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.

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Date Sort ascending	Respondents
Dec. 31, 2018	Hertz Global Holdings, Inc. and the Hertz Corporation Release No. 33-10601, 34-84979, AAER-4012 See Also: Administrative Summary File Number: 3-18965
Dec. 26, 2018	Lightyear Capital LLC Release No. IA-5096 File Number: 3-18958
Dec. 26, 2018	Alexander C. Burns Release No. IA-5095 File Number: 3-18957
Dec. 26, 2018	Polycom, Inc. Release No. 34-84978, AAER-4011 See Also: Administrative Summary File Number: 3-18964
Dec. 26, 2018	Walter John Dubiel Release No. 34-84968, IA-5097 File Number: 3-18959
Dec. 26, 2018	New Global Energy, Inc. Release No. 34-84977 File Number: 3-18405
Dec. 26, 2018	Jumper, John Sherman Release No. 34-84969, IA-5098 File Number: 3-18960
Dec. 26, 2018	ADT Inc. Release No. 34-84956, AAER-4009 File Number: 3-18955
Dec. 26, 2018	JPMorgan Chase Bank, N.A. Release No. 33-10600 File Number: 3-18963
Dec. 26, 2018	Stephen T. Carbonella Release No. 34-84970, IA-5099 File Number: 3-18961
Dec. 26, 2018	Nadel, Warren D. Release No. 34-84962, IA-5094 File Number: 3-17883
Dec. 26, 2018	Centrais Elétricas Brasileiras S.A. Release No. 34-84973, AAER-4010 See Also: Administrative Summary File Number: 3-18962
Dec. 26, 2018	Nutriband, Inc., Gareth Sheridan and Serguei Melnik Release No. 34-84964 File Number: 3-18956
Dec. 21, 2018	Riad, Mohammed Swanson, Kevin Timothy Release No. 34-84919, IA-5091, IC-33338 File Number: 3-15141
Dec. 21, 2018	Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randall “Randy” Hartley Release No. 34-84918 See Also: Administrative Summary File Number: 3-18952
Dec. 21, 2018	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-84911, AAER-4005 File Number: 3-15168
Dec. 21, 2018	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-84912, AAER-4006 File Number: 3-15168
Dec. 21, 2018	Griffin, James P. Release No. 34-84915 File Number: 3-17848
Dec. 21, 2018	Hedgeable, Inc. Release No. IA-5087 File Number: 3-18950
Dec. 21, 2018	Tod A. Ditommaso, Esq. Release No. 33-10597 File Number: 3-17550
Dec. 21, 2018	Lloyd, Paul Edward "Ed", Jr., CPA Release No. IA-5089, IC-33337 File Number: 3-16182
Dec. 21, 2018	Crowe Horwath LLP, Joseph C. Macina, CPA and Kevin V. Wydra, CPA Release No. 34-84920, AAER-4007 File Number: 3-18953
Dec. 21, 2018	Natural Blue Resources, Inc. Cohen, James E. Corazzi, Joseph A Release No. 33-10598, 34-84916 File Number: 3-15974
Dec. 21, 2018	BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan Kelly A., CPA Bedwell, Robert P., CPA Release No. 33-10594, 34-84910 File Number: 3-17104
Dec. 21, 2018	Baccam, Patric Ken a/k/a Khanh Sengpraseuth Release No. 34-84922, IA-5092 File Number: 3-18276
Dec. 21, 2018	Mitchell J. Rubin, CPA and Michael Bernstein, CPA Release No. 34-84921, AAER-4008 File Number: 3-18954
Dec. 21, 2018	Duka, Barbara Release No. 33-10599, 34-84923, IC-33339 File Number: 3-16349
Dec. 21, 2018	Anthony, Donald J., Jr. Chiappone, Frank H. Feldman, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C. Release No. 33-10595, 34-84913 File Number: 3-15514
Dec. 21, 2018	Timbervest, LLC Shapiro, Joel Barth Boden, Walter William Anthony, III Zell, Donald David, Jr. Jones, Gordon, II Release No. IA-5093, IC-33340 File Number: 3-15519
Dec. 21, 2018	Wealthfront Advisers, LLC and f/k/a Wealthfront, Inc. Release No. IA-5086 File Number: 3-18949
Dec. 21, 2018	Crow, Michael W. Clug, Alexandre S. Aurum Mining, LLC Panam Terra, Inc. the Corsair Group, Inc. Release No. 33-10596, 34-84914, IC-33336 File Number: 3-16318
Dec. 21, 2018	Black Diamond Asset Management LLC Wilson, Robert Release No. IA-5088, IC-33335 File Number: 3-18099
Dec. 20, 2018	Attitude Drinks Incorporated Core Resource Management, Inc. Maverick Minerals Corporation Panacea Global, Inc. Release No. 34-84908 File Number: 3-18079
Dec. 20, 2018	Golden Pig Ventures, Inc. Stoneleigh Acquisition Corp. Transcendent One Inc. (a/k/a Transcendent Inc.) Release No. 34-84878 File Number: 3-18749
Dec. 20, 2018	Kun De International Holdings, Inc. New Colombia Resources, Inc. Sutor Technology Group Limited Release No. 34-84909 File Number: 3-18169
Dec. 20, 2018	John T. Place Release No. 34-84885 File Number: 3-18944
Dec. 20, 2018	Walter F. Grenda, Jr. Release No. IA-5080 See Also: Administrative Summary File Number: 3-18942
Dec. 20, 2018	American Portfolios Advisors, Inc. Release No. IA-5083 File Number: 3-18946
Dec. 20, 2018	James S. Polese Release No. 34-84890, IA-5082 File Number: 3-18945
Dec. 20, 2018	Moskowitz, Mark J. Release No. IA-5081 File Number: 3-18943
Dec. 20, 2018	PPS Advisors, Inc and Lawrence Nicholas Passaretti Release No. IA-5084 File Number: 3-18947
Dec. 20, 2018	Circle Star Energy Corp. Energy Holdings International, Inc. Release No. 34-84907 File Number: 3-18142
Dec. 20, 2018	Sterling Global Strategies LLC Release No. IA-5085 File Number: 3-18948
Dec. 19, 2018	Andrew F. Nicoletta, et al. Release No. 34-84876 File Number: 3-18941
Dec. 19, 2018	Central States Capital Markets, LLC Release No. 34-84851, IA-5078 See Also: Administrative Summary File Number: 3-18940
Dec. 18, 2018	Ancora Advisors LLC Release No. IA-5077 File Number: 3-18937
Dec. 18, 2018	Paul A. Margis Release No. 34-84849, AAER-4003 File Number: 3-18938
Dec. 18, 2018	Takeshi "Tyrone" Uonaga Release No. 34-84850, AAER-4004 File Number: 3-18939
Dec. 18, 2018	Chris D. Rosenthal Release No. 33-10587, 34-84841, IA-5076, IC-33328 See Also: Administrative Summary File Number: 3-18936
Dec. 17, 2018	The Bank of New York Mellon Release No. 33-10586 File Number: 3-18933
Dec. 17, 2018	Santander Consumer USA Holdings Inc. Release No. 34-84829, AAER-4002 See Also: Administrative Summary File Number: 3-18932
Dec. 17, 2018	NB Alternatives Advisers LLC Release No. IA-5079 See Also: Administrative Summary File Number: 3-18935
Dec. 17, 2018	UBS Financial Services Inc. Release No. 34-84828, IA-5075 See Also: Administrative Summary File Number: 3-18931
Dec. 13, 2018	Carlos I. Uresti Release No. 34-84811 File Number: 3-18928
Dec. 13, 2018	Stanley P. Bates Release No. 34-84813 File Number: 3-18929
Dec. 13, 2018	Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company Release No. 34-84815 File Number: 3-12372
Dec. 13, 2018	Yucaipa Master Manager, LLC Release No. IA-5074 See Also: Administrative Summary File Number: 3-18930
Dec. 12, 2018	Kessler, Richard W. Release No. IA-5073 File Number: 3-18535
Dec. 12, 2018	Landaas & Company and Robert W. Landaas Release No. 34-84807, IA-5072 See Also: Administrative Summary File Number: 3-18926
Dec. 12, 2018	America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC and America Modern Green Residential (Houston) LLC Release No. 33-10584 File Number: 3-18927
Dec. 11, 2018	Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.) Green Innovations Ltd. Red Giant Entertainment, Inc. Release No. 34-84798 File Number: 3-18480
Dec. 11, 2018	Eastgate Biotech Corporation Release No. 34-84783, AAER-3999 File Number: 3-18923
Dec. 11, 2018	Medicus Homecare Inc. Release No. 34-84801 File Number: 3-18081
Dec. 11, 2018	Frontier Oilfield Services, Inc. Release No. 34-84784, AAER-4000 File Number: 3-18924
Dec. 11, 2018	Dearborn Bancorp, Inc. Greentech Mining International, Inc. Hoverink International Holdings, Inc. South West Coast Senior Living Corp. Release No. 34-84802 File Number: 3-18223
Dec. 11, 2018	Lotus Bio-Technology Development Corporation Release No. 34-84785, AAER-4001 File Number: 3-18925
Dec. 11, 2018	The Hain Celestial Group, Inc. Release No. 34-84781, AAER-3997 File Number: 3-18921
Dec. 11, 2018	AV Therapeutics, Inc. Balqon Corporation Empress Mining Inc. (f/k/a Penola, Inc.) Passport Potash, Inc. Release No. 34-84803 File Number: 3-18095
Dec. 11, 2018	Teran, Alfred C. Release No. 34-84794, IC-33322 File Number: 3-18098
Dec. 11, 2018	Auscrete Corporation Release No. 34-84782, AAER-3998 File Number: 3-18922
Dec. 10, 2018	Lai Guanglin (Alan) Release No. 34-84764 File Number: 3-18918
Dec. 10, 2018	MUFG Securities Americas Inc. Release No. 34-84758 File Number: 3-18914
Dec. 10, 2018	Citadel Securities LLC Release No. 34-84759 File Number: 3-18915
Dec. 10, 2018	Natixis Securities Americas LLC Release No. 34-84760 File Number: 3-18916
Dec. 10, 2018	Agria Corporation Release No. 34-84763, AAER-3996 File Number: 3-18917
Dec. 10, 2018	Hua Yang Investment Group, Inc. (a/k/a Tarheel Billboard, Inc.) Oil, TAMM and Gas Corp. Titan Oil & Gas, Inc. Release No. 34-84779 File Number: 3-18920
Dec. 7, 2018	CoinAlpha Advisors LLC Release No. 33-10582 File Number: 3-18913
Dec. 6, 2018	Taberna Capital Management, LLC, Michael Fralin and Raphael Licht Release No. 34-84725 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-16776/3-16776.htm Submit Comments on: 3-16776 File Number: 3-16776
Dec. 4, 2018	KCAP Financial, Inc. Release No. 34-84718, IC-33314, AAER-3995 See Also: Administrative Summary File Number: 3-18912
Dec. 3, 2018	John C. Maccoll Release No. 34-84715, IA-5071 File Number: 3-18911
Dec. 3, 2018	Linkbrokers Derivatives LLC Release No. 34-84712 File Number: 3-16017
Dec. 3, 2018	Fifth Street Management, LLC Release No. 33-10581, 34-84713, IA-5070, IC-33312 See Also: Administrative Summary File Number: 3-18909
Nov. 30, 2018	Ronald Wayne Nabors Release No. 34-84707, IA-5069 File Number: 3-18908
Nov. 29, 2018	Colorstars Group Green Earth Technologies, Inc. Intellect Neurosciences, Inc. Jishanye, Inc. Release No. 34-84693 File Number: 3-18776
Nov. 29, 2018	Augustine Capital Management LLC (f/k/a Augustine Capital Management Inc.) Porter, John T. Duszynski, Thomas F. , CPA Release No. 34-84675 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: 3-17740 File Number: 3-17740
Nov. 29, 2018	Floyd Mayweather Jr. Release No. 33-10578 File Number: 3-18906
Nov. 29, 2018	Khaled Khaled Release No. 33-10579 File Number: 3-18907
Nov. 27, 2018	Ricardo H. Goldman Release No. 34-84665 File Number: 3-18905
Nov. 26, 2018	Avant Diagnostics, Inc. ChitrChatr Communications, Inc. ROI Land Investments, Ltd. WORDLOGIC Corp. Release No. 34-84654 File Number: 3-18784
Nov. 20, 2018	Michael T. Gluk, CPA Release No. 34-84628 File Number: 3-18904
Nov. 19, 2018	Mark Hotton Release No. IA-5066 File Number: 3-18902
Nov. 19, 2018	eRoomSystem Technologies, Inc. Release No. 34-84625 File Number: 3-18903
Nov. 19, 2018	Vantage Drilling International Release No. 34-84617, AAER-3994 See Also: Administrative Summary File Number: 3-18899
Nov. 19, 2018	Myers, Robert William, Jr. Release No. 34-84618 File Number: 3-18900
Nov. 19, 2018	Retirement Capital Strategies, Inc. Release No. IA-5065 See Also: Administrative Summary File Number: 3-18901
Nov. 16, 2018	Apex Fund Services (Us), Inc. Release No. 34-84609 See Also: Amended Distribution Plan File Number: 3-17300
Nov. 16, 2018	Paragon Coin, Inc. Release No. 33-10574 File Number: 3-18897
Nov. 16, 2018	CarrierEQ, Inc., d/b/a AirFox Release No. 33-10575 File Number: 3-18898
Nov. 16, 2018	Devere USA, Inc. Release No. 34-84607 File Number: 3-18527
Nov. 16, 2018	Visium Asset Management, LP Release No. 34-84608 File Number: 3-18473

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