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

The links below direct you to the docket pages for such adjudicatory proceedings as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Commission Opinions and Adjudicatory Orders Table

Respondents
Date: Respondents:
Eric S. Smith Financial Industry Regulatory Authority (Extension Order)
Release No. 34-90825
File Number: 3-20127
Date: Respondents:
Norman T. Reynolds, Esq. (Order Denying Motion to Lift Temporary Suspension and Directing Hearing)
Release No. 34-90801
File Number: 3-20136
Date: Respondents:
Jennifer A. Johnston (Order Scheduling Briefs)
Release No. 34-90800
File Number: 3-20120
Date: Respondents:
Cynthia Mary Couyoumjian (Order Scheduling Briefs)
Release No. 34-90799
File Number: 3-20154
Date: Respondents:
Steven Pagartanis (Order to Show Cause)
Release No. 34-90781
File Number: 3-19919
Date: Respondents:
Apotheca Biosciences Inc. (Opinion of the Commission)
Release No. 34-90779
File Number: 3-19242
Date: Respondents:
Matthew R. Rossi and SJL Capital, LLC (Order Extending Time to Issue Decision)
Release No. 33-10910, 34-90770, IA-5654
File Number: 3-19145
Date: Respondents:
Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
Release No. 34-90761
File Number: 3-18612
Date: Respondents:
William H. Murphy & Co., Inc. and William H. Murphy (Opinion of the Commission)
Release No. 34-90759
File Number: 3-18895
Date: Respondents:
Bruce Zipper and Dakota Securities International, Inc. (Opinion of the Commission)
Release No. 34-90737
File Number: 3-19138
Date: Respondents:
William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
Release No. 34-90733
File Number: 3-18895
Date: Respondents:
Mohammed Ali Rashid (Order Granting an Extension of Time)
Release No. IA-5648
File Number: 3-20139
Date: Respondents:
Smartag International, Inc. (Order Regarding Prehearing Conference)
Release No. 34-90690
File Number: 3-20007
Date: Respondents:
Fidelity Transfer Services, Inc. and Ruben Sanchez (Order Requesting Additional Materials)
Release No. 34-90674, IC-34142
File Number: 3-19243
Date: Respondents:
Lee C. Schlesinger (Order to Show Cause)
Release No. 34-90673
File Number: 3-19775
Date: Respondents:
Robert L. Bryant III (Order Requesting Additional Briefing)
Release No. 34-90670
File Number: 3-19892
Date: Respondents:
Potomac Capital Markets, LLC (Extension Order)
Release No. 34-90669
File Number: 3-19917
Date: Respondents:
Alexandre S. Clug, et al. (Order Requesting Additional Written Submissions)
Release No. 33-10904, 34-90666, IC-34140
File Number: 3-16318
Date: Respondents:
NXChain, et al. (Order to Show Cause as to Rock Energy Resources, Inc.)
Release No. 34-90663
File Number: 3-19429
Date: Respondents:
KJM Securities, Inc. (Order Extending Time to Issue Decision)
Release No. 34-90662
File Number: 3-19631
Date: Respondents:
Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision)
Release No. 34-90657
File Number: 3-18999
Date: Respondents:
Seen On Screen TV, Inc. and The Pulse Network, Inc. (Order to Show Cause as to Seen On Screen TV, Inc.)
Release No. 34-90648
File Number: 3-19507
Date: Respondents:
RARAN Corporation, Refco Public Commodity Pool, L.P. and Rent USA, Inc. (Order to Show Cause as to Raran Corporation and Rent USA, Inc.)
Release No. 34-90647
File Number: 3-19505
Date: Respondents:
FlikMedia, Inc. (Order to Show Cause)
Release No. 34-90641
File Number: 3-19508
Date: Respondents:
Mohammed Ali Rashid (Order Granting an Extension of Time)
Release No. IA-5645
File Number: 3-20139
Date: Respondents:
Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
Release No. 34-90634
File Number: 3-18612
Date: Respondents:
Green Ballast, Inc. and Lithium Exploration Group, Inc. (Order to Show Cause as to Green Ballast, Inc.)
Release No. 34-90633
File Number: 3-19506
Date: Respondents:
Pro Squared, Inc. and Protech Global Holdings Corp. (Order to Show Cause)
Release No. 34-90632
File Number: 3-19504
Date: Respondents:
Nexus Resources Corporation and Private Access, Inc. (Order to Show Cause)
Release No. 34-90631
File Number: 3-19503
Date: Respondents:
Africa Growth Corporation and Gold Dynamics Corp. (Opinion of the Commission as to Gold Dynamics Corp.)
Release No. 34-90618
File Number: 3-19263
Date: Respondents:
Aztech International Ltd., Bev-Tyme, Inc. and Concord Energy Incorporated (Opinion of the Commission)
Release No. 34-90614
File Number: 3-19400
Date: Respondents:
Advanced Voice Technologies, Inc., American Pharmaceutical Company and Apollo Eye Group, Inc. (Opinion of the Commission)
Release No. 34-90613
File Number: 3-19399
Date: Respondents:
Blackcraft Cult, Inc. and Unified Signal, Inc. (Opinion of the Commission as to Blackcraft Cult, Inc.)
Release No. 34-90605
File Number: 3-19289
Date: Respondents:
Quantumsphere, Inc. and Shenzhen Yidian Double Way of Innovation Culture Media Corp. (Opinion of the Commission as to Shenzhen Yidian Double Way of Innovation Culture Media Corp.)
Release No. 34-90602
File Number: 3-19264
Date: Respondents:
Crescent Airways Corp., Electronic Manufacturing Services Group Inc. and M&M Financial Corp. (Opinion of the Commission)
Release No. 34-90599
File Number: 3-19401
Date: Respondents:
Gold Lakes Corp. and Novagen Ingenium Inc. (Opinion of the Commission)
Release No. 34-90595
File Number: 3-19262
Date: Respondents:
The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
Release No. IA-5641
File Number: 3-16047
Date: Respondents:
David B. Tysk (Order Extending Time to Issue Decision)
Release No. 34-90589
File Number: 3-17294r, 3-17294
Date: Respondents:
LD Holdings, Inc.; Mansfield-Martin Exploration Mining, Inc.; and RadTek, Inc. (Opinion of the Commission as to LD Holdings, Inc. and RadTek, Inc.)
Release No. 34-90588
File Number: 3-19383
Date: Respondents:
Bakken Resources, Inc.; Ireland Inc.; and Worlds Mall, Inc. (Opinion of the Commission as to Worlds Mall, Inc.)
Release No. 34-90587
File Number: 3-19382
Date: Respondents:
Diadexus, Inc.; Mustang Alliances, Inc.; and Protea Biosciences Group, Inc. (Opinion of the Commission)
Release No. 34-90586
File Number: 3-19376
Date: Respondents:
Adama Technologies Corp.; GeoBio Energy, Inc.; and Powerdyne International, Inc. (Opinion of the Commission as to Adama Technologies Corp. and GeoBio Energy, Inc.)
Release No. 34-90581
File Number: 3-19375
Date: Respondents:
Mark Feathers (Order Declining to Seek Judicial Enforcement of Subpoena)
Release No. 34-90572
File Number: 3-15755
Date: Respondents:
Piedmont Mining Company, Inc. and Rainbow Coral Corp. (Order to Show Cause)
Release No. 34-90570
File Number: 3-19654
Date: Respondents:
Eric S. Smith (Order Scheduling Briefs)
Release No. 34-90561
File Number: 3-20127
Date: Respondents:
Alpine Securities Corporation National Securities Clearing Corporation (Order Extending Time to Issue Decision)
Release No. 34-90557
File Number: 3-18979
Date: Respondents:
Kimm C. Hannan (Order)
Release No. IA-5637
File Number: 3-19245
Date: Respondents:
Mohammed Ali Rashid (Order Granting an Extension of Time)
Release No. IA-5636
File Number: 3-20139
Date: Respondents:
Enumeral Biomedical Holdings, Inc., International Cigar Holdings, Inc. and Lepora Holdings, Inc. (Order to Show Cause)
Release No. 34-90548
File Number: 3-19393
Date: Respondents:
Fantastic Financial Corporation, et al. (Order to Show Cause)
Release No. 34-90540
File Number: 3-19396
Date: Respondents:
Briarwood Holdings Group, Inc., Heyu Leisure Holidays Corporation and TJ Roasters Inc. (Order to Show Cause)
Release No. 34-90539
File Number: 3-19394
Date: Respondents:
Veris Gold Corp. (Order to Show Cause)
Release No. 34-90538
File Number: 3-19385
Date: Respondents:
Competitive Companies, Inc., Unilava Corporation and Uplift Nutrition, Inc. (Order to Show Cause as to Competitive Companies, Inc. and Unilava Corporation)
Release No. 34-90533
File Number: 3-19389
Date: Respondents:
A La Carte Charts Corp., Iron Sands Corp. and Topaw, Inc. (Order to Show Cause as to a La Carte Charts Corp. and Iron Sands Corp.)
Release No. 34-90532
File Number: 3-19387
Date: Respondents:
SiVault Systems, Inc., SVC Financial Services Inc. and the Heritage Organization, Inc. (Order to Show Cause)
Release No. 34-90531
File Number: 3-19386
Date: Respondents:
Integral Technologies, Inc. (Order)
Release No. 34-90521
File Number: 3-20037
Date: Respondents:
China Gerui Advanced Materials Group Limited (Order to Show Cause)
Release No. 34-90520
File Number: 3-19496
Date: Respondents:
Changing Technologies, Inc. (Order to Show Cause)
Release No. 34-90518
File Number: 3-19495
Date: Respondents:
ERHC Energy, Inc. and IDDriven Inc. (Order Denying Motion for Ruling On the Pleadings)
Release No. 34-90517
File Number: 3-19419
Date: Respondents:
Swissinso Holding, Inc., SYDYS Corporation and UnifiedOnline, Inc. (Order Dismissing Proceeding)
Release No. 34-90516
File Number: 3-18782
Date: Respondents:
China Ginseng Holdings, Inc., Hongli Clean Energy Technologies Corp. and Tianyin Pharmaceuticals Co., Inc. (Opinion of the Commission as to Hongli Clean Energy Technologies Corp.)
Release No. 34-90515
File Number: 3-18785
Date: Respondents:
Avant Diagnostics, Inc., et al. (Opinion of the Commission as to WORDLOGIC Corp.)
Release No. 34-90514
File Number: 3-18784
Date: Respondents:
Thomas Christophe Prentice (Order Extending Time to Issue Decision)
Release No. 34-90511
File Number: 3-18894
Date: Respondents:
Tryon Alpha, Inc. and Tundra Resources, Inc. (Order to Show Cause)
Release No. 34-90500
File Number: 3-19489
Date: Respondents:
Sea Breeze Power Corp. and 1701 Productions, Inc. (Order to Show Cause as to 1701 Productions, Inc.)
Release No. 34-90499
File Number: 3-19488
Date: Respondents:
R-Tec Holding, Inc., RTR, Inc. and Scapple Inc. (Order to Show Cause)
Release No. 34-90497
File Number: 3-19487
Date: Respondents:
Ezagoo Inc. (Order to Show Cause)
Release No. 34-90496
File Number: 3-19483
Date: Respondents:
Michael Joseph Clarke (Order Scheduling Briefs)
Release No. 34-90488
File Number: 3-20126
Date: Respondents:
Hawk Street Acquisition Corp. and Mobad Service Corporation (Order to Show Cause)
Release No. 34-90486
File Number: 3-19486
Date: Respondents:
EMTA Corp. a/k/a Wiltex A, Fuzzy Logic Software Corp. a/k/a China Global Solar Corporation Limited and Granite Futures Fund Limited Partnership (Order to Show Cause)
Release No. 34-90485
File Number: 3-19485
Date: Respondents:
Fact Corporation and Tandy Brands Accessories, Inc. (Order to Show Cause)
Release No. 34-90484
File Number: 3-19466
Date: Respondents:
Presidion Corporation (Order to Show Cause)
Release No. 34-90480
File Number: 3-19484
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision)
Release No. 34-90479
File Number: 3-19185
Date: Respondents:
Maurice Acriche (Extension Order)
Release No. 34-90477
File Number: 3-19786
Date: Respondents:
Gopi Krishna Vungarala (Opinion of the Commission)
Release No. 34-90476
File Number: 3-18881
Date: Respondents:
Donald Anthony Wojnowski (Extension Order)
Release No. 34-90475
File Number: 3-19014
Date: Respondents:
Timothy Vanderver (Extension Order)
Release No. 34-90474
File Number: 3-19019
Date: Respondents:
Mark Morrow (Opinion of the Commission)
Release No. 34-90472
File Number: 3-18723
Date: Respondents:
China Longyi Group International Holdings Ltd., Leo Motors, Inc. and LNPR Group, Inc. (Order to Show Cause)
Release No. 34-90471
File Number: 3-19465
Date: Respondents:
Cirque Energy, Inc. and Millennium Healthcare Inc. (Order to Show Cause)
Release No. 34-90470
File Number: 3-19460
Date: Respondents:
Shenzhen-Zhongrong Morgan Investment Holding Group Co., Ltd. and Solar Wind Energy Tower, Inc. (Order to Show Cause)
Release No. 34-90469
File Number: 3-19456
Date: Respondents:
Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
Release No. 34-90467
File Number: 3-19138
Date: Respondents:
American Retirement Villas Properties and MCY.com, Inc. (Order to Show Cause)
Release No. 34-90463
File Number: 3-19451
Date: Respondents:
Physician Healthcare Plan of New Jersey, Inc., Teda Technologies International, Inc. and Ucellit.Com, Inc. (Order to Show Cause)
Release No. 34-90462
File Number: 3-19450
Date: Respondents:
New Environmental Solutions Inc. (Order to Show Cause)
Release No. 34-90461
File Number: 3-19449
Date: Respondents:
William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
Release No. 34-90456
File Number: 3-18895
Date: Respondents:
Aurum, Inc. and Ecosphere Technologies, Inc. (Order to Show Cause as to Ecosphere Technologies, Inc.)
Release No. 34-90452
File Number: 3-19444
Date: Respondents:
Innocom Technology Holdings, Inc., the Pulse Beverage Corporation and Ystrategies Corp. (Order to Show Cause)
Release No. 34-90448
File Number: 3-19443
Date: Respondents:
Gyrotron Technology, Inc. and Nation Energy Inc. (Order to Show Cause)
Release No. 34-90447
File Number: 3-19442
Date: Respondents:
Billion Holding Inc. (Order Regarding Service)
Release No. 34-90446
File Number: 3-19926
Date: Respondents:
Ultimate Products Corporation, et al. (Opinion of the Commission)
Release No. 34-90445
File Number: 3-19872
Date: Respondents:
Emmanuel Kouyoumdjian a/k/a "Manny K" (Order Regarding Prehearing Conference)
Release No. 34-90438
File Number: 3-20055
Date: Respondents:
Treehouse Real Estate Investment Trust for Review of Action Taken by Nyse (Order Extending Time to Issue Decision)
Release No. 34-90435
File Number: 3-19192
Date: Respondents:
Samdrew IV, Inc. and Southland Health Services, Inc. (Opinion of the Commission)
Release No. 34-90426
File Number: 3-19352
Date: Respondents:
Spire Corporation and the Staffing Group, Ltd. (Opinion of the Commission)
Release No. 34-90425
File Number: 3-19353
Date: Respondents:
Stirling Acquisition Corporation and Thinkengine Networks, Inc. (Opinion of the Commission)
Release No. 34-90424
File Number: 3-19351
Date: Respondents:
James A. Winkelmann Sr. and Blue Ocean Portfolios, LLC (Order Extending Time to Issue Decision)
Release No. 33-10888, 34-90417, IA-5631, IC-34093
File Number: 3-17253
Date: Respondents:
Saul Daniel Suster (Opinion of the Commission)
Release No. 34-90401
File Number: 3-18866
Date: Respondents:
NWT Uranium Corp. (Opinion of the Commission)
Release No. 34-90399
File Number: 3-19350
Date: Respondents:
Oakridge Holdings, Inc, et al. (Opinion of the Commission)
Release No. 34-90398
File Number: 3-19349
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