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.

Second Quarter |  First Quarter

Additional Archives

Release No. Date Respondents
Second Quarter
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)
34-85900 May 21, 2019 Marc Jay Bryant (a/k/a Marc Jay Welch) (Order to Show Cause)
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)
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)
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)
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)
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)
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