Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Date	Respondents
Date: Dec. 30, 2022	Respondents: James Albert Pettit Release No. 34-96595, IA-6209 File Number: 3-21265
Date: Dec. 30, 2022	Respondents: Gramins, Michael A. Release No. 34-96596, IA-96596 File Number: 3-21266
Date: Dec. 27, 2022	Respondents: Afame, Onwuka Release No. 34-96584 See Also: Administrative Summary File Number: 3-21263
Date: Dec. 27, 2022	Respondents: The Peter Joseph Polinski Trust Release No. 34-96585 See Also: Administrative Summary File Number: 3-21264
Date: Dec. 23, 2022	Respondents: The Kraft Heinz Co. and Eduardo Pelleissone Release No. 34-96578 See Also: Distribution Plan File Number: 3-20523
Date: Dec. 23, 2022	Respondents: Roger Knox Release No. 34-96579
Date: Dec. 22, 2022	Respondents: Mattessich, Adam Release No. 34-96576 File Number: 3-21261
Date: Dec. 22, 2022	Respondents: View Systems, Inc. Release No. 34-96573 File Number: 3-21131
Date: Dec. 21, 2022	Respondents: PNC Capital Markets LLC Release No. 34-96558 See Also: Administrative Summary File Number: 3-21259
Date: Dec. 21, 2022	Respondents: Eliseo Acosta Release No. 34-96560 File Number: 3-21260
Date: Dec. 20, 2022	Respondents: Marques, John Release No. 34-96540 File Number: 3-21257
Date: Dec. 20, 2022	Respondents: ShipChain, Inc. Release No. 34-96547
Date: Dec. 20, 2022	Respondents: Frank S. Dickerson Release No. 34-96549 File Number: 3-21258
Date: Dec. 20, 2022	Respondents: Wendy Elizabeth Sill Trust Release No. 34-96552 File Number: 3-20918
Date: Dec. 19, 2022	Respondents: John P. Mendes Release No. 34-96526, IA-6204 File Number: 3-21254
Date: Dec. 19, 2022	Respondents: Honeywell International Inc. (Corrected) Release No. 34-96529, AAER-4368 File Number: 3-21255
Date: Dec. 19, 2022	Respondents: Exela Technologies, Inc. James Reynolds Release No. 34-96535 See Also: Administrative Summary File Number: 3-21256
Date: Dec. 15, 2022	Respondents: Paragon Coin, Inc. Release No. 34-96512 File Number: 3-18897
Date: Dec. 7, 2022	Respondents: Mitra, Satyajeet "Sunny" Release No. 34-96465 File Number: 3-21252
Date: Dec. 6, 2022	Respondents: Qornerstone Inc. Release No. 34-96456 File Number: 3-20988
Date: Dec. 6, 2022	Respondents: Vincent Issier Release No. 34-96457 See Also: Administrative Summary File Number: 3-21251
Date: Dec. 5, 2022	Respondents: Two Point Capital Management, Inc., and John B. McGowan Release No. IA-6199 File Number: 3-21249
Date: Dec. 5, 2022	Respondents: PFP Entrust Corp., et al. Release No. 33-11137 See Also: Administrative Summary File Number: 3-21250
Date: Dec. 3, 2022	Respondents: ABB Ltd. Release No. 34-96444
Date: Dec. 1, 2022	Respondents: UBS Financial Services Inc. of Puerto Rico Release No. 34-96419 File Number: 3-14863
Date: Dec. 1, 2022	Respondents: BitClave PTE, Ltd. Release No. 34-96423 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: File No.: 3-19816 File Number: 3-19816
Date: Dec. 1, 2022	Respondents: The Boeing Company Release No. 34-96425 File Number: 3-21140
Date: Dec. 1, 2022	Respondents: Paragon Coin, Inc. Release No. 34-96428 See Also: Distribution Plan File Number: 3-18897
Date: Dec. 1, 2022	Respondents: Poloniex, LLC Release No. 34-96429 See Also: Proposed Plan of Distribution
Date: Dec. 1, 2022	Respondents: Kahn Brothers Advisors, LLC and Thomas Kahn Release No. 34-96434
Date: Dec. 1, 2022	Respondents: Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 34-96435
Date: Dec. 1, 2022	Respondents: General Electric Company Release No. 34-96436
Date: Dec. 1, 2022	Respondents: Mancera, et al. Release No. 34-96437
Date: Dec. 1, 2022	Respondents: Securities America Advisors, Inc. Release No. 34-96438
Date: Nov. 28, 2022	Respondents: James K. Couture Release No. 34-96392, IA-6190 File Number: 3-21247
Date: Nov. 22, 2022	Respondents: Goldman Sachs Asset Management, L.P. Release No. IA-6189 File Number: 3-21245
Date: Nov. 22, 2022	Respondents: Securities America Advisors, Inc. Release No. 34-96379 See Also: Amended Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-20381/3-20381.htm Submit Comments on: 3-20381 File Number: 3-20381
Date: Nov. 21, 2022	Respondents: Legal & General Investment Management America, Inc. Release No. IA-6188 See Also: Administrative Summary File Number: 3-21244
Date: Nov. 18, 2022	Respondents: American CryptoFed DAO LLC Release No. 33-11134 File Number: 3-21243
Date: Nov. 18, 2022	Respondents: Daniel Moser Release No. 34-96349, AAER-4367
Date: Nov. 17, 2022	Respondents: Tang, Jason Jianxun, CPA Release No. 34-96347, AAER-4366 File Number: 3-21241
Date: Nov. 17, 2022	Respondents: Centaurus Diamond Technologies, Inc. Release No. 34-96344 File Number: 3-21061
Date: Nov. 17, 2022	Respondents: The American Energy Group, Ltd. Release No. 34-96343 File Number: 3-20995
Date: Nov. 17, 2022	Respondents: Weatherford International Plc, et al. Release No. 34-96340 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-17582/3-17582.htm
Date: Nov. 14, 2022	Respondents: S&P Global Ratings Release No. 34-96308 File Number: 3-21240
Date: Nov. 14, 2022	Respondents: Cozad Asset Management, Inc. Release No. 34-96309 File Number: 3-19752
Date: Nov. 14, 2022	Respondents: Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited Release No. 34-96310 See Also: Distribution Plan File Number: 3-20030
Date: Nov. 10, 2022	Respondents: Ruiz, Martin A. Release No. IA-6185 File Number: 3-21099, 3-21099
Date: Nov. 10, 2022	Respondents: Chen, Andy Chin Fong, CPA Release No. 33-11133, 34-96299, AAER-4364 File Number: 3-21239
Date: Nov. 9, 2022	Respondents: PIC Renegade Properties, LLC Release No. 33-11132 See Also: Administrative Summary File Number: 3-21238
Date: Nov. 8, 2022	Respondents: Carlos Pingarron Release No. 34-96253
Date: Nov. 8, 2022	Respondents: Carlos Sorondo Release No. 34-96254
Date: Nov. 8, 2022	Respondents: SCF Investment Advisors, Inc. Release No. 34-96255
Date: Nov. 4, 2022	Respondents: Scott David Mahoney Release No. 34-96235, AAER-4363
Date: Nov. 4, 2022	Respondents: Tyler Forbes Release No. 34-96238, IA-6183
Date: Nov. 4, 2022	Respondents: Michael E. Mueller Release No. 34-96243 See Also: Administrative Summary
Date: Nov. 4, 2022	Respondents: Geraci, Paul Release No. 34-96236 File Number: 3-21231
Date: Nov. 4, 2022	Respondents: Assenza, Michael J. a/k/a "Michael Grimaldi" Release No. 34-96240 File Number: 3-21233
Date: Nov. 4, 2022	Respondents: Vandivier, Cindy a/k/a "Madison Brooke or Brookes" Release No. 34-96245 File Number: 3-21235
Date: Nov. 3, 2022	Respondents: Joseph Orazio DeGregorio Release No. 34-96215
Date: Nov. 3, 2022	Respondents: John C. Ahearn Release No. 34-96216
Date: Nov. 3, 2022	Respondents: Kathryn Jane Meredith and John Paul Harnish d/b/a KM Advisory Services Release No. 34-96217, 34-95046, 34-95047, IA-6044, IA-6045
Date: Nov. 3, 2022	Respondents: David B. Mata Release No. IA-6181 File Number: 3-21229
Date: Nov. 3, 2022	Respondents: Horter Investment Management, LLC and Drew K. Horter Release No. IA-6182 File Number: 3-20531, 3-20531
Date: Nov. 2, 2022	Respondents: Guo, Daliang "David" Release No. 34-96207 File Number: 3-21225
Date: Nov. 1, 2022	Respondents: Koppers Holdings Inc. Release No. 33-11129, 34-96193, AAER-4360 See Also: Administrative Summary
Date: Nov. 1, 2022	Respondents: Ma, Joan Congyi "JC" Release No. 34-96203 File Number: 3-21224
Date: Oct. 28, 2022	Respondents: Lin, Yao Release No. 34-96170 File Number: 3-21221
Date: Oct. 26, 2022	Respondents: Bare Metal Standard, Inc. (a/k/a AS Capital, Inc.) Release No. 34-96152 File Number: 3-20716
Date: Oct. 26, 2022	Respondents: Shern, Hung Wai "Howard" Release No. 34-96157 File Number: 3-21220
Date: Oct. 25, 2022	Respondents: Scott A. Woodward, CPA Release No. 34-96153, AAER-4359 See Also: Administrative Summary File Number: 3-21219
Date: Oct. 24, 2022	Respondents: Cronos Group Inc. Release No. 33-11123, 34-96137, AAER-4357
Date: Oct. 24, 2022	Respondents: William Hilson, CPA, CA Release No. 33-11124, 34-96138, AAER-4358
Date: Oct. 24, 2022	Respondents: Ramiro Jose Sugranes Release No. 34-96145, IA-6173
Date: Oct. 24, 2022	Respondents: Lina Maria Garcia Release No. 34-96146, IA-6174
Date: Oct. 21, 2022	Respondents: Mattel, Inc. Release No. 33-11122, 34-96126, AAER-4355
Date: Oct. 21, 2022	Respondents: Abrahams, Joshua, CPA Release No. 34-96127, AAER-4356 File Number: 3-21214
Date: Oct. 20, 2022	Respondents: Perry Douglas West, Esq. Release No. 34-96114 File Number: 3-18968
Date: Oct. 20, 2022	Respondents: Eagle Bancorp, Inc. Release No. 34-96115 File Number: 3-20963
Date: Oct. 19, 2022	Respondents: Tilford, Richard Gregory Release No. 34-96103 File Number: 3-21211
Date: Oct. 19, 2022	Respondents: NewAge, Inc. Release No. 33-11120, 34-96106
Date: Oct. 17, 2022	Respondents: MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA, Release No. 34-96095
Date: Oct. 13, 2022	Respondents: Howard Richards Release No. 34-96064 File Number: 3-16877
Date: Oct. 13, 2022	Respondents: Gilberto Lopez Release No. 34-96067
Date: Oct. 13, 2022	Respondents: Badree Komandur, et al. Release No. 34-96071, AAER-4354 File Number: 3-17746
Date: Oct. 13, 2022	Respondents: Charles Parrino Release No. 34-96072 File Number: 3-21210
Date: Oct. 12, 2022	Respondents: Keith Springer Release No. IA-6169 File Number: 3-21208
Date: Oct. 11, 2022	Respondents: Broyles, Daniel Thomas Release No. 34-96025 File Number: 3-21206
Date: Oct. 11, 2022	Respondents: Andrew R. Dougherty Release No. 34-96032, IA-6167 File Number: 3-21207
Date: Oct. 11, 2022	Respondents: Gold Camp Cripple Creek Colorado, Inc. Release No. 34-96033 File Number: 3-21044
Date: Oct. 7, 2022	Respondents: Leroy KIng Release No. 34-96008; IA-6163 File Number: 3-21204
Date: Oct. 7, 2022	Respondents: Surgalign Holdings, Inc. and Robert P. Jordheim Release No. 34-96010 File Number: 3-20945
Date: Oct. 7, 2022	Respondents: Shaun P. Golden Release No. IA-6164 File Number: 3-21205
Date: Oct. 6, 2022	Respondents: Fifth Third Bancorp and Daniel Poston Release No. 34-95988 See Also: Distribution Plan
Date: Oct. 6, 2022	Respondents: John W. Fisher Release No. 34-95989, IA-6159 File Number: 3-21201
Date: Oct. 6, 2022	Respondents: Schwarz, Jason Release No. IA-6160 File Number: 3-21202
Date: Oct. 6, 2022	Respondents: Tyler Ostern Release No. 34-95991 File Number: 3-21203
Date: Oct. 6, 2022	Respondents: Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited Release No. 34-96000 See Also: Proposed Distribution Plan File Number: 3-20030
Date: Oct. 6, 2022	Respondents: Eco Science Solutions, Inc. Release No. 34-96004 File Number: 3-20971
Date: Oct. 5, 2022	Respondents: Fusion Analytics Investment Partners, LLC Release No. IA-6158 File Number: 3-21200