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: April 22, 2022	Respondents: IOTA Communications, Inc. Release No. 34-94785 File Number: 3-20718
Date: April 22, 2022	Respondents: Carl Iberger Release No. 34-94786, AAER-4297 File Number: 3-20830
Date: April 22, 2022	Respondents: ARS Capital Advisors, Inc. Release No. IA-6001 File Number: 3-20831
Date: April 21, 2022	Respondents: Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry Release No. 34-94768 File Number: 3-14982
Date: April 21, 2022	Respondents: Bernard L. Compton Release No. 34-94769 File Number: 3-20829
Date: April 20, 2022	Respondents: Stericycle, Inc. Release No. 34-94760 File Number: 3-20826
Date: April 20, 2022	Respondents: John D. Ellis, Jr. Release No. IA-5999 File Number: 3-20827
Date: April 20, 2022	Respondents: Lemelson, Gregory Release No. IA-6000 File Number: 3-20828
Date: April 19, 2022	Respondents: The Legal Funding Group of Georgia, LLC and Benjamin S. Eichholz Release No. 33-11053 See Also: Administrative Summary File Number: 3-20825
Date: April 19, 2022	Respondents: Poloniex, LLC Release No. 34-94752 File Number: 3-20455
Date: April 19, 2022	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 34-94753 File Number: 3-20781
Date: April 19, 2022	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 34-94754 File Number: 3-20783
Date: April 19, 2022	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 34-94755 File Number: 3-20782
Date: April 19, 2022	Respondents: CareClix Holdings Inc. (f/k/a Solei Systems Inc.) Release No. 34-94756 File Number: 3-20757
Date: April 19, 2022	Respondents: Brian Dee Matlock, CPA Release No. 34-94757, AAER-4295 File Number: 3-19914
Date: April 19, 2022	Respondents: William D. King, CPA Release No. 34-94758 See Also: Proposed Distribution Plan Comments received are available: https://www.sec.gov/comments/3-19991/3-19991.htm File Number: 3-19991
Date: April 19, 2022	Respondents: Sica Wealth Management, LLC and Jeffrey C. Sica Release No. 34-94759 See Also: Proposed Distribution Plan File Number: 3-19716
Date: April 18, 2022	Respondents: Liberated Syndication Inc. Release No. 34-94727 File Number: 3-20737
Date: April 18, 2022	Respondents: Rollins, Inc. and Paul Edward Northen Release No. 33-11052, 34-94742, AAER-4294 File Number: 3-20824
Date: April 15, 2022	Respondents: Cawthorne, Lynn D. Release No. 34-94734, IA-5998 File Number: 3-20823
Date: April 15, 2022	Respondents: Elliot Smerling Release No. IA-5997 File Number: 3-20822
Date: April 13, 2022	Respondents: Mark Loman, CPA Release No. 34-94714, AAER-4292 See Also: Litigation Release File Number: 3-20821
Date: April 12, 2022	Respondents: Buckley, Brian Release No. 34-94685 File Number: 3-20090
Date: April 12, 2022	Respondents: David Hansen Release No. 34-94703 See Also: Administrative Summary File Number: 3-20820
Date: April 8, 2022	Respondents: Global Investment Strategy UK Ltd. Release No. 34-94656 File Number: 3-20813
Date: April 8, 2022	Respondents: John William Gunn Release No. 34-94658 File Number: 3-20814
Date: April 8, 2022	Respondents: Charles Smigrod Release No. 34-94659 File Number: 3-20815
Date: April 8, 2022	Respondents: Sgarro, Anita Release No. 34-94660 File Number: 3-20816
Date: April 8, 2022	Respondents: Topping, Charles K. Release No. 34-94661 File Number: 3-20817
Date: April 7, 2022	Respondents: Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC Release No. 34-94623 File Number: 3-20060
Date: April 7, 2022	Respondents: Bethany Liou and Golden California Regional Center, LLC Release No. 34-94627 File Number: 3-19597
Date: April 7, 2022	Respondents: GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. Release No. 34-94628 See Also: Distribution Plan File Number: 3-20537
Date: April 4, 2022	Respondents: Hanze Asia Growth A Release No. 33-11050 See Also: Administrative Summary File Number: 3-20809
Date: April 4, 2022	Respondents: Lloyd D. Reed Release No. 34-94591 See Also: Administrative Summary File Number: 3-20810
Date: April 1, 2022	Respondents: Moss, Ronnie Lee, Jr. Release No. 34-94576 File Number: 3-20807
Date: March 31, 2022	Respondents: Stockman Kast Ryan & Co. LLP. Ellen S. Fisher, CPA; Kast, David H., CPA Release No. 34-94570, IA-5989, AAER-4291 See Also: Administrative Summary File Number: 3-20395
Date: March 30, 2022	Respondents: Grossman, Stephen Kenneth Release No. 34-94553 File Number: 3-20690
Date: March 30, 2022	Respondents: Spruce Investment Advisors, LLC Release No. IA-5987 See Also: Administrative Summary File Number: 3-20806
Date: March 28, 2022	Respondents: Unikrn, Inc. Release No. 34-94525 File Number: 3-20003
Date: March 28, 2022	Respondents: Goldstone Financial Group, LLC, Anthony Pellegrino and Michael Pellegrino Release No. 33-11045, 34-94535, IA-5984, IC-34545 File Number: 3-20805
Date: March 24, 2022	Respondents: MVP Manager LLC Release No. 34-94510 See Also: Distribution Plan File Number: 3-19334
Date: March 23, 2022	Respondents: Carl W. Jasper, CPA Release No. 34-94493, AAER-4290 File Number: 3-14177
Date: March 23, 2022	Respondents: Global Boatworks Holdings, Inc. Release No. 34-94500 File Number: 3-20804
Date: March 22, 2022	Respondents: Adrian Ortega Release No. 34-94488 File Number: 3-20803
Date: March 21, 2022	Respondents: S&P Dow Jones Indices LLC Release No. 34-94480 See Also: Proposed Distribution Plan File Number: 3-20310
Date: March 18, 2022	Respondents: Van Zandt, Robert H. Release No. 34-94477, IA-5979 File Number: 3-20726
Date: March 16, 2022	Respondents: Crosby Independent School District Release No. 33-11039, 34-94425 File Number: 3-20799
Date: March 16, 2022	Respondents: Shelby L. Lackey, CPA Release No. 34-94426, AAER-4289 File Number: 3-20800
Date: March 16, 2022	Respondents: DF Growth REIT II, LLC Release No. 33-11040 See Also: Administrative Summary File Number: 3-20801
Date: March 15, 2022	Respondents: GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. Release No. 34-94424 File Number: 3-20537
Date: March 14, 2022	Respondents: Halpern & Associates LLC Barbara Halpern, CPA Release No. 34-94410, AAER-4288 See Also: Administrative Summary File Number: 3-20794
Date: March 14, 2022	Respondents: Allen, Laurence G. Release No. 34-94411, IA-5977 File Number: 3-20795
Date: March 14, 2022	Respondents: Fries, Scott Allen Release No. 34-94412, IA-5978 File Number: 3-20796
Date: March 14, 2022	Respondents: Janine Acosta Release No. 34-94413 File Number: 3-20797
Date: March 14, 2022	Respondents: McArthur Jean Release No. 34-94414 File Number: 3-20798
Date: March 9, 2022	Respondents: EnXnet, Inc. Release No. 34-94387 File Number: 3-20733
Date: March 8, 2022	Respondents: The Kraft Heinz Co. and Eduardo Pelleissone Release No. 34-94380 File Number: 3-20523
Date: March 8, 2022	Respondents: BitClave PTE, Ltd. Release No. 34-94381 File Number: 3-19816
Date: March 4, 2022	Respondents: Stefan Qin Release No. IA-5974 File Number: 3-20790
Date: March 4, 2022	Respondents: Alumni Ventures Group, LLC and Michael Collins Release No. IA-5975 File Number: 3-20791
Date: March 4, 2022	Respondents: Educators Financial Services, Inc. Release No. IA-5976 File Number: 3-20792
Date: March 3, 2022	Respondents: City National Rochdale, LLC Release No. 34-94352, IA-5973 File Number: 3-20789
Date: March 3, 2022	Respondents: Securities America Advisors, Inc. Release No. 34-94360 See Also: Distribution Plan File Number: 3-20150
Date: March 2, 2022	Respondents: Mark Alan Bourgeois Release No. 33-11036, 34-94341, IA-5971, IC-34520 See Also: Administrative Summary File Number: 3-20786
Date: March 2, 2022	Respondents: Sivendran Vettivetpillai Release No. 33-11037, IA-5972, IC-34521 See Also: Administrative Summary File Number: 3-20787
Date: March 2, 2022	Respondents: Christopher K. Davies, Esq. Release No. 34-94350 File Number: 3-20788
Date: Feb. 28, 2022	Respondents: Sica Wealth Management, LLC and Jeffrey C. Sica Release No. 34-94320 File Number: 3-19716
Date: Feb. 28, 2022	Respondents: Fortem Resources Inc. Release No. 34-94322 File Number: 3-20710
Date: Feb. 28, 2022	Respondents: General Electric Company Release No. 34-94323 See Also: Proposed Distribution Plan Comments received are available: https://www.sec.gov/comments/3-20165/3-20165.htm File Number: 3-20165
Date: Feb. 28, 2022	Respondents: Scott Eugene Bachman Release No. 34-94326 See Also: Distribution Plan File Number: 3-20089
Date: Feb. 25, 2022	Respondents: Balter, Laurence I. d/b/a Oracle Investment Research Release No. 34-94312 File Number: 3-17614
Date: Feb. 25, 2022	Respondents: Ameritas Advisory Services, LLC Release No. IA-5970 See Also: Administrative Summary File Number: 3-20784
Date: Feb. 25, 2022	Respondents: Frazer Frost LLP Woo, Susan, CPA Suen, Miranda, CPA Release No. 34-94318, AAER-4287 File Number: 3-17112
Date: Feb. 25, 2022	Respondents: Paul M. Godfrey, Jr. Release No. 33-11035, 34-94317 File Number: 3-20785
Date: Feb. 24, 2022	Respondents: XT Energy Group, Inc. Release No. 34-94306 File Number: 3-20721
Date: Feb. 23, 2022	Respondents: Oranco, Inc. Release No. 34-94299 File Number: 3-20719
Date: Feb. 23, 2022	Respondents: Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 34-94300 File Number: 3-16729
Date: Feb. 23, 2022	Respondents: West Coast Ventures Group Corp. Release No. 34-94303 File Number: 3-20723
Date: Feb. 22, 2022	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 33-11032, 34-94294, AAER-4283 File Number: 3-20781
Date: Feb. 22, 2022	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 33-11033, 34-94295, AAER-4284 File Number: 3-20782
Date: Feb. 22, 2022	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 33-11034, 34-94296, AAER-4285 File Number: 3-20783
Date: Feb. 18, 2022	Respondents: Wells Fargo & Company Release No. 34-94285 See Also: Distribution Plan File Number: 3-19704
Date: Feb. 17, 2022	Respondents: John Griffin Release No. 34-94269 File Number: 3-20777
Date: Feb. 17, 2022	Respondents: Randolph Capital Group, Inc. Release No. 34-94275 File Number: 3-20778
Date: Feb. 17, 2022	Respondents: Safety First Healthcare Corp. Release No. 34-94276 File Number: 3-20779
Date: Feb. 17, 2022	Respondents: KT Corporation Release No. 34-94279 File Number: 3-20780
Date: Feb. 16, 2022	Respondents: Xodtec Group USA, Inc. Release No. 34-94268 File Number: 3-20776
Date: Feb. 15, 2022	Respondents: Wall Street Access Release No. 34-94245 File Number: 3-20768
Date: Feb. 15, 2022	Respondents: Watermark Securities, Inc. Release No. 34-94246 File Number: 3-20769
Date: Feb. 15, 2022	Respondents: The Winning Edge Financial Group, Inc. Release No. 34-94247 File Number: 3-20770
Date: Feb. 15, 2022	Respondents: Banyan Securities, LLC Release No. 34-94248 File Number: 3-20771
Date: Feb. 15, 2022	Respondents: Church, Gregory and Adams Securities Corporation Release No. 34-94249 File Number: 3-20772
Date: Feb. 15, 2022	Respondents: J.K. Financial Services, Inc. Release No. 34-94250 File Number: 3-20773
Date: Feb. 15, 2022	Respondents: Gutt Financial Management, LLC Release No. IA-5962 File Number: 3-20763
Date: Feb. 15, 2022	Respondents: Arthur Zaske & Associates, LLC Release No. IA-5963 File Number: 3-20764
Date: Feb. 15, 2022	Respondents: N.V.N.G. Investments, Inc. Release No. IA-5964 File Number: 3-20765
Date: Feb. 15, 2022	Respondents: Personal Financial Planning, Inc. Release No. IA-5965 File Number: 3-20766
Date: Feb. 15, 2022	Respondents: Hinsdale Associates, Inc. Release No. IA-5966 File Number: 3-20767
Date: Feb. 15, 2022	Respondents: Stone Run Capital, LLC Release No. IA-5967 File Number: 3-20774
Date: Feb. 15, 2022	Respondents: Virolab, Inc. Release No. 34-94267 File Number: 3-20775