Open Litigated Administrative Proceedings

View the Closed Litigated Administrative Proceedings page

File Number Respondents
3-12944 Steven Altman, Esq.
3-15123 O'Dierno, Dominic
3-19250 Upper Street Marketing Inc.
3-19603 The Application of Bloomberg, L.P.
3-19606 Vetter, Thomas H.
3-19719 Avnon, Yaniv Armon, Ran G Six Trading Y.R Ltd.
3-19733 Genovese, Nicholas J.
3-19735 Securities Industry and Financial Markets Association
3-19745 No Borders, Inc.
3-19787 Nano Magic Inc.
3-19816 BitClave PTE, Ltd.
3-19826 Navellier, Louis Navellier & Associates, Inc.
3-19896 Silver Leaf Partners, LLC
3-20184 Sood, Munish
3-20204 Advance Practice Advisors, LLC and Paul C. Spitzer
3-20209 Jones, Robbi J.; and Kipling Jones & Co., Ltd.
3-20238 Alpine Securities Corporation
3-20239 Murphy, Jocelyn
3-20242 Murphy, Michael Sean
3-20297 MJ Biotech, Inc.
3-20331 Gagaza, Roy Y.
3-20387 Titan Securities and Brad C. Brooks
3-20460 Ortiz, David P.
3-20586 Kamenksy, Daniel B.
3-20597 Resolute Capital Partners Ltd, LLC, et al.
3-20622 Almagarby, Ibrahim
3-20636 Kielczewski, William Joseph
3-20639 DreamFunded Marketplace, LLC; and Fernandez, Manuel
3-20650 American CryptoFed DAO LLC
3-20680 Paulsen, John A.
3-20695 Moleski, Stephen Scott
3-20703 Lykos, Thomas J., Jr.
3-20724 Petrolia Energy Corporation
3-20795 Allen, Laurence G.
3-20808 Lek Securities Corporation
3-20823 Cawthorne, Lynn D.
3-20828 Lemelson, Gregory
3-20849 High, Robert Charles II
3-20916 Ihsan Dariush Ibrahim Gholizadeh Inc. Ihsan Dariush Ibrahim Gholizadeh Transfer Trust
3-20917 The Northgate Nobles Greenhouseabe Foreign Grantor Trust
3-20928 Gearhart, Richard
3-20935 Burns, Christopher W.
3-20950 Maccio, Michelle
3-20973 IEH Corporation
3-21000 Michael James Ferguson Jr. Foreign Private Trust
3-21011 Chairez, Karina
3-21020 Dilley, Carl E.
3-21021 Eldred, Micah J.
3-21097 Grenda Group, LLC
3-21098 Grenda, Gregory M.
3-21137 Grown Rogue International Inc. f/k/a Novicius Corporation
3-21143 Hardiman, Elbert L., Jr.
3-21152 Sanchez, Jose Luis Casero
3-21159 Lee, Christopher Byungin
3-21160 O'Neal, Sean Andrew
3-21162 Sobel, Lee
3-21206 Broyles, Daniel Thomas
3-21222 Allen, Laurence G.
3-21224 Ma, Joan Congyi "JC"
3-21225 Guo, Daliang "David"
3-21239 Chen, Andy Chin Fong, CPA
3-21243 American CryptoFed DAO LLC
3-21257 Marques, John
3-21261 Mattessich, Adam
3-21264 The Peter Joseph Polinski Trust
3-21270 Keener, Justin W.
3-21280 Davis, DaRayl D.
3-21292 Ameritrust Corporation
3-21344 Cucinella, John
3-21345 Parker, Bernard M.
3-21390 Tranchina, Christopher Peter
3-21400 Sztrom, Michael and Sztrom, David
3-21402 DiPaola, Jason Lynn
3-21414 Advantego Corporation
3-21462 Sunridge International, Inc.
3-21503 Sturniolo, Joseph Sylvester
3-21516 Mantei, Ricky Alan
3-21525 Bell, Vania Mae
3-21568 Swanson, Ronald D.
3-21578 Bahgat, Tarek D.
3-21626 Empower Clinics, Inc.
3-21726 Amoah, Brian Bartlett and Elbert “Al” Elliott
3-21764 William Blair & Company, L.L.C., and William Blair Investment Management, LLC
3-21767 Nuveen Securities, LLC
3-21768 Robert W. Baird & Co. Incorporated
3-21769 Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP
3-21776 Kroll Bond Rating Agency, LLC
3-21788 Holts, Bradley M.
3-21790 Cannon, Eric Christopher
3-21818 Arnold, Christopher Robert
3-21841 Mohidin, Ahmed, CPA, and Weinbaum, George, CPA
3-21848 Lincoln Financial Advisors Corporation; Lincoln Financial Securities Corporation
3-21849 Key Investment Services LLC; KeyBanc Capital Markets Inc.
3-21850 Northwestern Mutual Investment Services, LLC; Northwestern Mutual Investment Management Company, LLC; Mason Street Advisors, LLC
3-21852 Oppenheimer & Co. Inc.
3-21853 The Huntington Investment Company; Huntington Securities, Inc.; Capstone Capital Markets
3-21870 Western Magnesium Corp.
3-21915 Burford, Charles Scott, Sr.
3-21924 Alpine Securities Corporation
3-21933 NYPPEX, LLC, Laurence Allen, and Michael Schunk
3-21944 Rauch, George (f/k/a George B. Fasciano)
3-21948 Plummer, Mark Allen
3-21951 Breitling, Todd Stuart
3-21963 Paul, Joseph Andrew
3-21966 Fierro, John D.
3-21972 Church-Koegel, Brook
3-21973 Walker, Nicole J.
3-21974 Goldman, David H.
3-21981 Durham, Mark Kipling
3-21982 Robertson, Norman Thorn
3-21993 Hilltop Securities Inc.
3-21994 Piper Sandler & Co.
3-21997 Osaic Services, Inc. and Osaic Wealth, Inc.
3-21998 Apex Clearing Corporation
3-22000 Truist Securities, Inc.; Truist Investment Services, Inc.; and Truist Advisory Services, Inc.
3-22002 Raymond James & Associates, Inc.
3-22003 RBC Capital Markets, LLC
3-22004 Ameriprise Financial Services, LLC
3-22006 LPL Financial LLC
3-22013 Herzog International Holdings, Inc.
3-22015 Daniels Corporate Advisory Company, Inc.
3-22016 Arch Leasing Corp Trust
3-22027 Impax Laboratories, LLC
3-22059 Harvey Electronics, Inc.
3-22062 Max Sound Corp.
3-22069 Powertech Industries Inc.
3-22146 Trofimoff, Michael
3-22163 Regions Securities LLC
3-22165 Invesco Distributors, Inc. and Invesco Advisers, Inc.
3-22168 Stifel, Nicolaus & Company, Inc.,
3-22203 Van Gundy, Chimene
3-22221 Bournehill Investment Services, Inc.
3-22229 ABCO Energy, Inc.
3-22230 American Bio Medica Corporation
3-22231 ARtelligence Holdings, Inc. (fka Tautachrome, Inc.)
3-22233 China Energy Technology Corp., Ltd.
3-22234 International Fast Food Corporation
3-22235 Lattice, Inc.
3-22246 OS Support, Inc.
3-22247 Point of Care Nano-Technology, Inc.
3-22248 Sharing Economy International Inc.
3-22250 Choice Advisors, LLC and Matthias O’Meara
3-22251 UBI Blockchain Internet Ltd.
3-22260 Traqer Corp.
3-22263 Globesat Holding Corp.
3-22264 Integral Vision Inc
3-22265 Spectrascience, Inc.
3-22276 Minim, Inc.
3-22284 Capellini, Suzanne Marie
3-22285 Spartan Capital Securities, LLC, John D. Lowry, Kim M. Monchik
3-22286 Boucher, Mark J.
3-22288 Confluence Acquisition Partners I, Inc.
3-22289 Subaye.com, Inc.
3-22294 Sino American Oil Co.
3-22295 Spongetech Delivery Systems, Inc.
3-22297 Rystar Communications Ltd.
3-22301 Golden Goliath Resources Ltd.
3-22303 EliteSoft Global Inc.
3-22304 G.G.S. Plastic Engineering Inc.
3-22307 Epic Capital Wealth Advisors, LLC
3-22308 Anthony, David M.
3-22313 Sangui Biotech International, Inc.
3-22314 DG Acquisition Corp.
3-22315 Digatrade Financial Corp.
3-22317 Global Secure Corp. (n/k/a Global Secure Ltd.)
3-22318 Innovative Energy Solutions, Inc.
3-22320 PRN Corp.
3-22321 QuatRx Pharmaceuticals Company
3-22322 Seven Networks, Inc. (n/k/a Seven Networks, LLC)
3-22357 Hsu, Allen Y., Esq.
3-22365 Strege, Adam
3-22390 Jonathan Mimun (a/k/a Jonathan “Yoni” Maymon, Yonatan Mimun and Jonatan Mimun) and Ronn Ben Harav (a/k/a Ronen Baharav)
3-22397 Strege, Adam
3-22456 Moschetta, Ronald
3-22471 Alpine Securities Corporation
3-22473 Entrex Carbon Market, Inc. (f/k/a UHF Logistics Group, Inc.) Shareholders
3-22478 Mangan, Jr., John F.