This page features opinions and orders issued by the Commission in connection with its adjudication of administrative proceedings, appeals from initial decisions of ALJs, and appeals from SRO or PCAOB action.

The links below direct you to the docket pages for such adjudicatory proceedings 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.

Commission Opinions and Adjudicatory Orders Table

Respondents
Date: Respondents:
Alpine Securities Corporation
Release No. 34-98634
File Number: 3-18979
Date: Respondents:
Wasatch Pharmaceutical, Inc.
Release No. 34-98588
File Number: 3-21378
Date: Respondents:
Canna Corporation
Release No. 34-98587
File Number: 3-21374
Date: Respondents:
Well-being Holdings, Inc.
Release No. 34-98581
File Number: 3-21379
Date: Respondents:
HAHA Generation Corp.
Release No. 34-98580
File Number: 3-21377
Date: Respondents:
Almost Never Films Inc.
Release No. 34-98579
File Number: 3-21343
Date: Respondents:
Brian Williamson
Release No. 33-11246, 34-98602, IA-6436, IC-35024
File Number: 3-15430-rtv
Date: Respondents:
William Joseph Kielczewski
Release No. 34-98578
File Number: 3-20636
Date: Respondents:
Edward M. Daspin a/k/a "Edward (Ed) Michael"
Release No. 33-11242, 34-98554
File Number: 3-16509
Date: Respondents:
Metatron, Inc.
Release No. 34-98500
File Number: 3-18567
Date: Respondents:
Deep ATS, LLC
Release No. 34-98498
File Number: 3-20362
Date: Respondents:
Ruless Piere a/k/a Rules Pierre
Release No. IA-6430
File Number: 3-21064
Date: Respondents:
DreamFunded Marketplace, LLC; and Fernandez, Manuel
Release No. 34-98470
File Number: 3-20639
Date: Respondents:
Zenosense, Inc.
Release No. 34-98468
File Number: 3-20743
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black
Release No. 34-98442
File Number: 3-19185
Date: Respondents:
The Transportation Group (Securities) Limited
Release No. 34-98447
File Number: 3-21582
Date: Respondents:
Ronnie Lee Moss
Release No. 34-98441
File Number: 3-20807
Date: Respondents:
William Joseph Kielczewski
Release No. 34-98435
File Number: 3-20636
Date: Respondents:
Warren A. Davis and Gibraltar Global Securities, Inc.
Release No. 34-98434
File Number: 3-19814
Date: Respondents:
Joseph Sturniolo
Release No. 34-98433
File Number: 3-21503
Date: Respondents:
Titan Securities and Brad C. Brooks
Release No. 34-98428
File Number: 3-20387
Date: Respondents:
Bruce Zipper and Dakota Securities International, Inc.
Release No. 34-98427
File Number: 3-20811
Date: Respondents:
Richard G. Duncan
Release No. 34-98421, IA-6424
File Number: 3-20874
Date: Respondents:
Robert L. Bryant III
Release No. 34-98404
File Number: 3-19892
Date: Respondents:
Paul Hanson
Release No. 34-98405
File Number: 3-20406
Date: Respondents:
Flynn, Ronald Shane
Release No. 34-98403
File Number: 3-21529
Date: Respondents:
Executive Financial Services, Inc.
Release No. 34-98402
File Number: 3-20407
Date: Respondents:
Hai Khoa Dang
Release No. IA-6420
File Number: 3-20282
Date: Respondents:
Scott Allen Fries
Release No. 34-98373, IA-6418
File Number: 3-20796
Date: Respondents:
Randall S. Goulding
Release No. IA-6417
File Number: 3-19617
Date: Respondents:
Donald S. Laguardia, Jr.
Release No. IA-6416
File Number: 3-20941
Date: Respondents:
Lek Securities Corporation
Release No. 34-98372
File Number: 3-20808
Date: Respondents:
Renavotio, Inc.
Release No. 34-98359
File Number: 3-21457
Date: Respondents:
Silver Leaf Partners, LLC
Release No. 34-98350
File Number: 3-19896
Date: Respondents:
Matthew R. Logan
Release No. 34-98348
File Number: 3-20922
Date: Respondents:
Cantone Research Inc., Anthony Cantone and Christine Cantone
Release No. 34-98342
File Number: 3-18999
Date: Respondents:
Robert R. Tweed
Release No. 34-98336
File Number: 3-19652
Date: Respondents:
AMBG, Inc.
Release No. 34-98334
File Number: 3-21458
Date: Respondents:
Justin Wallace Herman
Release No. 34-98333, IA-6403
File Number: 3-20839
Date: Respondents:
Michelle L. Helterbran Cochran, CPA
Release No. 34-98329, AAER-4457
File Number: 3-17228
Date: Respondents:
Vania May Bell
Release No. IA-6402
File Number: 3-21525
Date: Respondents:
Gregory Moats Sampson
Release No. IA-6401
File Number: 3-20235
Date: Respondents:
The Edward Walker Benifield Trust
Release No. 34-98319
File Number: 3-20914
Date: Respondents:
Wilson-Davis & Co.;Snow, James C.; and Barkley, Byron B.
Release No. 34-98316
File Number: 3-19666
Date: Respondents:
The Brian Madison Carnes Trust
Release No. 34-98314
File Number: 3-20913
Date: Respondents:
The Brandon Rawls Trust
Release No. 34-98312
File Number: 3-20915
Date: Respondents:
The Northgate Nobles GreenhouseABE Foreign Grantor Trust
Release No. 34-98311
File Number: 3-20917
Date: Respondents:
Afame, Onwuka
Release No. 34-98308
File Number: 3-21263
Date: Respondents:
Howard, Donald
Release No. 34-98291
File Number: 3-20653
Date: Respondents:
Guy S. Amico and Scott H. Goldstein
Release No. 34-98287
File Number: 3-13099
Date: Respondents:
Clinton Maurice Tucker II
Release No. 34-98286
File Number: 3-20305
Date: Respondents:
Stephen Scott Moleski
Release No. 34-98283, IA-6397
File Number: 3-20695
Date: Respondents:
Wang, Jia Roger Qian, CPA and Wang Certified Public Accountant, P.C.
Release No. 34-98275, AAER-4454
File Number: 3-21298
Date: Respondents:
DiPaola, Jason Lynn
Release No. 34-98274
File Number: 3-21402
Date: Respondents:
Hughe Duwayne Graham
Release No. 34-98273
File Number: 3-20659
Date: Respondents:
Genovese, Nicholas J.
Release No. IA-6389
File Number: 3-19733
Date: Respondents:
Alpine Securities Corporation
Release No. 34-98245
File Number: 3-18979
Date: Respondents:
Lisa Gordon
Release No. 34-98242
File Number: 3-21039
Date: Respondents:
John Cucinella
Release No. 34-98241
File Number: 3-21344
Date: Respondents:
Ronnie Lee Moss
Release No. 34-98240
File Number: 3-20807
Date: Respondents:
William B. McHenry, Jr. and First South Investments, LLC
Release No. 34-98239
File Number: 3-20999
Date: Respondents:
Wilfredo Felix
Release No. 34-98230
File Number: 3-20380
Date: Respondents:
Jason C. Goldfarb
Release No. 34-98224
File Number: 3-14597
Date: Respondents:
Marcus Beam
Release No. IA-6386
File Number: 3-21364
Date: Respondents:
John Marques
Release No. 34-98211
File Number: 3-21257
Date: Respondents:
David W. Ingle
Release No. 34-98210
File Number: 3-20893
Date: Respondents:
Sturniolo, Joseph Sylvester
Release No. 34-98201
File Number: 3-21503
Date: Respondents:
Herman, Justin Wallace
Release No. 34-98205
File Number: 3-20839
Date: Respondents:
Parker, Bernard M.
Release No. 34-98204, IA-6385
File Number: 3-21345
Date: Respondents:
Bryant III, Robert L.
Release No. 34-98203
File Number: 3-19892
Date: Respondents:
Devin Lamarr Wicker
Release No. 34-98178
File Number: 3-20705
Date: Respondents:
Flesche, Paul Eric
Release No. 34-98177
File Number: 3-20647
Date: Respondents:
Liquidation World, Inc
Release No. 34-98175
File Number: 3-21471
Date: Respondents:
Southeast Investments, N.C., Inc.; and Frank Harmon Black
Release No. 34-98174
File Number: 3-19185
Date: Respondents:
Tilford, Richard Gregory
Release No. 34-98167
File Number: 3-21211
Date: Respondents:
Blox, Inc.
Release No. 34-98164
File Number: 3-21389
Date: Respondents:
American Fiber Green Products, Inc.
Release No. 34-98162
File Number: 3-21446
Date: Respondents:
AMBG, Inc.
Release No. 34-98161
File Number: 3-21458
Date: Respondents:
Ion Geophysical Corp.
Release No. 34-98155
File Number: 3-21444
Date: Respondents:
Pacific Monument Acquisition Corp.
Release No. 34-98152
File Number: 3-21448
Date: Respondents:
Phoenix Life Sciences International Limited
Release No. 34-98145
File Number: 3-21449
Date: Respondents:
Beverage Acquisition Corporation
Release No. 34-98144
File Number: 3-21447
Date: Respondents:
RedHawk Holdings Corp.
Release No. 34-98135
File Number: 3-21456
Date: Respondents:
Ricky Alan Mantei
Release No. 34-98134
File Number: 3-21516
Date: Respondents:
Gustavo A. Guzman
Release No. IA-6376
File Number: 3-21333
Date: Respondents:
Thomas Garnette Martin, Jr.
Release No. IA-6375
File Number: 3-21278
Date: Respondents:
3D Pioneer Systems, Inc.
Release No. 34-98125
File Number: 3-21387
Date: Respondents:
Robert Marcus Lane
Release No. 34-98124
File Number: 3-15701
Date: Respondents:
Joshua Abrahams, CPA
Release No. 34-98122, AAER-4439
File Number: 3-21214
Date: Respondents:
Bruce Zipper and Dakota Securities International, Inc.
Release No. 34-98121
File Number: 3-20811
Date: Respondents:
Nicholi Mandracken
Release No. 34-98120
File Number: 3-19222
Date: Respondents:
Noble Vici Group, Inc.
Release No. 34-98100
File Number: 3-21380
Date: Respondents:
Justin W. Keener
Release No. 34-98105
File Number: 3-21270
Date: Respondents:
Emilio Barrera, Jr., aka Mike Barrera
Release No. 34-98104
File Number: 3-21302
Date: Respondents:
Sandeep Varma
Release No. 34-98102
File Number: 3-20317
Date: Respondents:
Jennifer Anne Johnston
Release No. 34-98099
File Number: 3-20120
Date: Respondents:
Tweed, Robert R.
Release No. 34-98098
File Number: 3-19652
Date: Respondents:
Sampson, Gregory Moats
Release No. IA-6374
File Number: 3-20235
Date: Respondents:
Pierre, Ruless a/k/a Rules Pierre
Release No. IA-6373
File Number: 3-21064
Date: Respondents:
Leroy KIng
Release No. 34-98097; IA-6372
File Number: 3-21204
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