Litigated Administrative Proceedings – Open
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Litigated Administrative Proceedings – Open Table
| File Number:3-13099 | Respondents:Newbridge Securities Corp., Guy S. Amico, Scott H. Goldstein, Eric M. Vallejo, and Daniel M. Kantrowitz |
| File Number:3-15672 | Respondents:Aggarwal, Sandeep |
| File Number:3-16424 | Respondents:Lek Securities Corp. |
| File Number:3-18999 | Respondents:Cantone, Anthony Cantone, Christine |
| File Number:3-19250 | Respondents:Upper Street Marketing Inc. |
| File Number:3-19603 | Respondents:The Application of Bloomberg, L.P. |
| File Number:3-19606 | Respondents:Vetter, Thomas H. |
| File Number:3-19719 | Respondents:Avnon, Yaniv Armon, Ran G Six Trading Y.R Ltd. |
| File Number:3-19720 | Respondents:Vazquez, Daniel B., Sr. |
| File Number:3-19733 | Respondents:Genovese, Nicholas J. |
| File Number:3-19735 | Respondents:Securities Industry and Financial Markets Association |
| File Number:3-19745 | Respondents:No Borders, Inc. |
| File Number:3-19787 | Respondents:Nano Magic Inc. |
| File Number:3-19814 | Respondents:Davis, Warren A. |
| File Number:3-19815 | Respondents:Gibraltar Global Securities, Inc. |
| File Number:3-19826 | Respondents:Navellier, Louis Navellier & Associates, Inc. |
| File Number:3-19896 | Respondents:Silver Leaf Partners, LLC |
| File Number:3-20091 | Respondents:Polanchek, Casimer Anthony |
| File Number:3-20120 | Respondents:Johnston, Jennifer Anne |
| File Number:3-20127 | Respondents:Smith, Eric S. |
| File Number:3-20134 | Respondents:Smith, Paul Horton, Sr. |
| File Number:3-20139 | Respondents:Rashid, Mohammed Ali |
| File Number:3-20184 | Respondents:Sood, Munish |
| File Number:3-20204 | Respondents:Advance Practice Advisors, LLC and Paul C. Spitzer |
| File Number:3-20209 | Respondents:Jones, Robbi J.; and Kipling Jones & Co., Ltd. |
| File Number:3-20238 | Respondents:Alpine Securities Corporation |
| File Number:3-20239 | Respondents:Murphy, Jocelyn |
| File Number:3-20242 | Respondents:Murphy, Michael Sean |
| File Number:3-20248 | Respondents:Perkins, Wesley Kyle |
| File Number:3-20249 | Respondents:World Tree Financial, LLC |
| File Number:3-20282 | Respondents:Dang, Hai Khoa |
| File Number:3-20297 | Respondents:MJ Biotech, Inc. |
| File Number:3-20305 | Respondents:Tucker, Clinton Maurice, II |
| File Number:3-20331 | Respondents:Gagaza, Roy Y. |
| File Number:3-20380 | Respondents:Felix, Wilfredo |
| File Number:3-20387 | Respondents:Titan Securities and Brad C. Brooks |
| File Number:3-20394 | Respondents:Chancey, Paul L. Jr., CPA |
| File Number:3-20400 | Respondents:Rockwell, David Aaron |
| File Number:3-20460 | Respondents:Ortiz, David P. |
| File Number:3-20485 | Respondents:Alpine Securities Corporation |
| File Number:3-20503 | Respondents:Goldschmidt, Alexander |
| File Number:3-20504 | Respondents:Vax, Michael |
| File Number:3-20531 | Respondents:Horter Investment Management, LLC and Drew K. Horter |
| File Number:3-20586 | Respondents:Kamenksy, Daniel B. |
| File Number:3-20597 | Respondents:Resolute Capital Partners Ltd, LLC, et al. |
| File Number:3-20601 | Respondents:Velasco, Carlos Javier Moctezuma |
| File Number:3-20602 | Respondents:Reyes, Noe Corrales |
| File Number:3-20603 | Respondents:Bátiz, Ramón Lafarga |
| File Number:3-20622 | Respondents:Almagarby, Ibrahim |
| File Number:3-20636 | Respondents:Kielczewski, William Joseph |
| File Number:3-20639 | Respondents:DreamFunded Marketplace, LLC; and Fernandez, Manuel |
| File Number:3-20647 | Respondents:Flesche, Paul Eric |
| File Number:3-20650 | Respondents:American CryptoFed DAO LLC |
| File Number:3-20653 | Respondents:Carver, Robert Louis, a/k/a Donald Howard |
| File Number:3-20659 | Respondents:Graham, Hughe Duwayne |
| File Number:3-20680 | Respondents:Paulsen, John A. |
| File Number:3-20695 | Respondents:Moleski, Stephen Scott |
| File Number:3-20703 | Respondents:Lykos, Thomas J., Jr. |
| File Number:3-20705 | Respondents:Wicker, Devin Lamarr |
| File Number:3-20724 | Respondents:Petrolia Energy Corporation |
| File Number:3-20794 | Respondents:Halpern & Associates LLC Barbara Halpern, CPA |
| File Number:3-20795 | Respondents:Allen, Laurence G. |
| File Number:3-20796 | Respondents:Fries, Scott Allen |
| File Number:3-20807 | Respondents:Moss, Ronnie Lee, Jr. |
| File Number:3-20808 | Respondents:Lek Securities Corporation |
| File Number:3-20811 | Respondents:Zipper, Bruce and Dakota Securities International, Inc. |
| File Number:3-20816 | Respondents:Sgarro, Anita |
| File Number:3-20823 | Respondents:Cawthorne, Lynn D. |
| File Number:3-20828 | Respondents:Lemelson, Gregory |
| File Number:3-20839 | Respondents:Herman, Justin Wallace |
| File Number:3-20849 | Respondents:High, Robert Charles II |
| File Number:3-20860 | Respondents:BOX Holdings Group LLC; Box Options Market LLC; and Bertrand, Luc |
| File Number:3-20898 | Respondents:Petroteq Energy, Inc.; Aleksandr Blyumkin |
| File Number:3-20905 | Respondents:Young, James Thomas |
| File Number:3-20913 | Respondents:The Brian Madison Carnes Trust |
| File Number:3-20915 | Respondents:The Brandon Rawls Trust |
| File Number:3-20916 | Respondents:Ihsan Dariush Ibrahim Gholizadeh Inc. Ihsan Dariush Ibrahim Gholizadeh Transfer Trust |
| File Number:3-20917 | Respondents:The Northgate Nobles Greenhouseabe Foreign Grantor Trust |
| File Number:3-20927 | Respondents:McKown, George |
| File Number:3-20928 | Respondents:Gearhart, Richard |
| File Number:3-20935 | Respondents:Burns, Christopher W. |
| File Number:3-20941 | Respondents:LaGuardia, Donald S., Jr. |
| File Number:3-20950 | Respondents:Maccio, Michelle |
| File Number:3-20973 | Respondents:IEH Corporation |
| File Number:3-21000 | Respondents:Michael James Ferguson Jr. Foreign Private Trust |
| File Number:3-21001 | Respondents:Skinner, Matthew J. |
| File Number:3-21011 | Respondents:Chairez, Karina |
| File Number:3-21014 | Respondents:Heckele, Mark W., Esq. |
| File Number:3-21020 | Respondents:Dilley, Carl E. |
| File Number:3-21021 | Respondents:Eldred, Micah J. |
| File Number:3-21030 | Respondents:Vaccarelli, Leon |
| File Number:3-21032 | Respondents:Electropremium |
| File Number:3-21035 | Respondents:Energem Resources, Inc. f/k/a Diamondworks Ltd. |
| File Number:3-21039 | Respondents:Gordon, Lisa |
| File Number:3-21064 | Respondents:Pierre, Ruless a/k/a Rules Pierre |
| File Number:3-21084 | Respondents:Booth, Robert Lenard a/k/a Trevor Nicholas |
| File Number:3-21097 | Respondents:Grenda Group, LLC |
| File Number:3-21098 | Respondents:Grenda, Gregory M. |
| File Number:3-21121 | Respondents:Harrison, Ron K. |
| File Number:3-21125 | Respondents:Glick, Jacob C. |
| File Number:3-21137 | Respondents:Grown Rogue International Inc. f/k/a Novicius Corporation |
| File Number:3-21139 | Respondents:Viener, Ira S., CPA |
| File Number:3-21143 | Respondents:Hardiman, Elbert L., Jr. |
| File Number:3-21152 | Respondents:Sanchez, Jose Luis Casero |
| File Number:3-21159 | Respondents:Lee, Christopher Byungin |
| File Number:3-21160 | Respondents:O'Neal, Sean Andrew |
| File Number:3-21162 | Respondents:Sobel, Lee |
| File Number:3-21206 | Respondents:Broyles, Daniel Thomas |
| File Number:3-21211 | Respondents:Tilford, Richard Gregory |
| File Number:3-21214 | Respondents:Abrahams, Joshua, CPA |
| File Number:3-21220 | Respondents:Shern, Hung Wai "Howard" |
| File Number:3-21222 | Respondents:Allen, Laurence G. |
| File Number:3-21224 | Respondents:Ma, Joan Congyi "JC" |
| File Number:3-21225 | Respondents:Guo, Daliang "David" |
| File Number:3-21231 | Respondents:Geraci, Paul |
| File Number:3-21235 | Respondents:Vandivier, Cindy a/k/a "Madison Brooke or Brookes" |
| File Number:3-21239 | Respondents:Chen, Andy Chin Fong, CPA |
| File Number:3-21241 | Respondents:Tang, Jason Jianxun, CPA |
| File Number:3-21243 | Respondents:American CryptoFed DAO LLC |
| File Number:3-21246 | Respondents:Felix, Wilfredo |
| File Number:3-21257 | Respondents:Marques, John |
| File Number:3-21261 | Respondents:Mattessich, Adam |
| File Number:3-21264 | Respondents:The Peter Joseph Polinski Trust |
| File Number:3-21266 | Respondents:Gramins, Michael A. |
| File Number:3-21270 | Respondents:Keener, Justin W. |
| File Number:3-21280 | Respondents:Davis, DaRayl D. |
| File Number:3-21292 | Respondents:Ameritrust Corporation |
| File Number:3-21298 | Respondents:Wang, Jia Roger Qian, CPA and Wang Certified Public Accountant, P.C. |
| File Number:3-21302 | Respondents:Barrera, Emilio, Jr., (a/k/a Mike Barrera) |
| File Number:3-21303 | Respondents:Reifler, Bradley C. |
| File Number:3-21314 | Respondents:Markowitz, Alan J., CPA |
| File Number:3-21333 | Respondents:Guzman, Gustavo A. |
| File Number:3-21344 | Respondents:Cucinella, John |
| File Number:3-21345 | Respondents:Parker, Bernard M. |
| File Number:3-21364 | Respondents:Beam, Marcus |
| File Number:3-21387 | Respondents:3D Pioneer Systems, Inc. |
| File Number:3-21390 | Respondents:Tranchina, Christopher Peter |
| File Number:3-21400 | Respondents:Sztrom, Michael and Sztrom, David |
| File Number:3-21402 | Respondents:DiPaola, Jason Lynn |
| File Number:3-21414 |
Respondents:Advantego Corporation |
| File Number:3-21462 | Respondents:Sunridge International, Inc. |
| File Number:3-21467 | Respondents:Cohen, Lee |
| File Number:3-21471 | Respondents:Liquidation World, Inc |
| File Number:3-21503 | Respondents:Sturniolo, Joseph Sylvester |
| File Number:3-21516 | Respondents:Mantei, Ricky Alan |
| File Number:3-21525 | Respondents:Bell, Vania Mae |
| File Number:3-21529 |
Respondents:Flynn, Ronald Shane |
| File Number:3-21568 | Respondents:Swanson, Ronald D. |
| File Number:3-21578 | Respondents:Bahgat, Tarek D. |
| File Number:3-21582 | Respondents:The Transportation Group (Securities) Limited |
| File Number:3-21594 | Respondents:Krupp Cash Plus Ltd Partnership |
| File Number:3-21597 | Respondents:Halstead Energy Corp. |
| File Number:3-21598 | Respondents:HomeCapital Investment Corp. |
| File Number:3-21599 | Respondents:Independence Resources PLC |
| File Number:3-21604 | Respondents:Sungroup Inc. |
| File Number:3-21626 | Respondents:Empower Clinics, Inc. |
| File Number:3-21634 | Respondents:JS Beauty Land Network Technology Inc. |
| File Number:3-21654 | Respondents:Ameri Metro, Inc. |
| File Number:3-21656 | Respondents:Kibush Capital Corp. |
| File Number:3-21658 | Respondents:EPIRUS BIOPHARMACEUTICALS, INC. (f/k/a Zalicus, Inc.) |
| File Number:3-21661 | Respondents:INTERDYNE COMPANY |
| File Number:3-21663 | Respondents:Acacia Diversified Holdings, Inc. |
| File Number:3-21664 | Respondents:IMAGINON, INC. |
| File Number:3-21665 | Respondents:Latteno Food Corp. |
| File Number:3-21684 | Respondents:BlueStar Communications Group Inc. |
| File Number:3-21685 | Respondents:Dragon Mining Corporation (a/k/a Dragon Diamond Corporation) |
| File Number:3-21686 | Respondents:Faulding Inc. (n/k/a Alpharma Specialty Pharma) |
| File Number:3-21687 | Respondents:Tauriga Sciences, Inc. |
| File Number:3-21689 | Respondents:ePresence, Inc. |
| File Number:3-21693 | Respondents:Smartchase Corp. |
| File Number:3-21696 | Respondents:Xoma Ltd. |
| File Number:3-21698 | Respondents:EQUUS CAPITAL PARTNERS LP |
| File Number:3-21701 | Respondents:Gosun Communications Limited Inc. |
| File Number:3-21702 | Respondents:Life Clips, Inc. |
| File Number:3-21713 | Respondents:Radale Imports, Inc. |
| File Number:3-21714 | Respondents:Rampart Studios Inc. |
| File Number:3-21715 | Respondents:Lux Amber, Corp. |
| File Number:3-21718 | Respondents:Green Automotive Company |
| File Number:3-21726 | Respondents:Amoah, Brian Bartlett and Elbert “Al” Elliott |
| File Number:3-21739 | Respondents:Life On Earth Inc. |
| File Number:3-21740 | Respondents:ZNERGY, INC. |
| File Number:3-21779 | Respondents:Cboe BZX Exchange, Inc. |
| File Number:3-21788 | Respondents:Holts, Bradley M. |
| File Number:3-21790 | Respondents:Cannon, Eric Christopher |
| File Number:3-21805 | Respondents:Kort, Frederick Maximilian |
| File Number:3-21818 | Respondents:Arnold, Christopher Robert |
| File Number:3-21822 | Respondents:Horn, Jeffrey Alan |
| File Number:3-21831 | Respondents:Hackert, Edward F. |
| File Number:3-21841 | Respondents:Mohidin, Ahmed, CPA, and Weinbaum, George, CPA |
| File Number:3-21862 | Respondents:ACCPAC International, Inc. (n/k/a Sage Software, Inc.) |
| File Number:3-21864 | Respondents:Applied Minerals, Inc. |
| File Number:3-21865 | Respondents:Cang Bao Tian Xia International Art Trade Center, Inc. |
| File Number:3-21866 | Respondents:Ecco Auto World Corporation |
| File Number:3-21867 | Respondents:Edge Data Solutions, Inc. |
| File Number:3-21869 | Respondents:WedoTalk Inc. |
| File Number:3-21870 | Respondents:Western Magnesium Corp. |
| File Number:3-21871 | Respondents:HQDA Elderly Life Network Corp. |
| File Number:3-21872 | Respondents:Ionix Technology, Inc. |
| File Number:3-21873 | Respondents:Global Wholehealth Partners Corporation |
| File Number:3-21874 | Respondents:Green Hygienics Holdings, Inc. |
| File Number:3-21878 | Respondents:nDivision Inc., |
| File Number:3-21879 | Respondents:Edith Pardo Mehler, Esq. |
| File Number:3-21880 | Respondents:Strege, Adam |
| File Number:3-21884 | Respondents:Colambda Technologies, Inc. (f/k/a New Century Resources Corporation) |
| File Number:3-21885 | Respondents: Discovery Energy Corp. |
| File Number:3-21887 | Respondents:ESP Resources, Inc. (n/k/a Great Tang Bid Technology, Inc.) |
| File Number:3-21888 | Respondents:Fearless Films, Inc. |
| File Number:3-21889 | Respondents:Fovea Jewelry Holdings Ltd. |
| File Number:3-21890 | Respondents:Gene Biotherapeutics, Inc. (f/k/a Taxus Cardium Pharmaceuticals Group, Inc.) |
| File Number:3-21915 | Respondents:Burford, Charles Scott, Sr. |
| File Number:3-21919 | Respondents:Miller, William E. |
| File Number:3-21924 | Respondents:Alpine Securities Corporation |
| File Number:3-21925 | Respondents:Nemeckay, Timothy A. |
| File Number:3-21933 | Respondents:NYPPEX, LLC, Laurence Allen, and Michael Schunk |