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.

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Administrative Proceedings Table

Respondents
Date: Respondents:
Michael J. Conte
Release No. 34-95983, IA-6157
File Number: 3-21199
Date: Respondents:
Kimberly Kardashian
Release No. 33-11116
File Number: 3-21197
Date: Respondents:
Paragon Coin, Inc.
Release No. 34-95965
See Also: Proposed Distribution Plan
Comments Due: 30 days from date of this Notice
Submit Comments on: File No.: 3-18897
File Number: 3-18897
Date: Respondents:
Joel Sanders, Esq.
Release No. 34-95966
File Number: 3-21198
Date: Respondents:
RSM US LLP
Release No. 34-95948, AAER-4346
Date: Respondents:
Steven Kirn, CPA, Michael Piqueira, CPA and Richard Condon, CPA
Release No. 34-95949, AAER-4347
Date: Respondents:
Lisa Sanford
Release No. 33-11111, 34-95947, AAER-4345
Date: Respondents:
Standard Oil Company, Inc.
Release No. 33-11112, 34-95950
File Number: 3-21185
Date: Respondents:
Brian McClure
Release No. 33-11113
File Number: 3-21186
Date: Respondents:
Cemtrex, Inc. and Saagar Govil (Corrected)
Release No. 33-11114, 34-95953
File Number: 3-21189
Date: Respondents:
R. Jacob Steele
Release No. 34-95951
File Number: 3-21187
Date: Respondents:
Anthony G. Roth
Release No. 34-95952, AAER-4348
File Number: 3-21188
Date: Respondents:
David Lee Parrish
Release No. 34-95956
File Number: 3-21190
Date: Respondents:
Kent R. E. Whitney
Release No. 34-95957
File Number: 3-21191
Date: Respondents:
BrookWeiner, et al.
Release No. 34-95958, AAER-4349
See Also: Administrative Summary
File Number: 3-21192
Date: Respondents:
Berkower LLC; Michael G. Mullen, CPA; and Maurice Berkower, CPA
Release No. 34-95959, AAER-4350
See Also: Administrative Summary
File Number: 3-21193
Date: Respondents:
Joseph Boulos
Release No. 34-95960
Date: Respondents:
Darrell Green
Release No. 34-95962
File Number: 3-21195
Date: Respondents:
Carl V. Dawson, et al.
Release No. 33-11115, 34-95963
File Number: 3-21196
Date: Respondents:
Sean Wygovsky
Release No. IA-6155
File Number: 3-21179
Date: Respondents:
Barclays PLC and Barclays Bank PLC
Release No. 33-11110, 34-95944, AAER-4344
Date: Respondents:
Deloitte Touche Tohmatsu Certified Public Accountants, LLP
Release No. 34-95938, AAER-4342
Date: Respondents:
Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA
Release No. 34-95941
File Number: 3-16729
Date: Respondents:
Emerging Opportunities Corp.
Release No. 34-95940
File Number: 3-21038
Date: Respondents:
Aeon Global Health Corp.
Release No. 34-95942
File Number: 3-20540
Date: Respondents:
Tupperware Brands Corporation
Release No. 34-95943, AAER-4343
See Also: Administrative Summary
Date: Respondents:
Anilesh Ahuja
Release No. IA-6154
File Number: 3-21175
Date: Respondents:
Oracle Corporation
Release No. 34-95913
Date: Respondents:
Lee, Christopher Byungin
Release No. 34-95914
File Number: 3-21159
Date: Respondents:
O'Neal, Sean Andrew
Release No. 34-95915
File Number: 3-21160
Date: Respondents:
Raynor, Michael Roy
Release No. 34-95916
File Number: 3-21161
Date: Respondents:
Sobel, Lee
Release No. 34-95918
File Number: 3-21162
Date: Respondents:
Barclays Capital Inc.
Release No. 34-95919
See Also: Waiver Order
Date: Respondents:
Citigroup Global Markets Inc.
Release No. 34-95920
See Also: Waiver Order
Date: Respondents:
BofA Securities, Inc., et al.
Release No. 34-95921
See Also: Waiver Order
Date: Respondents:
Goldman Sachs & Co. LLC
Release No. 34-95922
See Also: Waiver Order
Date: Respondents:
Jefferies LLC
Release No. 34-95923
See Also: Waiver Order
Date: Respondents:
Morgan Stanley & Co. LLC and Morgan Stanley Smith Barney LLC
Release No. 34-95924
See Also: Waiver Order
Date: Respondents:
Nomura Securities International, Inc.
Release No. 34-95925
See Also: Waiver Order
Date: Respondents:
Credit Suisse Securities (USA) LLC
Release No. 34-95926
See Also: Waiver Order
Date: Respondents:
Cantor Fitzgerald & Co.
Release No. 34-95927
See Also: Waiver Order
Date: Respondents:
Deutsche Bank Securities Inc., DWS Investment Management Americas, Inc. and DWS Distributors, Inc.
Release No. 34-95928, IA-6153
See Also: Waiver Order
Date: Respondents:
UBS Financial Services, Inc. and UBS Securities LLC
Release No. 34-95929
See Also: Waiver Order
Date: Respondents:
Donald J. Kellen
Release No. IA-6152
File Number: 3-21163
Date: Respondents:
Darcas Oliver Young
Release No. 34-95932
Date: Respondents:
Joshua Louis Rupp
Release No. 34-95935
Date: Respondents:
Randall H. Fields
Release No. IA-6150
File Number: 3-21154
Date: Respondents:
James Patrick O'connell
Release No. IA-6151
File Number: 3-21155
Date: Respondents:
Alex Duain Forester
Release No. 34-95911
File Number: 3-21156
Date: Respondents:
Michael Robert Hicks
Release No. 34-95912
File Number: 3-21157
Date: Respondents:
Friedman LLP
Release No. 34-95887, AAER-4339
See Also: Administrative Summary
Date: Respondents:
Hardiman, Elbert L., Jr.
Release No. IA-6145
File Number: 3-21143
Date: Respondents:
Wave Equity Partners LLC
Release No. IA-6146
File Number: 3-21144
Date: Respondents:
Fuquan Financial Company
Release No. 34-95891
File Number: 3-21147
Date: Respondents:
Generex Biotechnology Corporation
Release No. 34-95892
File Number: 3-21148
Date: Respondents:
Raymond T. Clark
Release No. 34-95894
File Number: 3-21150
Date: Respondents:
Richard M. Crabtree
Release No. 33-11108, 34-95898, IA-6147, IC-34717
File Number: 3-21151
Date: Respondents:
Guozi Zhongyu Capital Holdings
Release No. 34-95890
File Number: 3-21146
Date: Respondents:
Rock Creek Pharmaceuticals, Inc.
Release No. 34-95893
File Number: 3-21149
Date: Respondents:
Compass Minerals International, Inc.
Release No. 33-11107, 34-95889, AAER-4340
Date: Respondents:
Sanchez, Jose Luis Casero
Release No. 34-95906, IA-6149
File Number: 3-21152
Date: Respondents:
Lee A. Bressler
Release No. IA-6148
File Number: 3-21153
Date: Respondents:
Robert A. Vanetten
Release No. 34-95858
File Number: 3-21126
Date: Respondents:
AngioGenex, Inc
Release No. 34-95861
File Number: 3-21124
Date: Respondents:
Water Now, Inc.
Release No. 34-95862
File Number: 3-21127
Date: Respondents:
6D Global Technologies, Inc.
Release No. 34-95863
File Number: 3-21128
Date: Respondents:
Axion International Holdings, Inc.
Release No. 34-95864
File Number: 3-21129
Date: Respondents:
Oxbow Advisors, LLC
Release No. 34-95873
File Number: 3-19817
Date: Respondents:
Glick, Jacob C.
Release No. IA-6144
File Number: 3-21125
Date: Respondents:
Steele Oceanic Corporation
Release No. 34-95866
File Number: 3-21130
Date: Respondents:
View Systems, Inc.
Release No. 34-95868
File Number: 3-21131
Date: Respondents:
CannAwake Corporation (Order to Show Cause)
Release No. 34-95872
File Number: 3-21132
Date: Respondents:
Raymond James & Associates, Inc.
Release No. 34-95875
See Also: Administrative Summary
File Number: 3-21133
Date: Respondents:
Glyeco, Inc. (Order to Show Cause)
Release No. 34-95879
File Number: 3-21136
Date: Respondents:
Grown Rogue International Inc. f/k/a Novicius Corporation
Release No. 34-95880
File Number: 3-21137
Date: Respondents:
China XD Plastics Company Limited
Release No. 34-95882
File Number: 3-21138
Date: Respondents:
The Boeing Company
Release No. 33-11105
Date: Respondents:
Dennis A. Muilenburg
Release No. 33-11106
Date: Respondents:
Viener, Ira S., CPA
Release No. 34-95884, AAER-4338
See Also: Administrative Summary
File Number: 3-21139
Date: Respondents:
Sheng Fu and Ming Xu
Release No. 33-11104, 34-95847
File Number: 3-21118
Date: Respondents:
Allcott, Timothy
Release No. IA-6141
File Number: 3-21120
Date: Respondents:
Harrison, Ron K.
Release No. IA-6142
File Number: 3-21121
Date: Respondents:
Terrence J. Walton, CPA
Release No. 34-95852, AAER-4336
File Number: 3-21119
Date: Respondents:
Jimenez, Eugenio Garcia, Jr.
Release No. IA-6143
File Number: 3-21122
Date: Respondents:
Manuel A. Romero
Release No. 34-95856, AAER-4337
File Number: 3-21123
Date: Respondents:
Lightscape Technologies, Inc.
Release No. 34-95857
File Number: 3-21058
Date: Respondents:
Morgan Stanley Smith Barney LLC
Release No. 34-95832, IA-6138
Date: Respondents:
Timothy S. Hart, CPA
Release No. 34-95835
File Number: 3-21114
Date: Respondents:
Corbin L. Lambert
Release No. 34-95836, IA-6140
File Number: 3-21115
Date: Respondents:
Toews Corporation
Release No. IA-6139
See Also: Administrative Summary
File Number: 3-21113
Date: Respondents:
Earth Search Sciences, Inc.
Release No. 34-95838
File Number: 3-21116
Date: Respondents:
Enigma MPC, Inc.
Release No. 34-95839
File Number: 3-21117
Date: Respondents:
Neil B. Swartz
Release No. 34-95816
File Number: 3-21101
Date: Respondents:
Sparkster, Ltd. and Sajjad Daya
Release No. 33-11102
File Number: 3-21103
Date: Respondents:
Scott Adam Brander
Release No. 34-95818, IA-6134
File Number: 3-21102
Date: Respondents:
Ted L. Romeo
Release No. 34-95821
File Number: 3-21104
Date: Respondents:
Damilare Sonoiki
Release No. 34-95824
File Number: 3-21105
Date: Respondents:
Shimon Rosenfeld, Esq.
Release No. 34-95826
File Number: 3-21106
Date: Respondents:
Waddell & Reed, LLC
Release No. 34-95828, IA-6136
See Also: Administrative Summary
File Number: 3-21107
Date: Respondents:
Start Scientific, Inc.
Release No. 34-95830
File Number: 3-21108
101 to 200 of 680 items