Commission Opinions and Adjudicatory Orders Archive 2019
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.
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| Release No. | Date | Respondents |
| Fourth Quarter | ||
| 34-87869 | Dec. 30, 2019 | Dutch Gold Resources, Inc. and Paracap Corporation (Opinion of the Commission) |
| 34-87857 | Dec. 26, 2019 | Oriental Magic Soup, Inc., et al. (Opinion of the Commission as to Pan Ocean Container Supplies, Ltd. (n/k/a Red Wolf Enterprises Int. or Red Wolf Enterprises, Inc.)) |
| 34-87850 | Dec. 23, 2019 | Bradley C. Reifler Financial Industry Regulatory Authority (Extension Order) |
| 34-87849 | Dec. 23, 2019 | LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order) |
| 34-87833 | Dec. 20, 2019 | Newport Coast Securities, Inc. (Order Extending Time to Issue Decision) |
| 34-87809 | Dec. 19, 2019 | Quicksilver Stock Transfer, LLC aka Quicksilver Stock Transfer Corporation (Order Suspending Briefing Schedule) |
| 34-87800 | Dec. 18, 2019 | TMR Bayhead Securities LLC (Order Extending Time to Issue Decision) |
| 33-10732 | Dec. 16, 2019 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-87767, IC-33717 |
| 34-87737 | Dec. 12, 2019 | Portfolio Advisors Alliance, Inc. (Order Granting Extension of Time) |
| 34-87736 | Dec. 12, 2019 | Howard J. Allen III (Order Granting Extension of Time) |
| 34-87735 | Dec. 12, 2019 | Kerri L. Wasserman (Order Granting Extension of Time) |
| 34-87734 | Dec. 12, 2019 | Alpine Securities Corporation (Extension Order) |
| 34-87703 | Dec. 9, 2019 | Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision) |
| 34-87702 | Dec. 9, 2019 | Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision) |
| 34-87700 | Dec. 9, 2019 | Dutch Gold Resources, Inc. and Paracap Corporation (Order to Show Cause) |
| 34-87669 | Dec. 5, 2019 | Alife Corporation, et al. (Order to Show Cause) |
| 34-87668 | Dec. 5, 2019 | Artisanal Brands, Inc. and Daleco Resources Corporation (Order to Show Cause) |
| 34-87667 | Dec. 5, 2019 | Agritech Worldwide, Inc., Consolidated Gems, Inc. and Dominovas Energy Corporation (Order to Show Cause) |
| 34-87666 | Dec. 5, 2019 | American Business Services, Inc., Iris Biotechnologies, Inc. and Soul & Vibe Interactive Inc. (Order to Show Cause) |
| 34-87665 | Dec. 5, 2019 | Arabella Exploration, Inc., Scivanta Medical Corp. and Westmountain Distressed Debt, Inc. (Order to Show Cause) |
| 34-87664 | Dec. 5, 2019 | Axiom Corp., et al. (Order to Show Cause) |
| 34-87660 | Dec. 4, 2019 | TMR Bayhead Securities LLC (Order Extending Time to Issue Decision) |
| 34-87659 | Dec. 4, 2019 | Electronic Cigarettes International Group, Ltd., Seaniemac International, Ltd. and Ziwira, Inc. (Order to Show Cause) |
| 34-87658 | Dec. 4, 2019 | American Rare Earths, et al. (Order to Show Cause) |
| 34-87654 | Dec. 3, 2019 | Innocom Technology Holdings, Inc., The Pulse Beverage Corporation and Ystrategies Corp. (Opinion of the Commission as to Ystrategies Corp.) |
| 34-87653 | Dec. 3, 2019 | BTHC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Opinion of the Commission as to Kama Resources Inc.) |
| 34-87652 | Dec. 3, 2019 | NXChain, et al. (Opinion of the Commission as to Sooum Corp.) |
| 34-87638 | Nov. 27, 2019 | Thaddeus J. North (Opinion of the Commission) |
| 34-87614 | Nov. 25, 2019 | Talon Real Estate Holding Corp. (Opinion of the Commission) |
| 34-87615 | Nov. 25, 2019 | Consolidated Arbitration Applications (Order Consolidating Appeals) |
| 34-87601 | Nov. 22, 2019 | Newport Coast Securities, Inc. (Order Extending Time to Issue Decision) |
| 34-87599 | Nov. 22, 2019 | Alpine Securities Corporation (Order Denying Stay and Denying Motion for Protective Order) |
| IA-5411 | Nov. 21, 2019 | Lawrence Allen Deshetler (Opinion of the Commission) |
| 34-87585 | Nov. 21, 2019 | Bradley C. Reifler (Order Scheduling Briefs) |
| 34-87579 | Nov. 20, 2019 | TMR Bayhead Securities LLC (Order Extending Time to Issue Decision) |
| 34-87572 | Nov. 18, 2019 | Mariposa Health, Inc. and STL Marketing Group, Inc. (Order to Show Cause) |
| 34-87571 | Nov. 18, 2019 | House of BODS Fitness, Inc., Reef Oil & Gas Income & Development Fund III LP and Techlabs, Inc. (Order to Show Cause) |
| 34-87570 | Nov. 18, 2019 | Bingo Nation, Inc., Sino-American Net Media Corp. and Wussler Worldwide Media Co. (Order to Show Cause) |
| 34-87569 | Nov. 18, 2019 | MMRGlobal, Inc., Silver Hill Mines, Inc. and Sterling Group Ventures, Inc. (Order to Show Cause as to MMRglobal, Inc., and Silver Hill Mines, Inc.) |
| 34-87568 | Nov. 18, 2019 | chatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc. (Order to Show Cause as to chatAND, Inc., and DTS8 Coffee Company, Ltd.) |
| 34-87566 | Nov. 18, 2019 | Hybrid Coating Technologies, Inc., Infrastructure Developments Corp. and Oro East Mining, Inc. (Order to Show Cause as to Hybrid Coating Technologies, Inc., and Infrastructure Developments Corp.) |
| 34-87565 | Nov. 18, 2019 | Bioshaft Water Technology, Inc., MeeMee Media Inc. and Zeecol International, Inc. (Order to Show Cause) |
| 34-87564 | Nov. 18, 2019 | Cornerworld Corp. and DMH International, Inc. (Order to Show Cause) |
| 34-87563 | Nov. 18, 2019 | Blackcraft Cult, Inc. and Unified Signal, Inc. (Order to Show Cause as to Unified Signal, Inc.) |
| 34-87535 | Nov. 13, 2019 | Knowledgebroker, Inc., et al. (Order to Show Cause) |
| 34-87534 | Nov. 13, 2019 | Enhanced Services Company, Inc. and Ingenex, Inc. (Order to Show Cause) |
| 34-87533 | Nov. 13, 2019 | Armco Metals Holdings, Inc., Global Future City Holding, Inc. and Traceguard Technologies, Inc. (Order to Show Cause) |
| 34-87532 | Nov. 13, 2019 | Diversified Corporate Resources, Inc., Netwolves Corporation and Samdrew VIII, Inc. (Order to Show Cause) |
| 34-87531 | Nov. 13, 2019 | William Harper Minor, Jr. (Order to Show Cause)
Other Release No.: IA-5410 |
| 34-87530 | Nov. 13, 2019 | American Smooth Wave Ventures, Inc. (Order to Show Cause) |
| 34-87529 | Nov. 13, 2019 | Equality Investments, Inc., Freedom Financial Corporation and Mustang Resources Inc. (Order to Show Cause) |
| 34-87528 | Nov. 13, 2019 | NECO Energy Corporation, Neighborhood Investment, Ltd. and New Dawn Entertainment Inc. (Order to Show Cause) |
| 34-87527 | Nov. 13, 2019 | Biolog, Inc., Bozki, Inc. and China Gewang Biotechnology, Inc. (Order to Show Cause) |
| 34-87525 | Nov. 13, 2019 | Capital Trust Holdings, Inc., Florida Gaming Corporation and Go Public, Inc. (Order to Show Cause) |
| 34-87524 | Nov. 13, 2019 | Biscayne Acquisition Group Inc. and Teleplus World, Corp. (Order to Show Cause) |
| 34-87509 | Nov. 12, 2019 | Gregory Acosta (Order Requesting Additional Briefing) |
| 34-87507 | Nov. 12, 2019 | LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order) |
| IA-5409 | Nov. 7, 2019 | Daniel Sholom Frishberg (Renewed Order Requesting Additional Written Submission) |
| 34-87493 | Nov. 7, 2019 | Marc Jay Bryant (a/k/a Marc Jay Welch) (Order Granting Extension of Time) |
| 34-87492 | Nov. 7, 2019 | Can-Cal Resources, Ltd., China Fruits Corp. and Skystar Bio-Pharmaceutical Co. (Order in Response to Request to Supplement the Record) |
| 34-87480 | Nov. 6, 2019 | Ernest J. Romer, III (Order) |
| 34-87479 | Nov. 6, 2019 | NXChain, et al. (Order Requesting Additional Briefs) |
| 34-87473 | Nov. 5, 2019 | Kerri L. Wasserman (Order Granting Extension of Time) |
| 34-87472 | Nov. 5, 2019 | Falcon Technologies, Inc. (Order Scheduling Briefs) |
| 34-87471 | Nov. 5, 2019 | Schulman Lobel Zand Katzen Williams & Blackman, LLP a/k/a Schulman Lobel LLP (Order Granting Extension of Time) |
| 34-87467 | Nov. 5, 2019 | Howard J. Allen III (Order Granting Extension of Time) |
| 34-87466 | Nov. 5, 2019 | Portfolio Advisors Alliance, Inc. (Order Granting Extension of Time) |
| 34-87456 | Nov. 4, 2019 | Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision) |
| 34-87451 | Nov. 4, 2019 | Quicksilver Stock Transfer, LLC and a.k.a. Quicksilver Stock Transfer Corporation (Order Regarding Request for Subpoenas) |
| 34-87425 | Oct. 30, 2019 | Talman Harris (Order Remanding Proceeding) |
| 34-87424 | Oct. 30, 2019 | TMR Bayhead Securities LLC (Order Extending Time to Issue Decision) |
| 34-87411 | Oct. 28, 2019 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 34-87406 | Oct. 28, 2019 | Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP (Order) |
| 33-10722 | Oct. 28, 2019 | Clayton T. Marshall (Order Dismissing Additional Proceedings)
Other Release No.: 34-87405 |
| 34-87384 | Oct. 22, 2019 | John Boone Kincaid III (Opinion of the Commission) |
| 34-87383 | Oct. 22, 2019 | Zoom Companies, Inc. (Order Dismissing Proceeding) |
| 34-87325 | Oct. 16, 2019 | Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP (Order Regarding Service) |
| IA-5403 | Oct. 11, 2019 | Albert K. Hu (Extension Order) |
| IA-5402 | Oct. 10, 2019 | Saving2retire, LLC and Marian P. Young (Order Granting Petition for Review and Scheduling Briefs) |
| 34-87251 | Oct. 8, 2019 | Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision) |
| 34-87248 | Oct. 8, 2019 | Fidelity Transfer Services, Inc. and Ruben Sanchez (Order)
Other Release No.: IC-33657 |
| 34-87247 | Oct. 8, 2019 | Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation (Order Regarding Request for Subpoenas) |
| 34-87244 | Oct. 7, 2019 | Oscar Ferrer Rivera (Order to Show Cause) |
| 34-87236 | Oct. 4, 2019 | Colorado Goldfields, Inc., Lyfe Communications, Inc. and Revolutions Medical Corporation (Order Dismissing Proceeding) |
| 34-87226 | Oct. 4, 2019 | Mark Feathers (Order) |
| 34-87202 | Oct. 2, 2019 | Bruce M. Zipper and Dakota Securities International, Inc. (Order Regarding Briefs) |
| 34-87201 | Oct. 2, 2019 | Artisanal Brands, Inc. and Daleco Resources Corporation (Initial Scheduling Order) |
| IA-5399 | Oct. 2, 2019 | Daniel Sholom Frishberg (Order Requesting Additional Written Submission) |
| 34-87197 | Oct. 2, 2019 | Green Ballast, Inc. and Lithium Exploration Group, Inc. (Order Requesting Additional Written Submissions) |
| Third Quarter | ||
| 34-87161 | Sep. 30, 2019 | TMR Bayhead Securities LLC (Order Extending Time to Issue Decision) |
| 34-87156 | Sep. 30, 2019 | Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision) |
| 34-87151 | Sep. 27, 2019 | Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Scheduling Briefs) |
| 34-87147 | Sep. 27, 2019 | ASN Satellites, Inc., et al. (Order Directing Filing of Answer) |
| 34-87146 | Sep. 27, 2019 | Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Granting Motion to Withdraw Request for Stay and Terminating Interim Stay) |
| 34-87139 | Sep. 27, 2019 | Michael T. Rand, CPA (Order Denying Stay) |
| 34-87135 | Sep. 27, 2019 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 34-87061 | Sep. 23, 2019 | Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation (Order Setting Briefing Schedule) |
| 34-87057 | Sep. 23, 2019 | Sean P. Finn and M. Dwyer LLC (Order Remanding Proceeding) |
| 34-87042 | Sep. 20, 2019 | MedPro Safety Products, Inc., et al. (Opinion of the Commission as to Medpro Safety Products, Inc.) |
| 34-87026 | Sep. 19, 2019 | Stonewall Financial, Ltd., et al. (Opinion of the Commission as to Tuttle Industries Corp.) |
| 34-87010 | Sep. 19, 2019 | Royal B.Y. Investment Management LLC, et al. (Opinion of the Commission as to Royal B.Y. Investment Management LLC) |
| 34-87009 | Sep. 19, 2019 | Hua Yang Investment Group, et al. (Opinion of the Commission as to Hua Yang Investment Group, Inc. (a/k/a Tarheel Billboard, Inc.) and Titan Oil & Gas, Inc.) |
| 34-87008 | Sep. 19, 2019 | Oakridge Global Energy Solutions, Inc. (Opinion of the Commission) |
| 34-87003 | Sep. 18, 2019 | Hengyi International Industries Group, Inc., Jacobs Financial Group, Inc. and Ranger Gold Corp. (Order Granting Extension of Time) |
| 34-87001 | Sep. 18, 2019 | Craig S. Taddonio (Extension Order) |
| 34-86989 | Sep. 17, 2019 | Can-Cal Resources, Ltd., China Fruits Corp. and Skystar Bio-Pharmaceutical Co. (Supplemental Briefing Order) |
| 34-86981 | Sep. 16, 2019 | Bruce M. Zipper and Dakota Securities International, Inc. (Order Requesting Additional Written Submissions) |
| 34-86974 | Sep. 16, 2019 | Fidelity Transfer Services, Inc. and Ruben Sanchez (Order Regarding Service)
Other Release No.: IC-33626 |
| 34-86958 | Sep. 12, 2019 | Bakken Resources, Inc., Ireland Inc. and Worlds Mall, Inc. (Order Granting Extension of Time) |
| 33-10683 | Sep. 12, 2019 | American Registrar & Transfer Company and Christopher Day (Corrected Extension Order)
Other Release Nos.: 34-86939, IC-33623 |
| 34-86915 | Sep. 10, 2019 | Craig S. Taddonio (Extension Order) |
| 34-86899 | Sep. 6, 2019 | Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings, Ltd. |
| 34-86898 | Sep. 6, 2019 | Brendan D. Feitelberg (Order Denying Motion to Stay the Briefing Schedule) |
| 34-86890 | Sep. 5, 2019 | J.W. Korth & Company (Order Denying Stay as Moot) |
| 34-86859 | Sep. 3, 2019 | Jaswant Gill (Order Regarding Service) |
| 34-86849 | Sep. 3, 2019 | Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision) |
| 34-86845 | Aug. 30, 2019 | Jose G. Ramirez, Jr. (Order to Show Cause) |
| 34-86829 | Aug. 30, 2019 | Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Extension Order) |
| 34-86824 | Aug. 29, 2019 | Alexander Charles White (Order to Show Cause) |
| 34-86823 | Aug. 29, 2019 | Charles Myrick Winstead (Order to Show Cause)
Other Release No.: IA-5334 |
| 34-86820 | Aug. 29, 2019 | Ernest J. Romer, III (Order to Show Cause) |
| 34-86819 | Aug. 29, 2019 | Salvadore D. Palermo (Order to Show Cause) |
| 34-86816 | Aug. 29, 2019 | MaryJane Group, Inc., Omega Commercial Finance Corp. and Redpoint Bio Corp. (Opinion of the Commission as to MaryJane Group, Inc., and Redpoint Bio Corp.) |
| 34-86813 | Aug. 29, 2019 | Golden Claw Ventures, Inc., et al. (Opinion of the Commission) |
| 33-10678 | Aug. 29, 2019 | American Registrar & Transfer Company and Christopher Day (Order Directing the Filing of Additional Briefs)
Other Release No.: 34-86818, IC-33612 |
| 34-86800 | Aug. 28, 2019 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 34-86769 | Aug. 26, 2019 | Allen Holeman (Partial Stay Order) |
| 34-86767 | Aug. 26, 2019 | ASN Satellites, Inc., et al. (Order Regarding Service) |
| 34-86754 | Aug. 26, 2019 | Craig S. Taddonio (Extension Order) |
| 34-86749 | Aug. 23, 2019 | Scrap China Corp., et al. (Opinion of the Commission as to Scrap China Corp. and Spring Valley Management Corp.) |
| 34-86747 | Aug. 23, 2019 | Be Industries, Inc., et al. (Opinion of the Commission) |
| 34-86746 | Aug. 23, 2019 | Cybergy Holdings, Inc., et al. (Opinion of the Commission) |
| 34-86741 | Aug. 23, 2019 | Anpulo Food Development, Inc., et al. (Opinion of the Commission as to Anpulo Food Development, Inc., Csa Holdings, Inc., Rjs Development, Inc., and Uni Core Holdings Corp.) |
| 34-86751 | Aug. 23, 2019 | John M.E. Saad (Opinion of the Commission) |
| 34-86736 | Aug. 22, 2019 | Edward Beyn (Order Granting the Parties's Motions to File Additional Briefs) |
| 34-86735 | Aug. 22, 2019 | Ceelox, Inc., et al. (Opinion of the Commission as to Ceelox, Inc., Virtual Sourcing, Inc., and Windstream Technologies, Inc.) |
| 34-86734 | Aug. 22, 2019 | Petrosonic Energy, Inc., PSM Holdings, Inc. and Rackwise, Inc. (Opinion of the Commission as to Petrosonic Energy, Inc. and PSM Holdings, Inc.) |
| 34-86732 | Aug. 22, 2019 | Appian, Inc., et al. (Opinion of the Commission) |
| 34-86730 | Aug. 22, 2019 | GeneSYS ID, et al. (Opinion of the Commission) |
| 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 |