranda Suen, CPA
Other Release No.: AAER-4123
34-88653 Apr. 15, 2020 Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP
Other Release No.: AAER-4122
34-88652 Apr. 15, 2020 Anthony Vassallo
34-88651 Apr. 15, 2020 Sergio Ramirez
34-88650 Apr. 15, 2020 Ronald Hardy
34-88635 Apr. 14, 2020 Attis Industries, Inc.
34-88597 Apr. 8, 2020 Fortress Investment Management, LLC, and William M. Malloy, III
34-88588 Apr. 8, 2020 Fortress Investment Management, LLC, and William M. Malloy, III
34-88598 Apr. 8, 2020 Sica Wealth Management, LLC and Jeffrey C. Sica
IA-5474 Apr. 7, 2020 Geoffrey J. Thompson
34-88567 Apr. 6, 2020 Cantor Fitzgerald & Co.
34-88544 Apr. 2, 2020 Cybrdi, Inc.
IA-5471 Apr. 1, 2020 Adam Matthew Root

First Quarter

34-88529 Mar. 31, 2020 Donald J. Fowler
34-88510 Mar. 30, 2020 Augustine Capital Management, et al.
34-88506 Mar. 27, 2020 Bryan Cohen
34-88498 Mar. 27, 2020 Benjamin Kirkland
34-88489 Mar. 26, 2020 Endless Charge, Inc.
34-88480 Mar. 26, 2020 PositiveID Corporation
34-88463 Mar. 24, 2020 Anthony B. Brandel and M.Y. Consultants, Inc.
IA-5468 Mar. 24, 2020 Nicholas J. Genovese
34-88454 Mar. 23, 2020 EZTD Inc.
34-88453 Mar. 23, 2020 Wells Fargo & Company
34-88452 Mar. 23, 2020 Devere USA, Inc.
See also: Distribution Plan
Comments received are available for this proposed plan.
34-88442 Mar. 20, 2020 Bethany Liou and Golden California Regional Center, LLC
34-88432 Mar. 20, 2020 Ronald Emma, CPA
Other Release No.: AAER-4120
34-88430 Mar. 19, 2020 Magnachip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
34-88423 Mar. 19, 2020 Gerald C. Parker
34-88395 Mar. 16, 2020 Wilmington Trust Corporation
34-88388 Mar. 16, 2020 Marcus Boggs
Other Release No.: IA-5465
34-88387 Mar. 16, 2020 HSBC Securities (USA) Inc.
Other Release No.: IA-5464
See also: Administrative Summary
34-88377 Mar. 12, 2020 David G. Dreslin, CPA
Other Release No.: AAER-4119
IA-5462 Mar. 12, 2020 Motty Mizrahi
IA-5461 Mar. 12, 2020 Naya Ventures, LLC, Dayakar Puskoor and Prabhakar Reddy
34-88371 Mar. 12, 2020 BMA Securities, LLC
34-88353 Mar. 10, 2020 Wells Fargo & Company
34-88347 Mar. 10, 2020 Bruce C. Worthington
Other Release No.: IA-5460
34-88344 Mar. 9, 2020 Dennis M. Farrah
34-88338 Mar. 5, 2020 Attis Industries, Inc.
IA-5458 Mar. 4, 2020 Eric D. Lyons
34-88316 Mar. 4, 2020 E. Herbert Hafen
Other Release No.: IA-5456
IA-5457 Mar. 4, 2020 Motty Mizrahi
34-88314 Mar. 3, 2020 Daniel B. Vazquez, Sr.
Other Release No.: IA-5455
34-88305 Feb. 28, 2020 Yaniv Avnon, Ran Armon and G Six Trading Y.R Ltd.
33-10761 Feb. 28, 2020 Shawn Severson
See also: Administrative Summary
34-88303 Feb. 28, 2020 Cardinal Health, Inc.
Other Release No.: AAER-4118
34-88295 Feb. 27, 2020 Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Other Release No.: IA-5451
IA-5453 Feb. 27, 2020 Sica Wealth Management, LLC and Jeffrey C. Sica
See also: Administrative Summary
IA-5452 Feb. 27, 2020 Fortress Investment Management, LLC, William M. Malloy, III
Other Release No.: IC-33807
See also: Administrative Summary
IA-5450 Feb. 27, 2020 Steven E. Fishman
Other Release No.: IC-33806
33-10760 Feb. 27, 2020 Steven Seagal
34-88290 Feb. 26, 2020 Brett Pittsenbargar
34-88289 Feb. 26, 2020 Axiom Corp., et al.
34-88287 Feb. 26, 2020 RSM US LLP (f/k/a/ Mcgladrey LLP)
Other Release No.: AAER-4117
See also: Administrative Summary
34-88280 Feb. 25, 2020 Thomas J. Craft, Jr.
34-88274 Feb. 24, 2020 Charles F. Kerwin
See also: Administrative Summary
34-88270 Feb. 24, 2020 Faiyaz Dean
IA-5448 Feb. 24, 2020 Lone Star Value Management LLC and Jeffrey Eberwein
34-88258 Feb. 21, 2020 Richard Jeffrey Rubin
34-88257 Feb. 21, 2020 Wells Fargo & Company
See also: Waiver Order
34-88256 Feb. 21, 2020 Marcus Boggs
Other Release No.: IA-5447
34-88249 Feb. 20, 2020 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
See also: Plan of Distribution
33-10756 Feb. 19, 2020 Diageo plc
Other Release No.: 34-88234
33-10755 Feb. 19, 2020 Enigma MPC
34-88223 Feb. 14, 2020 National Stock Exchange and David Colker
34-88205 Feb. 13, 2020 Marc A. Celello, Esq.
34-88202 Feb. 13, 2020 BPU Investment Management, Inc.
Other Release No.: IA-5444
See also: Administrative Summary
34-88192 Feb. 13, 2020 Martin J. Kinchloe (corrected)
34-88155 Feb. 7, 2020 Randall Goulding, Esq.
34-88150 Feb. 7, 2020 Thomas Troy Brooks
34-88153 Feb. 7, 2020 Joseph A. Meyer, Jr.
Other Release No.: IA-5443
34-88145 Feb. 7, 2020 Leonardo Cornide and Jorge Falcon
34-88144 Feb. 7, 2020 Leonardo Cornide and Jorge Falcon
34-88143 Feb. 7, 2020 Wayne Scott Simpson
34-88140 Feb. 6, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: AAER-4116
See also: Administrative Summary
IA-5442 Feb. 6, 2020 Jay Costa Kelter
34-88139 Feb. 6, 2020 ABN AMRO Clearing Chicago LLC
34-88123 Feb. 5, 2020 David Alan Wolfson
34-88121 Feb. 5, 2020 Glenn Joseph Story
34-88119 Feb. 5, 2020 Gordon Caplan, Esq.
IA-5441 Feb. 4, 2020 Cannell Capital, LLC
See also: Administrative Summary
34-88117 Feb. 4, 2020 Jason David St. Amour
34-88116 Feb. 4, 2020 Gregory Lamont Drake
34-88114 Feb. 3, 2020 Edward E. Matthes
Other Release No.: IA-5440
IA-5439 Jan. 31, 2020 Barton W. Stuck
34-88104 Jan. 30, 2020 Daniel Markel
34-88073 Jan. 29, 2020 Jeffrey L. Wendel
34-88072 Jan. 29, 2020 Jeffrey Goldman
34-88071 Jan. 29, 2020 Charles N. Nilosek
34-88070 Jan. 29, 2020 Paramount Financial Services, Inc. d/b/a Live Abundant
34-88063 Jan. 28, 2020 Donald Anthony Mackenzie
34-88062 Jan. 28, 2020 Gregory A. Koch
34-88061 Jan. 28, 2020 Richard Fritts
34-88059 Jan. 28, 2020 Erik Rhodes
34-88057 Jan. 28, 2020 Gary R. Smith
34-88048 Jan. 27, 2020 Steven M. Des Champs, CPA
IA-5436 Jan. 27, 2020 Catalyst Capital Advisors, LLC and Jerry Szilagyi
34-88043 Jan. 27, 2020 Robert S. "Lute" Davis, Jr.
34-88042 Jan. 27, 2020 Aaron R. Andrew
34-88041 Jan. 27, 2020 Gregory W. Anderson
34-88035 Jan. 24, 2020 Jay Zola Scoratow
34-88034 Jan. 24, 2020 Scott Charles Messier
IA-5366A Jan. 24, 2020 Leonardo Cornide and Jorge Falcon
34-88024 Jan. 23, 2020 Medigreen Holdings Corporation (a/k/a Rapid Fire Marketing, Inc.)
33-10748 Jan. 23, 2020 Benjamin L. Bunker, Esq.
Other Release No.: 34-88018
See also: Administrative Summary
34-88005 Jan. 17, 2020 Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams
34-87999 Jan. 16, 2020 Soupman, Inc. and Trailblazer Resources, Inc.
34-87996 Jan. 16, 2020 Medical Innovation Holdings, Inc.
33-10745 Jan. 16, 2020 Chad Starkey
34-87983 Jan. 15, 2020 Great Basin Scientific, Inc.
34-87979 Jan. 15, 2020 Genoil Inc. and SAMEX Mining Corp.
34-87975 Jan. 15, 2020 Brett Hamburger
34-87974 Jan. 15, 2020 Jonathan Morrone
34-87973 Jan. 15, 2020 Anthony Orth
34-87972 Jan. 15, 2020 Paul Jurberg
34-87970 Jan. 15, 2020 Jeffrey Wada, CPA
Other Release No.: AAER-4113
34-87969 Jan. 15, 2020 David Middendorf, CPA
Other Release No.: AAER-4112
34-87968 Jan. 15, 2020 Gregory L. Kelly, Esq.
34-87967 Jan. 14, 2020 Lester W. Burroughs
Other Release No.: IA-5432
34-87966 Jan. 14, 2020 MediaWorx, Inc. and Perrin Partners, Inc.
34-87965 Jan. 14, 2020 Sea Breeze Power Corp. et al.
34-87961 Jan. 14, 2020 Mongolia Holdings, Inc. and MyGo Games Holding Co.
34-87954 Jan. 13, 2020 Piedmont Mining Company, Inc. and Rainbow Coral Corp.
34-87949 Jan. 13, 2020 GroGenesis, Inc. and Golden Gate Partners, Inc.
34-87947 Jan. 13, 2020 Primera Foods Corporation, Rubicon Corp. a/k/a Osprey Holding, Inc. and Super 8 Motels Texas Ltd.
34-87945 Jan. 13, 2020 Conversion Services International, Inc. and Chester County Bancshares, Inc.
34-87940 Jan. 10, 2020 Toshoan Holdings, Inc. and Toa Optical Tech, Inc.
34-87939 Jan. 10, 2020 Howard J. Allen III
34-87938 Jan. 10, 2020 Trimerica Energy Corporation f/k/a Treaty Energy Corporation
33-10742 Jan. 10, 2020 John James Sheehan, Jr.
34-87937 Jan. 10, 2020 Kerri L. Wasserman
34-87936 Jan. 10, 2020 United City Corp. and Worldwide Internet Marketing, Inc.
34-87934 Jan. 10, 2020 Michael Mindlin
Other Release Nos.: IA-5431, IC-33744
See also: Administrative Summary
34-87933 Jan. 10, 2020 Rick D. Mullins
34-87931 Jan. 9, 2020 Debt Resolve, Inc. and Elite Group, Inc.
34-87925 Jan. 9, 2020 CannaSys, Inc., China Modern Agricultural Information, Inc. and Cinderella Target Value Zones Inc. f/k/a China Travel Resort Holdings, Inc.
34-87923 Jan. 9, 2020 Bluefire Renewables, Inc. and Canadian Cannabis Corp.
34-87922 Jan. 9, 2020 Danka Business Systems PLC
34-87921 Jan. 9, 2020 Credit Suisse Securities (USA) LLC
34-87916 Jan. 9, 2020 Franklin Scientific, Inc. and Goodwell Inc.
33-10741 Jan. 9, 2020 J.P. Morgan Securities LLC
Other Release Nos.: 34-87919, IA-5429
See also: Administrative Summary
34-87904 Jan. 7, 2020 Bradley C. Mascho
Other Release No.: IA-5427
34-87899 Jan. 7, 2020 Luke Christopher Zouvas, Esq.
34-87895 Jan. 6, 2020 Gray Financial Group, Inc., et al.
34-87893 Jan. 6, 2020 Dennis Gibb and Sweetwater Investments, Inc.
34-87890 Jan. 6, 2020 Aladdin Capital Management LLC and Aladdin Capital LLC
34-87889 Jan. 6, 2020 Petróleo Brasileiro S.A. - Petrobras
IA-5424 Jan. 6, 2020 Stephen Condon Peters
34-87884 Jan. 3, 2020 Robert A. Karmann, CPA
Other Release No.: AAER-4111
34-87878 Jan. 2, 2020 Ryan K. Dunaske