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: March 17, 2023	Respondents: Cucinella, John Release No. 34-97155 File Number: 3-21344
Date: March 16, 2023	Respondents: Sica Wealth Management, LLC and Jeffrey C. Sica Release No. 34-97152
Date: March 16, 2023	Respondents: deVere USA, Inc. Release No. 34-97153
Date: March 16, 2023	Respondents: Almost Never Films Inc. Release No. 34-97154 File Number: 3-21343
Date: March 14, 2023	Respondents: DXC Technology Company Release No. 33-11166, 34-97140, AAER-4391
Date: March 13, 2023	Respondents: E. Magnus Oppenheim & Co. Inc. Release No. 34-97114, IA-6259 See Also: Administrative Summary File Number: 3-21340
Date: March 13, 2023	Respondents: Steven Xigoros Release No. IA-6260 File Number: 3-21341
Date: March 13, 2023	Respondents: Bandimere, David F. Young, John O. Release No. 34-97122 File Number: 3-15124
Date: March 13, 2023	Respondents: Sino Agro Food, Inc. Release No. 34-97128 File Number: 3-21096
Date: March 9, 2023	Respondents: Ralph Bartel Release No. 34-97084 See Also: Administrative Summary File Number: 3-21337
Date: March 9, 2023	Respondents: Jason P. Wootten Release No. 34-97096 File Number: 3-21338
Date: March 9, 2023	Respondents: Blackbaud, Inc. Release No. 33-11165, 34-97098
Date: March 8, 2023	Respondents: Balter, Laurence I. d/b/a Oracle Investment Research Release No. 34-97083 File Number: 3-17614
Date: March 7, 2023	Respondents: KeyBanc Capital Markets Inc. Release No. 34-97064 See Also: Administrative Summary File Number: 3-21336
Date: March 6, 2023	Respondents: Flutter Entertainment and plc as successor-in-interest to The Stars Group, Inc. (Corrected) Release No. 34-97044, AAER-4384 See Also: Administrative Summary File Number: 3-21330
Date: March 6, 2023	Respondents: Guzman, Gustavo A. Release No. IA-6255 File Number: 3-21333
Date: March 6, 2023	Respondents: James R. Thompson, Esq. Release No. 34-97045
Date: March 6, 2023	Respondents: Rio Tinto plc Release No. 34-97049, AAER-4386
Date: March 6, 2023	Respondents: Barry D. Loveless, CPA Release No. 34-97050, AAER-4385
Date: March 3, 2023	Respondents: Joshua Simmons Release No. 34-97030
Date: March 3, 2023	Respondents: Daniel Valentino Release No. 34-97031
Date: March 3, 2023	Respondents: Robert Daniel Louis Release No. 34-97032
Date: March 3, 2023	Respondents: Dave Nicolas Release No. 34-97033
Date: March 3, 2023	Respondents: Daniel J. Mackle, Sr. and Silver Edge Financial LLC Release No. 34-97034, IA-6254
Date: March 3, 2023	Respondents: Equity Acquisition Company Ltd. and Carsten Klein Release No. 34-97035
Date: March 3, 2023	Respondents: Scott Esposito Release No. 34-97036
Date: March 3, 2023	Respondents: Richard Konopka Release No. 34-97037
Date: March 3, 2023	Respondents: Todd J. Prince Release No. 34-97038 File Number: 3-21329
Date: March 2, 2023	Respondents: William A. Furman Release No. 33-11161, 34-97016
Date: March 2, 2023	Respondents: The Greenbrier Companies, Inc. Release No. 33-11162, 34-97017
Date: March 2, 2023	Respondents: Cambria Capital, LLC Release No. 34-97020, IA-6253 See Also: Administrative Summary
Date: March 2, 2023	Respondents: Chembio Diagnostics, Inc. Release No. 33-11163 See Also: Administrative Summary File Number: 3-21320
Date: March 1, 2023	Respondents: Surgalign Holdings, Inc. and Robert P. Jordheim Release No. 34-96997 File Number: 3-20945
Date: March 1, 2023	Respondents: Nikola Corporation Release No. 34-96998 File Number: 3-20687
Date: March 1, 2023	Respondents: Brian C. Doherty Release No. 34-96999 File Number: 3-21315
Date: March 1, 2023	Respondents: Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel Release No. 34-97000 File Number: 3-19266
Date: March 1, 2023	Respondents: Mark L. Hopkins Release No. 34-97003 File Number: 3-21316
Date: March 1, 2023	Respondents: Unikrn, Inc. Release No. 34-97008 File Number: 3-20003
Date: Feb. 28, 2023	Respondents: Markowitz, Alan J., CPA Release No. 34-96995, AAER-4380 File Number: 3-21314
Date: Feb. 28, 2023	Respondents: Kahn Brothers Advisors, LLC and Thomas Kahn Release No. 34-96996 File Number: 3-20880
Date: Feb. 27, 2023	Respondents: Shawn E. Good Release No. 34-96988, IA-6249
Date: Feb. 27, 2023	Respondents: Foresight Wealth Management, LLC and Adam E. Nugent Release No. 33-11160, 34-96989, IA-6250, IC-34843 See Also: Administrative Summary File Number: 3-21312
Date: Feb. 27, 2023	Respondents: Credit Suisse Release No. 34-96991 File Number: 3-15098
Date: Feb. 27, 2023	Respondents: Credit Suisse Release No. 34-96992 File Number: 3-15098
Date: Feb. 27, 2023	Respondents: Huntleigh Advisors, Inc., Datatex Investment Services, Inc. Release No. IA-6251 See Also: Administrative Summary File Number: 3-21313
Date: Feb. 24, 2023	Respondents: Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough and Derek Acree Release No. 34-96977 File Number: 3-20453
Date: Feb. 24, 2023	Respondents: S&P Dow Jones Indices LLC Release No. 34-96978 File Number: 3-20310
Date: Feb. 24, 2023	Respondents: Stable Road Acquisition Corp., et al. Release No. 34-96981 File Number: 3-20393
Date: Feb. 24, 2023	Respondents: ShipChain, Inc. Release No. 34-96982 File Number: 3-20185
Date: Feb. 22, 2023	Respondents: African Gold Acquisition Corp. Release No. 34-96960, AAER-4377
Date: Feb. 22, 2023	Respondents: Alan A. Tucker Release No. 34-96961, AAER-4378 File Number: 3-21310
Date: Feb. 22, 2023	Respondents: UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III Release No. 34-96964
Date: Feb. 21, 2023	Respondents: Ensign Peak Advisors, Inc. and the Church of Jesus Christ of Latter-Day Saints Release No. 34-96951
Date: Feb. 21, 2023	Respondents: Candlestick Capital Management LP Release No. 34-96952
Date: Feb. 21, 2023	Respondents: HITE Hedge Asset Management LLC Release No. 34-96953 File Number: 3-21308
Date: Feb. 17, 2023	Respondents: Paul Anthony Pierce Release No. 33-11157
Date: Feb. 16, 2023	Respondents: The Options Clearing Corporation Release No. 34-96945
Date: Feb. 15, 2023	Respondents: Reifler, Bradley C. Release No. IA-6242 File Number: 3-21303
Date: Feb. 14, 2023	Respondents: Barrera, Emilio, Jr., (a/k/a Mike Barrera) Release No. 34-96913 File Number: 3-21302
Date: Feb. 14, 2023	Respondents: Roadrunner Transportation Systems, Inc. Release No. 33-11156, 34-96909, AAER-4375 See Also: Administrative Summary
Date: Feb. 13, 2023	Respondents: Craig L. Josephberg Release No. 34-96900
Date: Feb. 13, 2023	Respondents: Baxter International Inc. Release No. 34-96898 See Also: Proposed Distribution Plan Comments received are available: 3-20781
Date: Feb. 13, 2023	Respondents: Jason Sugarman Release No. 34-96901, IA-6237
Date: Feb. 9, 2023	Respondents: BitClave PTE, Ltd. Release No. 34-96869 See Also: Corrected Plan of Distribution File Number: 3-19816
Date: Feb. 8, 2023	Respondents: Olga Kuprina Release No. 33-11154 File Number: 3-21297
Date: Feb. 8, 2023	Respondents: Wang, Jia Roger Qian, CPA and Wang Certified Public Accountant, P.C. Release No. 34-96852, AAER-4374 See Also: Administrative Summary File Number: 3-21298
Date: Feb. 7, 2023	Respondents: Gentex Corporation and Kevin C. Nash Release No. 34-96819, AAER-4373 See Also: Administrative Summary File Number: 3-21296
Date: Feb. 6, 2023	Respondents: Centaurus Financial, Inc., Ricky A. Mantei and Atul Makharia Release No. 33-11153, 34-96805, IA-6228 See Also: Administrative Summary
Date: Feb. 6, 2023	Respondents: Mitra, Satyajeet "Sunny" Release No. 34-96804 File Number: 3-21252
Date: Feb. 6, 2023	Respondents: Scott T. Wolfrum Release No. 34-96813 File Number: 3-20252
Date: Feb. 6, 2023	Respondents: Assenza, Michael J. a/k/a "Michael Grimaldi" Release No. 34-96815 File Number: 3-21233
Date: Feb. 3, 2023	Respondents: Activision Blizzard, Inc. Release No. 34-96796
Date: Feb. 2, 2023	Respondents: Nathaniel Clay Release No. 34-96795 File Number: 3-21293
Date: Feb. 1, 2023	Respondents: Ameritrust Corporation Release No. 34-96789 File Number: 3-21292
Date: Jan. 31, 2023	Respondents: Citigroup Global Markets, Inc., Morgan Stanley Smith Barney LLC Release No. 34-96777 File Number: 3-17808, 3-17809
Date: Jan. 31, 2023	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 34-96778 File Number: 3-20781, 3-20782
Date: Jan. 31, 2023	Respondents: Poloniex, LLC Release No. 34-96779 See Also: Distribution Plan File Number: 3-20455
Date: Jan. 30, 2023	Respondents: Steven E. Larson Release No. 34-96766, IA-6225
Date: Jan. 30, 2023	Respondents: Randy Herschaft Release No. 34-96776 File Number: 3-21290
Date: Jan. 27, 2023	Respondents: Donna Matuizek Release No. 34-96759 See Also: Administrative Summary
Date: Jan. 27, 2023	Respondents: Abraham "Avi " Mirman Release No. 34-96764 File Number: 3-21288
Date: Jan. 27, 2023	Respondents: Generex Biotechnology Corporation Release No. 34-96760 File Number: 3-21148
Date: Jan. 26, 2023	Respondents: Ross, Sinclaire & Associates LLC and Murray Sinclaire, Jr. Release No. 34-96754
Date: Jan. 26, 2023	Respondents: Advanced Emissions Solutions, Inc. Release No. 34-96757 File Number: 3-17892
Date: Jan. 26, 2023	Respondents: XSport Global, Inc. Release No. 34-96756 File Number: 3-20349
Date: Jan. 23, 2023	Respondents: Bloomberg Finance L.P. Release No. 33-11150
Date: Jan. 23, 2023	Respondents: David S.Y. Chang Release No. 34-96726, IA-6223 File Number: 3-21285
Date: Jan. 23, 2023	Respondents: Stable Road Acquisition Corp., et al. Release No. 34-96733 File Number: 3-20393
Date: Jan. 23, 2023	Respondents: Nikola Corporation Release No. 34-96736 File Number: 3-20687
Date: Jan. 23, 2023	Respondents: Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan, Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan Release No. 34-96737 File Number: 3-17791, 3-17792, 3-17793, 3-17794
Date: Jan. 23, 2023	Respondents: Securities America Advisors, Inc. Release No. 34-96738 See Also: Amended Distribution Plan File Number: 3-20381
Date: Jan. 19, 2023	Respondents: Nexo Capital Inc. Release No. 33-11149
Date: Jan. 19, 2023	Respondents: Water Now, Inc. Release No. 34-96706 File Number: 3-21127
Date: Jan. 19, 2023	Respondents: MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA Release No. 34-96709 File Number: 3-17956
Date: Jan. 19, 2023	Respondents: Davis, DaRayl D. Release No. 34-96712, IA-6220 File Number: 3-21280
Date: Jan. 19, 2023	Respondents: Computer Sciences Corporation, et al. Release No. 34-96718 File Number: 3-16575
Date: Jan. 19, 2023	Respondents: Moors & Cabot, Inc. Release No. 34-96719, IA-6222 See Also: Administrative Summary
Date: Jan. 19, 2023	Respondents: James Stuart Adams Release No. 34-96721 File Number: 3-21283
Date: Jan. 18, 2023	Respondents: Weatherford International PLC, et al., Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Release No. 34-96687 File Number: 3-17582, 3-17628
Date: Jan. 18, 2023	Respondents: Frontier Wealth Management, LLC and Shawn Sokolosky Release No. 34-96692 File Number: 3-20526