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
34-86719 Aug. 20, 2019 Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Granting Interim Stay)
34-86718 Aug. 20, 2019 Fidelity Transfer Services, Inc. and Ruben Sanchez (Order to Show Cause)
Other Release No.: IC-33597
34-86637 Aug. 12, 2019 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-86635 Aug. 12, 2019 Daniel Joseph Touizer (Order Granting Extension of Time)
34-86627 Aug. 9, 2019 John M.E. Saad (Order Extending Time to Issue Decision)
34-86616 Aug. 9, 2019 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-86615 Aug. 9, 2019 David Howard Welch (a/k/a David Howard Bryant) (Order Regarding Service)
34-86612 Aug. 8, 2019 Manna Capital, Inc., MCA Holdings Corp. and QMI Seismic, Inc. (Opinion of the Commission as to MCA Holdings Corp.)
33-10667 Aug. 6, 2019 Alexandre S. Clug, et al. (Order Denying Motion to Reschedule Oral Argument)
Other Release Nos.: 34-86586, IC-33583
IA-5314 Aug. 5, 2019 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Extension Order)
34-86575 Aug. 5, 2019 Eyecity.com, Inc. (n/k/a Carex Blockchain Technology, Inc.) (Order Granting Motion to Withdraw Application for Review)
34-86574 Aug. 5, 2019 Good Vibration Shoes, Inc. (n/k/a Landmark Technology Group, Inc.) (Order Granting Motion to Withdraw Application for Review)
34-86523 Jul. 31, 2019 Allen Holeman (Opinion of the Commission)
34-86510 Jul. 29, 2019 Thaddeus J. North (Order Extending Time to Issue Decision)
34-86502 Jul. 29, 2019 Treehouse Real Estate Investment Trust (Extension Order)
34-86499 Jul. 26, 2019 Makism 3D Corp. and Safebrain Systems, Inc. (Opinion of the Commission)
34-86498 Jul. 26, 2019 Coupon Express, Inc., et al. (Opinion of the Commission as to Coupon Express, Inc., First Corporation, and Tlc Vision Corp.)
34-86496 Jul. 26, 2019 Colorado Goldfields, Inc., Lyfe Communications, Inc. and Revolutions Medical Corporation (Opinion of the Commission as to Lyfe Communications, Inc., And)
34-86494 Jul. 26, 2019 American Petro-Hunter, Inc. and Prospect Global Resources, Inc. (Opinion of the Commission)
34-86497 Jul. 26, 2019 Meyers Associates, et al. (Opinion of the Commission)
34-86491 Jul. 26, 2019 Brendan D. Feitelberg (Order Scheduling Briefs)
34-86490 Jul. 26, 2019 John M.E. Saad (Order Extending Time to Issue Decision)
34-86484 Jul. 26, 2019 John Sherman Jumper (Extension Order)
Other Release No.: IA-5309
34-86477 Jul. 25, 2019 American Sands Energy Corp., et al. (Opinion of the Commission as to American Sands Energy Corp. and Tumbleweed Holdings, Inc. (a/k/a Digital Creative Development Corporation))
34-86476 Jul. 25, 2019 GSM Group, Inc. (f/k/a Northam Acquisition Corp.) (Opinion of the Commission)
34-86475 Jul. 25, 2019 Entourage Mining, Ltd., et al. (Opinion of the Commission)
34-86469 Jul. 25, 2019 Bahamas Concierge, Inc., eMONEco, Inc. and Titanium Healthcare, Inc. (Opinion of the Commission as to Bahamas Concierge, Inc., and Titanium Healthcare, Inc.)
34-86465 Jul. 24, 2019 Upper Street Marketing, Inc. (Order Requesting Additional Written Submissions)
34-86434 Jul. 23, 2019 Dustin Aiguier (Order Scheduling Briefs)
34-86433 Jul. 23, 2019 J.W. Korth & Company (Order Scheduling Briefs)
34-86430 Jul. 22, 2019 David Howard Welch (a/k/a David Howard Bryant) (Order Granting Extension of Time)
34-86428 Jul. 22, 2019 Mark Morrow (Order Setting Briefing Schedule)
34-86427 Jul. 22, 2019 Fidelity Transfer Services, Inc. and Ruben Sanchez (Order)
Other Release No.: IC-33562
34-86420 Jul. 19, 2019 Daniel Joseph Touizer (Order Denying Motion for More Definite Statement)
34-86407 Jul. 18, 2019 Craig S. Taddonio (Order Accepting Applicant's Brief and Granting FINRA's Motion to Exceed Word Limitation)
34-86405 Jul. 18, 2019 Apotheca Biosciences Inc. (Corrected Order Requesting Additional Written Submissions)
34-86403 Jul. 17, 2019 Allen Holeman (Order Extending Time to Issue Decision)
34-86402 Jul. 17, 2019 Edward Beyn for Review of Disciplinary Action Taken By (Extension Order)
33-10662 Jul. 17, 2019 Merrimac Corporate Securities, Inc. and Robert G. Nash (Opinion of the Commission)
Other Release No.: 34-86404
34-86394 Jul. 16, 2019 China Ginseng Holdings, Inc., et al. (Opinion of the Commission as to China Ginseng Holdings, Inc. and Tianyin Pharmaceuticals Co., Inc.)
34-86392 Jul. 16, 2019 Epic Stores Corp., et al. (Opinion of the Commission as to Epic Stores Corp., Khang Gia Holding, Inc., and Southern Labs, Inc.)
34-86389 Jul. 16, 2019 Swissinso Holding, Inc., SYDYS Corporation and UnifiedOnline, Inc. (Opinion of the Commission as to UnifiedOnline, Inc.)
34-86388 Jul. 16, 2019 Ampal-American Israel Corporation, et al. (Opinion of the Commission as to Ampal-American Israel Corporation and Sanguine Corporation)
34-86384 Jul. 15, 2019 Cantone Research Inc., Anthony Cantone and Christine Cantone (Extension Order)
34-86381 Jul. 15, 2019 ColorStars Group, et al. (Opinion of the Commission as to Green Earth Technologies, Inc. and Jishanye, Inc.)
34-86380 Jul. 15, 2019 AMI James Brands, Inc., et al. (Opinion of the Commission as to Biofuels Power Corp. and Synergetics, Inc.)
34-86379 Jul. 15, 2019 First Liberty Power Corp., et al. (Opinion of the Commission as to T3M Inc.)
34-86383 Jul. 15, 2019 Oscar Ferrer Rivera (Order Regarding Service)
IA-5300 Jul. 15, 2019 The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Corrected Order Scheduling Briefs)
34-86371 Jul. 12, 2019 John M.E. Saad (Order Extending Time to Issue Decision)
34-86370 Jul. 12, 2019 Meyers Associates, et al. (Order Extending Time to Issue Decision)
34-86367 Jul. 12, 2019 American Locker Group, Inc., INTREorg Systems, Inc. and Pegasi Energy Resources Corp. (Opinion of the Commission as to American Locker Group, Inc. and Pegasi Energy Resources Corp.)
34-86355 Jul. 11, 2019 Edward J. Hanrahan (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IC-33552
34-86349 Jul. 10, 2019 Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time for Filing Briefs and Word Limitations)
34-86338 Jul. 9, 2019 Treehouse Real Estate Investment Trust (Order Scheduling Briefs)
34-86337 Jul. 9, 2019 David Howard Welch (a/k/a David Howard Bryant) (Order Regarding Service)
34-86321 Jul. 8, 2019 Michael Szafranski (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release No.: IA-5294
IA-5293 Jul. 8, 2019 Bart C. Gutekunst (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
IA-5292 Jul. 8, 2019 George Q. Stevens (Order Vacating Broker, Dealer, Municipal Securities Dealer, Muncipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
IA-5291 Jul. 8, 2019 Bruce F. Prevost and David W. Harrold (Order Vacating Broker, Dealer, Municipal Securities Dealer, Muncipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
33-10661 Jul. 8, 2019 Moshe Marc Cohen (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
Other Release Nos.: 34-86318, IC-33545; IA-5290
34-86320 Jul. 8, 2019 Michael W. Zirinsky (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-86319 Jul. 8, 2019 David G. Bartholomew (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-86316 Jul. 5, 2019 Ernest J. Romer, III (Order)
34-86313 Jul. 5, 2019 Philip Akel (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-86312 Jul. 5, 2019 Franz N. Tudor (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-86311 Jul. 5, 2019 Eric Lipkin (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5288
34-86310 Jul. 5, 2019 Alan Sheinwald (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-86309 Jul. 5, 2019 David R. Wulf (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release No.: IA-5287
34-86308 Jul. 5, 2019 Timothy J. Mcgee (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-86307 Jul. 5, 2019 Efuel Efn Corp. (Opinion of the Commission)
IA-5285 Jul. 3, 2019 Oliver R. Grace, Jr. (Order Vacating Broker, Dealer, Municipal Securities Dealer, Muncipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
IA-5283 Jul. 3, 2019 David Scott Cacchione (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-86306 Jul. 3, 2019 Craig S. Taddonio (Extension Order)
34-86305 Jul. 3, 2019 Merrimac Corporate Securities, Inc.and Robert G. Nash (Order Extending Time to Issue Decision)
34-86303 Jul. 3, 2019 Stefan H. Benger (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-86298 Jul. 3, 2019 Kevin James O'rourke (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release Nos.: IA-5286, IC-33544
34-86297 Jul. 3, 2019 Allen Holeman (Order Extending Time to Issue Decision)
34-86295 Jul. 3, 2019 Michael S. Cain (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
IA-5282 Jul. 3, 2019 Robert Feinblatt (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
33-10659 Jul. 3, 2019 Larry C. Grossman (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release Nos.: 34-86293, IA-5281, IC-33542
IA-5280 Jul. 3, 2019 Harvey Altholtz (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
34-86292 Jul. 3, 2019 Paul D. Crawford (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-86290 Jul. 3, 2019 Charles W. Adams (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release No.: IA-5279
34-86288 Jul. 2, 2019 Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Scheduling Briefs)
34-86287 Jul. 2, 2019 Equitec Proprietary Markets, LLC (Order Scheduling Briefs)
34-86285 Jul. 2, 2019 Travis A. Branch (Order Requesting Additional Written Submissions)
34-86282 Jul. 2, 2019 Mark Morrow (Order Discharging Order to Show Cause, Denying Division of Enforcement's Motion to Find Respondent in Default and Impose Remedial Sanctions, and Directing Prehearing Conference)
34-86281 Jul. 2, 2019 Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision)
33-10657 Jul. 2, 2019 James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Order Denying Motion for Summary Affirmance, Granting Petitions for Review, and Scheduling Briefs)
Other Release Nos.: 34-86284, IA-5278, IC-33541
IA-5277 Jul. 2, 2019 Duane Hamblin Slade (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
34-86279 Jul. 2, 2019 Frank Rossi (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-86277 Jul. 2, 2019 Steven H. Bethke (Order Vacating Broker, Dealer, Investment Adviser, and Municipal Securities Dealer Bars)
34-86276 Jul. 2, 2019 Jerry Gruenbaum, Esq. (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release No.: IA-5276
IA-5274 Jul. 2, 2019 Saul Meyer (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
34-86275 Jul. 2, 2019 William L. Walters (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5275
IA-5273 Jul. 2, 2019 Corey Ribotsky (Corrected Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
IA-5272 Jul. 2, 2019 Toby G. Scammell (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-86272 Jul. 2, 2019 Kimon P. Daifotis (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release No.: IA-5271
IA-5269 Jul. 2, 2019 John V. Johnson (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
34-86264 Jul. 1, 2019 Brian J. Schuster (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5268
34-86263 Jul. 1, 2019 Richard L. Pearson (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-86262 Jul. 1, 2019 Rebecca L. Engle (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5267
34-86261 Jul. 1, 2019 Daniel Imperato (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-86260 Jul. 1, 2019 Donald M. Stuthers (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release Nos.: IA-5266, IC-33539
34-86258 Jul. 1, 2019 Rafael Sanchez (Order Vacating Municipal Securities Dealer, Municipal Advisor, Tranfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5265
Second Quarter
34-86244 Jun. 28, 2019 Daniel Joseph Touizer (Scheduling Order)
34-86242 Jun. 28, 2019 MedPro Safety Products, Inc., et al. (Opinion of the Commission as to Mindpix Corp., One2one Living Corp., and Wild Craze, Inc.)
34-86237 Jun. 28, 2019 Montbriar, Inc., Soul Delicious3 Corp. and Universal Holdings & Consulting, Inc. (Opinion of the Commission)
34-86235 Jun. 28, 2019 Ournett Holdings, Inc., Unigene Laboratories, Inc. and Vicon Fiber Optics Corp. (Opinion of the Commission)
34-86229 Jun. 28, 2019 Meyers Associates, et al. (Order Extending Time to Issue Decision)
33-10654 Jun. 28, 2019 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Denying Interlocutory Motions)
Other Release No.: 34-86230
34-86223 Jun. 27, 2019 Thaddeus J. North (Order Extending Time to Issue Decision)
34-86222 Jun. 27, 2019 AFS Holdings, Inc., and Midas Real Estate Ventures, Inc. (Opinion of the Commission)
34-86218 Jun. 27, 2019 Position Inc., Test Case Acquisition, Inc. and Tidal Wave Holding, Inc. (Opinion of the Commission)
34-86217 Jun. 27, 2019 Geo Reserve Corp., I Sites, Inc. and T.A.G. Acquisitions, Ltd. (Opinion of the Commission)
34-86216 Jun. 27, 2019 Munro Developments, Inc., et al. (Opinion of the Commission)
34-86209 Jun. 26, 2019 AFH Acquisition VI, Inc., et al. (Opinion of the Commission)
34-86208 Jun. 26, 2019 Robert William Myers, Jr. (Order Setting Briefing Schedule)
34-86207 Jun. 26, 2019 American Natural Energy Corp., CenturyTouch Ltd. and Kaeland Resources Corporation (Opinion of the Commission)
34-86205 Jun. 26, 2019 Stonewall Financial, Ltd., et al. (Opinion of the Commission as to Stonewall Financial, Ltd., Superventures Corporation, and United China Acquisitions I Corp.)
34-86200 Jun. 26, 2019 Aquarius Cannabis, et al. (Opinion of the Commission)
34-86193 Jun. 24, 2019 Meyers Associates, L.P. (Opinion of the Commission)
34-86189 Jun. 24, 2019 Eco-Trade Corp., et al. (Opinion of the Commission)
34-86188 Jun. 24, 2019 Royal B.Y. Investment Management LLC, et al. (Opinion of the Commission as to Westpoint Energy, Inc. and 360 Global Investments (f/k/a/ 360 Global Wine Co.))
34-86187 Jun. 24, 2019 Golden Pig Ventures, Inc., et al. (Opinion of the Commission as to Stoneleigh Acquisition Corp. and Transcendent One, Inc. (a/k/a Transcendent, Inc.))
34-86186 Jun. 24, 2019 FalconTarget, Inc., Grand Monarch Holdings, Inc. and OICCO Acquisition III, Inc. (Opinion of the Commission)
33-10653 Jun. 24, 2019 Alexandre S. Clug, et al. (Order Scheduling Oral Argument)
Other Release No.: 34-86192, IC-3517
33-10652 Jun. 24, 2019 Diane Dalmy, Esq. (Order Dismissing Proceeding)
34-86177 Jun. 21, 2019 CPI Corp., et al. (Opinion of the Commission)
34-86176 Jun. 21, 2019 Fastfunds Financial Corporation, et al. (Opinion of the Commission)
34-86172 Jun. 20, 2019 Crailar Technologies, Inc., et al. (Opinion of the Commission)
34-86170 Jun. 20, 2019 CrossClick Media, Inc., et al. (Opinion of the Commission)
34-86169 Jun. 20, 2019 The Buck A Day Co., Inc., et al. (Opinion of the Commission)
34-86166 Jun. 20, 2019 EMAV Holdings, Inc., et al. (Opinion of the Commission as to Emav Holdings, Inc. and Thinspace Technology, Inc.)
34-86165 Jun. 20, 2019 Bitzio, Inc. and Enerpulse Technologies, Inc. (Opinion of the Commission as to Bitzio, Inc.)
34-86162 Jun. 20, 2019 Endeavor IP, Inc. (n/k/a Nanolife Health, Inc.) and WITH, Inc. (Opinion of the Commission)
34-86158 Jun. 19, 2019 Merrimac Corporate Securities, Inc., and Robert G. Nash (Order Extending Time to Issue Decision)
34-86154 Jun. 19, 2019 China Ginseng Holdings, Inc., Hongli Clean Energy Technologies Corp. and Tianyin Pharmaceuticals Co., Inc. (Order to Show Cause as to Hongli Clean Energy Technologies Corp.)
34-86152 Jun. 19, 2019 ScanSys, Inc. and Voz Mobile Cloud LTD (Opinion of the Commission)
34-86150 Jun. 19, 2019 Petron Energy II, Inc., et al. (Opinion of the Commission as to Petron Energy II, Inc., Saga Energy, Inc., and Saratoga Resources, Inc.)
34-86146 Jun. 19, 2019 American First Financial, Inc., et al. (Opinion of the Commission)
34-86144 Jun. 19, 2019 China Health Resource, Inc. and China Logistics Group, Inc. (Opinion of the Commission)
34-86143 Jun. 19, 2019 Fuel Performance Solutions, Inc., et al. (Opinion of the Commission as to Juniper Group, Inc., Multimedia Platforms, Inc., and Satya Worldwide, Inc.)
34-86142 Jun. 19, 2019 Alterrus Systems, Inc., Corgreen Technologies Holdings Corp. and PC Group, Inc. (Opinion of the Commission)
34-86141 Jun. 18, 2019 Americas Wind Energy Corporation, et al. (Opinion of the Commission as to Americas Wind Energy Corporation, and Circa Pictures and Production Co. International, Inc.)
34-86139 Jun. 18, 2019 Allied American Steel Corp., et al. (Opinion of the Commission)
34-86134 Jun. 18, 2019 Everyday Assembly Productions, Inc., Forgotten Investments Co., Inc. and Market Integrity, Inc. (Opinion of the Commission)
34-86135 Jun. 18, 2019 ABN AMRO Clearing Chicago, LLC (Extension Order)
34-86116 Jun. 14, 2019 John Sherman Jumper (Order to Show Cause)
34-86115 Jun. 14, 2019 Ernest J. Romer, III (Supplemental Order Regarding Service)
34-86097 Jun. 12, 2019 Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Denying Stay)
34-86096 Jun. 12, 2019 John M.E. Saad (Order Extending Time to Issue Decision)
34-86089 Jun. 11, 2019 David B. Tysk (Order Granting Extension of Deadlines in Briefing Schedule)
34-86081 Jun. 10, 2019 Meyers Associates, L.P. (Order Extending Time to Issue Decision)
34-86080 Jun. 10, 2019 Avant Diagnostics, Inc., et al. (Order to Show Cause as to Wordlogic Corp.)
34-86074 Jun. 10, 2019 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-86069 Jun. 7, 2019 Metatron, Inc. (Order Requesting Additional Briefing)
34-86047 Jun. 6, 2019 Robert William Myers, Jr. (Order Regarding Status of Matter)
34-86044 Jun. 6, 2019 Merrimac Corporate Securities, Inc. and Robert G. Nash (Order Extending Time to Issue Decision)
34-86043 Jun. 5, 2019 Bruce M. Zipper, Dakota Securities and Int'l, Inc. (Extension Order)
34-86042 Jun. 5, 2019 Craig S. Taddonio (Extension Order)
34-86040 Jun. 5, 2019 ABN AMRO Clearing Chicago, LLC (Order Scheduling Briefs)
34-86029 Jun. 4, 2019 Mark J. Moskowitz (Order to Show Cause)
34-86021 Jun. 3, 2019 Allen Holeman (Order Extending Time to Issue Decision)
34-86019 Jun. 3, 2019 Makism 3D Corp. and Safebrain Systems, Inc. (Order to Show Cause)
34-86018 Jun. 3, 2019 Constantine Gus Cristo (Opinion of the Commission)
33-10641 May 31, 2019 Gregory Osborn (Order Denying Request to Modify Settlement Order)
Other Release No.: IC-33498
34-86000 May 31, 2019 Marc Jay Bryant (a/k/a Marc Jay Welch) (Amended Order to Show Cause)
34-85999 May 31, 2019 Maryjane Group, Inc., Omega Commercial Finance Corp. and Redpoint Bio Corp. (Amended Order to Show Cause)
33-10640 May 30, 2019 Gregory T. Bolan Jr. (Order Denying Motion to Vacate Settled Order)
Other Release No.: 34-85971
34-85970 May 30, 2019 Travis A. Branch (Order to Show Cause)
34-85969 May 30, 2019 Daniel Joseph Touizer (Extension Order)
34-85964 May 29, 2019 Cynthia C. Reinhart, CPA (Opinion of the Commission)
34-85963 May 29, 2019 Meyers Associates, et al. (Order Extending Time to Issue Decision)
34-85949 May 28, 2019 Thaddeus J. North (Order Extending Time to Issue Decision)
34-85932 May 23, 2019 Royal B.Y. Investment Management LLC, et al. (Order Regarding Service as to Toda International Holdings, Inc.)
34-85929 May 23, 2019 Ernest J. Romer, III (Order Regarding Service)
34-85928 May 23, 2019 Royal B.Y. Investment Management LLC, et al. (Order to Show Cause as to Royal B.Y. Investment Management LLC)
34-85886 May 17, 2019 William Burk Rosenthal (Order Denying Motion to Dismiss and Consolidating Appeal)
34-85885 May 17, 2019 Timothy Charles Sullivan (Order Denying Motion to Dismiss and Consolidating Appeal)
34-85882 May 16, 2019 Saul Daniel Suster (Order to Show Cause)
34-85859 May 14, 2019 Cynthia C. Reinhart, CPA (Order Extending Time to Issue Decision)
34-85857 May 14, 2019 Jonathan E. Graham (Order Scheduling Briefs)
34-85856 May 14, 2019 David B. Tysk (Order Scheduling Briefs)
34-85851 May 13, 2019 John M.E. Saad (Order Extending Time to Issue Decision)
34-85844 May 10, 2019 Meyers Associates, L.P. (Order Extending Time to Issue Decision)
34-85833 May 10, 2019 Travis A. Branch (Order Regarding Service)
34-85830 May 10, 2019 Hua Yang Investment Group, et al. (Order to Show Cause as to Hua Yang Investment Group, Inc. (a/k/a Tarheel Billboard, Inc.) and Titan Oil & Gas, Inc.)
34-85834 May 10, 2019 David Howard Welch (a/k/a David Howard Bryant) (Order Regarding Service)
34-85822 May 9, 2019 Bruce Zipper and Dakota Securities International, Inc. (Order Scheduling Briefs)
34-85802 May 7, 2019 Securities Industry and Financial Markets Association and Bloomberg L.P. (Order Denying Reconsideration)
IA-5230 May 7, 2019 Ascension Asset Management, LLC and Grenville M. Gooder, Jr. (Order)
Other Release No.: IC-33467
34-85796 May 7, 2019 LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order)
34-85790 May 6, 2019 Merrimac Corporate Securities, Inc. and Robert G. Nash (Order Extending Time to Issue Decision)
34-85789 May 6, 2019 Kimberly Springsteen-Abbott (Corrected Order Extending Time to Issue Decision)
34-85778 May 3, 2019 Shawn K. Dicken (Order to Show Cause)
34-85777 May 3, 2019 Ismail Elmas (Order to Show Cause)
34-85774 May 3, 2019 Anpulo Food Development, Inc., et al. (Order to Show Cause as to Anpulo Food Development, Inc., RJS Development, Inc., and Uni Core Holdings Corp.)
34-85773 May 3, 2019 Oakridge Global Energy Solutions, Inc. (Order to Show Cause)
34-85759 May 2, 2019 Craig S. Taddonio (Extension Order)
34-85757 Apr. 30, 2019 Daniel Joseph Touizer (Extension Order)
34-85756 Apr. 30, 2019 Hua Yang Investment Group, et al. (Corrected Order Regarding Service)
34-85749 Apr. 29, 2019 Kevin Clayton Cox (Order Granting Motion to Withdraw Application for Review)
34-85748 Apr. 29, 2019 Stonewall Financial, Ltd., et al. (Order to Show Cause as to Tuttle Industries Corp.)
34-85747 Apr. 29, 2019 Meyers Associates, et al. (Order Extending Time to Issue Decision)
34-85741 Apr. 29, 2019 Edward Beyn (Extension Order)
34-85717 Apr. 25, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Order)
34-85711 Apr. 23, 2019 Manna Capital, Inc., MCA Holdings Corp. and QMI Seismic, Inc. (Order to Show Cause as to MCA Holdings Corp.)
34-85710 Apr. 23, 2019 Makism 3D Corp. and Safebrain Systems, Inc. (Order Regarding Service)
34-85705 Apr. 22, 2019 Oakridge Global Energy Solutions, Inc. (Order Regarding Service)
34-85660 Apr. 16, 2019 Mark J. Moskowitz (Order Regarding Service)
34-85658 Apr. 16, 2019 Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies (Order Regarding Service)
34-85653 Apr. 15, 2019 Heidi Wivolin (Order to Show Cause)
34-85652 Apr. 15, 2019 Lawrence Allen Deshetler (Order to Show Cause)
34-85651 Apr. 15, 2019 Mark Morrow (Order to Show Cause)
34-85640 Apr. 12, 2019 Cynthia C. Reinhart, CPA (Order Extending Time to Issue Decision)
34-85638 Apr. 12, 2019 John M.E. Saad (Order Extending Time to Issue Decision)
34-85630 Apr. 11, 2019 Karen Bruton and Hope Advisors, LLC (Order Regarding Further Proceedings)
Other Release No.: IA-5222, AAER-4040
34-85602 Apr. 11, 2019 Meyers Associates, L.P. (Order Extending Time to Issue Decision)
34-85601 Apr. 10, 2019 American First Financial, Inc., et al. (Order to Show Cause)
34-85600 Apr. 10, 2019 Scansys, Inc. and Voz Mobile Cloud Ltd (Order to Show Cause)
34-85599 Apr. 10, 2019 Everyday Assembly Products, Inc., Forgotten Investments Co., Inc. and Market Integrity, Inc. (Order to Show Cause)
34-85596 Apr. 10, 2019 China Health Resource, Inc. and China Logistics Group, Inc. (Order to Show Cause)
IA-5220 Apr. 9, 2019 Ascension Asset Management, LLC and Grenville M. Gooder, Jr. (Protective Order)
Other Release No.: IC-33444
34-85569 Apr. 9, 2019 LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Protective Order)
34-85559 Apr. 9, 2019 LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order Regarding the Prehearing Conference)
34-85555 Apr. 8, 2019 Merrimac Corporate Securities, Inc., and Robert G. Nash (Order Extending Time to Issue Decision)
34-85540 Apr. 5, 2019 Cantone Research Inc., Anthony Cantone and Christine Cantone (Corrected Order Granting Motion for Extension of Briefing Schedule)
34-85539 Apr. 5, 2019 Trevor Michael Saliba and Arthur Mansourian (Order Granting Motion to Extend Time to File Briefs)
34-85537 Apr. 5, 2019 Donald Anthony Wojnowski (Order Scheduling Briefs)
34-85535 Apr. 5, 2019 Kevin Clayton Cox (Order Scheduling Briefs)
34-85529 Apr. 5, 2019 Manna Capital, Inc., MCA Holdings Corp. and QMI Seismic, Inc. (Opinion of the Commission as to Manna Capital, Inc., and Qmi Seismic, Inc.)
34-85527 Apr. 5, 2019 AlphaMetrix Managed Futures LLC, et al. (Opinion of the Commission as to Alphametrix Managed Futures LLC, Alphametrix Managed Futures III LLC, and Drc Eneroy, Inc.)
34-85526 Apr. 5, 2019 Rotoblock Corporation and U.S. China Mining Group, Inc. (Opinion of the Commission)
34-85520 Apr. 5, 2019 Amonra Omnia, et al. (Opinion of the Commission)
34-85517 Apr. 4, 2019 Gaming Ventures PLC, et al. (Opinion of the Commission)
34-85511 Apr. 4, 2019 Great Wall Builders Ltd., PuraMed Bioscience, Inc. and TagLikeMe Corp. (Opinion of the Commission)
34-85510 Apr. 4, 2019 Equilar Capital Corp. and Neuro-Biotech Corporation (Opinion of the Commission)
34-85508 Apr. 4, 2019 IDO Security, Inc., Redify Group, Inc. and Spartan Gold Ltd. (Opinion of the Commission)
34-85509 Apr. 4, 2019 Bart Steven Kaplow, et al. (Order Consolidating Proceedings and Postponing Further Briefing)
34-85507 Apr. 3, 2019 Central Park Acquisition I, Inc., Genitope Corporation and Meridian Acquisition Corporation (Opinion of the Commission)
34-85506 Apr. 3, 2019 Middle Kingdom Resources Ltd., Multimod Investments, Inc. and New Generation Films, Inc. (Opinion of the Commission)
34-85502 Apr. 3, 2019 Rio Bravo Oil, Inc. and UAN Cultural & Creative Co., Ltd. (Opinion of the Commission)
34-85501 Apr. 3, 2019 Micra Soundcards Inc., Mirex, Inc. and Myotec, Inc. (Opinion of the Commission)
34-85493 Apr. 2, 2019 Kvintess F&DI Holdings Corp., Teletronics International, Inc. and TOA Carbon Fiber, Inc. (Opinion of the Commission)
34-85492 Apr. 2, 2019 Fig Run Acquisition Corporation, SLM Technologies, Inc. and Trail Run Acquisition Corporation (Opinion of the Commission)
34-85491 Apr. 2, 2019 Edward Beyn and Craig S. Taddonio (Order Scheduling Briefs)
34-85490 Apr. 2, 2019 Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. (Opinion of the Commission as to Gold Mountain, Inc., and Powerwave Technologies, Inc.)
34-85489 Apr. 2, 2019 Forum Acquisitions I, Inc., et al. (Opinion of the Commission)
34-85487 Apr. 2, 2019 Lightstone Technologies, Inc., Madison & 51st, Inc. and Three Shades for Everybody, Inc. (Opinion of the Commission)
34-85486 Apr. 2, 2019 Media Group 2000 Inc. a/k/a Urban Resorts International Inc. and New Pacific, Inc. (Opinion of the Commission)
34-85485 Apr. 2, 2019 EBHI Holdings, Inc., New Venture Holdings, Inc. and Progressive Gaming International Corp. (Opinion of the Commission)
34-85484 Apr. 2, 2019 RS Soda Holdings, Inc., SGREP, Inc. and Surface Coatings, Inc. (Opinion of the Commission)
34-85480 Apr. 1, 2019 Inner Systems, Inc. and Toga Capital Limited (Opinion of the Commission)
34-85479 Apr. 1, 2019 American Standard Energy Corp., Elm Valley Acquisition Corporation and LVFAR Green Technology Corp. (Opinion of the Commission)
First Quarter
34-85471 Mar. 29, 2019 Stephen M. Seewer (Order Granting Motion to Withdraw Application for Review)
34-85472 Mar. 29, 2019 Meyers Associates, et al. (Order Extending Time to Issue Decision)
34-85446 Mar. 28, 2019 Thaddeus J. North (Order Extending Time to Issue Decision)
34-85436 Mar. 28, 2019 Michael Patrick Nanto (Order Dismissing Application for Review)
IA-5214 Mar. 26, 2019 Ascension Asset Management LLC and Grenville E. Gooder, Jr. (Corrected Order)
Other Release No.: IC-33429
34-85423 Mar. 26, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Notice Regarding Correspondence)
34-85379 Mar. 20, 2019 Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Scheduling Briefs)
33-10617 Mar. 20, 2019 Harding Advisory LLC and Wing F. Chau (Order)
Other Release Nos.: IA-5204, IC-33405
34-85364 Mar. 19, 2019 Global Digital Solutions, Inc. (Order Granting Motion to Dismiss)
34-85352 Mar. 18, 2019 Ceelox, Inc., et al. (Order)
34-85339 Mar. 18, 2019 Trevor Michael Saliba and Arthur Mansourian (Order Scheduling Briefs)
34-85336 Mar. 15, 2019 Appian, Inc., et al. (Order to Show Cause)
34-85335 Mar. 15, 2019 Cynthia C. Reinhart, CPA (Order Extending Time to Issue Decision)
34-85334 Mar. 15, 2019 Scrap China Corp., et al. (Order to Show Cause)
34-85331 Mar. 15, 2019 Be Industries, Inc., et al. (Order to Show Cause)
34-85329 Mar. 15, 2019 Golden Claw Ventures, Inc., et al. (Order to Show Cause)
34-85333 Mar. 15, 2019 MaryJane Group, Inc., Omega Commercial Finance Corp. and Redpoint Bio Corp. (Order to Show Cause)
34-85332 Mar. 15, 2019 Cybergy Holdings, Inc, et al. (Order to Show Cause)
34-85324 Mar. 14, 2019 Petrosonic Energy, Inc., PSM Holdings, Inc. and Rackwise, Inc. (Order to Show Cause)
34-85327 Mar. 14, 2019 Allan Michael Roth (Order Denying Respondent's Motion to Postpone Filng Answer Indefinitely)
34-85325 Mar. 14, 2019 Ceelox, Inc., et al. (Order to Show Cause)
34-85326 Mar. 14, 2019 Anpulo Food Development, Inc., et al. (Order to Show Cause)
34-85321 Mar. 14, 2019 Daniel Joseph Touizer (Order Denying Respondent's Motion to Stay and Granting Respondent's Request to File Handwritten Submissions)
34-85323 Mar. 14, 2019 Genesys Id, et al. (Order to Show Cause)
34-85310 Mar. 13, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA (Notice Regarding Correspondence)
Other Release No.: AAER-4030
34-85299 Mar. 13, 2019 Gepco, Ltd., et al. (Opinion of the Commission)
34-85284 Mar. 11, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Order)
Other Release No.: AAER-4029
34-85281 Mar. 11, 2019 Meyers Associates, L.P. (Order Extending Time to Issue Decision)
34-85270 Mar. 7, 2019 Colorado Goldfields, Inc., Lyfe Communications, Inc. and Revolutions Medical Corporation (Order to Show Cause)
34-85269 Mar. 7, 2019 American Sands Energy Corp., Next Fuel, Inc. and Tumbleweed Holdings (a/k/a Digital Creative Development Corporation) (Order to Show Cause)
34-85268 Mar. 7, 2019 Entourage Mining Ltd., et al. (Order to Show Cause)
34-85263 Mar. 7, 2019 Gopi Krishna Vungarala (Order Extending Time in Which to File Briefs)
34-85258 Mar. 6, 2019 American Petro-Hunter, Inc. and Prospect Global Resources, Inc. (Order to Show Cause)
34-85256 Mar. 6, 2019 Bahamas concierge, Inc., eMONEco, Inc., and Titanium Healthcare, Inc. (Order to Show Cause)
34-85255 Mar. 6, 2019 Coupon Express, Inc., et al. (Order to Show Cause)
34-85259 Mar. 6, 2019 GSM Group, Inc. (f/k/a/ Northam Acquisition Corp.) (Order to Show Cause)
34-85257 Mar. 6, 2019 Gregory Acosta (Order Requesting Additional Briefing)
34-85250 Mar. 5, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA (Notice Regarding Correspondence)
Other Release No.: AAER-4027
34-85245 Mar. 4, 2019 Alpine Securities Corporation (Order Directing Additional Written Submissions)
34-85243 Mar. 4, 2019 Golden Global Corp. and Power Efficiency Corporation (Order Discharging Order to Show Cause and Directing Prehearing Conference)
34-85238 Mar. 1, 2019 Dakota Securities International, Inc. (Opinion of the Commission)
34-85237 Mar. 1, 2019 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus CPA. (Order)
Other Release No.: AAER-4026
34-85231 Mar. 1, 2019 Keith Patrick Sequeira (Opinion of the Commission)
34-85216 Feb. 27, 2019 Marques Andrew Jones (Order Granting Motion to Withdraw Application for Review)
34-85214 Feb. 27, 2019 China Ginseng Holdings, Inc., Hongli Clean Energy Technologies Corp. and Tianyin Pharmaceuticals Co., Inc. (Order Regarding Service)
34-85202 Feb. 26, 2019 First Liberty Power Corp., et al. (Order to Show Cause)
34-85199 Feb. 26, 2019 Colorstars Group, et al. (Order to Show Cause)
34-85198 Feb. 26, 2019 Ami James Brands, Inc., et al. (Order to Show Cause)
34-85197 Feb. 26, 2019 United Development Funding III, L.P., United Development Funding IV and United Development Funding Income Fund V (Order Setting Briefing Schedule)
34-85196 Feb. 25, 2019 China Ginseng Holdings, Inc., Hongli Clean Energy Technologies Corp. and Tianyin Pharmaceuticals Co., Inc. (Order to Show Cause)
34-85195 Feb. 25, 2019 Ampal-American Israel Corporation, Robertson Global Health Solutions Corporation and Sanguine Corporation (Order to Show Cause)
34-85194 Feb. 25, 2019 Swissinso Holding, Inc., Sydys Corporation and Unifiedonline, Inc. (Order to Show Cause)
34-85192 Feb. 25, 2019 Epic Stores Corp., et al. (Order to Show Cause)
34-85171 Feb. 21, 2019 David Pruitt, CPA (Order Denying Motion to Amend the Order Instituting Proceedings)
Other Release No.: AAER-4023
33-10609 Feb. 21, 2019 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy, Jr. (Order Regarding Further Proceedings)
Other Release Nos.: 34-85172, IA-5116, IC-33382
34-85150 Feb. 15, 2019 Ceelox, Inc., et al. (Order Setting Briefing Schedule)
33-10606 Feb. 15, 2019 Bennett Group Financial Services, LLC and Dawn J. Bennett (Order)
Other Release Nos.: 34-85151, IA-5113, IC-33376
34-85120 Feb. 13, 2019 Jennifer F. Wolf, CPA (Order Granting Second Joint Motion to Stay)
34-85104 Feb. 11, 2019 William H. Murphy & Co., Inc. and William H. Murphy (Order Extending Time for Filing Briefs)
34-85087 Feb. 8, 2019 Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
34-85086 Feb. 8, 2019 Keith P. Sequeira (Order Extending Time to Issue Decision)
34-85085 Feb. 8, 2019 Thaddeus J. North (Order Extending Time to Issue Decision)
34-85084 Feb. 8, 2019 John M.E. Saad (Order Extending Time to Issue Decision)
34-85070 Feb. 6, 2019 Montbriar, Inc., Soul Delicious3 Corp. and Universal Holdings & Consulting, Inc. (Order to Show Cause)
34-85069 Feb. 6, 2019 MedPro Safety Products, Inc., et al. (Order to Show Cause)
34-85068 Feb. 6, 2019 AFS Holdings, Inc. and Midas Real Estate Ventures, Inc. (Order to Show Cause)
34-85067 Feb. 6, 2019 Ournett Holdings, Inc., Unigene Laboratories, Inc. and Vicon Fiber Optics Corp. (Order to Show Cause)
34-85066 Feb. 6, 2019 Geo Reserve Corp., I Sites, Inc. and T.A.G. Acquisitions, Ltd. (Order to Show Cause)
34-85054 Feb. 5, 2019 Stonewall Financial, Ltd., et al. (Order to Show Cause)
34-85061 Feb. 5, 2019 Munro Developments, Inc., et al. (Order to Show Cause)
34-85058 Feb. 5, 2019 AFH ACQUISITION VI, Inc., et al. (Order to Show Cause)
34-85060 Feb. 5, 2019 Aquarius Cannabis, et al. (Order to Show Cause)
34-85059 Feb. 5, 2019 American Natural Energy Corp., Centurytouch Ltd. and Kaeland Resources Corporation (Order to Show Cause)
34-85055 Feb. 5, 2019 Position Inc., Test Case Acquisition, Inc. and Tidal Wave Holding, Inc. (Order to Show Cause)
34-85051 Feb. 4, 2019 Merrimac Corporate Securities, Inc. and Robert G. Nash (Order Extending Time to Issue Decision)
34-85050 Feb. 4, 2019 Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision)
34-85048 Feb. 4, 2019 Falcontarget, Inc., Grand Monarch Holdings, Inc. and Oicco Acquisition III, Inc. (Order to Show Cause)
34-85045 Feb. 4, 2019 Eco-Trade Corp., Ltwc Corporation and Onyx Service & Solutions, Inc. (Order to Show Cause)
34-85043 Feb. 4, 2019 Royal B.Y. Investment Management LLC, et al. (Order to Show Cause)
34-85041 Feb. 1, 2019 Golden Pig Ventures, Inc., et al. (Order to Show Cause)
34-85040 Feb. 1, 2019 CPI Corp., et al. (Order to Show Cause)
33-10603 Jan. 30, 2019 Pending Administrative Proceedings (Order)
Other Release Nos.: 34-85007, IA-5103, IC-33361
34-85006 Jan. 30, 2019 Kurt Charles Jackson (Order Scheduling Briefs)
34-85001 Jan. 29, 2019 Cynthia C. Reinhart, CPA (Order Extending Time to Issue Decision)
33-10602 Jan. 16, 2019 Pending Administrative Proceedings (Order)
Other Release Nos.: 34-84986, IA-5101, IC-33344