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:
BHP Capital NY, Inc.
Release No. 34-97847
File Number: 3-21519
Date: Respondents:
Reed L. Benson, CPA
Release No. 34-97835, AAER-4427
See Also: Administrative Summary
File Number: 3-21513
Date: Respondents:
Andrew B. Benson
Release No. 34-97834
See Also: Administrative Summary
File Number: 3-21512
Date: Respondents:
Dwight H. Egan
Release No. 33-11210, 34-97837, AAER-4429
See Also: Administrative Summary
File Number: 3-21515
Date: Respondents:
Co-Diagnostics, Inc.
Release No. 33-11209, 34-97836, AAER-4428
See Also: Administrative Summary
File Number: 3-21514
Date: Respondents:
Future FinTech Group Inc.,
Release No. 33-11206, 34-97829, AAER-4425
See Also: Administrative Summary
File Number: 3-21511
Date: Respondents:
View, Inc.
Release No. 33-11208, 34-97830
Date: Respondents:
Robert L. Benecke d/b/a Benecke Economics
Release No. 34-97828
See Also: Administrative Summary
File Number: 3-21509
Date: Respondents:
Damon R. Durante
Release No. 34-97827
See Also: Administrative Summary
File Number: 3-21508
Date: Respondents:
Newbridge Global Ventures, Inc.
Release No. 34-97819
File Number: 3-20981
Date: Respondents:
Weatherford International PLC, et al., Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA
Release No. 34-97818
File Number: 3-17582, 3-17628
Date: Respondents:
Ashutosh Bhardwaj
Release No. 34-97820
See Also: Administrative Summary
File Number: 3-21504
Date: Respondents:
Stable Road Acquisition Corp., et al.
Release No. 34-97801
See Also: Proposed Plan of Distribution
Comments Due:

30 days from date of this Notice
Comments received are available: 3-20393
Submit Comments on: Notice of Proposed Plan of Distribution and Opportunity for comment
File Number: 3-20393
Date: Respondents:
Kathryn Jane Meredith, d/b/a KM Advisory Services
Release No. 34-97802
File Number: 3-20881
Date: Respondents:
Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc. and Gavin D. Southwell
Release No. 34-97811
File Number: 3-20932
Date: Respondents:
J. P. Morgan Securities LLC
Release No. 34-97787
File Number: 3-21502
Date: Respondents:
BIGtoken, Inc. (f/k/a Force Protection Video Equipment Corp.)
Release No. 34-97775
File Number: 3-21465
Date: Respondents:
Jennifer Campbell
Release No. IA-6333
File Number: 3-21501
Date: Respondents:
Eagle Bancorp, Inc.
Release No. 34-97774
File Number: 3-20963
Date: Respondents:
Marcum LLP
Release No. 34-97773, AAER-4423
File Number: 3-21500
Date: Respondents:
Insight Venture Management, LLC
Release No. IA-6332
File Number: 3-21499
Date: Respondents:
Stanley Black & Decker, Inc.
Release No. 34-97761, AAER-4422
File Number: 3-21497
Date: Respondents:
Jeffery D. Ansell
Release No. 34-97760, AAER-4421
File Number: 3-21498
Date: Respondents:
Brian C. Jensen, CPA
Release No. 34-97757, AAER-4420
File Number: 3-21496,
Date: Respondents:
Richard St. Julien, Esq.
Release No. 34-97756
File Number: 3-21495
Date: Respondents:
Joshua W. Coleman
Release No. 34-97755, IA-6331
File Number: 3-21494
Date: Respondents:
Adam Belardino
Release No. IA-6330
File Number: 3-21493
Date: Respondents:
David Dickson and Stuart Andrew Spence
Release No. 34-97740, AAER-4419
See Also: Administrative Summary
File Number: 3-21491
Date: Respondents:
Pacific Investment Management Company LLC
Release No. IA-6329, IC-34943
File Number: 3-21490
Date: Respondents:
Pacific Investment Management Company LLC
Release No. IA-6328
File Number: 3-21489
Date: Respondents:
Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA
Release No. 34-97729
File Number: 3-17212
Date: Respondents:
Caputo, Vincent J.
Release No. 34-97697
File Number: 3-21488
Date: Respondents:
DF Growth REIT II, LLC
Release No. 33-11204
File Number: 3-20801
Date: Respondents:
Boyle CPA, LLC; Robert Allan Boyle, CPA
Release No. 34-97685, AAER-4418
See Also: Administrative Summary
File Number: 3-21486
Date: Respondents:
Diamond Wellness Holdings, Inc.
Release No. 34-97676
File Number: 3-21376
Date: Respondents:
Daniel V. Martinez, Esq.
Release No. 33-11203, 34-97677
File Number: 3-21485
Date: Respondents:
Willam Andrew Stack, Esq.
Release No. 34-97670
File Number: 3-21484
Date: Respondents:
Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC
Release No. 34-97668
File Number: 3-20060
Date: Respondents:
Ostertag, Damian
Release No. 34-97660
File Number: 3-21087
Date: Respondents:
Heckele, Mark W., Esq.
Release No. 34-97655
File Number: 3-21015
Date: Respondents:
Cantaloupe, Inc. (f/k/a USA Technologies, Inc.)
Release No. 33-11202, 34-97651, AAER-4417
See Also: Administrative Summary
File Number: 3-21483
Date: Respondents:
Maeve M. Duska
Release No. 33-11201, 34-97650, AAER-4416
File Number: 3-21482
Date: Respondents:
Michael K. Lawlor
Release No. 33-11200, 34-97649, AAER-4415
File Number: 3-21481
Date: Respondents:
Kathryn Jane Meredith, d/b/a KM Advisory Services, John Paul Harnish, d/b/a KM Advisory Services
Release No. 34-97646
File Number: 3-20881, 3-20882
Date: Respondents:
Zeb Oro Explorations Inc.
Release No. 34-97638
File Number: 3-21478
Date: Respondents:
Wisdom Homes of America, Inc.
Release No. 34-97637
File Number: 3-21477
Date: Respondents:
Carl S. Schwartz, CPA
Release No. IA-6320, AAER-4412
File Number: 3-21476
Date: Respondents:
Carl S. Schwartz
Release No. IA-6319
File Number: 3-21475
Date: Respondents:
William D. King, CPA
Release No. 34-97636
File Number: 3-19991
Date: Respondents:
Barclays PLC and Barclays Bank PLC
Release No. 34-97632
File Number: 3-21181
Date: Respondents:
First Guaranty Bancshares, Inc.
Release No. 34-97631
See Also: Administrative Summary
File Number: 3-21474
Date: Respondents:
Vereit, Inc.
Release No. 34-97625
See Also: Proposed Plan of Distribution
Comments Due:

30 days from date of this Notice
Submit Comments on: Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number: 3-19831
Date: Respondents:
RTW Investments, LP
Release No. 34-97622, IA-6318
See Also: Administrative Summary
File Number: 3-21473
Date: Respondents:
Credex Corporation
Release No. 34-97616
File Number: 3-21375
Date: Respondents:
Lucille Farms Inc.
Release No. 34-97611
File Number: 3-21472
Date: Respondents:
Liquidation World, Inc
Release No. 34-97610
File Number: 3-21471
Date: Respondents:
Gartner, Inc.
Release No. 34-97609, AAER-4411
See Also: Administrative Summary
File Number: 3-21470
Date: Respondents:
Orion Financial, LTD.
Release No. 34-97608
File Number: 3-21469
Date: Respondents:
New You, Inc.
Release No. 34-97607
File Number: 3-21468
Date: Respondents:
Cohen, Lee
Release No. 34-97594
File Number: 3-21467
Date: Respondents:
DongFang City Holding Group Company Limited
Release No. 34-97593
File Number: 3-21466
Date: Respondents:
BIGtoken, Inc. (f/k/a Force Protection Video Equipment Corp.)
Release No. 34-97592
File Number: 3-21465
Date: Respondents:
RCMW Group, Inc.
Release No. 34-97589
File Number: 3-21464
Date: Respondents:
Plymouth Commercial Mortgage Fund
Release No. 34-97588
File Number: 3-21463
Date: Respondents:
Sunridge International, Inc.
Release No. 34-97583
File Number: 3-21462
Date: Respondents:
StHealth Capital Investment Corporation
Release No. 34-97582
File Number: 3-21461
Date: Respondents:
Umatrin Holding Limited
Release No. 34-97576
File Number: 3-21460
Date: Respondents:
Tapestry Pharmaceuticals, Inc.
Release No. 34-97575
File Number: 3-21459
Date: Respondents:
AMBG, Inc.
Release No. 34-97571
File Number: 3-21458
Date: Respondents:
Renavotio, Inc.
Release No. 34-97570
File Number: 3-21457
Date: Respondents:
RedHawk Holdings Corp.
Release No. 34-97569
File Number: 3-21456
Date: Respondents:
SMSA Crane Acquisition Corp.
Release No. 34-97568
File Number: 3-21455
Date: Respondents:
Russian Wireless Telephone Company, Inc.
Release No. 34-97567
File Number: 3-21454
Date: Respondents:
Gabbit Corp.
Release No. 34-97566
File Number: 3-21453
Date: Respondents:
E-Qure Corp.
Release No. 34-97564
File Number: 3-21450
Date: Respondents:
Phoenix Life Sciences International Limited
Release No. 34-97563
File Number: 3-21449
Date: Respondents:
Pacific Monument Acquisition Corp.
Release No. 34-97562
File Number: 3-21448
Date: Respondents:
Beverage Acquisition Corporation
Release No. 34-97561
File Number: 3-21447
Date: Respondents:
American Fiber Green Products, Inc.
Release No. 34-97560
File Number: 3-21446
Date: Respondents:
Alpha Network Alliance Ventures Inc.
Release No. 34-97565
File Number: 3-21452
Date: Respondents:
Sciens Investment Management, LLC and Sciens Diversified Managers, LLC
Release No. IA-6315
See Also: Administrative Summary
File Number: 3-21445
Date: Respondents:
Ion Geophysical Corp.
Release No. 34-97554
File Number: 3-21444
Date: Respondents:
Indigenous Roots Corp.
Release No. 34-97553
File Number: 3-21443
Date: Respondents:
HuntMountain Resources Ltd.
Release No. 34-97552
File Number: 3-21442
Date: Respondents:
Green Capital Group, Inc.
Release No. 34-97551
File Number: 3-21441
Date: Respondents:
Laxai Pharma Ltd.
Release No. 34-97550
File Number: 3-21440
Date: Respondents:
Kushner Locke Co.
Release No. 34-97549
File Number: 3-21439
Date: Respondents:
Gaia, Inc. and Paul C. Tarell, Jr.
Release No. 33-11196, 34-97548
See Also: Administrative Summary
File Number: 3-21438
Date: Respondents:
Shirazali F. Jumani
Release No. 33-11195, 34-97543
File Number: 3-21437
Date: Respondents:
Allianz Global Investors U.S. LLC
Release No. 34-97540
See Also: Proposed Distribution Plan
Comments Due:

30 days from date of this Notice
Submit Comments on: Submit Comments on 3-20855
File Number: 3-20855
Date: Respondents:
Thomas Carter Ronk
Release No. IA-6314
File Number: 3-21436
Date: Respondents:
Brian Raymond Callahan
Release No. IA-6312
File Number: 3-21435
Date: Respondents:
Marcus K. Moon
Release No. 34-97523, IA-6311
File Number: 3-21434
Date: Respondents:
Michael Ross Kane
Release No. IA-6310
See Also: Administrative Summary
File Number: 3-21433
Date: Respondents:
Scott Eugene Bachman
Release No. 34-97522
File Number: 3-20089
Date: Respondents:
Eagle Bancorp, Inc.
Release No. 34-97517
File Number: 3-20963
Date: Respondents:
Abed Ahmad
Release No. 34-97508
File Number: 3-21432
Date: Respondents:
Alaa Ahmad
Release No. 34-97507
File Number: 3-21431
Date: Respondents:
Hemp Naturals, Inc.
Release No. 33-11193
File Number: 3-21430
Date: Respondents:
Green Stream Holdings, Inc.
Release No. 33-11192
File Number: 3-21429
601 to 700 of 17603 items