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: June 30, 2022	Respondents: Ihsan Dariush Ibrahim Gholizadeh Inc. Ihsan Dariush Ibrahim Gholizadeh Transfer Trust Release No. 34-95184 See Also: Administrative Summary File Number: 3-20916
Date: June 30, 2022	Respondents: The Northgate Nobles Greenhouseabe Foreign Grantor Trust Release No. 34-95185 See Also: Administrative Summary File Number: 3-20917
Date: June 30, 2022	Respondents: Wendy Elizabeth Sill Trust Release No. 34-95186 See Also: Administrative Summary File Number: 3-20918
Date: June 30, 2022	Respondents: Wesley J. Evans Release No. 34-95187 File Number: 3-20919
Date: June 30, 2022	Respondents: Hamilton Investment Counsel, LLC and Jeffrey Kirkpatrick Release No. 34-95189, IA-6061 File Number: 3-20920
Date: June 30, 2022	Respondents: Corona Associates Capital Management, LLC, et al. Release No. IA-6062 See Also: Administrative Summary File Number: 3-20921
Date: June 29, 2022	Respondents: UBS Financial Services Inc. Release No. 34-95168, IA-6060
Date: June 28, 2022	Respondents: Ernst & Young LLP Release No. 34-95167, AAER-4313 File Number: 3-20911
Date: June 28, 2022	Respondents: Poloniex, LLC Release No. 34-95172 File Number: 3-20455
Date: June 27, 2022	Respondents: German Nino Release No. 34-95160, IA-6058 File Number: 3-20908
Date: June 27, 2022	Respondents: Sidney A. Spector, Md and Phd Release No. 33-11078, 34-95163 See Also: Administrative Summary File Number: 3-20910
Date: June 27, 2022	Respondents: David Lee Bonuccelli Release No. IA-6059 File Number: 3-20909
Date: June 24, 2022	Respondents: GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. Release No. 34-95149 File Number: 3-20537
Date: June 24, 2022	Respondents: Robinhood Financial, LLC Release No. 34-95152 File Number: 3-20171
Date: June 24, 2022	Respondents: Geluk Capital Management Ltd. and Douglas Gerald Fathers Release No. 33-11077, 34-95158, IA-6057, IC-34637 See Also: Administrative Summary File Number: 3-20906
Date: June 22, 2022	Respondents: The Brink's Company Release No. 34-95138 See Also: Administrative Summary File Number: 3-20904
Date: June 21, 2022	Respondents: Egan-Jones Ratings Company and Sean Egan Release No. 34-95127
Date: June 21, 2022	Respondents: Aaron B. Fletcher Release No. 34-95131, IA-6052 File Number: 3-20903
Date: June 17, 2022	Respondents: Erin Verespy Release No. 34-95121, IA-6051
Date: June 16, 2022	Respondents: William D. King, CPA Release No. 34-95109 See Also: Distribution Plan File Number: 3-19991
Date: June 16, 2022	Respondents: Sica Wealth Management, LLC and Jeffrey C. Sica Release No. 34-95110 See Also: Distribution Plan File Number: 3-19716
Date: June 14, 2022	Respondents: Weiss Asset Management LP Release No. 34-95099 File Number: 3-20899
Date: June 14, 2022	Respondents: Energy Capital Partners Management, LP Release No. IA-6049 File Number: 3-20900
Date: June 13, 2022	Respondents: Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc. and Schwab Wealth Investment Advisory, Inc. Release No. 34-95087, IA-6047 See Also: Administrative Summary File Number: 3-20897
Date: June 13, 2022	Respondents: Petroteq Energy, Inc.; Aleksandr Blyumkin Release No. 33-11072, 34-95089 See Also: Complaint File Number: 3-20898
Date: June 9, 2022	Respondents: Lijuan "Sandra" Hao, CPA Release No. 34-95076, AAER-4312 See Also: Administrative Summary File Number: 3-20896
Date: June 8, 2022	Respondents: CohnReznick LLP Release No. 34-95066, AAER-4309 File Number: 3-20891
Date: June 8, 2022	Respondents: Stephen M. Wyss, CPA, Stephen H. Jackson, CPA and Robert G. Hilbert, CPA Release No. 34-95067, AAER-4310 File Number: 3-20892
Date: June 8, 2022	Respondents: Steven C. Avis, CPA, and Steven W. Hurd, CPA Release No. 34-95071, AAER-4311 File Number: 3-20894
Date: June 8, 2022	Respondents: Jae Cheol Oh Release No. 34-95072 See Also: Administrative Summary File Number: 3-20895
Date: June 7, 2022	Respondents: Synchronoss Technologies, Inc. Release No. 34-95049, AAER-4302 File Number: 3-20883
Date: June 7, 2022	Respondents: Clayton "Charlie" Thomas Release No. 34-95050, AAER-4303 File Number: 3-20884
Date: June 7, 2022	Respondents: Marc Bandini Release No. 34-95051, AAER-4304 File Number: 3-20885
Date: June 7, 2022	Respondents: Daniel Ives Release No. 34-95052, AAER-4305 File Number: 3-20886
Date: June 7, 2022	Respondents: John Murdock Release No. 34-95053, AAER-4306 File Number: 3-20887
Date: June 7, 2022	Respondents: Stephen G. Waldis Release No. 34-95054, AAER-4307 File Number: 3-20888
Date: June 7, 2022	Respondents: Ronald Prague, Esq. Release No. 34-95055, AAER-4308 File Number: 3-20889
Date: June 7, 2022	Respondents: Trust Advisory Group, Ltd. Release No. IA-6046 See Also: Administrative Summary File Number: 3-20890
Date: June 6, 2022	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 34-95043 File Number: 3-20781
Date: June 6, 2022	Respondents: Houston American Energy Corp. Terwilliger, John F., Jr. Undiscovered Equities Inc. McKnight, Kevin T. Release No. 34-95044 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: 3-16000 File Number: 3-16000
Date: June 6, 2022	Respondents: Adirondack Financial Services Corp. Release No. IA-6041 File Number: 3-20879
Date: June 6, 2022	Respondents: Kahn Brothers Advisors, LLC and Thomas Kahn Release No. 34-95045, IA-6043 See Also: Administrative Summary File Number: 3-20880
Date: June 6, 2022	Respondents: Kathryn Jane Meredith, d/b/a KM Advisory Services Release No. 34-95046, IA-6044, 34-96217 See Also: Administrative Summary File Number: 3-20881
Date: June 6, 2022	Respondents: John Paul Harnish, d/b/a KM Advisory Services Release No. 34-95047, IA-6045, 34-96217 See Also: Administrative Summary File Number: 3-20882
Date: June 3, 2022	Respondents: Garrison Point Capital, LLC Release No. IA-6039, IC-34607 See Also: Administrative Summary File Number: 3-20876
Date: June 3, 2022	Respondents: Alphacentric Advisors LLC Release No. IA-6040, IC-34608 See Also: Administrative Summary File Number: 3-20877
Date: June 2, 2022	Respondents: Town of Sterlington, Louisiana Release No. 33-11069, 34-95024 File Number: 3-20873
Date: June 2, 2022	Respondents: Duncan, Richard G. Release No. 34-95023, IA-6038 See Also: Exhibit A File Number: 3-20874
Date: June 2, 2022	Respondents: Tenaris S.A. Release No. 34-95030 File Number: 3-20875
Date: May 31, 2022	Respondents: Madison Avenue Securities, LLC Release No. 34-95008, IA-6036 See Also: Administrative Summary File Number: 3-20872
Date: May 26, 2022	Respondents: Securities America Advisors, Inc. Release No. 34-94995 See Also: 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: May 26, 2022	Respondents: Hansen, David Henry Release No. IA-6035 File Number: 3-20684
Date: May 25, 2022	Respondents: RiverSource Distributors, Inc. Release No. 34-94978, IC-34592 File Number: 3-20871
Date: May 25, 2022	Respondents: Bankrate, Inc. and Hyunjin Lerner, CPA Release No. 34-94979 File Number: 3-16786
Date: May 24, 2022	Respondents: TradeZero America, Inc. and Daniel Pipitone (Corrected) Release No. 33-11066 File Number: 3-20870
Date: May 24, 2022	Respondents: PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA Release No. 34-94976, AAER-4301 File Number: 3-17691
Date: May 23, 2022	Respondents: BNY Mellon Investment Adviser, Inc. Release No. IA-6032, IC-34591 File Number: 3-20867
Date: May 23, 2022	Respondents: Jillian Sidoti, Esq. Release No. 34-94962 File Number: 3-20868
Date: May 23, 2022	Respondents: Virtua Capital Management, LLC, et al. Release No. 34-94967, IA-6033 See Also: Administrative Summary File Number: 3-20869
Date: May 20, 2022	Respondents: Wells Fargo Clearing Services, LLC. Release No. 34-94955, IA-6031 File Number: 3-20866
Date: May 20, 2022	Respondents: Masters, Daniel C. Release No. 33-11064, 34-94956 File Number: 3-20051
Date: May 19, 2022	Respondents: Butler, Kimberly D. Prosperity Economics Partners, LLC Partners for Prosperity, LLC Release No. 33-11063, 34-94945, IA-6029, IC-34589 File Number: 3-20454
Date: May 19, 2022	Respondents: Michael Staisil Release No. 34-94943 File Number: 3-20863
Date: May 19, 2022	Respondents: Thomas F. Plaut Release No. 34-94944 File Number: 3-20864
Date: May 19, 2022	Respondents: First Republic Investment Management, Inc. Release No. IA-6030 See Also: Administrative Summary File Number: 3-20865
Date: May 19, 2022	Respondents: FCA US LLC and Fiat Chrysler Automobiles N.V. Release No. 34-94948 See Also: Proposed Distribution Plan File Number: 3-19541
Date: May 18, 2022	Respondents: Digi Outdoor Media, Inc. Release No. 33-11062 File Number: 3-20862
Date: May 18, 2022	Respondents: Anthony Salandra Release No. 34-94937 File Number: 3-20861
Date: May 17, 2022	Respondents: Trevor L. Taylor Release No. 34-94925, IA-6025 File Number: 3-20853
Date: May 17, 2022	Respondents: Stephen G. Bond-Nelson Release No. 34-94926, IA-6026 File Number: 3-20854
Date: May 17, 2022	Respondents: Allianz Global Investors U.S. LLC Release No. 34-94927, IA-6027 File Number: 3-20855
Date: May 17, 2022	Respondents: David N. Knuth Release No. 34-94930 File Number: 3-20856
Date: May 17, 2022	Respondents: Alan H. New Release No. 34-94931 File Number: 3-20857
Date: May 13, 2022	Respondents: Douglas A. Richardson, CPA Release No. 34-94906, AAER-4300 File Number: 3-20852
Date: May 12, 2022	Respondents: Peter J. Baker Release No. 34-94904 File Number: 3-20851
Date: May 12, 2022	Respondents: S&P Dow Jones Indices LLC Release No. 34-94905 See Also: Distribution Plan File Number: 3-20310
Date: May 11, 2022	Respondents: Steven F. Muntin Release No. IA-6020 File Number: 3-20850
Date: May 10, 2022	Respondents: Lev Parnas Release No. 34-94885 File Number: 3-20848
Date: May 10, 2022	Respondents: High, Robert Charles II Release No. 34-94886, IA-6019 File Number: 3-20849
Date: May 9, 2022	Respondents: Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel Release No. 34-94877 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: 3-19266 File Number: 3-19266
Date: May 6, 2022	Respondents: NVIDIA Corporation Release No. 33-11060, 34-94859 File Number: 3-20844
Date: May 6, 2022	Respondents: Perini Capital, LLC and Michael D. Perini Release No. IA-6015 See Also: Administrative Summary File Number: 3-20843
Date: May 6, 2022	Respondents: Boveda Asset Management, Inc. Release No. IA-6016 File Number: 3-20845
Date: May 6, 2022	Respondents: George Kenneth Witherspoon, Jr. Release No. IA-6017 File Number: 3-20846
Date: May 6, 2022	Respondents: Advanzeon Solutions, Inc. Release No. 34-94861 File Number: 3-20847
Date: May 5, 2022	Respondents: Bobby Eugene Guess Release No. 34-94852 File Number: 3-20841
Date: May 5, 2022	Respondents: General Electric Company Release No. 34-94856 See Also: Distribution Plan File Number: 3-20165
Date: May 5, 2022	Respondents: Balter, Laurence I. d/b/a Oracle Investment Research Release No. 34-94857 See Also: Distribution Plan File Number: 3-17614
Date: May 5, 2022	Respondents: Eric A. Alexander, CPA Release No. 34-94858, AAER-4299 File Number: 3-20842
Date: May 4, 2022	Respondents: Omnibus Order Directing the Engagement of Two Tax Administrators for Appointment on a Case-By-Case Basis in Administrative Proceedings that Establish Distribution Funds Release No. 34-94845
Date: May 2, 2022	Respondents: Maplelane Capital LLC Release No. 34-94830, IA-6011 File Number: 3-20837
Date: May 2, 2022	Respondents: True Link Financial Advisors, LLC and Kai H. Stinchcombe Release No. 33-11059, IA-6012 File Number: 3-20838
Date: May 2, 2022	Respondents: Herman, Justin Wallace Release No. 34-94833 File Number: 3-20839
Date: May 2, 2022	Respondents: Balasubrahmanya Kuchibhotla Release No. 34-94834 See Also: Administrative Summary File Number: 3-20840
Date: April 28, 2022	Respondents: Medley Management Inc., Brook B. Taube and Seth B. Taube Release No. 33-11057, 34-94819, IA-6008 File Number: 3-20836
Date: April 27, 2022	Respondents: Highpoint Advisor Group, LLC Release No. IA-6003 See Also: Administrative Summary File Number: 3-20833
Date: April 27, 2022	Respondents: Alexandra H. Cock Release No. 33-11055, 34-94806, IA-6004, IC-34573 See Also: Administrative Summary File Number: 3-20834
Date: April 27, 2022	Respondents: Wealth Plus, Inc. Release No. 33-11056, 34-94807, IA-6005 See Also: Administrative Summary File Number: 3-20835
Date: April 25, 2022	Respondents: Scott A. Merkelson Release No. 34-94790 File Number: 3-20832
Date: April 22, 2022	Respondents: Resolute Capital Partners Ltd, LLC, et al. Release No. 34-94779