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.

Email Subscription E-mail Updates: To sign up for updates, please enter your e-mail address below.

Administrative Proceedings Table

Respondents
Date: Respondents:
Martin, Douglas
Release No. 34-95617
File Number: 3-21010
Date: Respondents:
Kovack Advisors, Inc.
Release No. IA-6098
See Also: Administrative Summary
File Number: 3-21008
Date: Respondents:
Mark C. Kelly, CPA
Release No. 33-11096, 34-95612, AAER-4329
See Also: Administrative Summary
File Number: 3-21009
Date: Respondents:
Chairez, Karina
Release No. 34-95619
File Number: 3-21011
Date: Respondents:
Ian Horn, Esq.
Release No. 34-95621
File Number: 3-21012
Date: Respondents:
McHenry, William B., Jr.; First South Investments, LLC
Release No. 34-95594
File Number: 3-20999
Date: Respondents:
Michael James Ferguson Jr. Foreign Private Trust
Release No. 34-95600
File Number: 3-21000
Date: Respondents:
Swapnil J. Rege
Release No. IA-6097
File Number: 3-21007
Date: Respondents:
Skinner, Matthew J.
Release No. 34-95608
File Number: 3-21001
Date: Respondents:
James H. Roberts
Release No. 34-95609, AAER-4325
Date: Respondents:
Laurel Krzeminski
Release No. 34-95610, AAER-4326
Date: Respondents:
Jigisha Desai
Release No. 34-95611, AAER-4327
Date: Respondents:
The Bancorp, Inc.
Release No. 34-95589, AAER-4323
See Also: Administrative Summary
File Number: 3-20997
Date: Respondents:
Farber Hass Hurley LLP; Michel Abedian, CPA; and Michael Hurley, CPA
Release No. 34-95593, AAER-4324
See Also: Administrative Summary
File Number: 3-20998
Date: Respondents:
Virginia Himmelsteib King
Release No. IA-6095
File Number: 3-20996
Date: Respondents:
Qornerstone Inc.
Release No. 34-95562
File Number: 3-20988
Date: Respondents:
Santa Fe Financial Corporation
Release No. 34-95563
File Number: 3-20989
Date: Respondents:
Union Bridge Holdings Limited
Release No. 34-95564
File Number: 3-20990
Date: Respondents:
VeriTeQ Corporation
Release No. 34-95565
File Number: 3-20991
Date: Respondents:
Vu1 Corporation
Release No. 34-95566
File Number: 3-20992
Date: Respondents:
WOD Retail Solutions, Inc.
Release No. 34-95568
File Number: 3-20993
Date: Respondents:
Tasa Products Limited
Release No. 34-95573
File Number: 3-20994
Date: Respondents:
The American Energy Group, Ltd.
Release No. 34-95574
File Number: 3-20995
Date: Respondents:
Insulcrete, Inc.
Release No. 34-95535
File Number: 3-20978
Date: Respondents:
Lescarden Inc.
Release No. 34-95536
File Number: 3-20979
Date: Respondents:
Metwood Inc. (Aka Emerge Health International Inc.)
Release No. 34-95538
File Number: 3-20980
Date: Respondents:
Newbridge Global Ventures, Inc.
Release No. 34-95539
File Number: 3-20981
Date: Respondents:
Shearson American Reit, Inc.
Release No. 34-95540
File Number: 3-20982
Date: Respondents:
Tara Gold Resources Corp.
Release No. 34-95541
File Number: 3-20983
Date: Respondents:
Novelion Therapeutics Inc.
Release No. 34-95542
File Number: 3-20984
Date: Respondents:
Plantation Corp.
Release No. 34-95543
File Number: 3-20985
Date: Respondents:
NMI Health, Inc.
Release No. 34-95553
File Number: 3-20986
Date: Respondents:
Northern Power Systems Corp.
Release No. 34-95554
File Number: 3-20987
Date: Respondents:
MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
Release No. 34-95511
See Also: Proposed Distribution Plan
Comments Due: 30 days from date of this Notice
Comments received are available: https://www.sec.gov/comments/3-17956/3-17956.htm
Submit Comments on: 3-17956
File Number: 3-17956
Date: Respondents:
Champion Pain Care Corp. (f/k/a OICCO Acquisition I, Inc.)
Release No. 34-95512
File Number: 3-20967
Date: Respondents:
DCA Asset Management, Inc.
Release No. 34-95513
File Number: 3-20968
Date: Respondents:
Destination Maternity Corporation
Release No. 34-95514
File Number: 3-20969
Date: Respondents:
Dominion Minerals Corp.
Release No. 34-95515
File Number: 3-20970
Date: Respondents:
Eco Science Solutions, Inc.
Release No. 34-95516
File Number: 3-20971
Date: Respondents:
Findex.Com, Inc.
Release No. 34-95517
File Number: 3-20972
Date: Respondents:
IEH Corporation
Release No. 34-95518
File Number: 3-20973
Date: Respondents:
Halo Companies, Inc.
Release No. 34-95519
File Number: 3-20974
Date: Respondents:
Alanco Technologies, Inc.
Release No. 34-95522
File Number: 3-20976
Date: Respondents:
Andes 7, Inc.
Release No. 34-95523
File Number: 3-20977
Date: Respondents:
KinerjaPay Corp.
Release No. 34-95533
File Number: 3-20717
Date: Respondents:
Gregory Blotnick and Brattle Street Capital, LLC
Release No. 33-11091, 34-95502, IA-6090, IC-34674
See Also: Administrative Summary
File Number: 3-20962
Date: Respondents:
Eagle Bancorp, Inc.
Release No. 33-11092, 34-95505, AAER-4321
File Number: 3-20963
Date: Respondents:
Kahn Brothers Advisors, LLC and Thomas Kahn
Release No. 34-95506
File Number: 3-20880
Date: Respondents:
Baynon International Corp.
Release No. 34-95507
File Number: 3-20964
Date: Respondents:
Bravo Enterprises Ltd.
Release No. 34-95508
File Number: 3-20965
Date: Respondents:
Conrad Neil Normann
Release No. 33-11093, 34-95510, IC-34675
See Also: Administrative Summary
File Number: 3-20966
Date: Respondents:
IMC Chicago, LLC
Release No. 34-95487
See Also: Administrative Summary
File Number: 3-20961
Date: Respondents:
Crown Bridge Partners, LLC
Release No. 34-95467
File Number: 3-20956
Date: Respondents:
Soheil Ahdoot
Release No. 34-95468
File Number: 3-20957
Date: Respondents:
Sepas Ahdoot
Release No. 34-95469
File Number: 3-20958
Date: Respondents:
Ross Barish
Release No. 34-95482
File Number: 3-20960
Date: Respondents:
Sergei Polevikov
Release No. IA-6087
File Number: 3-20959
Date: Respondents:
Angel Oak Capital Advisors, LLC and Ashish Negandhi
Release No. 33-11090, IA-6084
File Number: 3-20953
Date: Respondents:
Richard Keith Robertson
Release No. 34-95462, IA-6085, IC-34669
See Also: Administrative Summary
File Number: 3-20954
Date: Respondents:
IFP Advisors, LLC
Release No. IA-6086
See Also: Administrative Summary
File Number: 3-20955
Date: Respondents:
Frank Okunak, CPA
Release No. 34-95451, AAER-4320
File Number: 3-20949
Date: Respondents:
Dustin Paul Shafer
Release No. 34-95453, IA-6082
File Number: 3-20951
Date: Respondents:
Maccio, Michelle
Release No. IA-6081
File Number: 3-20950
Date: Respondents:
Bloom Protocol, LLC
Release No. 33-11089
See Also: Administrative Summary
File Number: 3-20952
Date: Respondents:
Houston American Energy Corp. Terwilliger, John F., Jr. Undiscovered Equities Inc. McKnight, Kevin T.
Release No. 34-95432
See Also: Distribution Plan
File Number: 3-16000
Date: Respondents:
Fifth Third Bancorp and Daniel Poston
Release No. 34-95418
See Also: Proposed Distribution Plan
Comments Due: 30 days from date of this Notice
File Number: 3-15635
Date: Respondents:
Kevin Gillespie
Release No. 34-95421
File Number: 3-20947
Date: Respondents:
Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC
Release No. 34-95427
File Number: 3-20060
Date: Respondents:
Allianz Global Investors U.S. LLC
Release No. 34-95429
File Number: 3-20855
Date: Respondents:
Deccan Value Investors LP and Vinit Bodas
Release No. IA-6079
See Also: Administrative Summary
File Number: 3-20944
Date: Respondents:
Surgalign Holdings, Inc. and Robert P. Jordheim
Release No. 33-11088, 34-95415, AAER-4318
See Also: Complaint
File Number: 3-20945
Date: Respondents:
LaGuardia, Donald S., Jr.
Release No. IA-6078
File Number: 3-20941
Date: Respondents:
Paul F. Gallivan
Release No. 33-11085, 34-95389, IA-6075, IC-34655
File Number: 3-20939
Date: Respondents:
Aegis Capital Corp.
Release No. 33-11086, 34-95390, IA-6076
File Number: 3-20940
Date: Respondents:
J.P. Morgan Securities LLC
Release No. 34-95367, IA-6073
File Number: 3-20936
Date: Respondents:
UBS Financial Services Inc.
Release No. 34-95368, IA-6074
File Number: 3-20937
Date: Respondents:
TradeStation Securities, Inc.
Release No. 34-95369
File Number: 3-20938
Date: Respondents:
Burns, Christopher W.
Release No. IA-6072
File Number: 3-20935
Date: Respondents:
Mesirow Financial Investment Management, Inc.
Release No. 34-95351, IA-6070
File Number: 3-20934
Date: Respondents:
Private Advisor Group, LLC
Release No. IA-6069
See Also: Administrative Summary
File Number: 3-20933
Date: Respondents:
Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc. and Gavin D. Southwell
Release No. 33-11084, 34-95323
File Number: 3-20932
Date: Respondents:
Equitable Financial Life Insurance Company
Release No. 33-11083
File Number: 3-20931
Date: Respondents:
Securities America Advisors, Inc.
Release No. 34-95311
File Number: 3-20381
Date: Respondents:
Allianz Global Investors U.S. LLC
Release No. 34-95293
File Number: 3-20855
Date: Respondents:
The Kraft Heinz Co. and Eduardo Pelleissone
Release No. 34-95277
See Also: Proposed Distribution Pla
Comments received are available: https://www.sec.gov/comments/3-20523/3-20523.htm
File Number: 3-20523
Date: Respondents:
Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel
Release No. 34-95255
See Also: Distribution Plan
File Number: 3-19266
Date: Respondents:
FCA US LLC and Fiat Chrysler Automobiles N.V.
Release No. 34-95261
See Also: Distribution Plan
File Number: 3-19541
Date: Respondents:
Steven J. Sheinfeld, CPA
Release No. 34-95223, AAER-4315
File Number: 3-20930
Date: Respondents:
Arcangelo Loberto, CPA and CA
Release No. 34-95224, AAER-4316
File Number: 3-13421
Date: Respondents:
Hugh Lee Sweeney
Release No. 33-11079, 34-95204
See Also: Administrative Summary
File Number: 3-20925
Date: Respondents:
John W. Pauciulo, Esq.
Release No. 33-11080, 34-95205
See Also: Administrative Summary
File Number: 3-20926
Date: Respondents:
McKown, George
Release No. IA-6063
File Number: 3-20927
Date: Respondents:
Gearhart, Richard
Release No. IA-6064
File Number: 3-20928
Date: Respondents:
James M. Davis
Release No. 34-95212, IA-6065
Date: Respondents:
Baxter International Inc., Jeffrey Schaible, Scott Bohaboy
Release No. 34-95192
File Number: 3-20781, 3-20782, 3-20783
Date: Respondents:
voxeljet AG and Rudolf Franz
Release No. 34-95193, AAER-4314
See Also: Administrative Summary
File Number: 3-20923
Date: Respondents:
Efrain Betancourt Jr.
Release No. 34-95194
File Number: 3-20924
Date: Respondents:
The Brian Madison Carnes Trust
Release No. 34-95181
See Also: Administrative Summary
File Number: 3-20913
Date: Respondents:
The Edward Walker Benifield Trust
Release No. 34-95182
See Also: Administrative Summary
File Number: 3-20914
Date: Respondents:
The Brandon Rawls Trust
Release No. 34-95183
See Also: Administrative Summary
File Number: 3-20915
301 to 400 of 680 items