Administrative Proceedings

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. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

The list below provides links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, pursuant to delegated authority.

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

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