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. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

E-mail Updates

To sign up for updates, please enter your e-mail address below.

Administrative Proceedings RSS Feed


Date Sort ascending	Respondents
Dec. 30, 2019	Christopher S. Laws Release No. 34-87872, IA-5423 File Number: 3-19632
Dec. 23, 2019	FCA US LLC and Fiat Chrysler Automobiles N.V. Release No. 34-87851 File Number: 3-19541
Dec. 23, 2019	Fieldstone Financial Management Group, LLC and Kristofor R. Behn Release No. 34-87854 See Also: Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: 3-19227 File Number: 3-19227
Dec. 23, 2019	Bill Tsai Release No. 34-87840, IA-5421 File Number: 3-19630
Dec. 20, 2019	Christopher Michael Neumann Release No. 34-87825 File Number: 3-19627
Dec. 20, 2019	Richard Johnathan Eden Release No. 34-87827 File Number: 3-19628
Dec. 20, 2019	Quantum Corporation Release No. 34-87812, AAER-4110 See Also: Administrative Summary File Number: 3-19626
Dec. 20, 2019	Blackcraft Cult, Inc. Unified Signal, Inc. Release No. 34-87836 File Number: 3-19289
Dec. 20, 2019	Serge Matta Release No. 34-87815 File Number: 3-19500
Dec. 20, 2019	Cadaret, Grant & Co., Inc., et al. Release No. 34-87816 File Number: 3-18738
Dec. 19, 2019	Joseph (a/k/a Jay) Ludovico Release No. 34-87805 File Number: 3-19625
Dec. 19, 2019	Gross, Kenneth S. Release No. 34-87802 File Number: 3-19232
Dec. 18, 2019	Critical Trading, LLC Release No. 34-87786 File Number: 3-19622
Dec. 18, 2019	Bluefin Trading, LLC Release No. 34-87787 File Number: 3-19623
Dec. 18, 2019	Blockchain of Things, Inc. Release No. 33-10736 See Also: Waiver Order File Number: 3-19621
Dec. 18, 2019	MetLife, Inc. Release No. 34-87793 File Number: 3-19624
Dec. 17, 2019	American Registrar & Transfer Company and Christopher Day Release No. 33-10733, 34-87770, IC-33718 File Number: 3-17260
Dec. 17, 2019	Colorstars Group Green Earth Technologies, Inc. Intellect Neurosciences, Inc. Jishanye, Inc. Release No. 34-87772 File Number: 3-18776
Dec. 16, 2019	Michael J. Woodford, Esq. Release No. 34-87764 File Number: 3-19618
Dec. 16, 2019	Tim Leissner Release No. 34-87750, IA-5418, IC-33715, AAER-4108 File Number: 3-19619
Dec. 16, 2019	Ronald R. Roaldsen, Jr. Release No. 34-87751 File Number: 3-19620
Dec. 13, 2019	Goulding, Randall S. Release No. IA-5417 File Number: 3-19617
Dec. 12, 2019	Stonemor Partners L.P. and Stonemor GP LLC Release No. 34-87732, AAER-4107 See Also: Administrative Summary File Number: 3-19616
Dec. 10, 2019	Kornitzer Capital Management, Inc. and John C. Kornitzer Release No. IA-5416 See Also: Administrative Summary File Number: 3-19615
Dec. 10, 2019	China Longyi Group International Holdings Ltd. Leo Motors, Inc. LNPR Group, Inc. Release No. 34-87710 File Number: 3-19465
Dec. 9, 2019	Jefferies LLC Release No. 34-87680 File Number: 3-19614
Dec. 5, 2019	Jatindar Kapur, CPA Release No. 33-10731, 34-87670, AAER-4106 See Also: Administrative Summary File Number: 3-19613
Dec. 5, 2019	Warren Clamen, CPA Release No. 33-10730, 34-87661, AAER-4105 File Number: 3-19612
Dec. 4, 2019	Raymon Holmdahl, CPA and Kanako Matsumoto, CPA Release No. 34-87657, AAER-4104 File Number: 3-16783
Dec. 2, 2019	Bethany Liou and Golden California Regional Center, LLC Release No. 34-87644 File Number: 3-19597
Nov. 29, 2019	Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA Release No. 34-87642, AAER-4103 File Number: 3-18346
Nov. 27, 2019	Ronald J. Roach Release No. 34-87640, IA-5415 File Number: 3-19610
Nov. 26, 2019	Pope, Rodney L. Release No. 34-87627 File Number: 3-19523
Nov. 26, 2019	International Investment Group, LLC Release No. IA-5414 File Number: 3-19609
Nov. 25, 2019	Greenwood Hall, Inc. PMX Communities, Inc. SurePure, Inc. Release No. 34-87626 File Number: 3-19339
Nov. 25, 2019	Calumet Specialty Products Partners, L.P. Release No. 34-87611, AAER-4102 See Also: Administrative Summary File Number: 3-19607
Nov. 25, 2019	Martin, Michael K. Release No. 34-87616 File Number: 3-19608
Nov. 22, 2019	Channing Capital Management, LLC Release No. IA-5412 File Number: 3-19605
Nov. 22, 2019	Bandimere, David F. Young, John O. Release No. 33-10728, 34-87605 See Also: Administrative Summary File Number: 3-15124
Nov. 22, 2019	Renwick Haddow Release No. 34-87591 File Number: 3-19604
Nov. 22, 2019	Vetter, Thomas H. Release No. 34-87604 File Number: 3-19606
Nov. 21, 2019	Goss, Edward Dean Release No. 34-87584 File Number: 3-19231
Nov. 21, 2019	UBS Financial Services Inc. of Puerto Rico Release No. 34-87586 File Number: 3-14863
Nov. 21, 2019	Michal P. Dunne Release No. 34-87582 File Number: 3-19602
Nov. 18, 2019	Dale Scott Pearlman Release No. 34-87567 File Number: 3-19601
Nov. 15, 2019	China Longyi Group International Holdings Ltd. Leo Motors, Inc. LNPR Group, Inc. Release No. 34-87553 File Number: 3-19465
Nov. 13, 2019	CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc. Release No. 34-87523 File Number: 3-11578
Nov. 12, 2019	Sebastian Pinto-Thomaz Release No. 34-87504 File Number: 3-19600
Nov. 8, 2019	Inglis, Chet Release No. 34-87494 File Number: 3-19517
Nov. 7, 2019	Pruitt, David, CPA Release No. 34-87484, AAER-4101 File Number: 3-17950
Nov. 7, 2019	Morgan Stanley Smith Barney LLC Release No. 33-10726, 34-87483, IA-5408 See Also: Administrative Summary , Waiver Order File Number: 3-19599
Nov. 6, 2019	American Rare Earths and Materials, Corp. PureSafe Water Systems, Inc. SpendSmart Networks, Inc. Release No. 34-87477 File Number: 3-19309
Nov. 5, 2019	Ira Warkol Release No. 34-87459 File Number: 3-19598
Nov. 5, 2019	NXChain Inc. f/k/a Agrivest Americas, Inc. Rock Energy Resources, Inc. SoOum Corp. Release No. 34-87465 File Number: 3-19429
Nov. 4, 2019	Monarch America, Inc. VW Win Century, Inc. Release No. 34-87454 File Number: 3-19348
Nov. 4, 2019	Bethany Liou and Golden California Regional Center, LLC Release No. 33-10725 File Number: 3-19597
Nov. 4, 2019	Competitive Companies, Inc. Unilava Corporation Uplift Nutrition, Inc. Release No. 34-87452 File Number: 3-19389
Nov. 4, 2019	Hawk Street Acquisition Corp. Mobad Service Corporation Release No. 34-87453 File Number: 3-19486
Nov. 1, 2019	VanBlaricum, James Release No. 34-87438 File Number: 3-19519
Nov. 1, 2019	James T. Booth Release No. 34-87447, IA-5406 File Number: 3-19596
Nov. 1, 2019	Leaverton, Matthew Release No. 34-87439 File Number: 3-19525
Nov. 1, 2019	Jan D. Atlas, Esq. Release No. 34-87446 File Number: 3-19595
Oct. 31, 2019	Bakken Resources, Inc. Ireland Inc. Worlds Mall, Inc. Release No. 34-87430 File Number: 3-19382
Oct. 31, 2019	Cameron G. High Release No. 34-87426, IA-5405 File Number: 3-19591
Oct. 31, 2019	XBT Corp Sarl d/b/a First Global Credit Release No. 33-10723, 34-87428 File Number: 3-19592
Oct. 31, 2019	Lei (Lily) Lei Release No. 34-87429 File Number: 3-19593
Oct. 30, 2019	LD Holdings, Inc. Mansfield-Martin Exploration Mining, Inc. RadTek, Inc. Release No. 34-87418 File Number: 3-19383
Oct. 30, 2019	IMC Holdings, Inc. Microphase Corporation Wintahenderson International, Inc. Release No. 34-87417 File Number: 3-19344
Oct. 29, 2019	Artisanal Brands, Inc. Daleco Resources Corporation Release No. 34-87416 File Number: 3-19308
Oct. 24, 2019	MVP Manager LLC Release No. 34-87396 File Number: 3-19334
Oct. 24, 2019	Black Stallion Oil & Gas Inc. n/k/a Arize Therapeutics, Inc. Cannabis Science, Inc. Release No. 34-87397 File Number: 3-19415
Oct. 22, 2019	Thomas D. Conrad, Jr. Release No. IA-5404 File Number: 3-19590
Oct. 17, 2019	Richard Andrew Mallion Release No. 34-87334 File Number: 3-19587
Oct. 17, 2019	Blockchain Solutions, Inc. Universal Resources (f/k/a Global Immune Technologies Inc.) Release No. 34-87332 File Number: 3-19437
Oct. 17, 2019	Gyrotron Technology, Inc. Nation Energy Inc. Release No. 34-87333 File Number: 3-19442
Oct. 17, 2019	Donald Toomer, Jr. Release No. 34-87326 File Number: 3-19585
Oct. 16, 2019	Apollo Solar Energy, Inc. Release No. 34-87323 File Number: 3-19459
Oct. 16, 2019	Green Ballast, Inc. Lithium Exploration Group, Inc. Release No. 34-87324 File Number: 3-19506
Oct. 15, 2019	Hengyi International Industries Group, Inc. Jacobs Financial Group, Inc. Ranger Gold Corp. Release No. 34-87307 File Number: 3-19409
Oct. 15, 2019	Domenick Migliorato Release No. 34-87302 File Number: 3-19586
Oct. 11, 2019	John Busshaus, CPA Release No. 33-10718, AAER-4100 File Number: 3-19583
Oct. 11, 2019	UQM Technologies, Inc. Release No. 33-10719, 34-87289 See Also: Administrative Summary File Number: 3-19584
Oct. 10, 2019	Bakken Resources, Inc. Ireland Inc. Worlds Mall, Inc. Release No. 34-87285 File Number: 3-19382
Oct. 10, 2019	Lek Securities Corporation and Samuel Lek Release No. 34-87268 File Number: 3-19581
Oct. 10, 2019	Northwest Biotherapeutics, Inc. Release No. 34-87281, AAER-4099 See Also: Administrative Summary File Number: 3-19582
Oct. 10, 2019	Howarth Financial Services, LLC and Gary S. Howarth Release No. 34-87283 See Also: Distribution Plan File Number: 3-18171
Oct. 10, 2019	Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C., IV Release No. 34-87284 See Also: Distribution Plan File Number: 3-16554
Oct. 10, 2019	IFS Securities Release No. 34-87269 File Number: 3-19220
Oct. 9, 2019	Harold Wasserman Release No. 34-87259 File Number: 3-19580
Oct. 9, 2019	American Patriot Brands Inc. a/k/a the Grilled Cheese Truck, Inc. Big Tree Group, Inc. Release No. 34-87263 File Number: 3-19433
Oct. 8, 2019	Michael Siva Release No. 34-87245, IA-5401 File Number: 3-19579
Oct. 8, 2019	Golden Rush, Inc. LeGall Holdings, Inc. My Healthy Access, Inc. Release No. 34-87253 File Number: 3-19342
Oct. 8, 2019	Hengyi International Industries Group, Inc. Jacobs Financial Group, Inc. Ranger Gold Corp. Release No. 34-87252 File Number: 3-19409
Oct. 7, 2019	Shenzhen-ZhongRong Morgan Investment Holding Group Co., Ltd. Solar Wind Energy Tower, Inc. Release No. 34-87241 File Number: 3-19456
Oct. 7, 2019	Blockchain Solutions, Inc. Universal Resources (f/k/a Global Immune Technologies Inc.) Release No. 34-87242 File Number: 3-19437
Oct. 7, 2019	Portfolio Advisors Alliance, Inc. Release No. 34-87238 File Number: 3-19576
Oct. 7, 2019	Allen, Howard J., III Release No. 34-87239 File Number: 3-19577
Oct. 7, 2019	Wasserman, Kerri L. Release No. 34-87240 File Number: 3-19578
Oct. 3, 2019	Atlas Technology International, Inc. Centenary International Corporation Dynacq Healthcare, Inc. Release No. 34-87220 File Number: 3-19423
Oct. 3, 2019	Medisun Precision Medicine, Ltd. Next Graphite, Inc. Omni Shrimp, Inc. Release No. 34-87217 File Number: 3-19338

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in this Section

Breadcrumb

Administrative Proceedings

E-mail Updates