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:
Trevor Michael Saliba (Order Extending Time to Issue Decision)
Release No. 34-99435
File Number: 3-18989
Date: Respondents:
Eric Christopher Cannon (Order Requesting Additional Briefing)
Release No. 34-99434
File Number: 3-21790
Date: Respondents:
Metatron, Inc. (Order Extending Time to Issue Decision)
Release No. 34-99429
File Number: 3-18567
Date: Respondents:
James K. Merrill (Opinion of the Commission)
Release No. 34-99422
File Number: 3-21002
Date: Respondents:
Cardiff Lexington Corporation (Order Granting Motion to Withdraw Application for Review)
Release No. 34-99421
File Number: 3-21808
Date: Respondents:
Lynn D. Cawthorne (Order Regarding Service)
Release No. 34-99420 , IA-6534
File Number: 3-20823
Date: Respondents:
Cboe BZX Exchange, Inc.; Cboe Exchange, Inc.; Cboe C2 Exchange, Inc.; and Cboe EDGX Exchange, Inc. (Order Directing Filing of Additional Briefs)
Release No. 34-99399
File Number: 3-21779
Date: Respondents:
Anthony B. Brandel and M.Y. Consultants, Inc. (Order Dismissing Proceeding)
Release No. 34-99352
File Number: 3-19734
Date: Respondents:
Arch Leasing Corp. (Second Order Regarding Service)
Release No. 34-99349
File Number: 3-21620
Date: Respondents:
Thomas Lee Johnson (Order Extending Time to Issue Decision)
Release No. 34-99347
File Number: 3-20646
Date: Respondents:
Thomas J. Lykos, Jr. (Order Extending Time to Issue Decision)
Release No. 34-99346
File Number: 3-20703
Date: Respondents:
Derek Rudolf D'Alonzo (Order Dismissing Application for Review)
Release No. 34-99324
File Number: 3-20682
Date: Respondents:
Calhoun Asset Management, LLC and Krista Lynn Ward a/k/a Krista Lynn Karnezis (Order Denying Motion to Vacate Settled Order But Vacating Collateral Bars)
Release No. 33-11264, 34-99322, IA-6528, IC-35088
File Number: 3-14680
Date: Respondents:
Energem Resources, Inc. f/k/a DiamondWorks Ltd. (Order to Show Cause)
Release No. 34-99319
File Number: 3-21035
Date: Respondents:
Kibush Capital Corp. (Order to Show Cause)
Release No. 34-99317
File Number: 3-21656
Date: Respondents:
Epirus Biopharmaceuticals, Inc. (f/k/a Zalicus, Inc.) (Order to Show Cause)
Release No. 34-99316
File Number: 3-21658
Date: Respondents:
Ameri Metro, Inc. (Order to Show Cause)
Release No. 34-99315
File Number: 3-21654
Date: Respondents:
Frederick Maximilian Kort (Order Scheduling Briefs)
Release No. 34-99314
File Number: 3-21805
Date: Respondents:
Laurence G. Allen (Order Extending Time To Issue Decision)
Release No. 34-99309
File Number: 3-21222
Date: Respondents:
Eyecity.Com, Inc. (n/k/a Carex Blockchain Platform, Inc.) (Order Extending Time to Issue Decision)
Release No. 34-99305
File Number: 3-19406
Date: Respondents:
Grenda Group, LLC (Order Extending Time for Respondent to File a Brief Opposing Summary Disposition and for the Division of Enforcement to File a Reply)
Release No. IA-6527
File Number: 3-21097
Date: Respondents:
Gregory M. Grenda (Order Extending Time for Respondent to File a Brief Opposing Summary Disposition and for the Division of Enforcement to File a Reply)
Release No. IA-6526
File Number: 3-21098
Date: Respondents:
Robbi J. Jones and Kipling Jones & Co., Ltd. (Order Extending Time to Issue Decision)
Release No. 34-99293
File Number: 3-20209
Date: Respondents:
Jacob C. Glick (Scheduling Order)
Release No. IA-6525
File Number: 3-21125
Date: Respondents:
Gustavo A. Guzman (Order to Show Cause)
Release No. IA-6524
File Number: 3-21333
Date: Respondents:
Eric S. Smith (Order Extending Time to Issue Decision)
Release No. 34-99285
File Number: 3-20127
Date: Respondents:
Gregory M. Grenda (Order Extending Time for Respondent to File a Brief Opposing Summary Disposition and for the Division of Enforcement to File a Reply)
Release No. IA-6523
File Number: 3-21098
Date: Respondents:
Grenda Group, LLC (Order Extending Time for Respondent to File a Brief Opposing Summary Disposition and for the Division of Enforcement to File a Reply)
Release No. IA-6522
File Number: 3-21097
Date: Respondents:
The Docs, Inc. (Opinion of the Commission)
Release No. 34-99272
File Number: 3-21694
Date: Respondents:
The Edward Walker Benifield Trust (Opinion of the Commission)
Release No. 34-99271
File Number: 3-20914
Date: Respondents:
Adam Strege (Opinion of the Commission)
Release No. 34-99267
File Number: 3-21253
Date: Respondents:
David Michael (Opinion of the Commission)
Release No. 34-99263, IA-6519
File Number: 3-20678
Date: Respondents:
IEH Corporation (Order Granting Extension of Time)
Release No. 34-99262
File Number: 3-20973
Date: Respondents:
David W. Ingle (Opinion of the Commission)
Release No. 34-99258
File Number: 3-20893
Date: Respondents:
Robert Christopher Arnold (Order Denying Request for Extension)
Release No. 34-99250
File Number: 3-21818
Date: Respondents:
Eric Christopher Cannon (Order Denying Joint Request to Stay Proceeding)
Release No. 34-99249
File Number: 3-21790
Date: Respondents:
Michael Sztrom and David Sztrom (Order Denying Joint Request to Stay Proceeding)
Release No. IA-6518
File Number: 3-21400
Date: Respondents:
Michael Sztrom and David Sztrom (Order Postponing Hearing-Related Deadlines)
Release No. IA-6517
File Number: 3-21400
Date: Respondents:
Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Opinion of the Commission)
Release No. 34-99248
File Number: 3-19666
Date: Respondents:
Darayl D. Davis (Order Scheduling Briefs)
Release No. 34-99245, IA-6516
File Number: 3-21280
Date: Respondents:
Hung Wai "Howard" Shern (Order Granting Motion for Alternative Means of Service)
Release No. 34-99244
File Number: 3-21220
Date: Respondents:
Cardiff Lexington Corporation
Release No. 34-99242
File Number: 3-21808
Date: Respondents:
Metatron, Inc. (Order Extending Time to Issue Decision)
Release No. 34-99241
File Number: 3-18567
Date: Respondents:
Deep ATS, LLC (Order Extending Time to Issue Decision)
Release No. 34-99240
File Number: 3-20362
Date: Respondents:
Lynn D. Cawthorne (Order Regarding Service)
Release No. 34-99236, IA-6513
File Number: 3-20823
Date: Respondents:
Ameritrust Corporation (Order Denying Motion to Postpone Proceeding, Discharging Order to Show Cause, and Extending Time to File Answer)
Release No. 34-99235
File Number: 3-21292
Date: Respondents:
Hughe Duwayne Graham (Order to Show Cause)
Release No. 34-99233
File Number: 3-20659
Date: Respondents:
Gregory Moats Sampson (Order Staying Proceedings)
Release No. IA-6512
File Number: 3-20235
Date: Respondents:
Gregory M. Grenda (Order Extending Time for Respondent to File a Brief Opposing Summary Disposition and for The Division of Enforcement to File a Reply)
Release No. IA-6511
File Number: 3-21098
Date: Respondents:
Grenda Group, LLC (Order Extending Time for Respondent to File a Brief Opposing Summary Disposition and for The Division of Enforcement to File a Reply)
Release No. IA-6510
File Number: 3-21097
Date: Respondents:
Ricky Alan Mantei (Order Granting Extension of Briefing Due Date and Word Limit)
Release No. 34-99214
File Number: 3-21516
Date: Respondents:
Lee Cohen (Order to Show Cause)
Release No. 34-99213
File Number: 3-21467
Date: Respondents:
DreamFunded Marketplace, LLC and Manuel Fernandez (Order Extending Time to Issue Decision)
Release No. 34-99212
File Number: 3-20639
Date: Respondents:
Robert R. Tweed (Opinion of the Commission)
Release No. 34-99201
File Number: 3-19652
Date: Respondents:
Titan Securities and Brad C. Brooks (Order Extending Time to Issue Decision)
Release No. 34-99199
File Number: 3-20387
Date: Respondents:
Ron K. Harrison (Order to Show Cause)
Release No. IA-6506
File Number: 3-21121
Date: Respondents:
THE DOCS, INC. (Order Directing Division of Enforcement to Files Status Report Regarding Service)
Release No. 34-99202
File Number: 3-21694
Date: Respondents:
Jason Schwarz (Order Regarding Status Reports)
Release No. IA-6505
File Number: 3-21202
Date: Respondents:
Bruce Martin Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
Release No. 34-99194
File Number: 3-20811
Date: Respondents:
Pegasus Medical Holdings, Inc. (Order to Show Cause)
Release No. 34-99188
File Number: 3-21691
Date: Respondents:
Krupp Cash Plus Ltd Partnership (Order to Show Cause)
Release No. 34-99173
File Number: 3-21594
Date: Respondents:
Paul Hanson (Opinion of the Commission)
Release No. 34-99159
File Number: 3-20406
Date: Respondents:
Equus Capital Partners LP (Order to Show Cause)
Release No. 34-99157
File Number: 3-21698
Date: Respondents:
Xoma Ltd. (Order to Show Cause)
Release No. 34-99156
File Number: 3-21696
Date: Respondents:
Gosun Communications Limited Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99155
File Number: 3-21701
Date: Respondents:
Smartchase Corp. (Order to Show Cause)
Release No. 34-99154
File Number: 3-21693
Date: Respondents:
Executive Financial Services, Inc. (Opinion of the Commission)
Release No. 34-99153
File Number: 3-20407
Date: Respondents:
Sonya D. Camarco (OPINION OF THE COMMISSION)
Release No. 34-99148, IA-6503
File Number: 3-19476
Date: Respondents:
Lek Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99143
File Number: 3-20808
Date: Respondents:
Lee Sobel (SECOND ORDER REGARDING SERVICE)
Release No. 34-99139
File Number: 3-21162
Date: Respondents:
Silver Leaf Partners, LLC (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99133
File Number: 3-19896
Date: Respondents:
Moats Sampson, Gregory (ORDER TO SHOW CAUSE)
Release No. IA-6502
File Number: 3-20235
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99136
File Number: 3-19652
Date: Respondents:
Logan, Matthew R. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99135
File Number: 3-20922
Date: Respondents:
Cantone Research Inc., Cantone, Anthony and Cantone, Christine (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99134
File Number: 3-18999
Date: Respondents:
Megurditch Patatian (ORDER SCHEDULING BREIFS)
Release No. 34-99123
File Number: 3-21796
Date: Respondents:
Southeast Investments, N.C., Inc. and Black, Frank Harmon (OPINION OF THE COMMISSION)
Release No. 34-99118
File Number: 3-19185
Date: Respondents:
Geraci, Paul (ORDER TO SHOW CAUSE)
Release No. 34-99110
File Number: 3-21231
Date: Respondents:
Vandivier, Cindy a/k/a "Madison Brooke or Brookes" (ORDER TO SHOW CAUSE)
Release No. 34-99105
File Number: 3-21235
Date: Respondents:
Grenda Group, LLC (ORDER EXTENDING TIME FOR RESPONDENT TO FILE A BRIEF OPPOSING SUMMARY DISPOSITION AND FOR THE DIVISION OF ENFORCEMENT TO FILE A REPLY)
Release No. IA-6499
File Number: 3-21097
Date: Respondents:
Grenda, Gregory M. (ORDER EXTENDING TIME FOR RESPONDENT TO FILE A BRIEF OPPOSING SUMMARY DISPOSITION AND FOR THE DIVISION OF ENFORCEMENT TO FILE A REPLY)
Release No. IA-6498
File Number: 3-21098
Date: Respondents:
O'Neal, Sean Andrew (ORDER TO SHOW CAUSE)
Release No. 34-99101
File Number: 3-21160
Date: Respondents:
Herman, Justin Wallace (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-99107
File Number: 3-20839
Date: Respondents:
Wilson-Davis & Co.;Snow, James C.; and Barkley, Byron B. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99099
File Number: 3-19666
Date: Respondents:
Hu, Albert K. (OPINION OF THE COMMISSION)
Release No. IA-6497
File Number: 3-19510
Date: Respondents:
Howard, Donald (ORDER TO SHOW CAUSE)
Release No. 34-99094
File Number: 3-20653
Date: Respondents:
Mutimura, Parfait (OPINION OF THE COMMISSION)
Release No. 34-99085, IA-6496
File Number: 3-20159
Date: Respondents:
Jacob C. Glick (ORDER REGARDING PREHEARING CONFERENCE)
Release No. IA-6495
File Number: 3-21125
Date: Respondents:
Donald J. Fowler (OPINION OF THE COMMISSION)
Release No. 34-99084
File Number: 3-19740
Date: Respondents:
Ruless Pierre a/k/a Rules Pierre (ORDER TO SHOW CAUSE)
Release No. IA-6494
File Number: 3-21064
Date: Respondents:
Joshua Abrahams, CPA (ORDER MODIFYING POSTPONEMENT ORDER)
Release No. 34-99074, AAER-4477
File Number: 3-21214
Date: Respondents:
BlueStar Communications Group Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99073
File Number: 3-21684
Date: Respondents:
Faulding Inc. (n/k/a Alpharma Specialty Pharma) (ORDER TO SHOW CAUSE)
Release No. 34-99072
File Number: 3-21686
Date: Respondents:
Dragon Mining Corporation (a/k/a Dragon Diamond Corporation) (ORDER TO SHOW CAUSE)
Release No. 34-99071
File Number: 3-21685
Date: Respondents:
Goulding, Randall S. (ORDER DISMISSING PROCEEDING)
Release No. IA-6492
File Number: 3-19617
Date: Respondents:
Rampart Studios Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99067
File Number: 3-21714
Date: Respondents:
Youngevity International, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99066
File Number: 3-21653
Date: Respondents:
Radale Imports, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99064
File Number: 3-21713
Date: Respondents:
Lux Amber, Corp. (ORDER TO SHOW CAUSE)
Release No. 34-99063
File Number: 3-21715
Date: Respondents:
Latteno Food Corp. (ORDER TO SHOW CAUSE)
Release No. 34-99061
File Number: 3-21665
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