Commission Opinions and Adjudicatory Orders


The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Additional Archives

Release No. Date Respondents
Fourth Quarter
34-90252 Oct. 22, 2020 Abn Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Order Extending Time to Issue Decision)
34-90249 Oct. 22, 2020 Bradley C. Reifler (Order Extending Time to Issue Decision)
34-90234 Oct. 21, 2020 Ultimate Products Corporation, et al. (Order to Show Cause)
34-90225 Oct. 20, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
34-90224 Oct. 20, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-90222 Oct. 19, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-90220 Oct. 19, 2020 Sean R. Stewart (Scheduling Order)
Other Release No.: IA-5616
IA-5615 Oct. 16, 2020 Saving2Retire, LLC and Marian P. Young (Order Extending Time to Issue Decision)
34-90215 Oct. 16, 2020 Shawn K. Dicken (Order Requesting Additional Materials)
34-90214 Oct. 16, 2020 Africa Growth Corporation and Gold Dynamics Corp. (Order to Show Cause)
IA-5614 Oct. 16, 2020 Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies (Order to Show Cause)
34-90200 Oct. 15, 2020 Equitec Proprietary Markets, LLC and Chicago Board Options Exchange, Inc. (Corrected Order Extending Time to Issue Decision)
34-90194 Oct. 15, 2020 Briarwood Holdings Group, Inc., Heyu Leisure Holidays Corporation and TJ Roasters Inc. (Order Regarding Service)
33-10875 Oct. 15, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Extending Time to File Reply Brief)
Other Release No.: 34-90198
34-90192 Oct. 15, 2020 Fantastic Financial Corporation, et al. (Order Regarding Service)
34-90190 Oct. 15, 2020 Veris Gold Corp. (Order Regarding Service)
34-90172 Oct. 14, 2020 Advanced Voice Technologies, Inc., American Pharmaceutical Company and Apollo Eye Group, Inc. (Order to Show Cause)
34-90171 Oct. 14, 2020 Aztech International Ltd., Bev-Tyme, Inc. and Concord Energy Incorporated (Order to Show Cause)
34-90162 Oct. 13, 2020 Calhoun Asset Management, LLC and Krista Lynn Ward a/k/a Krista Lynn Karnezis (Extension Order)
34-90152 Oct. 9, 2020 Quantumsphere, Inc. and Shenzhen Yidian Double Way of Innovation Culture Media Corp. (Order to Show Cause as to Shenzhen Yidian Double Way of Innovation Culture Media Corp.)
34-90150 Oct. 9, 2020 John Christopher Polit (Order Granting an Extension of Time)
Other Release No.: IA-5611
34-90148 Oct. 9, 2020 Crescent Airways Corp., Electronic Manufacturing Services Group Inc. and M&M Financial Corp. (Order to Show Cause)
33-10874 Oct. 9, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-90143, IC-34048
34-90109 Oct. 8, 2020 Nicholi Mandracken (Order to Show Cause)
34-90108 Oct. 7, 2020 LD Holdings, et al. (Order to Show Cause)
34-90106 Oct. 7, 2020 Adama Technologies Corp.; GeoBio Energy, Inc.; and Powerdyne International, Inc. (Order to Show Cause)
34-90107 Oct. 7, 2020 Bakken Resources, Inc.; Ireland Inc.; and Worlds Mall, Inc. (Order to Show Cause)
34-90105 Oct. 7, 2020 Diadexus, et al. (Order to Show Cause)
IA-5608 Oct. 6, 2020 Barton W. Stuck (Order Denying Motion for Extension of Time)
IA-5606 Oct. 6, 2020 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
34-90098 Oct. 6, 2020 Sean Kelly (Order Regarding Service)
Other Release No.: IA-5609
34-90094 Oct. 6, 2020 David B. Tysk (Order Extending Time to Issue Decision)
34-90087 Oct. 5, 2020 Securities Industry, Financial Markets Association and Bloomberg L.P.(Order Granting Requests to Withdraw Applications for Review and Dismissing Review Proceedings)
33-10870 Oct. 2, 2020 Calhoun Asset Management, LLC and Krista Lynn Ward a/k/a Krista Lynn Karnezis (Order Scheduling Briefs)
Other Release Nos.: 34-90078, IA-5604, IC-34042
34-90064 Oct. 1, 2020 Donald Anthony Wojnowski Financial Industry Regulatory Authority (Extension Order)
34-90063 Oct. 1, 2020 Curtis Richard Edmark (Extension Order)
Third Quarter
34-90058 Sep. 30, 2020 Timothy Arthur Vanderver (Extension Order)
34-90055 Sep. 30, 2020 Maurice James Ariche (Extension Order)
33-10859 Sep. 29, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-90039, IC-34032
34-89937 Sep. 21, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Order Suspending Briefing Schedule)
34-89932 Sep. 21, 2020 Consolidated Arbitration Applications Financial Industry Regulatory Authority (Extension Order)
34-89930 Sep. 21, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
34-89928 Sep. 21, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-89923 Sep. 18, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-89876 Sep. 15, 2020 David Howard Welch (a/k/a David Howard Bryant) (Order Granting Extension of Time)
34-89866 Sep. 14, 2020 China Tongzilian Group Share Limited, Inc. (Opinion of the Commission)
34-89864 Sep. 14, 2020 China Xingbang Industry Group Inc. and Kingsmen Capital Group, Ltd. (Opinion of the Commission as to China Xingbang Industry Group Inc.)
34-89863 Sep. 14, 2020 Greenwood Hall, Inc., PMX Communities, Inc. and SurePure, Inc. (Opinion of the Commission as to Greenwood Hall, Inc.)
34-89859 Sep. 14, 2020 Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision)
33-10840 Sep. 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89858, IC-34010
34-89849 Sep. 11, 2020 IMC Holdings, Inc., Microphase Corporation and Wintahenderson International, Inc. (Opinion of the Commission as to Imc Holdings, Inc., and Wintahenderson International, Inc.)
34-89847 Sep. 11, 2020 Golden Rush, Inc., Legall Holdings, Inc. and My Healthy Access, Inc. (Opinion of the Commission as to Legall Holdings, Inc., and My Healthy Access, Inc.)
34-89846 Sep. 11, 2020 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Opinion of the Commission as to Healthway Shopping Network and Unity Global Holdings Ltd.)
34-89845 Sep. 11, 2020 Pacific Telcom, Inc., et al. (Opinion of the Commission)
34-89844 Sep. 11, 2020 John Christopher Polit (Order Granting an Extension of Time)
Other Release No.: IA-5578
34-89802 Sep. 9, 2020 Greenhouse Solutions, Inc. and Latitude 360, Inc. (Opinion of the Commission)
34-89801 Sep. 9, 2020 Oriental Magic Soup, Inc., et al. (Opinion of the Commission as to Oriental Magic Soup, Inc., and You Han Data Tech Co Ltd.)
34-89800 Sep. 9, 2020 Medisun Precision Medicine, Ltd., Next Graphite, Inc. and Omni Shrimp, Inc. (Opinion of the Commission as to Medisun Precision Medicine, Ltd., and Omni Shrimp, Inc.)
33-10834 Sep. 4, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy, Jr. (Opinion of the Commission)
Other Release Nos.: 34-89775, IA-5572, IC-34003
34-89772 Sep. 4, 2020 Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision)
34-89740 Sep. 2, 2020 Daniel Paul Motherway (Order Scheduling Briefs)
34-89735 Sep. 1, 2020 MaryJane Group, Inc., Omega Commercial Finance Corp. and Redpoint Bio Corp. (Opinion of the Commission as to Omega Commercial Finance Corp.)
34-89734 Sep. 1, 2020 Silver Leaf Partners, LLC (Order Scheduling Briefs)
34-89733 Sep. 1, 2020 Robert L. Bryant III (Order Scheduling Briefs)
34-89709 Aug. 28, 2020 Rising Biosciences, Inc. (Order Requesting Additional Written Submissions)
34-89706 Aug. 28, 2020 Lord Global Corp. (Order Requesting Additional Written Submissions)
34-89685 Aug. 26, 2020 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Opinion of the Commission)
33-10827 Aug. 26, 2020 Canso Enterprises, Ltd.; Privoz; Universal Movers Corp.; Lorilay Corp.; Formous Corp.; and Lion Print Corp. (Order Dismissing Consolidated Proceeding)
34-89676 Aug. 26, 2020 ABN Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Order Extending Time to Issue Decision)
34-89675 Aug. 26, 2020 Ciralight Global, et al. (Order Dismissing Proceeding)
34-89674 Aug. 26, 2020 Fred F. Liebau, Jr. (Extension Order)
34-89672 Aug. 26, 2020 Axesstel, Inc. (Order Dismissing Proceeding)
34-89634 Aug. 21, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
34-89630 Aug. 21, 2020 Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision)
34-89628 Aug. 20, 2020 Sweetwater Investing, Inc. and Thunor International, Inc. (Opinion of the Commission)
34-89626 Aug. 20, 2020 Ceetop Inc. n/k/a S.Q. Hydrogen Power, Inc., China Internet Café Holdings Group, Inc. and Starlight Supply Chain Management Company (Opinion of the Commission)
34-89620 Aug. 19, 2020 Fighton Succession Corporation and Grand Enterprises, Inc. (Opinion of the Commission)
34-89619 Aug. 19, 2020 Rolling Pin Kitchen Emporium, Inc. and Speed of Thought, Inc. (Opinion of the Commission)
34-89617 Aug. 19, 2020 The Consolidated Arbitration Applications (Order Consolidating Appeals)
34-89613 Aug. 19, 2020 Curtis Richard Edmark (Order Scheduling Briefs)
34-89611 Aug. 19, 2020 Timothy Arthur Vanderver III (Order Requesting Additional Written Submissions)
34-89612 Aug. 19, 2020 Maurice James Acriche (Order Scheduling Briefs)
34-89610 Aug. 19, 2020 Donald Anthony Wojnowski (Order Requesting Additional Written Submissions)
34-89609 Aug. 19, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-89606 Aug. 18, 2020 BCI Holding Inc., Bulova Technologies Group, Inc. and Omni Bio Pharmaceutical, Inc. (Opinion of the Commission)
34-89604 Aug. 18, 2020 BHTC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Opinion of the Commission as to BHTC X, Inc.)
34-89602 Aug. 18, 2020 Potomac Capital Markets LLC (Extension Order)
34-89601 Aug. 18, 2020 LD Holdings, et al. (Order Regarding Service)
34-89600 Aug. 18, 2020 Fred F. Liebau, Jr. (Order Scheduling Briefs)
34-89599 Aug. 18, 2020 Diadexus, et al. (Order Regarding Service)
34-89598 Aug. 18, 2020 Bakken Resources, Inc.; Ireland Inc.; and Worlds Mall, Inc. (Order Regarding Service)
34-89595 Aug. 18, 2020 Adama Technologies Corp.; Geobio Energy, Inc.; and Powerdyne International, Inc. (Order Regarding Service)
34-89573 Aug. 17, 2020 Aramex International Limited (Opinion of the Commission)
34-89572 Aug. 17, 2020 ASN Satellites, Inc., et al. (Opinion of the Commission as to ASN Satellites, Inc., Caleminder Inc., and Hyperfeed Technologies, Inc.)
34-89589 Aug. 17, 2020 Trans-Pacific Aerospace Company, Inc. and Vertical Computer Systems, Inc. (Order Granting Leave to File Statement of Views)
34-89571 Aug. 14, 2020 Aroga Holding Corp., Global Sources Limited and United States Properties, Inc. (Opinion of the Commission)
34-89570 Aug. 14, 2020 Alife Corporation, et al. (Opinion of the Commission)
34-89569 Aug. 14, 2020 Gold Lakes Corp. and Novagen Ingenium Inc. (Order to Show Cause)
34-89567 Aug. 14, 2020 Spire Corporation and the Staffing Group, Ltd. (Order to Show Cause)
34-89566 Aug. 14, 2020 Samdrew IV, Inc. and Southland Health Services, Inc. (Order to Show Cause)
34-89565 Aug. 14, 2020 Stirling Acquisition Corporation and Thinkengine Networks, Inc. (Order to Show Cause)
34-89561 Aug. 14, 2020 NWT Uranium Corp. (Order to Show Cause)
34-89559 Aug. 14, 2020 Oakridge Holdings, Inc, et al. (Order to Show Cause)
34-89557 Aug. 14, 2020 Monarch America, Inc. and VW Win Century, Inc. (Order to Show Cause)
33-10820 Aug. 14, 2020 James A. Winkelmann Sr. and Blue Ocean Portfolios, LLC (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89556, IA-5561, IC-33971
33-10819 Aug. 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89555, IC-33970
34-89546 Aug. 13, 2020 American Rare Earths, et al. (Opinion of the Commission as to American Rare Earths and Materials, Corp. and Spendsmart Networks, Inc.)
34-89544 Aug. 13, 2020 Artisanal Brands, Inc. and Daleco Resources Corporation (Opinion of the Commission as to Daleco Resources Corporation)
34-89538 Aug. 12, 2020 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Extending Time to Issue Decision)
34-89535 Aug. 12, 2020 United Development Funding III, LP, United Development Funding IV and United Development Funding Income Fund V (Opinion of the Commission)
34-89533 Aug. 12, 2020 Agritech Worldwide, Inc., Consolidated Gems, Inc. and Dominovas Energy Corporation (Opinion of the Commission as to Agritech Worldwide, Inc. and Dominovas Energy Corporation)
34-89526 Aug. 12, 2020 Shawn K. Dicken (Order Requesting Additional Briefing)
34-89508 Aug. 7, 2020 David Howard Welch (a/k/a David Howard Bryant) (Order to Show Cause)
34-89506 Aug. 7, 2020 J.W. Korth & Company, LP (Order Extending Time to Issue Decision)
IA-5559 Aug. 7, 2020 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
34-89505 Aug. 7, 2020 David B. Tysk (Order Extending Time to Issue Decision)
34-89504 Aug. 7, 2020 Securities Industry, Financial Markets Association and Bloomberg L.P. (Order Vacating Prior Order and Requesting Additional Briefs)
34-89503 Aug. 7, 2020 Securities Industry and Financial Markets Association (Order Dismissing Proceedings)
34-89495 Aug. 6, 2020 The Consolidated Arbitration Applications for Review of Action Taken By FINRA (Order Finding Jurisdiction)
34-89493 Aug. 6, 2020 Fidelity Transfer Services, Inc. and Ruben Sanchez (Order to Show Cause)
Other Release No.: IC-33966
34-89492 Aug. 6, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Initial Scheduling Order)
34-89487 Aug. 5, 2020 Axiom Corp., et al. (Opinion of the Commission as to Axiom Corp.)
34-89486 Aug. 5, 2020 Arabella Exploration, Inc., Scivanta Medical Corp. and Westmountain Distressed Debt, Inc. (Opinion of the Commission as to Arabella Exploration, Inc.)
33-10815 Aug. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89479, IA-5556, IC-33964
34-89474 Aug. 4, 2020 American Business Services, Inc., Iris Biotechnologies, Inc. and Soul & Vibe Interactive Inc. (Opinion of the Commission as to American Business Services, Inc. and Soul & Vibe Interactive Inc.)
34-89473 Aug. 4, 2020 Electronic Cigarettes International Group, Ltd., Seaniemac International, Ltd. and Ziwira, Inc. (Opinion of the Commission)
34-89463 Aug. 3, 2020 Blackcraft Cult, Inc. and Unified Signal, Inc. (Order to Show Cause as to Blackcraft Cult, Inc.)
33-10813 Aug. 3, 2020 Edward M. Daspin a/k/a "Edward (Ed) Michael" (Order Denying Request for Documents)
Other Release No.: 34-89448
34-89430 Jul. 30, 2020 Stephen D. Pizzuti (Scheduling Order)
Other Release No.: IA-5554
34-89428 Jul. 29, 2020 Fred F. Liebau, Jr. (Extension Order)
IA-5553 Jul. 28, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-89414 Jul. 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-89406 Jul. 27, 2020 Objective Equity, LLC (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
34-89396 Jul. 24, 2020 Cornerworld Corp. and DMH International, Inc. (Opinion of the Commission)
34-89395 Jul. 24, 2020 MMRglobal, Inc., Silver Hill Mines, Inc. and Sterling Group Ventures, Inc. (Opinion of the Commission as to Mmrglobal, Inc., and Silver Hill Mines, Inc.)
34-89385 Jul. 23, 2020 Chatand, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc. (Opinion of the Commission as to Chatand, Inc.)
34-89384 Jul. 23, 2020 House of Bods Fitness, Inc., Reef Oil & Gas Income & Development Fund III LP and Techlabs, Inc. (Opinion of the Commission)
34-89375 Jul. 22, 2020 Bioshaft Water Technology, Inc., Meemee Media Inc. and Zeecol International, Inc. (Opinion of the Commission)
34-89373 Jul. 22, 2020 Hybrid Coating Technologies, Inc., Infrastructure Developments Corp. and Oro East Mining, Inc. (Opinion of the Commission as to Hybrid Coating Technologies, Inc., and Infrastructure Developments Corp.)
34-89377 Jul. 22, 2020 Spotlight Innovation, Inc. and Tempus Applied Solutions Holdings, Inc. (Order Granting an Extension of Time)
34-89374 Jul. 22, 2020 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order Denying Motion for Ruling On the Pleadings)
34-89364 Jul. 21, 2020 Mariposa Health, Inc. and STL Marketing Group, Inc. (Opinion of the Commission)
34-89362 Jul. 21, 2020 Bingo Nation, Inc., Sino-American Net Media Corp. and Wussler Worldwide Media Co. (Opinion of the Commission)
34-89371 Jul. 21, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-89365 Jul. 21, 2020 Brendan D. Feitelberg (Opinion of the Commission)
34-89349 Jul. 20, 2020 Fred F. Liebau, Jr. (Order Directing Additional Submissions)
34-89340 Jul. 20, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
IA-5544 Jul. 17, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-89337 Jul. 17, 2020 Equitec Proprietary Markets, LLC (Order Extending Time to Issue Decision)
33-10803 Jul. 15, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89327, IC-33928
IA-5538 Jul. 14, 2020 Travis Laska (Order Setting Briefing Schedule)
IA-5537 Jul. 14, 2020 Stacy L. Beane (Order Setting Briefing Schedule)
34-89293 Jul. 13, 2020 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Extending Time to Issue Decision)
34-89288 Jul. 10, 2020 Mark Feathers (Extension Order)
34-89266 Jul. 9, 2020 Brendan D. Feitelberg (Order Extending Time to Issue Decision)
34-89260 Jul. 8, 2020 Commonwealth Capital Securities Corp. (Opinion of the Commission)
34-89238 Jul. 7, 2020 Stephen Robert Williams (Opinion of the Commission)
34-89237 Jul. 7, 2020 Jonathan Edward Graham (Opinion of the Commission)
IA-5533 Jul. 7, 2020 Louis Navellier and Navellier & Associates, Inc. (Order Denying Motion for an Extension of Time as Moot)
34-89232 Jul. 6, 2020 Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision)
33-10800 Jul. 6, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89227, IA-5532, IC-33920
34-89226 Jul. 6, 2020 Donald J. Fowler (Order Denying Motion to Stay Proceeding)
34-89224 Jul. 6, 2020 Blackcraft Cult, Inc. and Unified Signal, Inc. (Supplemental Order Regarding Service)
33-10799 Jul. 6, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-89222
Second Quarter
34-89179 Jun. 29, 2020 Alife Corporation, et al. (Order to Show Cause as to Alife Corporation)
34-89161 Jun. 25, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-89160 Jun. 25, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time)
34-89157 Jun. 25, 2020 Abn Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Order Extending Time to Issue Decision)
34-89121 Jun. 22, 2020 Gregory Acosta (Opinion of the Commission)
34-89109 Jun. 22, 2020 Blair Edwards Olsen (Extension Order)
34-89105 Jun. 19, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
33-10792 Jun. 19, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (in the Matter Of Edward M. Daspin, a/k/a "Edward (Ed) Michael")
Other Release No.: 34-89101
34-89099 Jun. 18, 2020 PLS, CPA, et al. (Order)
Other Release No.: AAER-4148
34-89098 Jun. 18, 2020 Stephen Robert Williams (Order Extending Time to Issue Decision)
34-89097 Jun. 18, 2020 Susan E. Walker (Order to Show Cause)
34-89095 Jun. 18, 2020 Mark Feathers (Order Directing the Filing of Briefs)
34-89089 Jun. 18, 2020 Donald J. Fowler (Order Extending Time to File Opposition to Motion for Summary Disposition)
IA-5521 Jun. 15, 2020 Nicholas J. Genovese (Order Granting an Extension of Time)
34-89054 Jun. 12, 2020 Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision)
33-10791 Jun. 12, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89053, IC-33891
34-89034 Jun. 9, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time)
34-89033 Jun. 9, 2020 Brendan D. Feitelberg (Order Extending Time to Issue Decision)
34-89029 Jun. 8, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
33-10790 Jun. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89022, IA-5517, IC-33890
IA-5518 Jun. 5, 2020 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
34-89006 Jun. 4, 2020 David B. Tysk (Order Extending Time to Issue Decision)
34-89005 Jun. 4, 2020 Wilson-Davis & Co., Inc.; James C. Snow; and Byron B. Barkley (Extension Order)
34-88977 Jun. 1, 2020 Louis Ottimo (Order Scheduling Briefs)
34-88967 May 28, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88966 May 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88953 May 26, 2020 Dustin Tylor Aiguier (Opinion of the Commission)
33-10787 May 26, 2020 Edward M. Daspin, a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-88942
IA-5507 May 21, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-88926 May 21, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88922 May 21, 2020 Gregory Acosta (Order Extending Time to Issue Decision)
34-88915 May 20, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-88913 May 20, 2020 Mark Morrow (Order to Show Cause)
34-88908 May 19, 2020 Stephen Robert Williams (Order Extending Time to Issue Decision)
34-88871 May 14, 2020 WPD Pharmaceuticals, Inc. and Mariusz Olejniczak (Order Requesting Additional Written Submissions)
34-88879 May 14, 2020 Securities Industry and Financial Markets Association (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
33-10785 May 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88867, IC-33866
34-88861 May 13, 2020 Decision Diagnostics Corp. (Order Requesting Additional Written Submissions)
34-88854 May 11, 2020 CNS Pharmaceuticals, Inc. and John M. Climaco (Order Requesting Additional Written Submissions)
34-88853 May 11, 2020 Moleculin Biotech, Inc. and Walter V. Klemp (Order Requesting Additional Written Submissions)
34-88851 May 11, 2020 PLS, CPA, et al. (Order)
Other Release No.: AAER-4139
34-88841 May 8, 2020 Nano Magic Inc. (Order Requesting Additional Written Submissions)
34-88835 May 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88832 May 6, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
34-88831 May 6, 2020 Maurice James Acriche (Extension Order)
34-88821 May 6, 2020 Donald J. Fowler (Order Granting an Extension of Time)
33-10782 May 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88811, IA-5495, IC-33861
34-88809 May 5, 2020 Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision)
34-88799 May 1, 2020 Christopher M. Gibson (Order Granting Petition for Review and Scheduling Briefs)
34-88796 May 1, 2020 PLS, CPA, et al. (Order Regarding Service)
Other Release No.: AAER-4136
34-88750 Apr. 27, 2020 Securities Industry and Financial Markets Association (Order Granting Extension of Time)
34-88749 Apr. 27, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88748 Apr. 27, 2020 No Borders, Inc. (Extension Order)
34-88718 Apr. 21, 2020 Randall Goulding, Esq.
34-88701 Apr. 20, 2020 Metatron, Inc. (Extension Order)
34-88688 Apr. 20, 2020 Blair Edwards Olsen (Extension Order)
33-10773 Apr. 16, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-88661
34-88649 Apr. 15, 2020 No Borders, Inc. (Order Requesting Additional Written Submissions)
33-10772 Apr. 14, 2020 Alexandre S. Clug, et al.
Other Rel. Nos.: 34-88629, IC-33838
IA-5476 Apr. 13, 2020 Sung Kook Hwang (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-88624 Apr. 13, 2020 Dominic O'Dierno (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-88612 Apr. 9, 2020 Metatron, Inc. (Extension Order)
34-88603 Apr. 8, 2020 Good Vibration Shoes, Inc. (Order Setting Briefing Schedule)
34-88592 Apr. 8, 2020 Eyecity.Com, Inc. (n/k/a Carex Blockchain Platform, Inc.) (Order Granting Motion to Strike and Setting Briefing Schedule)
34-88573 Apr. 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88571 Apr. 6, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
33-10770 Apr. 6, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88565, IA-5473, IC-33835
34-88564 Apr. 6, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-88548 Apr. 3, 2020 Newport Coast Securities, Inc. (Opinion of the Commission)
IA-5472 Apr. 2, 2020 Barton W. Stuck (Order Granting an Extension of Time)
First Quarter
34-88517 Mar. 30, 2020 Securities Industry and Financial Markets Association (Extension Order)
34-88509 Mar. 30, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88508 Mar. 30, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88470 Mar. 25, 2020 Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley Financial Industry Regulatory Authority (Extension Order)
34-88466 Mar. 25, 2020 Randall S. Goulding (Extension Order)
34-88461 Mar. 23, 2020 Robert R. Tweed (Extension Order)
34-88450 Mar. 23, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88451 Mar. 23, 2020 Gregory Acosta (Order Extending Time to Issue Decision)
34-88429 Mar. 19, 2020 Metatron, Inc. (Order Requesting Additional Briefing)
33-10767 Mar. 18, 2020 In re: Pending Administrative Proceedings (Order)
Other Rel. Nos.: 34-88415, IA-5467, IC-33820
34-88418 Mar. 18, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88412 Mar. 18, 2020 Falcon Technologies, Inc. (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
34-88409 Mar. 18, 2020 Craig S. Taddonio (Extension Order)
33-10766 Mar. 16, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88396, IC-33819
IA-5466 Mar. 16, 2020 Randall S. Goulding (Order Scheduling Briefing On Motion for Summary Disposition)
34-88346 Mar. 9, 2020 Alpine Securities Corporation the National Securities Clearing Corporation (Order Requiring Additional Written Submissions)
34-88334 Mar. 5, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88333 Mar. 5, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
33-10764 Mar. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88336, IA-5459, IC-33812
34-88311 Mar. 2, 2020 Randall S. Goulding (Extension Order)
34-88306 Feb. 28, 2020 Blair Edwards Olsen (Renewed Order Scheduling Briefs)
34-88298 Feb. 27, 2020 Robert R. Tweed (Extension Order)
33-10759 Feb. 25, 2020 Matthew R. Rossi and Sjl Capital, LLC (Order Granting Request for Protective Order)
Other Release Nos.: 34-88278, IA-5449
34-88268 Feb. 24, 2020 Edward Beyn Financial Industry Regulatory Authority (Extension Order)
34-88252 Feb. 20, 2020 Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP (Order)
34-88250 Feb. 20, 2020 Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley (Extension Order)
34-88244 Feb. 19, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88228 Feb. 18, 2020 Diversified Corporate Resources, Inc., NetWolves Corporation and Samdrew VIII, Inc. (Opinion of the Commission)
34-88226 Feb. 18, 2020 American Smooth Wave Ventures, Inc. (Opinion of the Commission)
34-88222 Feb. 14, 2020 Robert R. Tweed (Order Scheduling Briefs)
33-10754 Feb. 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-88224
34-88203 Feb. 13, 2020 Biscayne Acquisition Group Inc. and Teleplus World, Corp. (Opinion of the Commission)
34-88201 Feb. 13, 2020 Capital Trust Holdings, Inc., Florida Gaming Corporation and Go Public, Inc. (Opinion of the Commission)
34-88196 Feb. 13, 2020 Biolog, Inc., Bozki, Inc. and China Gewang Biotechnology, Inc. (Opinion of the Commission as to Biolog, Inc., and China Gewang Biotechnology, Inc.)
34-88193 Feb. 13, 2020 Armco Metals Holdings, Inc., Global Future City Holding, Inc. and Traceguard Technologies, Inc. (Opinion of the Commission)
34-88187 Feb. 12, 2020 Knowledgebroker, Inc., et al. (Opinion of the Commission)
34-88185 Feb. 12, 2020 Enhanced Services Company, Inc. and Ingenex, Inc. (Opinion of the Commission)
34-88184 Feb. 12, 2020 Neco Energy Corporation, Neighborhood Investment, Ltd. and New Dawn Entertainment Inc. (Opinion of the Commission)
34-88183 Feb. 12, 2020 Equality Investments, Inc., Freedom Financial Corporation and Mustang Resources Inc. (Opinion of the Commission)
34-88156 Feb. 7, 2020 Kimberly Springsteen-Abbott (Opinion of the Commission)
34-88152 Feb. 7, 2020 Oriental Magic Soup, Inc., et al. (Order to Show Cause as to Oriental Magic Soup, Inc., and You Han Data Tech Co Ltd.)
34-88151 Feb. 7, 2020 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order to Show Cause as to Healthway Shopping Network and Unity Global Holdings Ltd.)
34-88149 Feb. 7, 2020 Pacific Telcom, Inc., et al. (Order to Show Cause)
34-88148 Feb. 7, 2020 Medisun Precision Medicine, Ltd., Next Graphite, Inc. and Omni Shrimp, Inc. (Order to Show Cause as to Medisun Precision Medicine, Ltd., and Omni Shrimp, Inc.)
34-88147 Feb. 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88141 Feb. 6, 2020 Edward Beyn and Craig S. Taddonio (Order Scheduling Supplemental Briefs)
34-88138 Feb. 6, 2020 Matthew Rossi and SJL Capital LLC (Order Granting Petition for Review and Scheduling Briefs)
34-88130 Feb. 5, 2020 China Tongzilian Group Share Limited, Inc. (Order to Show Cause)
34-88129 Feb. 5, 2020 Greenhouse Solutions, Inc. and Latitude 360, Inc. (Order to Show Cause)
34-88128 Feb. 5, 2020 IMC Holdings, Inc., Microphase Corporation and Wintahenderson International, Inc. (Order to Show Cause as to Imc Holdings, Inc., and Wintahenderson International, Inc.)
34-88127 Feb. 5, 2020 Greenwood Hall, Inc., PMX Communities, Inc. and Surepure, Inc. (Order to Show Cause as to Greenwood Hall, Inc.)
34-88126 Feb. 5, 2020 China Xingbang Industry Group, Inc. and Kingsmen Capital Group, Ltd. (Order to Show Cause as to China Xingbang Industry Group, Inc.)
34-88125 Feb. 5, 2020 Golden Rush, Inc., Legall Holdings, Inc. and My Healthy Access, Inc. (Order to Show Cause as to Legall Holdings, Inc., and My Healthy Access, Inc.)
34-88124 Feb. 5, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88115 Feb. 4, 2020 Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Order Scheduling Briefs)
34-88106 Jan. 30, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order)
34-88099 Jan. 30, 2020 Anpulo Food Development, Inc., et al. (Order Dismissing Proceeding as to Delta Oil & Gas, Inc.)
34-88097 Jan. 30, 2020 Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. (Order Dismissing Proceeding as to Cellular Concrete Technologies, Inc.)
34-88095 Jan. 30, 2020 Alphametrix Managed Futures LLC, et al. (Order Dismissing Proceeding as to APT Motovox Group, Inc.)
34-88088 Jan. 29, 2020 Ceetop Inc. n/k/a S.Q. Hydrogen Power, Inc., China Internet Café Holdings Group, Inc. and Starlight Supply Chain Management Company (Order to Show Cause)
34-88087 Jan. 29, 2020 Sweetwater Investing, Inc. and Thunor International, Inc. (Order to Show Cause)
34-88086 Jan. 29, 2020 BCI Holding Inc., Bulova Technologies Group, Inc. and Omni Bio Pharmaceutical, Inc. (Order to Show Cause)
34-88084 Jan. 29, 2020 Aramex International Limited (Order to Show Cause)
34-88085 Jan. 29, 2020 Aroga Holding Corp., Global Sources Limited and United States Properties, Inc. (Order to Show Cause)
34-88083 Jan. 29, 2020 ASN Satellites, Inc., et al. (Order to Show Cause)
34-88082 Jan. 29, 2020 Fighton Succession Corporation and Grand Enterprises, Inc. (Order to Show Cause)
34-88081 Jan. 29, 2020 BTHC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Order to Show Cause as to BTHC X, Inc.)
34-88079 Jan. 29, 2020 Rolling Pin Kitchen Emporium, Inc. and Speed of Thought, Inc. (Order to Show Cause)
34-88074 Jan. 29, 2020 Aurios Inc., et al. (Order Dismissing Proceeding Against Monar International, Inc.)
34-88069 Jan. 29, 2020 Hydrogen Future Corporation, et al. (Order Dismissing Proceeding Against Liberty Energy Corp.)
34-88068 Jan. 29, 2020 Guardian 8 Holdings, et al. (Order Dismissing Proceeding Against Verde Science, Inc.)
34-88067 Jan. 29, 2020 Apptigo International, Inc., et al. (Order Dismissing Proceeding Against JD International Limited)
IA-5438 Jan. 28, 2020 Patrick L. O'connor (Order Regarding Status Reports)
IA-5437 Jan. 28, 2020 Jaswant Gill (Order to Show Cause)
34-88065 Jan. 28, 2020 KJM Securities, Inc. (Order Scheduling Briefs)
34-88060 Jan. 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88053 Jan. 27, 2020 KJM Securities, Inc. (Order Denying Stay)
34-88038 Jan. 24, 2020 Thomas Christophe Prentice (Order Severing Briefs)
34-88032 Jan. 24, 2020 Consolidated Arbitration Applications (Order Severing Proceedings)
34-88027 Jan. 23, 2020 Blair Edwards Olsen (Order Scheduling Briefs)
33-10746 Jan. 21, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88011, IA-5435, IC-33749
34-88010 Jan. 21, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88006 Jan. 17, 2020 TMR Bayhead Securities, LLC (Opinion of the Commission)
34-88001 Jan. 16, 2020 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: AAER-4114
33-10744 Jan. 15, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-87977; IC-33747
IA-5433 Jan. 14, 2020 Mark J. Moskowitz (Order)
33-10743 Jan. 10, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-87944
IA-5430 Jan. 9, 2020 Patrick L. O'Connor (Order Regarding Service)
34-87920 Jan. 9, 2020 Carol J. Wayland (Order Regarding Service)
34-87913 Jan. 8, 2020 Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision)
IA-5425 Jan. 7, 2020 Randall S. Goulding (Extension Order)
34-87898 Jan. 6, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-87888 Jan. 3, 2020 Roman Sledziejowski (Order Regarding Service)
34-87887 Jan. 3, 2020 Treehouse Real Estate Investment Trust (Order Requesting Additional Briefs)
SEC.gov | Commission Opinions and Adjudicatory Orders

Commission Opinions and Adjudicatory Orders


The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

Third Quarter |  Second Quarter |  First Quarter

Additional Archives

Release No. Date Respondents
Third Quarter
34-89538 Aug. 12, 2020 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Extending Time to Issue Decision)
34-89526 Aug. 12, 2020 Shawn K. Dicken (Order Requesting Additional Briefing)
34-89508 Aug. 7, 2020 David Howard Welch (a/k/a David Howard Bryant) (Order to Show Cause)
34-89506 Aug. 7, 2020 J.W. Korth & Company, LP (Order Extending Time to Issue Decision)
IA-5559 Aug. 7, 2020 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
34-89505 Aug. 7, 2020 David B. Tysk (Order Extending Time to Issue Decision)
34-89504 Aug. 7, 2020 Securities Industry, Financial Markets Association and Bloomberg L.P. (Order Vacating Prior Order and Requesting Additional Briefs)
34-89503 Aug. 7, 2020 Securities Industry and Financial Markets Association (Order Dismissing Proceedings)
34-89495 Aug. 6, 2020 The Consolidated Arbitration Applications for Review of Action Taken By FINRA (Order Finding Jurisdiction)
34-89493 Aug. 6, 2020 Fidelity Transfer Services, Inc. and Ruben Sanchez (Order to Show Cause)
Other Release No.: IC-33966
34-89492 Aug. 6, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Initial Scheduling Order)
34-89487 Aug. 5, 2020 Axiom Corp., et al. (Opinion of the Commission as to Axiom Corp.)
34-89486 Aug. 5, 2020 Arabella Exploration, Inc., Scivanta Medical Corp. and Westmountain Distressed Debt, Inc. (Opinion of the Commission as to Arabella Exploration, Inc.)
33-10815 Aug. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89479, IA-5556, IC-33964
34-89474 Aug. 4, 2020 American Business Services, Inc., Iris Biotechnologies, Inc. and Soul & Vibe Interactive Inc. (Opinion of the Commission as to American Business Services, Inc. and Soul & Vibe Interactive Inc.)
34-89473 Aug. 4, 2020 Electronic Cigarettes International Group, Ltd., Seaniemac International, Ltd. and Ziwira, Inc. (Opinion of the Commission)
34-89463 Aug. 3, 2020 Blackcraft Cult, Inc. and Unified Signal, Inc. (Order to Show Cause as to Blackcraft Cult, Inc.)
33-10813 Aug. 3, 2020 Edward M. Daspin a/k/a "Edward (Ed) Michael" (Order Denying Request for Documents)
Other Release No.: 34-89448
34-89430 Jul. 30, 2020 Stephen D. Pizzuti (Scheduling Order)
Other Release No.: IA-5554
34-89428 Jul. 29, 2020 Fred F. Liebau, Jr. (Extension Order)
IA-5553 Jul. 28, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-89414 Jul. 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-89406 Jul. 27, 2020 Objective Equity, LLC (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
34-89396 Jul. 24, 2020 Cornerworld Corp. and DMH International, Inc. (Opinion of the Commission)
34-89395 Jul. 24, 2020 MMRglobal, Inc., Silver Hill Mines, Inc. and Sterling Group Ventures, Inc. (Opinion of the Commission as to Mmrglobal, Inc., and Silver Hill Mines, Inc.)
34-89385 Jul. 23, 2020 Chatand, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc. (Opinion of the Commission as to Chatand, Inc.)
34-89384 Jul. 23, 2020 House of Bods Fitness, Inc., Reef Oil & Gas Income & Development Fund III LP and Techlabs, Inc. (Opinion of the Commission)
34-89375 Jul. 22, 2020 Bioshaft Water Technology, Inc., Meemee Media Inc. and Zeecol International, Inc. (Opinion of the Commission)
34-89373 Jul. 22, 2020 Hybrid Coating Technologies, Inc., Infrastructure Developments Corp. and Oro East Mining, Inc. (Opinion of the Commission as to Hybrid Coating Technologies, Inc., and Infrastructure Developments Corp.)
34-89377 Jul. 22, 2020 Spotlight Innovation, Inc. and Tempus Applied Solutions Holdings, Inc. (Order Granting an Extension of Time)
34-89374 Jul. 22, 2020 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order Denying Motion for Ruling On the Pleadings)
34-89364 Jul. 21, 2020 Mariposa Health, Inc. and STL Marketing Group, Inc. (Opinion of the Commission)
34-89362 Jul. 21, 2020 Bingo Nation, Inc., Sino-American Net Media Corp. and Wussler Worldwide Media Co. (Opinion of the Commission)
34-89371 Jul. 21, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-89365 Jul. 21, 2020 Brendan D. Feitelberg (Opinion of the Commission)
34-89349 Jul. 20, 2020 Fred F. Liebau, Jr. (Order Directing Additional Submissions)
34-89340 Jul. 20, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
IA-5544 Jul. 17, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-89337 Jul. 17, 2020 Equitec Proprietary Markets, LLC (Order Extending Time to Issue Decision)
33-10803 Jul. 15, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89327, IC-33928
IA-5538 Jul. 14, 2020 Travis Laska (Order Setting Briefing Schedule)
IA-5537 Jul. 14, 2020 Stacy L. Beane (Order Setting Briefing Schedule)
34-89293 Jul. 13, 2020 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Extending Time to Issue Decision)
34-89288 Jul. 10, 2020 Mark Feathers (Extension Order)
34-89266 Jul. 9, 2020 Brendan D. Feitelberg (Order Extending Time to Issue Decision)
34-89260 Jul. 8, 2020 Commonwealth Capital Securities Corp. (Opinion of the Commission)
34-89238 Jul. 7, 2020 Stephen Robert Williams (Opinion of the Commission)
34-89237 Jul. 7, 2020 Jonathan Edward Graham (Opinion of the Commission)
IA-5533 Jul. 7, 2020 Louis Navellier and Navellier & Associates, Inc. (Order Denying Motion for an Extension of Time as Moot)
34-89232 Jul. 6, 2020 Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision)
33-10800 Jul. 6, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89227, IA-5532, IC-33920
34-89226 Jul. 6, 2020 Donald J. Fowler (Order Denying Motion to Stay Proceeding)
34-89224 Jul. 6, 2020 Blackcraft Cult, Inc. and Unified Signal, Inc. (Supplemental Order Regarding Service)
33-10799 Jul. 6, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-89222
Second Quarter
34-89179 Jun. 29, 2020 Alife Corporation, et al. (Order to Show Cause as to Alife Corporation)
34-89161 Jun. 25, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-89160 Jun. 25, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time)
34-89157 Jun. 25, 2020 Abn Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Order Extending Time to Issue Decision)
34-89121 Jun. 22, 2020 Gregory Acosta (Opinion of the Commission)
34-89109 Jun. 22, 2020 Blair Edwards Olsen (Extension Order)
34-89105 Jun. 19, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
33-10792 Jun. 19, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (in the Matter Of Edward M. Daspin, a/k/a "Edward (Ed) Michael")
Other Release No.: 34-89101
34-89099 Jun. 18, 2020 PLS, CPA, et al. (Order)
Other Release No.: AAER-4148
34-89098 Jun. 18, 2020 Stephen Robert Williams (Order Extending Time to Issue Decision)
34-89097 Jun. 18, 2020 Susan E. Walker (Order to Show Cause)
34-89095 Jun. 18, 2020 Mark Feathers (Order Directing the Filing of Briefs)
34-89089 Jun. 18, 2020 Donald J. Fowler (Order Extending Time to File Opposition to Motion for Summary Disposition)
IA-5521 Jun. 15, 2020 Nicholas J. Genovese (Order Granting an Extension of Time)
34-89054 Jun. 12, 2020 Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision)
33-10791 Jun. 12, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89053, IC-33891
34-89034 Jun. 9, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time)
34-89033 Jun. 9, 2020 Brendan D. Feitelberg (Order Extending Time to Issue Decision)
34-89029 Jun. 8, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
33-10790 Jun. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89022, IA-5517, IC-33890
IA-5518 Jun. 5, 2020 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
34-89006 Jun. 4, 2020 David B. Tysk (Order Extending Time to Issue Decision)
34-89005 Jun. 4, 2020 Wilson-Davis & Co., Inc.; James C. Snow; and Byron B. Barkley (Extension Order)
34-88977 Jun. 1, 2020 Louis Ottimo (Order Scheduling Briefs)
34-88967 May 28, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88966 May 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88953 May 26, 2020 Dustin Tylor Aiguier (Opinion of the Commission)
33-10787 May 26, 2020 Edward M. Daspin, a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-88942
IA-5507 May 21, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-88926 May 21, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88922 May 21, 2020 Gregory Acosta (Order Extending Time to Issue Decision)
34-88915 May 20, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-88913 May 20, 2020 Mark Morrow (Order to Show Cause)
34-88908 May 19, 2020 Stephen Robert Williams (Order Extending Time to Issue Decision)
34-88871 May 14, 2020 WPD Pharmaceuticals, Inc. and Mariusz Olejniczak (Order Requesting Additional Written Submissions)
34-88879 May 14, 2020 Securities Industry and Financial Markets Association (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
33-10785 May 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88867, IC-33866
34-88861 May 13, 2020 Decision Diagnostics Corp. (Order Requesting Additional Written Submissions)
34-88854 May 11, 2020 CNS Pharmaceuticals, Inc. and John M. Climaco (Order Requesting Additional Written Submissions)
34-88853 May 11, 2020 Moleculin Biotech, Inc. and Walter V. Klemp (Order Requesting Additional Written Submissions)
34-88851 May 11, 2020 PLS, CPA, et al. (Order)
Other Release No.: AAER-4139
34-88841 May 8, 2020 Nano Magic Inc. (Order Requesting Additional Written Submissions)
34-88835 May 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88832 May 6, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
34-88831 May 6, 2020 Maurice James Acriche (Extension Order)
34-88821 May 6, 2020 Donald J. Fowler (Order Granting an Extension of Time)
33-10782 May 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88811, IA-5495, IC-33861
34-88809 May 5, 2020 Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision)
34-88799 May 1, 2020 Christopher M. Gibson (Order Granting Petition for Review and Scheduling Briefs)
34-88796 May 1, 2020 PLS, CPA, et al. (Order Regarding Service)
Other Release No.: AAER-4136
34-88750 Apr. 27, 2020 Securities Industry and Financial Markets Association (Order Granting Extension of Time)
34-88749 Apr. 27, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88748 Apr. 27, 2020 No Borders, Inc. (Extension Order)
34-88718 Apr. 21, 2020 Randall Goulding, Esq.
34-88701 Apr. 20, 2020 Metatron, Inc. (Extension Order)
34-88688 Apr. 20, 2020 Blair Edwards Olsen (Extension Order)
33-10773 Apr. 16, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-88661
34-88649 Apr. 15, 2020 No Borders, Inc. (Order Requesting Additional Written Submissions)
33-10772 Apr. 14, 2020 Alexandre S. Clug, et al.
Other Rel. Nos.: 34-88629, IC-33838
IA-5476 Apr. 13, 2020 Sung Kook Hwang (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-88624 Apr. 13, 2020 Dominic O'Dierno (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-88612 Apr. 9, 2020 Metatron, Inc. (Extension Order)
34-88603 Apr. 8, 2020 Good Vibration Shoes, Inc. (Order Setting Briefing Schedule)
34-88592 Apr. 8, 2020 Eyecity.Com, Inc. (n/k/a Carex Blockchain Platform, Inc.) (Order Granting Motion to Strike and Setting Briefing Schedule)
34-88573 Apr. 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88571 Apr. 6, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
33-10770 Apr. 6, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88565, IA-5473, IC-33835
34-88564 Apr. 6, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-88548 Apr. 3, 2020 Newport Coast Securities, Inc. (Opinion of the Commission)
IA-5472 Apr. 2, 2020 Barton W. Stuck (Order Granting an Extension of Time)
First Quarter
34-88517 Mar. 30, 2020 Securities Industry and Financial Markets Association (Extension Order)
34-88509 Mar. 30, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88508 Mar. 30, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88470 Mar. 25, 2020 Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley Financial Industry Regulatory Authority (Extension Order)
34-88466 Mar. 25, 2020 Randall S. Goulding (Extension Order)
34-88461 Mar. 23, 2020 Robert R. Tweed (Extension Order)
34-88450 Mar. 23, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88451 Mar. 23, 2020 Gregory Acosta (Order Extending Time to Issue Decision)
34-88429 Mar. 19, 2020 Metatron, Inc. (Order Requesting Additional Briefing)
33-10767 Mar. 18, 2020 In re: Pending Administrative Proceedings (Order)
Other Rel. Nos.: 34-88415, IA-5467, IC-33820
34-88418 Mar. 18, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88412 Mar. 18, 2020 Falcon Technologies, Inc. (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
34-88409 Mar. 18, 2020 Craig S. Taddonio (Extension Order)
33-10766 Mar. 16, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88396, IC-33819
IA-5466 Mar. 16, 2020 Randall S. Goulding (Order Scheduling Briefing On Motion for Summary Disposition)
34-88346 Mar. 9, 2020 Alpine Securities Corporation the National Securities Clearing Corporation (Order Requiring Additional Written Submissions)
34-88334 Mar. 5, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88333 Mar. 5, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
33-10764 Mar. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88336, IA-5459, IC-33812
34-88311 Mar. 2, 2020 Randall S. Goulding (Extension Order)
34-88306 Feb. 28, 2020 Blair Edwards Olsen (Renewed Order Scheduling Briefs)
34-88298 Feb. 27, 2020 Robert R. Tweed (Extension Order)
33-10759 Feb. 25, 2020 Matthew R. Rossi and Sjl Capital, LLC (Order Granting Request for Protective Order)
Other Release Nos.: 34-88278, IA-5449
34-88268 Feb. 24, 2020 Edward Beyn Financial Industry Regulatory Authority (Extension Order)
34-88252 Feb. 20, 2020 Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP (Order)
34-88250 Feb. 20, 2020 Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley (Extension Order)
34-88244 Feb. 19, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88228 Feb. 18, 2020 Diversified Corporate Resources, Inc., NetWolves Corporation and Samdrew VIII, Inc. (Opinion of the Commission)
34-88226 Feb. 18, 2020 American Smooth Wave Ventures, Inc. (Opinion of the Commission)
34-88222 Feb. 14, 2020 Robert R. Tweed (Order Scheduling Briefs)
33-10754 Feb. 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-88224
34-88203 Feb. 13, 2020 Biscayne Acquisition Group Inc. and Teleplus World, Corp. (Opinion of the Commission)
34-88201 Feb. 13, 2020 Capital Trust Holdings, Inc., Florida Gaming Corporation and Go Public, Inc. (Opinion of the Commission)
34-88196 Feb. 13, 2020 Biolog, Inc., Bozki, Inc. and China Gewang Biotechnology, Inc. (Opinion of the Commission as to Biolog, Inc., and China Gewang Biotechnology, Inc.)
34-88193 Feb. 13, 2020 Armco Metals Holdings, Inc., Global Future City Holding, Inc. and Traceguard Technologies, Inc. (Opinion of the Commission)
34-88187 Feb. 12, 2020 Knowledgebroker, Inc., et al. (Opinion of the Commission)
34-88185 Feb. 12, 2020 Enhanced Services Company, Inc. and Ingenex, Inc. (Opinion of the Commission)
34-88184 Feb. 12, 2020 Neco Energy Corporation, Neighborhood Investment, Ltd. and New Dawn Entertainment Inc. (Opinion of the Commission)
34-88183 Feb. 12, 2020 Equality Investments, Inc., Freedom Financial Corporation and Mustang Resources Inc. (Opinion of the Commission)
34-88156 Feb. 7, 2020 Kimberly Springsteen-Abbott (Opinion of the Commission)
34-88152 Feb. 7, 2020 Oriental Magic Soup, Inc., et al. (Order to Show Cause as to Oriental Magic Soup, Inc., and You Han Data Tech Co Ltd.)
34-88151 Feb. 7, 2020 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order to Show Cause as to Healthway Shopping Network and Unity Global Holdings Ltd.)
34-88149 Feb. 7, 2020 Pacific Telcom, Inc., et al. (Order to Show Cause)
34-88148 Feb. 7, 2020 Medisun Precision Medicine, Ltd., Next Graphite, Inc. and Omni Shrimp, Inc. (Order to Show Cause as to Medisun Precision Medicine, Ltd., and Omni Shrimp, Inc.)
34-88147 Feb. 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88141 Feb. 6, 2020 Edward Beyn and Craig S. Taddonio (Order Scheduling Supplemental Briefs)
34-88138 Feb. 6, 2020 Matthew Rossi and SJL Capital LLC (Order Granting Petition for Review and Scheduling Briefs)
34-88130 Feb. 5, 2020 China Tongzilian Group Share Limited, Inc. (Order to Show Cause)
34-88129 Feb. 5, 2020 Greenhouse Solutions, Inc. and Latitude 360, Inc. (Order to Show Cause)
34-88128 Feb. 5, 2020 IMC Holdings, Inc., Microphase Corporation and Wintahenderson International, Inc. (Order to Show Cause as to Imc Holdings, Inc., and Wintahenderson International, Inc.)
34-88127 Feb. 5, 2020 Greenwood Hall, Inc., PMX Communities, Inc. and Surepure, Inc. (Order to Show Cause as to Greenwood Hall, Inc.)
34-88126 Feb. 5, 2020 China Xingbang Industry Group, Inc. and Kingsmen Capital Group, Ltd. (Order to Show Cause as to China Xingbang Industry Group, Inc.)
34-88125 Feb. 5, 2020 Golden Rush, Inc., Legall Holdings, Inc. and My Healthy Access, Inc. (Order to Show Cause as to Legall Holdings, Inc., and My Healthy Access, Inc.)
34-88124 Feb. 5, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88115 Feb. 4, 2020 Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Order Scheduling Briefs)
34-88106 Jan. 30, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order)
34-88099 Jan. 30, 2020 Anpulo Food Development, Inc., et al. (Order Dismissing Proceeding as to Delta Oil & Gas, Inc.)
34-88097 Jan. 30, 2020 Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. (Order Dismissing Proceeding as to Cellular Concrete Technologies, Inc.)
34-88095 Jan. 30, 2020 Alphametrix Managed Futures LLC, et al. (Order Dismissing Proceeding as to APT Motovox Group, Inc.)
34-88088 Jan. 29, 2020 Ceetop Inc. n/k/a S.Q. Hydrogen Power, Inc., China Internet Café Holdings Group, Inc. and Starlight Supply Chain Management Company (Order to Show Cause)
34-88087 Jan. 29, 2020 Sweetwater Investing, Inc. and Thunor International, Inc. (Order to Show Cause)
34-88086 Jan. 29, 2020 BCI Holding Inc., Bulova Technologies Group, Inc. and Omni Bio Pharmaceutical, Inc. (Order to Show Cause)
34-88084 Jan. 29, 2020 Aramex International Limited (Order to Show Cause)
34-88085 Jan. 29, 2020 Aroga Holding Corp., Global Sources Limited and United States Properties, Inc. (Order to Show Cause)
34-88083 Jan. 29, 2020 ASN Satellites, Inc., et al. (Order to Show Cause)
34-88082 Jan. 29, 2020 Fighton Succession Corporation and Grand Enterprises, Inc. (Order to Show Cause)
34-88081 Jan. 29, 2020 BTHC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Order to Show Cause as to BTHC X, Inc.)
34-88079 Jan. 29, 2020 Rolling Pin Kitchen Emporium, Inc. and Speed of Thought, Inc. (Order to Show Cause)
34-88074 Jan. 29, 2020 Aurios Inc., et al. (Order Dismissing Proceeding Against Monar International, Inc.)
34-88069 Jan. 29, 2020 Hydrogen Future Corporation, et al. (Order Dismissing Proceeding Against Liberty Energy Corp.)
34-88068 Jan. 29, 2020 Guardian 8 Holdings, et al. (Order Dismissing Proceeding Against Verde Science, Inc.)
34-88067 Jan. 29, 2020 Apptigo International, Inc., et al. (Order Dismissing Proceeding Against JD International Limited)
IA-5438 Jan. 28, 2020 Patrick L. O'connor (Order Regarding Status Reports)
IA-5437 Jan. 28, 2020 Jaswant Gill (Order to Show Cause)
34-88065 Jan. 28, 2020 KJM Securities, Inc. (Order Scheduling Briefs)
34-88060 Jan. 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88053 Jan. 27, 2020 KJM Securities, Inc. (Order Denying Stay)
34-88038 Jan. 24, 2020 Thomas Christophe Prentice (Order Severing Briefs)
34-88032 Jan. 24, 2020 Consolidated Arbitration Applications (Order Severing Proceedings)
34-88027 Jan. 23, 2020 Blair Edwards Olsen (Order Scheduling Briefs)
33-10746 Jan. 21, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88011, IA-5435, IC-33749
34-88010 Jan. 21, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88006 Jan. 17, 2020 TMR Bayhead Securities, LLC (Opinion of the Commission)
34-88001 Jan. 16, 2020 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: AAER-4114
33-10744 Jan. 15, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-87977; IC-33747
IA-5433 Jan. 14, 2020 Mark J. Moskowitz (Order)
33-10743 Jan. 10, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-87944
IA-5430 Jan. 9, 2020 Patrick L. O'Connor (Order Regarding Service)
34-87920 Jan. 9, 2020 Carol J. Wayland (Order Regarding Service)
34-87913 Jan. 8, 2020 Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision)
IA-5425 Jan. 7, 2020 Randall S. Goulding (Extension Order)
34-87898 Jan. 6, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-87888 Jan. 3, 2020 Roman Sledziejowski (Order Regarding Service)
34-87887 Jan. 3, 2020 Treehouse Real Estate Investment Trust (Order Requesting Additional Briefs)
SEC.gov | Commission Opinions and Adjudicatory Orders

Commission Opinions and Adjudicatory Orders


The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

Third Quarter |  Second Quarter |  First Quarter

Additional Archives

Release No. Date Respondents
Third Quarter
34-89674 Aug. 26, 2020 Fred F. Liebau, Jr. (Extension Order)
33-10827 Aug. 26, 2020 Canso Enterprises, Ltd.; Privoz; Universal Movers Corp.; Lorilay Corp.; Formous Corp.; and Lion Print Corp. (Order Dismissing Consolidated Proceeding)
34-89676 Aug. 26, 2020 ABN Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Order Extending Time to Issue Decision)
34-89675 Aug. 26, 2020 Ciralight Global, et al. (Order Dismissing Proceeding)
34-89672 Aug. 26, 2020 Axesstel, Inc. (Order Dismissing Proceeding)
34-89634 Aug. 21, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
34-89630 Aug. 21, 2020 Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision)
34-89628 Aug. 20, 2020 Sweetwater Investing, Inc. and Thunor International, Inc. (Opinion of the Commission)
34-89626 Aug. 20, 2020 Ceetop Inc. n/k/a S.Q. Hydrogen Power, Inc., China Internet Café Holdings Group, Inc. and Starlight Supply Chain Management Company (Opinion of the Commission)
34-89620 Aug. 19, 2020 Fighton Succession Corporation and Grand Enterprises, Inc. (Opinion of the Commission)
34-89619 Aug. 19, 2020 Rolling Pin Kitchen Emporium, Inc. and Speed of Thought, Inc. (Opinion of the Commission)
34-89617 Aug. 19, 2020 The Consolidated Arbitration Applications (Order Consolidating Appeals)
34-89613 Aug. 19, 2020 Curtis Richard Edmark (Order Scheduling Briefs)
34-89611 Aug. 19, 2020 Timothy Arthur Vanderver III (Order Requesting Additional Written Submissions)
34-89612 Aug. 19, 2020 Maurice James Acriche (Order Scheduling Briefs)
34-89610 Aug. 19, 2020 Donald Anthony Wojnowski (Order Requesting Additional Written Submissions)
34-89609 Aug. 19, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-89606 Aug. 18, 2020 BCI Holding Inc., Bulova Technologies Group, Inc. and Omni Bio Pharmaceutical, Inc. (Opinion of the Commission)
34-89604 Aug. 18, 2020 BHTC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Opinion of the Commission as to BHTC X, Inc.)
34-89602 Aug. 18, 2020 Potomac Capital Markets LLC (Extension Order)
34-89601 Aug. 18, 2020 LD Holdings, et al. (Order Regarding Service)
34-89600 Aug. 18, 2020 Fred F. Liebau, Jr. (Order Scheduling Briefs)
34-89599 Aug. 18, 2020 Diadexus, et al. (Order Regarding Service)
34-89598 Aug. 18, 2020 Bakken Resources, Inc.; Ireland Inc.; and Worlds Mall, Inc. (Order Regarding Service)
34-89595 Aug. 18, 2020 Adama Technologies Corp.; Geobio Energy, Inc.; and Powerdyne International, Inc. (Order Regarding Service)
34-89573 Aug. 17, 2020 Aramex International Limited (Opinion of the Commission)
34-89572 Aug. 17, 2020 ASN Satellites, Inc., et al. (Opinion of the Commission as to ASN Satellites, Inc., Caleminder Inc., and Hyperfeed Technologies, Inc.)
34-89589 Aug. 17, 2020 Trans-Pacific Aerospace Company, Inc. and Vertical Computer Systems, Inc. (Order Granting Leave to File Statement of Views)
34-89571 Aug. 14, 2020 Aroga Holding Corp., Global Sources Limited and United States Properties, Inc. (Opinion of the Commission)
34-89570 Aug. 14, 2020 Alife Corporation, et al. (Opinion of the Commission)
34-89569 Aug. 14, 2020 Gold Lakes Corp. and Novagen Ingenium Inc. (Order to Show Cause)
34-89567 Aug. 14, 2020 Spire Corporation and the Staffing Group, Ltd. (Order to Show Cause)
34-89566 Aug. 14, 2020 Samdrew IV, Inc. and Southland Health Services, Inc. (Order to Show Cause)
34-89565 Aug. 14, 2020 Stirling Acquisition Corporation and Thinkengine Networks, Inc. (Order to Show Cause)
34-89561 Aug. 14, 2020 NWT Uranium Corp. (Order to Show Cause)
34-89559 Aug. 14, 2020 Oakridge Holdings, Inc, et al. (Order to Show Cause)
34-89557 Aug. 14, 2020 Monarch America, Inc. and VW Win Century, Inc. (Order to Show Cause)
33-10820 Aug. 14, 2020 James A. Winkelmann Sr. and Blue Ocean Portfolios, LLC (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89556, IA-5561, IC-33971
33-10819 Aug. 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89555, IC-33970
34-89546 Aug. 13, 2020 American Rare Earths, et al. (Opinion of the Commission as to American Rare Earths and Materials, Corp. and Spendsmart Networks, Inc.)
34-89544 Aug. 13, 2020 Artisanal Brands, Inc. and Daleco Resources Corporation (Opinion of the Commission as to Daleco Resources Corporation)
34-89538 Aug. 12, 2020 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Extending Time to Issue Decision)
34-89535 Aug. 12, 2020 United Development Funding III, LP, United Development Funding IV and United Development Funding Income Fund V (Opinion of the Commission)
34-89533 Aug. 12, 2020 Agritech Worldwide, Inc., Consolidated Gems, Inc. and Dominovas Energy Corporation (Opinion of the Commission as to Agritech Worldwide, Inc. and Dominovas Energy Corporation)
34-89526 Aug. 12, 2020 Shawn K. Dicken (Order Requesting Additional Briefing)
34-89508 Aug. 7, 2020 David Howard Welch (a/k/a David Howard Bryant) (Order to Show Cause)
34-89506 Aug. 7, 2020 J.W. Korth & Company, LP (Order Extending Time to Issue Decision)
IA-5559 Aug. 7, 2020 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
34-89505 Aug. 7, 2020 David B. Tysk (Order Extending Time to Issue Decision)
34-89504 Aug. 7, 2020 Securities Industry, Financial Markets Association and Bloomberg L.P. (Order Vacating Prior Order and Requesting Additional Briefs)
34-89503 Aug. 7, 2020 Securities Industry and Financial Markets Association (Order Dismissing Proceedings)
34-89495 Aug. 6, 2020 The Consolidated Arbitration Applications for Review of Action Taken By FINRA (Order Finding Jurisdiction)
34-89493 Aug. 6, 2020 Fidelity Transfer Services, Inc. and Ruben Sanchez (Order to Show Cause)
Other Release No.: IC-33966
34-89492 Aug. 6, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Initial Scheduling Order)
34-89487 Aug. 5, 2020 Axiom Corp., et al. (Opinion of the Commission as to Axiom Corp.)
34-89486 Aug. 5, 2020 Arabella Exploration, Inc., Scivanta Medical Corp. and Westmountain Distressed Debt, Inc. (Opinion of the Commission as to Arabella Exploration, Inc.)
33-10815 Aug. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89479, IA-5556, IC-33964
34-89474 Aug. 4, 2020 American Business Services, Inc., Iris Biotechnologies, Inc. and Soul & Vibe Interactive Inc. (Opinion of the Commission as to American Business Services, Inc. and Soul & Vibe Interactive Inc.)
34-89473 Aug. 4, 2020 Electronic Cigarettes International Group, Ltd., Seaniemac International, Ltd. and Ziwira, Inc. (Opinion of the Commission)
34-89463 Aug. 3, 2020 Blackcraft Cult, Inc. and Unified Signal, Inc. (Order to Show Cause as to Blackcraft Cult, Inc.)
33-10813 Aug. 3, 2020 Edward M. Daspin a/k/a "Edward (Ed) Michael" (Order Denying Request for Documents)
Other Release No.: 34-89448
34-89430 Jul. 30, 2020 Stephen D. Pizzuti (Scheduling Order)
Other Release No.: IA-5554
34-89428 Jul. 29, 2020 Fred F. Liebau, Jr. (Extension Order)
IA-5553 Jul. 28, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-89414 Jul. 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-89406 Jul. 27, 2020 Objective Equity, LLC (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
34-89396 Jul. 24, 2020 Cornerworld Corp. and DMH International, Inc. (Opinion of the Commission)
34-89395 Jul. 24, 2020 MMRglobal, Inc., Silver Hill Mines, Inc. and Sterling Group Ventures, Inc. (Opinion of the Commission as to Mmrglobal, Inc., and Silver Hill Mines, Inc.)
34-89385 Jul. 23, 2020 Chatand, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc. (Opinion of the Commission as to Chatand, Inc.)
34-89384 Jul. 23, 2020 House of Bods Fitness, Inc., Reef Oil & Gas Income & Development Fund III LP and Techlabs, Inc. (Opinion of the Commission)
34-89375 Jul. 22, 2020 Bioshaft Water Technology, Inc., Meemee Media Inc. and Zeecol International, Inc. (Opinion of the Commission)
34-89373 Jul. 22, 2020 Hybrid Coating Technologies, Inc., Infrastructure Developments Corp. and Oro East Mining, Inc. (Opinion of the Commission as to Hybrid Coating Technologies, Inc., and Infrastructure Developments Corp.)
34-89377 Jul. 22, 2020 Spotlight Innovation, Inc. and Tempus Applied Solutions Holdings, Inc. (Order Granting an Extension of Time)
34-89374 Jul. 22, 2020 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order Denying Motion for Ruling On the Pleadings)
34-89364 Jul. 21, 2020 Mariposa Health, Inc. and STL Marketing Group, Inc. (Opinion of the Commission)
34-89362 Jul. 21, 2020 Bingo Nation, Inc., Sino-American Net Media Corp. and Wussler Worldwide Media Co. (Opinion of the Commission)
34-89371 Jul. 21, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-89365 Jul. 21, 2020 Brendan D. Feitelberg (Opinion of the Commission)
34-89349 Jul. 20, 2020 Fred F. Liebau, Jr. (Order Directing Additional Submissions)
34-89340 Jul. 20, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
IA-5544 Jul. 17, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-89337 Jul. 17, 2020 Equitec Proprietary Markets, LLC (Order Extending Time to Issue Decision)
33-10803 Jul. 15, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89327, IC-33928
IA-5538 Jul. 14, 2020 Travis Laska (Order Setting Briefing Schedule)
IA-5537 Jul. 14, 2020 Stacy L. Beane (Order Setting Briefing Schedule)
34-89293 Jul. 13, 2020 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Extending Time to Issue Decision)
34-89288 Jul. 10, 2020 Mark Feathers (Extension Order)
34-89266 Jul. 9, 2020 Brendan D. Feitelberg (Order Extending Time to Issue Decision)
34-89260 Jul. 8, 2020 Commonwealth Capital Securities Corp. (Opinion of the Commission)
34-89238 Jul. 7, 2020 Stephen Robert Williams (Opinion of the Commission)
34-89237 Jul. 7, 2020 Jonathan Edward Graham (Opinion of the Commission)
IA-5533 Jul. 7, 2020 Louis Navellier and Navellier & Associates, Inc. (Order Denying Motion for an Extension of Time as Moot)
34-89232 Jul. 6, 2020 Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision)
33-10800 Jul. 6, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89227, IA-5532, IC-33920
34-89226 Jul. 6, 2020 Donald J. Fowler (Order Denying Motion to Stay Proceeding)
34-89224 Jul. 6, 2020 Blackcraft Cult, Inc. and Unified Signal, Inc. (Supplemental Order Regarding Service)
33-10799 Jul. 6, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-89222
Second Quarter
34-89179 Jun. 29, 2020 Alife Corporation, et al. (Order to Show Cause as to Alife Corporation)
34-89161 Jun. 25, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-89160 Jun. 25, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time)
34-89157 Jun. 25, 2020 Abn Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Order Extending Time to Issue Decision)
34-89121 Jun. 22, 2020 Gregory Acosta (Opinion of the Commission)
34-89109 Jun. 22, 2020 Blair Edwards Olsen (Extension Order)
34-89105 Jun. 19, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
33-10792 Jun. 19, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (in the Matter Of Edward M. Daspin, a/k/a "Edward (Ed) Michael")
Other Release No.: 34-89101
34-89099 Jun. 18, 2020 PLS, CPA, et al. (Order)
Other Release No.: AAER-4148
34-89098 Jun. 18, 2020 Stephen Robert Williams (Order Extending Time to Issue Decision)
34-89097 Jun. 18, 2020 Susan E. Walker (Order to Show Cause)
34-89095 Jun. 18, 2020 Mark Feathers (Order Directing the Filing of Briefs)
34-89089 Jun. 18, 2020 Donald J. Fowler (Order Extending Time to File Opposition to Motion for Summary Disposition)
IA-5521 Jun. 15, 2020 Nicholas J. Genovese (Order Granting an Extension of Time)
34-89054 Jun. 12, 2020 Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision)
33-10791 Jun. 12, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89053, IC-33891
34-89034 Jun. 9, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time)
34-89033 Jun. 9, 2020 Brendan D. Feitelberg (Order Extending Time to Issue Decision)
34-89029 Jun. 8, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
33-10790 Jun. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89022, IA-5517, IC-33890
IA-5518 Jun. 5, 2020 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
34-89006 Jun. 4, 2020 David B. Tysk (Order Extending Time to Issue Decision)
34-89005 Jun. 4, 2020 Wilson-Davis & Co., Inc.; James C. Snow; and Byron B. Barkley (Extension Order)
34-88977 Jun. 1, 2020 Louis Ottimo (Order Scheduling Briefs)
34-88967 May 28, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88966 May 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88953 May 26, 2020 Dustin Tylor Aiguier (Opinion of the Commission)
33-10787 May 26, 2020 Edward M. Daspin, a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-88942
IA-5507 May 21, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-88926 May 21, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88922 May 21, 2020 Gregory Acosta (Order Extending Time to Issue Decision)
34-88915 May 20, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-88913 May 20, 2020 Mark Morrow (Order to Show Cause)
34-88908 May 19, 2020 Stephen Robert Williams (Order Extending Time to Issue Decision)
34-88871 May 14, 2020 WPD Pharmaceuticals, Inc. and Mariusz Olejniczak (Order Requesting Additional Written Submissions)
34-88879 May 14, 2020 Securities Industry and Financial Markets Association (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
33-10785 May 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88867, IC-33866
34-88861 May 13, 2020 Decision Diagnostics Corp. (Order Requesting Additional Written Submissions)
34-88854 May 11, 2020 CNS Pharmaceuticals, Inc. and John M. Climaco (Order Requesting Additional Written Submissions)
34-88853 May 11, 2020 Moleculin Biotech, Inc. and Walter V. Klemp (Order Requesting Additional Written Submissions)
34-88851 May 11, 2020 PLS, CPA, et al. (Order)
Other Release No.: AAER-4139
34-88841 May 8, 2020 Nano Magic Inc. (Order Requesting Additional Written Submissions)
34-88835 May 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88832 May 6, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
34-88831 May 6, 2020 Maurice James Acriche (Extension Order)
34-88821 May 6, 2020 Donald J. Fowler (Order Granting an Extension of Time)
33-10782 May 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88811, IA-5495, IC-33861
34-88809 May 5, 2020 Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision)
34-88799 May 1, 2020 Christopher M. Gibson (Order Granting Petition for Review and Scheduling Briefs)
34-88796 May 1, 2020 PLS, CPA, et al. (Order Regarding Service)
Other Release No.: AAER-4136
34-88750 Apr. 27, 2020 Securities Industry and Financial Markets Association (Order Granting Extension of Time)
34-88749 Apr. 27, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88748 Apr. 27, 2020 No Borders, Inc. (Extension Order)
34-88718 Apr. 21, 2020 Randall Goulding, Esq.
34-88701 Apr. 20, 2020 Metatron, Inc. (Extension Order)
34-88688 Apr. 20, 2020 Blair Edwards Olsen (Extension Order)
33-10773 Apr. 16, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-88661
34-88649 Apr. 15, 2020 No Borders, Inc. (Order Requesting Additional Written Submissions)
33-10772 Apr. 14, 2020 Alexandre S. Clug, et al.
Other Rel. Nos.: 34-88629, IC-33838
IA-5476 Apr. 13, 2020 Sung Kook Hwang (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-88624 Apr. 13, 2020 Dominic O'Dierno (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-88612 Apr. 9, 2020 Metatron, Inc. (Extension Order)
34-88603 Apr. 8, 2020 Good Vibration Shoes, Inc. (Order Setting Briefing Schedule)
34-88592 Apr. 8, 2020 Eyecity.Com, Inc. (n/k/a Carex Blockchain Platform, Inc.) (Order Granting Motion to Strike and Setting Briefing Schedule)
34-88573 Apr. 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88571 Apr. 6, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
33-10770 Apr. 6, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88565, IA-5473, IC-33835
34-88564 Apr. 6, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-88548 Apr. 3, 2020 Newport Coast Securities, Inc. (Opinion of the Commission)
IA-5472 Apr. 2, 2020 Barton W. Stuck (Order Granting an Extension of Time)
First Quarter
34-88517 Mar. 30, 2020 Securities Industry and Financial Markets Association (Extension Order)
34-88509 Mar. 30, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88508 Mar. 30, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88470 Mar. 25, 2020 Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley Financial Industry Regulatory Authority (Extension Order)
34-88466 Mar. 25, 2020 Randall S. Goulding (Extension Order)
34-88461 Mar. 23, 2020 Robert R. Tweed (Extension Order)
34-88450 Mar. 23, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88451 Mar. 23, 2020 Gregory Acosta (Order Extending Time to Issue Decision)
34-88429 Mar. 19, 2020 Metatron, Inc. (Order Requesting Additional Briefing)
33-10767 Mar. 18, 2020 In re: Pending Administrative Proceedings (Order)
Other Rel. Nos.: 34-88415, IA-5467, IC-33820
34-88418 Mar. 18, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88412 Mar. 18, 2020 Falcon Technologies, Inc. (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
34-88409 Mar. 18, 2020 Craig S. Taddonio (Extension Order)
33-10766 Mar. 16, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88396, IC-33819
IA-5466 Mar. 16, 2020 Randall S. Goulding (Order Scheduling Briefing On Motion for Summary Disposition)
34-88346 Mar. 9, 2020 Alpine Securities Corporation the National Securities Clearing Corporation (Order Requiring Additional Written Submissions)
34-88334 Mar. 5, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88333 Mar. 5, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
33-10764 Mar. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88336, IA-5459, IC-33812
34-88311 Mar. 2, 2020 Randall S. Goulding (Extension Order)
34-88306 Feb. 28, 2020 Blair Edwards Olsen (Renewed Order Scheduling Briefs)
34-88298 Feb. 27, 2020 Robert R. Tweed (Extension Order)
33-10759 Feb. 25, 2020 Matthew R. Rossi and Sjl Capital, LLC (Order Granting Request for Protective Order)
Other Release Nos.: 34-88278, IA-5449
34-88268 Feb. 24, 2020 Edward Beyn Financial Industry Regulatory Authority (Extension Order)
34-88252 Feb. 20, 2020 Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP (Order)
34-88250 Feb. 20, 2020 Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley (Extension Order)
34-88244 Feb. 19, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88228 Feb. 18, 2020 Diversified Corporate Resources, Inc., NetWolves Corporation and Samdrew VIII, Inc. (Opinion of the Commission)
34-88226 Feb. 18, 2020 American Smooth Wave Ventures, Inc. (Opinion of the Commission)
34-88222 Feb. 14, 2020 Robert R. Tweed (Order Scheduling Briefs)
33-10754 Feb. 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-88224
34-88203 Feb. 13, 2020 Biscayne Acquisition Group Inc. and Teleplus World, Corp. (Opinion of the Commission)
34-88201 Feb. 13, 2020 Capital Trust Holdings, Inc., Florida Gaming Corporation and Go Public, Inc. (Opinion of the Commission)
34-88196 Feb. 13, 2020 Biolog, Inc., Bozki, Inc. and China Gewang Biotechnology, Inc. (Opinion of the Commission as to Biolog, Inc., and China Gewang Biotechnology, Inc.)
34-88193 Feb. 13, 2020 Armco Metals Holdings, Inc., Global Future City Holding, Inc. and Traceguard Technologies, Inc. (Opinion of the Commission)
34-88187 Feb. 12, 2020 Knowledgebroker, Inc., et al. (Opinion of the Commission)
34-88185 Feb. 12, 2020 Enhanced Services Company, Inc. and Ingenex, Inc. (Opinion of the Commission)
34-88184 Feb. 12, 2020 Neco Energy Corporation, Neighborhood Investment, Ltd. and New Dawn Entertainment Inc. (Opinion of the Commission)
34-88183 Feb. 12, 2020 Equality Investments, Inc., Freedom Financial Corporation and Mustang Resources Inc. (Opinion of the Commission)
34-88156 Feb. 7, 2020 Kimberly Springsteen-Abbott (Opinion of the Commission)
34-88152 Feb. 7, 2020 Oriental Magic Soup, Inc., et al. (Order to Show Cause as to Oriental Magic Soup, Inc., and You Han Data Tech Co Ltd.)
34-88151 Feb. 7, 2020 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order to Show Cause as to Healthway Shopping Network and Unity Global Holdings Ltd.)
34-88149 Feb. 7, 2020 Pacific Telcom, Inc., et al. (Order to Show Cause)
34-88148 Feb. 7, 2020 Medisun Precision Medicine, Ltd., Next Graphite, Inc. and Omni Shrimp, Inc. (Order to Show Cause as to Medisun Precision Medicine, Ltd., and Omni Shrimp, Inc.)
34-88147 Feb. 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88141 Feb. 6, 2020 Edward Beyn and Craig S. Taddonio (Order Scheduling Supplemental Briefs)
34-88138 Feb. 6, 2020 Matthew Rossi and SJL Capital LLC (Order Granting Petition for Review and Scheduling Briefs)
34-88130 Feb. 5, 2020 China Tongzilian Group Share Limited, Inc. (Order to Show Cause)
34-88129 Feb. 5, 2020 Greenhouse Solutions, Inc. and Latitude 360, Inc. (Order to Show Cause)
34-88128 Feb. 5, 2020 IMC Holdings, Inc., Microphase Corporation and Wintahenderson International, Inc. (Order to Show Cause as to Imc Holdings, Inc., and Wintahenderson International, Inc.)
34-88127 Feb. 5, 2020 Greenwood Hall, Inc., PMX Communities, Inc. and Surepure, Inc. (Order to Show Cause as to Greenwood Hall, Inc.)
34-88126 Feb. 5, 2020 China Xingbang Industry Group, Inc. and Kingsmen Capital Group, Ltd. (Order to Show Cause as to China Xingbang Industry Group, Inc.)
34-88125 Feb. 5, 2020 Golden Rush, Inc., Legall Holdings, Inc. and My Healthy Access, Inc. (Order to Show Cause as to Legall Holdings, Inc., and My Healthy Access, Inc.)
34-88124 Feb. 5, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88115 Feb. 4, 2020 Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Order Scheduling Briefs)
34-88106 Jan. 30, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order)
34-88099 Jan. 30, 2020 Anpulo Food Development, Inc., et al. (Order Dismissing Proceeding as to Delta Oil & Gas, Inc.)
34-88097 Jan. 30, 2020 Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. (Order Dismissing Proceeding as to Cellular Concrete Technologies, Inc.)
34-88095 Jan. 30, 2020 Alphametrix Managed Futures LLC, et al. (Order Dismissing Proceeding as to APT Motovox Group, Inc.)
34-88088 Jan. 29, 2020 Ceetop Inc. n/k/a S.Q. Hydrogen Power, Inc., China Internet Café Holdings Group, Inc. and Starlight Supply Chain Management Company (Order to Show Cause)
34-88087 Jan. 29, 2020 Sweetwater Investing, Inc. and Thunor International, Inc. (Order to Show Cause)
34-88086 Jan. 29, 2020 BCI Holding Inc., Bulova Technologies Group, Inc. and Omni Bio Pharmaceutical, Inc. (Order to Show Cause)
34-88084 Jan. 29, 2020 Aramex International Limited (Order to Show Cause)
34-88085 Jan. 29, 2020 Aroga Holding Corp., Global Sources Limited and United States Properties, Inc. (Order to Show Cause)
34-88083 Jan. 29, 2020 ASN Satellites, Inc., et al. (Order to Show Cause)
34-88082 Jan. 29, 2020 Fighton Succession Corporation and Grand Enterprises, Inc. (Order to Show Cause)
34-88081 Jan. 29, 2020 BTHC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Order to Show Cause as to BTHC X, Inc.)
34-88079 Jan. 29, 2020 Rolling Pin Kitchen Emporium, Inc. and Speed of Thought, Inc. (Order to Show Cause)
34-88074 Jan. 29, 2020 Aurios Inc., et al. (Order Dismissing Proceeding Against Monar International, Inc.)
34-88069 Jan. 29, 2020 Hydrogen Future Corporation, et al. (Order Dismissing Proceeding Against Liberty Energy Corp.)
34-88068 Jan. 29, 2020 Guardian 8 Holdings, et al. (Order Dismissing Proceeding Against Verde Science, Inc.)
34-88067 Jan. 29, 2020 Apptigo International, Inc., et al. (Order Dismissing Proceeding Against JD International Limited)
IA-5438 Jan. 28, 2020 Patrick L. O'connor (Order Regarding Status Reports)
IA-5437 Jan. 28, 2020 Jaswant Gill (Order to Show Cause)
34-88065 Jan. 28, 2020 KJM Securities, Inc. (Order Scheduling Briefs)
34-88060 Jan. 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88053 Jan. 27, 2020 KJM Securities, Inc. (Order Denying Stay)
34-88038 Jan. 24, 2020 Thomas Christophe Prentice (Order Severing Briefs)
34-88032 Jan. 24, 2020 Consolidated Arbitration Applications (Order Severing Proceedings)
34-88027 Jan. 23, 2020 Blair Edwards Olsen (Order Scheduling Briefs)
33-10746 Jan. 21, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88011, IA-5435, IC-33749
34-88010 Jan. 21, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88006 Jan. 17, 2020 TMR Bayhead Securities, LLC (Opinion of the Commission)
34-88001 Jan. 16, 2020 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: AAER-4114
33-10744 Jan. 15, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-87977; IC-33747
IA-5433 Jan. 14, 2020 Mark J. Moskowitz (Order)
33-10743 Jan. 10, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-87944
IA-5430 Jan. 9, 2020 Patrick L. O'Connor (Order Regarding Service)
34-87920 Jan. 9, 2020 Carol J. Wayland (Order Regarding Service)
34-87913 Jan. 8, 2020 Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision)
IA-5425 Jan. 7, 2020 Randall S. Goulding (Extension Order)
34-87898 Jan. 6, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-87888 Jan. 3, 2020 Roman Sledziejowski (Order Regarding Service)
34-87887 Jan. 3, 2020 Treehouse Real Estate Investment Trust (Order Requesting Additional Briefs)
SEC.gov | Commission Opinions and Adjudicatory Orders

Commission Opinions and Adjudicatory Orders


The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

Third Quarter |  Second Quarter |  First Quarter

Additional Archives

Release No. Date Respondents
Third Quarter
34-89538 Aug. 12, 2020 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Extending Time to Issue Decision)
34-89526 Aug. 12, 2020 Shawn K. Dicken (Order Requesting Additional Briefing)
34-89508 Aug. 7, 2020 David Howard Welch (a/k/a David Howard Bryant) (Order to Show Cause)
34-89506 Aug. 7, 2020 J.W. Korth & Company, LP (Order Extending Time to Issue Decision)
IA-5559 Aug. 7, 2020 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
34-89505 Aug. 7, 2020 David B. Tysk (Order Extending Time to Issue Decision)
34-89504 Aug. 7, 2020 Securities Industry, Financial Markets Association and Bloomberg L.P. (Order Vacating Prior Order and Requesting Additional Briefs)
34-89503 Aug. 7, 2020 Securities Industry and Financial Markets Association (Order Dismissing Proceedings)
34-89495 Aug. 6, 2020 The Consolidated Arbitration Applications for Review of Action Taken By FINRA (Order Finding Jurisdiction)
34-89493 Aug. 6, 2020 Fidelity Transfer Services, Inc. and Ruben Sanchez (Order to Show Cause)
Other Release No.: IC-33966
34-89492 Aug. 6, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Initial Scheduling Order)
34-89487 Aug. 5, 2020 Axiom Corp., et al. (Opinion of the Commission as to Axiom Corp.)
34-89486 Aug. 5, 2020 Arabella Exploration, Inc., Scivanta Medical Corp. and Westmountain Distressed Debt, Inc. (Opinion of the Commission as to Arabella Exploration, Inc.)
33-10815 Aug. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89479, IA-5556, IC-33964
34-89474 Aug. 4, 2020 American Business Services, Inc., Iris Biotechnologies, Inc. and Soul & Vibe Interactive Inc. (Opinion of the Commission as to American Business Services, Inc. and Soul & Vibe Interactive Inc.)
34-89473 Aug. 4, 2020 Electronic Cigarettes International Group, Ltd., Seaniemac International, Ltd. and Ziwira, Inc. (Opinion of the Commission)
34-89463 Aug. 3, 2020 Blackcraft Cult, Inc. and Unified Signal, Inc. (Order to Show Cause as to Blackcraft Cult, Inc.)
33-10813 Aug. 3, 2020 Edward M. Daspin a/k/a "Edward (Ed) Michael" (Order Denying Request for Documents)
Other Release No.: 34-89448
34-89430 Jul. 30, 2020 Stephen D. Pizzuti (Scheduling Order)
Other Release No.: IA-5554
34-89428 Jul. 29, 2020 Fred F. Liebau, Jr. (Extension Order)
IA-5553 Jul. 28, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-89414 Jul. 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-89406 Jul. 27, 2020 Objective Equity, LLC (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
34-89396 Jul. 24, 2020 Cornerworld Corp. and DMH International, Inc. (Opinion of the Commission)
34-89395 Jul. 24, 2020 MMRglobal, Inc., Silver Hill Mines, Inc. and Sterling Group Ventures, Inc. (Opinion of the Commission as to Mmrglobal, Inc., and Silver Hill Mines, Inc.)
34-89385 Jul. 23, 2020 Chatand, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc. (Opinion of the Commission as to Chatand, Inc.)
34-89384 Jul. 23, 2020 House of Bods Fitness, Inc., Reef Oil & Gas Income & Development Fund III LP and Techlabs, Inc. (Opinion of the Commission)
34-89375 Jul. 22, 2020 Bioshaft Water Technology, Inc., Meemee Media Inc. and Zeecol International, Inc. (Opinion of the Commission)
34-89373 Jul. 22, 2020 Hybrid Coating Technologies, Inc., Infrastructure Developments Corp. and Oro East Mining, Inc. (Opinion of the Commission as to Hybrid Coating Technologies, Inc., and Infrastructure Developments Corp.)
34-89377 Jul. 22, 2020 Spotlight Innovation, Inc. and Tempus Applied Solutions Holdings, Inc. (Order Granting an Extension of Time)
34-89374 Jul. 22, 2020 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order Denying Motion for Ruling On the Pleadings)
34-89364 Jul. 21, 2020 Mariposa Health, Inc. and STL Marketing Group, Inc. (Opinion of the Commission)
34-89362 Jul. 21, 2020 Bingo Nation, Inc., Sino-American Net Media Corp. and Wussler Worldwide Media Co. (Opinion of the Commission)
34-89371 Jul. 21, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-89365 Jul. 21, 2020 Brendan D. Feitelberg (Opinion of the Commission)
34-89349 Jul. 20, 2020 Fred F. Liebau, Jr. (Order Directing Additional Submissions)
34-89340 Jul. 20, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
IA-5544 Jul. 17, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-89337 Jul. 17, 2020 Equitec Proprietary Markets, LLC (Order Extending Time to Issue Decision)
33-10803 Jul. 15, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89327, IC-33928
IA-5538 Jul. 14, 2020 Travis Laska (Order Setting Briefing Schedule)
IA-5537 Jul. 14, 2020 Stacy L. Beane (Order Setting Briefing Schedule)
34-89293 Jul. 13, 2020 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Extending Time to Issue Decision)
34-89288 Jul. 10, 2020 Mark Feathers (Extension Order)
34-89266 Jul. 9, 2020 Brendan D. Feitelberg (Order Extending Time to Issue Decision)
34-89260 Jul. 8, 2020 Commonwealth Capital Securities Corp. (Opinion of the Commission)
34-89238 Jul. 7, 2020 Stephen Robert Williams (Opinion of the Commission)
34-89237 Jul. 7, 2020 Jonathan Edward Graham (Opinion of the Commission)
IA-5533 Jul. 7, 2020 Louis Navellier and Navellier & Associates, Inc. (Order Denying Motion for an Extension of Time as Moot)
34-89232 Jul. 6, 2020 Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision)
33-10800 Jul. 6, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89227, IA-5532, IC-33920
34-89226 Jul. 6, 2020 Donald J. Fowler (Order Denying Motion to Stay Proceeding)
34-89224 Jul. 6, 2020 Blackcraft Cult, Inc. and Unified Signal, Inc. (Supplemental Order Regarding Service)
33-10799 Jul. 6, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-89222
Second Quarter
34-89179 Jun. 29, 2020 Alife Corporation, et al. (Order to Show Cause as to Alife Corporation)
34-89161 Jun. 25, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-89160 Jun. 25, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time)
34-89157 Jun. 25, 2020 Abn Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Order Extending Time to Issue Decision)
34-89121 Jun. 22, 2020 Gregory Acosta (Opinion of the Commission)
34-89109 Jun. 22, 2020 Blair Edwards Olsen (Extension Order)
34-89105 Jun. 19, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
33-10792 Jun. 19, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (in the Matter Of Edward M. Daspin, a/k/a "Edward (Ed) Michael")
Other Release No.: 34-89101
34-89099 Jun. 18, 2020 PLS, CPA, et al. (Order)
Other Release No.: AAER-4148
34-89098 Jun. 18, 2020 Stephen Robert Williams (Order Extending Time to Issue Decision)
34-89097 Jun. 18, 2020 Susan E. Walker (Order to Show Cause)
34-89095 Jun. 18, 2020 Mark Feathers (Order Directing the Filing of Briefs)
34-89089 Jun. 18, 2020 Donald J. Fowler (Order Extending Time to File Opposition to Motion for Summary Disposition)
IA-5521 Jun. 15, 2020 Nicholas J. Genovese (Order Granting an Extension of Time)
34-89054 Jun. 12, 2020 Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision)
33-10791 Jun. 12, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89053, IC-33891
34-89034 Jun. 9, 2020 Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time)
34-89033 Jun. 9, 2020 Brendan D. Feitelberg (Order Extending Time to Issue Decision)
34-89029 Jun. 8, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
33-10790 Jun. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89022, IA-5517, IC-33890
IA-5518 Jun. 5, 2020 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
34-89006 Jun. 4, 2020 David B. Tysk (Order Extending Time to Issue Decision)
34-89005 Jun. 4, 2020 Wilson-Davis & Co., Inc.; James C. Snow; and Byron B. Barkley (Extension Order)
34-88977 Jun. 1, 2020 Louis Ottimo (Order Scheduling Briefs)
34-88967 May 28, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88966 May 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88953 May 26, 2020 Dustin Tylor Aiguier (Opinion of the Commission)
33-10787 May 26, 2020 Edward M. Daspin, a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-88942
IA-5507 May 21, 2020 Barton W. Stuck (Order Granting an Extension of Time)
34-88926 May 21, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88922 May 21, 2020 Gregory Acosta (Order Extending Time to Issue Decision)
34-88915 May 20, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-88913 May 20, 2020 Mark Morrow (Order to Show Cause)
34-88908 May 19, 2020 Stephen Robert Williams (Order Extending Time to Issue Decision)
34-88871 May 14, 2020 WPD Pharmaceuticals, Inc. and Mariusz Olejniczak (Order Requesting Additional Written Submissions)
34-88879 May 14, 2020 Securities Industry and Financial Markets Association (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
33-10785 May 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88867, IC-33866
34-88861 May 13, 2020 Decision Diagnostics Corp. (Order Requesting Additional Written Submissions)
34-88854 May 11, 2020 CNS Pharmaceuticals, Inc. and John M. Climaco (Order Requesting Additional Written Submissions)
34-88853 May 11, 2020 Moleculin Biotech, Inc. and Walter V. Klemp (Order Requesting Additional Written Submissions)
34-88851 May 11, 2020 PLS, CPA, et al. (Order)
Other Release No.: AAER-4139
34-88841 May 8, 2020 Nano Magic Inc. (Order Requesting Additional Written Submissions)
34-88835 May 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88832 May 6, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
34-88831 May 6, 2020 Maurice James Acriche (Extension Order)
34-88821 May 6, 2020 Donald J. Fowler (Order Granting an Extension of Time)
33-10782 May 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88811, IA-5495, IC-33861
34-88809 May 5, 2020 Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision)
34-88799 May 1, 2020 Christopher M. Gibson (Order Granting Petition for Review and Scheduling Briefs)
34-88796 May 1, 2020 PLS, CPA, et al. (Order Regarding Service)
Other Release No.: AAER-4136
34-88750 Apr. 27, 2020 Securities Industry and Financial Markets Association (Order Granting Extension of Time)
34-88749 Apr. 27, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88748 Apr. 27, 2020 No Borders, Inc. (Extension Order)
34-88718 Apr. 21, 2020 Randall Goulding, Esq.
34-88701 Apr. 20, 2020 Metatron, Inc. (Extension Order)
34-88688 Apr. 20, 2020 Blair Edwards Olsen (Extension Order)
33-10773 Apr. 16, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-88661
34-88649 Apr. 15, 2020 No Borders, Inc. (Order Requesting Additional Written Submissions)
33-10772 Apr. 14, 2020 Alexandre S. Clug, et al.
Other Rel. Nos.: 34-88629, IC-33838
IA-5476 Apr. 13, 2020 Sung Kook Hwang (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-88624 Apr. 13, 2020 Dominic O'Dierno (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-88612 Apr. 9, 2020 Metatron, Inc. (Extension Order)
34-88603 Apr. 8, 2020 Good Vibration Shoes, Inc. (Order Setting Briefing Schedule)
34-88592 Apr. 8, 2020 Eyecity.Com, Inc. (n/k/a Carex Blockchain Platform, Inc.) (Order Granting Motion to Strike and Setting Briefing Schedule)
34-88573 Apr. 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88571 Apr. 6, 2020 Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
33-10770 Apr. 6, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88565, IA-5473, IC-33835
34-88564 Apr. 6, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-88548 Apr. 3, 2020 Newport Coast Securities, Inc. (Opinion of the Commission)
IA-5472 Apr. 2, 2020 Barton W. Stuck (Order Granting an Extension of Time)
First Quarter
34-88517 Mar. 30, 2020 Securities Industry and Financial Markets Association (Extension Order)
34-88509 Mar. 30, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88508 Mar. 30, 2020 Jonathan Edward Graham (Order Extending Time to Issue Decision)
34-88470 Mar. 25, 2020 Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley Financial Industry Regulatory Authority (Extension Order)
34-88466 Mar. 25, 2020 Randall S. Goulding (Extension Order)
34-88461 Mar. 23, 2020 Robert R. Tweed (Extension Order)
34-88450 Mar. 23, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88451 Mar. 23, 2020 Gregory Acosta (Order Extending Time to Issue Decision)
34-88429 Mar. 19, 2020 Metatron, Inc. (Order Requesting Additional Briefing)
33-10767 Mar. 18, 2020 In re: Pending Administrative Proceedings (Order)
Other Rel. Nos.: 34-88415, IA-5467, IC-33820
34-88418 Mar. 18, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88412 Mar. 18, 2020 Falcon Technologies, Inc. (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding)
34-88409 Mar. 18, 2020 Craig S. Taddonio (Extension Order)
33-10766 Mar. 16, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88396, IC-33819
IA-5466 Mar. 16, 2020 Randall S. Goulding (Order Scheduling Briefing On Motion for Summary Disposition)
34-88346 Mar. 9, 2020 Alpine Securities Corporation the National Securities Clearing Corporation (Order Requiring Additional Written Submissions)
34-88334 Mar. 5, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88333 Mar. 5, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
33-10764 Mar. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88336, IA-5459, IC-33812
34-88311 Mar. 2, 2020 Randall S. Goulding (Extension Order)
34-88306 Feb. 28, 2020 Blair Edwards Olsen (Renewed Order Scheduling Briefs)
34-88298 Feb. 27, 2020 Robert R. Tweed (Extension Order)
33-10759 Feb. 25, 2020 Matthew R. Rossi and Sjl Capital, LLC (Order Granting Request for Protective Order)
Other Release Nos.: 34-88278, IA-5449
34-88268 Feb. 24, 2020 Edward Beyn Financial Industry Regulatory Authority (Extension Order)
34-88252 Feb. 20, 2020 Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP (Order)
34-88250 Feb. 20, 2020 Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley (Extension Order)
34-88244 Feb. 19, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88228 Feb. 18, 2020 Diversified Corporate Resources, Inc., NetWolves Corporation and Samdrew VIII, Inc. (Opinion of the Commission)
34-88226 Feb. 18, 2020 American Smooth Wave Ventures, Inc. (Opinion of the Commission)
34-88222 Feb. 14, 2020 Robert R. Tweed (Order Scheduling Briefs)
33-10754 Feb. 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-88224
34-88203 Feb. 13, 2020 Biscayne Acquisition Group Inc. and Teleplus World, Corp. (Opinion of the Commission)
34-88201 Feb. 13, 2020 Capital Trust Holdings, Inc., Florida Gaming Corporation and Go Public, Inc. (Opinion of the Commission)
34-88196 Feb. 13, 2020 Biolog, Inc., Bozki, Inc. and China Gewang Biotechnology, Inc. (Opinion of the Commission as to Biolog, Inc., and China Gewang Biotechnology, Inc.)
34-88193 Feb. 13, 2020 Armco Metals Holdings, Inc., Global Future City Holding, Inc. and Traceguard Technologies, Inc. (Opinion of the Commission)
34-88187 Feb. 12, 2020 Knowledgebroker, Inc., et al. (Opinion of the Commission)
34-88185 Feb. 12, 2020 Enhanced Services Company, Inc. and Ingenex, Inc. (Opinion of the Commission)
34-88184 Feb. 12, 2020 Neco Energy Corporation, Neighborhood Investment, Ltd. and New Dawn Entertainment Inc. (Opinion of the Commission)
34-88183 Feb. 12, 2020 Equality Investments, Inc., Freedom Financial Corporation and Mustang Resources Inc. (Opinion of the Commission)
34-88156 Feb. 7, 2020 Kimberly Springsteen-Abbott (Opinion of the Commission)
34-88152 Feb. 7, 2020 Oriental Magic Soup, Inc., et al. (Order to Show Cause as to Oriental Magic Soup, Inc., and You Han Data Tech Co Ltd.)
34-88151 Feb. 7, 2020 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order to Show Cause as to Healthway Shopping Network and Unity Global Holdings Ltd.)
34-88149 Feb. 7, 2020 Pacific Telcom, Inc., et al. (Order to Show Cause)
34-88148 Feb. 7, 2020 Medisun Precision Medicine, Ltd., Next Graphite, Inc. and Omni Shrimp, Inc. (Order to Show Cause as to Medisun Precision Medicine, Ltd., and Omni Shrimp, Inc.)
34-88147 Feb. 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88141 Feb. 6, 2020 Edward Beyn and Craig S. Taddonio (Order Scheduling Supplemental Briefs)
34-88138 Feb. 6, 2020 Matthew Rossi and SJL Capital LLC (Order Granting Petition for Review and Scheduling Briefs)
34-88130 Feb. 5, 2020 China Tongzilian Group Share Limited, Inc. (Order to Show Cause)
34-88129 Feb. 5, 2020 Greenhouse Solutions, Inc. and Latitude 360, Inc. (Order to Show Cause)
34-88128 Feb. 5, 2020 IMC Holdings, Inc., Microphase Corporation and Wintahenderson International, Inc. (Order to Show Cause as to Imc Holdings, Inc., and Wintahenderson International, Inc.)
34-88127 Feb. 5, 2020 Greenwood Hall, Inc., PMX Communities, Inc. and Surepure, Inc. (Order to Show Cause as to Greenwood Hall, Inc.)
34-88126 Feb. 5, 2020 China Xingbang Industry Group, Inc. and Kingsmen Capital Group, Ltd. (Order to Show Cause as to China Xingbang Industry Group, Inc.)
34-88125 Feb. 5, 2020 Golden Rush, Inc., Legall Holdings, Inc. and My Healthy Access, Inc. (Order to Show Cause as to Legall Holdings, Inc., and My Healthy Access, Inc.)
34-88124 Feb. 5, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88115 Feb. 4, 2020 Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Order Scheduling Briefs)
34-88106 Jan. 30, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order)
34-88099 Jan. 30, 2020 Anpulo Food Development, Inc., et al. (Order Dismissing Proceeding as to Delta Oil & Gas, Inc.)
34-88097 Jan. 30, 2020 Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. (Order Dismissing Proceeding as to Cellular Concrete Technologies, Inc.)
34-88095 Jan. 30, 2020 Alphametrix Managed Futures LLC, et al. (Order Dismissing Proceeding as to APT Motovox Group, Inc.)
34-88088 Jan. 29, 2020 Ceetop Inc. n/k/a S.Q. Hydrogen Power, Inc., China Internet Café Holdings Group, Inc. and Starlight Supply Chain Management Company (Order to Show Cause)
34-88087 Jan. 29, 2020 Sweetwater Investing, Inc. and Thunor International, Inc. (Order to Show Cause)
34-88086 Jan. 29, 2020 BCI Holding Inc., Bulova Technologies Group, Inc. and Omni Bio Pharmaceutical, Inc. (Order to Show Cause)
34-88084 Jan. 29, 2020 Aramex International Limited (Order to Show Cause)
34-88085 Jan. 29, 2020 Aroga Holding Corp., Global Sources Limited and United States Properties, Inc. (Order to Show Cause)
34-88083 Jan. 29, 2020 ASN Satellites, Inc., et al. (Order to Show Cause)
34-88082 Jan. 29, 2020 Fighton Succession Corporation and Grand Enterprises, Inc. (Order to Show Cause)
34-88081 Jan. 29, 2020 BTHC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Order to Show Cause as to BTHC X, Inc.)
34-88079 Jan. 29, 2020 Rolling Pin Kitchen Emporium, Inc. and Speed of Thought, Inc. (Order to Show Cause)
34-88074 Jan. 29, 2020 Aurios Inc., et al. (Order Dismissing Proceeding Against Monar International, Inc.)
34-88069 Jan. 29, 2020 Hydrogen Future Corporation, et al. (Order Dismissing Proceeding Against Liberty Energy Corp.)
34-88068 Jan. 29, 2020 Guardian 8 Holdings, et al. (Order Dismissing Proceeding Against Verde Science, Inc.)
34-88067 Jan. 29, 2020 Apptigo International, Inc., et al. (Order Dismissing Proceeding Against JD International Limited)
IA-5438 Jan. 28, 2020 Patrick L. O'connor (Order Regarding Status Reports)
IA-5437 Jan. 28, 2020 Jaswant Gill (Order to Show Cause)
34-88065 Jan. 28, 2020 KJM Securities, Inc. (Order Scheduling Briefs)
34-88060 Jan. 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88053 Jan. 27, 2020 KJM Securities, Inc. (Order Denying Stay)
34-88038 Jan. 24, 2020 Thomas Christophe Prentice (Order Severing Briefs)
34-88032 Jan. 24, 2020 Consolidated Arbitration Applications (Order Severing Proceedings)
34-88027 Jan. 23, 2020 Blair Edwards Olsen (Order Scheduling Briefs)
33-10746 Jan. 21, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88011, IA-5435, IC-33749
34-88010 Jan. 21, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88006 Jan. 17, 2020 TMR Bayhead Securities, LLC (Opinion of the Commission)
34-88001 Jan. 16, 2020 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: AAER-4114
33-10744 Jan. 15, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-87977; IC-33747
IA-5433 Jan. 14, 2020 Mark J. Moskowitz (Order)
33-10743 Jan. 10, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-87944
IA-5430 Jan. 9, 2020 Patrick L. O'Connor (Order Regarding Service)
34-87920 Jan. 9, 2020 Carol J. Wayland (Order Regarding Service)
34-87913 Jan. 8, 2020 Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision)
IA-5425 Jan. 7, 2020 Randall S. Goulding (Extension Order)
34-87898 Jan. 6, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-87888 Jan. 3, 2020 Roman Sledziejowski (Order Regarding Service)
34-87887 Jan. 3, 2020 Treehouse Real Estate Investment Trust (Order Requesting Additional Briefs)