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: Sept. 19, 2022	Respondents: TC Acquisition Corp. Release No. 34-95831 File Number: 3-21109
Date: Sept. 19, 2022	Respondents: Matthew W. Dreyer, CPA Release No. 34-95833, AAER-4335 See Also: Administrative Summary File Number: 3-21111
Date: Sept. 19, 2022	Respondents: Arcadia Wealth Management, Inc. Release No. IA-6137 See Also: Administrative Summary File Number: 3-21110
Date: Sept. 16, 2022	Respondents: Allianz Global Investors U.S. LLC Release No. 34-95801 File Number: 3-20855
Date: Sept. 16, 2022	Respondents: QMIS Finance Securities Corp. Release No. 34-95803 File Number: 3-21095
Date: Sept. 16, 2022	Respondents: Sino Agro Food, Inc. Release No. 34-95804 File Number: 3-21096
Date: Sept. 16, 2022	Respondents: Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 34-95805 File Number: 3-20932
Date: Sept. 16, 2022	Respondents: TBG Holdings Corporation Release No. 34-95815 File Number: 3-21100
Date: Sept. 16, 2022	Respondents: Grenda Group, LLC Release No. IA-6130 File Number: 3-21097
Date: Sept. 16, 2022	Respondents: Grenda, Gregory M. Release No. IA-6131 File Number: 3-21098
Date: Sept. 16, 2022	Respondents: Ruiz, Martin A. Release No. IA-6133 File Number: 3-21099
Date: Sept. 15, 2022	Respondents: Globe Photos, Inc. Release No. 34-95777 File Number: 3-21076
Date: Sept. 15, 2022	Respondents: Glohab, Inc. Release No. 34-95778 File Number: 3-21077
Date: Sept. 15, 2022	Respondents: Arthur S. Hoffman Release No. 34-95779, IA-6125 File Number: 3-21078
Date: Sept. 15, 2022	Respondents: Booth, Robert Lenard a/k/a Trevor Nicholas Release No. 34-95784 File Number: 3-21084
Date: Sept. 15, 2022	Respondents: Mark Alan Lisser Release No. 34-95785 File Number: 3-21083
Date: Sept. 15, 2022	Respondents: Petrone Worldwide, Inc. Release No. 34-95786 File Number: 3-21085
Date: Sept. 15, 2022	Respondents: Premier Holding Corp. Release No. 34-95787 File Number: 3-21086
Date: Sept. 15, 2022	Respondents: Ostertag, Damian Release No. 34-95788 File Number: 3-21087
Date: Sept. 15, 2022	Respondents: Canaan Management, LLC Release No. IA-6126 See Also: Administrative Summary File Number: 3-21079
Date: Sept. 15, 2022	Respondents: Asset Management Group of Bank of Hawaii Release No. IA-6127 See Also: Administrative Summary File Number: 3-21080
Date: Sept. 15, 2022	Respondents: Highland Capital Partners LLC Release No. IA-6128 See Also: Administrative Summary File Number: 3-21081
Date: Sept. 15, 2022	Respondents: Starvest Management, Inc. Release No. IA-6129 See Also: Administrative Summary File Number: 3-21082
Date: Sept. 15, 2022	Respondents: Sky Wolf Wind Turbine Corp. Release No. 34-95790 File Number: 3-21088
Date: Sept. 15, 2022	Respondents: Sleepaid Holding Co. n/k/a QDM, Inc. Release No. 34-95792 File Number: 3-21091
Date: Sept. 15, 2022	Respondents: Nanovation Microtech, Inc. Release No. 34-95793 File Number: 3-21089
Date: Sept. 15, 2022	Respondents: Van Nuys Studios, Inc. Release No. 34-95794 File Number: 3-21092
Date: Sept. 15, 2022	Respondents: Nerium Biotechnology, Inc. Release No. 34-95796 File Number: 3-21090
Date: Sept. 15, 2022	Respondents: Williamsville Sears Management, Inc. Release No. 34-95797 File Number: 3-21093
Date: Sept. 15, 2022	Respondents: GOL Linhas Aéreas Inteligentes S.A. Release No. 34-95800 See Also: Administrative Summary
Date: Sept. 14, 2022	Respondents: Loop Capital Markets, LLC Release No. 34-95764 File Number: 3-21075
Date: Sept. 14, 2022	Respondents: DCA Asset Management, Inc. Release No. 34-95765 File Number: 3-20968
Date: Sept. 14, 2022	Respondents: Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC Release No. 34-95766 File Number: 3-20060
Date: Sept. 14, 2022	Respondents: Badree Komandur, et al. Release No. 34-95767, AAER-4334 File Number: 3-17746
Date: Sept. 13, 2022	Respondents: Scott Adam Brander Release No. 34-95747, IA-6124 File Number: 3-21069
Date: Sept. 13, 2022	Respondents: Jefferies LLC Release No. 34-95749 File Number: 3-21070
Date: Sept. 13, 2022	Respondents: BNY Mellon Capital Markets, LLC Release No. 34-95750 File Number: 3-21071
Date: Sept. 13, 2022	Respondents: TD Securities (USA) LLC Release No. 34-95751 File Number: 3-21072
Date: Sept. 12, 2022	Respondents: Hudson Advisors L.P. and Lone Star Global Acquisitions, Ltd. Release No. IA-6120 File Number: 3-21062
Date: Sept. 12, 2022	Respondents: GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. Release No. 34-95732 File Number: 3-20537
Date: Sept. 12, 2022	Respondents: SparkLabs Global Ventures Management, LLC, SparkLabs Management, LLC and Bernard Moon Release No. IA-6121 See Also: Administrative Summary File Number: 3-21063
Date: Sept. 12, 2022	Respondents: Wells Fargo & Company Release No. 34-95733 File Number: 3-19704
Date: Sept. 12, 2022	Respondents: Pierre, Ruless a/k/a Rules Pierre Release No. IA-6122 File Number: 3-21064
Date: Sept. 12, 2022	Respondents: VMware, Inc. Release No. 33-11099, 34-95744, AAER-4333 File Number: 3-21065
Date: Sept. 12, 2022	Respondents: NuGenerex Immuno-Oncology, Inc. Release No. 34-95745 File Number: 3-21066
Date: Sept. 12, 2022	Respondents: Original Source Music, Inc. Release No. 34-95746 File Number: 3-21068
Date: Sept. 12, 2022	Respondents: Christopher R. Bentley Release No. IA-6123 File Number: 3-21067
Date: Sept. 9, 2022	Respondents: Steward Capital Management, Inc. Release No. IA-6111 File Number: 3-21048
Date: Sept. 9, 2022	Respondents: Titan Fund Management, LLC Release No. IA-6112 File Number: 3-21049
Date: Sept. 9, 2022	Respondents: Garrison Investment Group LP Release No. IA-6113 File Number: 3-21050
Date: Sept. 9, 2022	Respondents: Janus Henderson Investors US LLC Release No. IA-6114 File Number: 3-21051
Date: Sept. 9, 2022	Respondents: Polaris Equity Management, Inc. Release No. IA-6115 File Number: 3-21052
Date: Sept. 9, 2022	Respondents: QVR, LLC Release No. IA-6116 File Number: 3-21053
Date: Sept. 9, 2022	Respondents: Ridgeview Asset Management Partners, LLC Release No. IA-6117 File Number: 3-21054
Date: Sept. 9, 2022	Respondents: Lend Academy Investments, LLC Release No. IA-6118 File Number: 3-21055
Date: Sept. 9, 2022	Respondents: BiscayneAmericas Advisers L.L.C. Release No. IA-6119 File Number: 3-21056
Date: Sept. 9, 2022	Respondents: Hygge Integrated Brands Corp. Release No. 34-95719 File Number: 3-21057
Date: Sept. 9, 2022	Respondents: Lightscape Technologies, Inc. Release No. 34-95720 File Number: 3-21058
Date: Sept. 9, 2022	Respondents: Legacy Funding Services, LLC and Raymond Howard Sowell Release No. 34-95726 See Also: Administrative Summary File Number: 3-21059
Date: Sept. 9, 2022	Respondents: Bridgeway National Corp. Release No. 34-95727 File Number: 3-21060
Date: Sept. 9, 2022	Respondents: Centaurus Diamond Technologies, Inc. Release No. 34-95728 File Number: 3-21061
Date: Sept. 8, 2022	Respondents: The Kraft Heinz Co. and Eduardo Pelleissone Release No. 34-95702 File Number: 3-20523
Date: Sept. 8, 2022	Respondents: Stanley B. Secor Release No. 34-95703, IA-6108 File Number: 3-21043
Date: Sept. 8, 2022	Respondents: Charles Pratt & Company, LLC Release No. IA-6107, AAER-4332 See Also: Administrative Summary File Number: 3-21042
Date: Sept. 8, 2022	Respondents: Benjamin Bin Chow Release No. IA-6109 File Number: 3-21045
Date: Sept. 8, 2022	Respondents: NPA Asset Management, LLC Release No. IA-6110 See Also: Administrative Summary File Number: 3-21047
Date: Sept. 8, 2022	Respondents: Gold Camp Cripple Creek Colorado, Inc. Release No. 34-95705 File Number: 3-21044
Date: Sept. 8, 2022	Respondents: Gold Capital Corp. /Co/ Release No. 34-95706 File Number: 3-21046
Date: Sept. 7, 2022	Respondents: Energem Resources, Inc. f/k/a Diamondworks Ltd. Release No. 34-95680 File Number: 3-21035
Date: Sept. 7, 2022	Respondents: Enova Systems, Inc. Release No. 34-95681 File Number: 3-21036
Date: Sept. 7, 2022	Respondents: Doers Education Asean Ltd. Release No. 34-95686 File Number: 3-21037
Date: Sept. 7, 2022	Respondents: Emerging Opportunities Corp. Release No. 34-95689 File Number: 3-21038
Date: Sept. 7, 2022	Respondents: Gordon, Lisa Release No. 34-95690 File Number: 3-21039
Date: Sept. 7, 2022	Respondents: Corporate Resource Services, Inc. Release No. 34-95692 File Number: 3-21040
Date: Sept. 7, 2022	Respondents: DirectView Holdings, Inc. Release No. 34-95693 File Number: 3-21041
Date: Sept. 7, 2022	Respondents: Santa Fe Financial Corporation Release No. 34-95701 File Number: 3-20989
Date: Sept. 6, 2022	Respondents: Aventura Capital Management, LLC Release No. IA-6103 See Also: Administrative Summary File Number: 3-21026
Date: Sept. 6, 2022	Respondents: Electropremium Release No. 33-11097 File Number: 3-21032
Date: Sept. 6, 2022	Respondents: Perceptive Advisors LLC Release No. 34-95673, IA-6106
Date: Sept. 6, 2022	Respondents: Adaptive Medias, Inc. Release No. 34-95677 File Number: 3-21033
Date: Sept. 6, 2022	Respondents: American Pacific Minerals Ltd. Release No. 34-95678 File Number: 3-21034
Date: Sept. 2, 2022	Respondents: CHS Inc. Release No. 34-95663, AAER-4330 See Also: Administrative Summary File Number: 3-21022
Date: Sept. 2, 2022	Respondents: Basic Energy Services, Inc. Release No. 34-95665 File Number: 3-21023
Date: Sept. 2, 2022	Respondents: BLGI, Inc. Release No. 34-95666 File Number: 3-21025
Date: Sept. 2, 2022	Respondents: FAB Universal Corp. Release No. 34-95667 File Number: 3-21027
Date: Sept. 2, 2022	Respondents: Glen Rose Petroleum Corp Release No. 34-95668 File Number: 3-21028
Date: Sept. 2, 2022	Respondents: Energy Innovation Capital Management, LLC Release No. IA-6104 File Number: 3-21029
Date: Sept. 2, 2022	Respondents: Vaccarelli, Leon Release No. 34-95671, IA-6105 File Number: 3-21030
Date: Sept. 1, 2022	Respondents: Stable Road Acquisition Corp., et al. Release No. 34-95653 File Number: 3-20393
Date: Aug. 31, 2022	Respondents: Taronis Technologies, Inc. (n/k/a BBHC, Inc.) Release No. 34-95640 File Number: 3-21019
Date: Aug. 31, 2022	Respondents: HCR Wealth Advisors Release No. 34-95641 File Number: 3-19494
Date: Aug. 31, 2022	Respondents: Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 34-95642 File Number: 3-16729
Date: Aug. 31, 2022	Respondents: Fred Alger Management, Inc. and Fred Alger & Company, Incorporated Release No. 34-95643 File Number: 3-12540
Date: Aug. 31, 2022	Respondents: Dilley, Carl E. Release No. 34-95648 File Number: 3-21020
Date: Aug. 31, 2022	Respondents: Eldred, Micah J. Release No. 34-95649 File Number: 3-21021
Date: Aug. 29, 2022	Respondents: Heckele, Mark W., Esq. Release No. 34-95625 File Number: 3-21014
Date: Aug. 29, 2022	Respondents: Heckele, Mark W., Esq. Release No. 34-95626 File Number: 3-21015
Date: Aug. 29, 2022	Respondents: Worldwide Markets, Ltd. Release No. 34-95627 File Number: 3-21016
Date: Aug. 29, 2022	Respondents: TAB Networks, Inc. Release No. 34-95628 File Number: 3-21017
Date: Aug. 29, 2022	Respondents: Jonathan Dax Cooke Release No. 34-95630, IA-6099 File Number: 3-21018