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:
China Crescent Enterprises, Inc. (Opinion of the Commission)
Release No. 34-99576
File Number: 3-21670
Date: Respondents:
Actua Corp. (Opinion of the Commission)
Release No. 34-99575
File Number: 3-21624
Date: Respondents:
JS Beauty Land Network Technology Inc. (Opinion of the Commission)
Release No. 34-99574
File Number: 3-21634
Date: Respondents:
ForceField Energy Inc. (Opinion of the Commission)
Release No. 34-99573
File Number: 3-21645
Date: Respondents:
Atlantic Industries Inc. /Co/ (Opinion of the Commission)
Release No. 34-99565
File Number: 3-21623
Date: Respondents:
Paul Eric Flesche (Order Extending Time to Issue Decision)
Release No. 34-99564
File Number: 3-20647
Date: Respondents:
James Thomas Young (Order Extending Time to Issue Decision)
Release No. 34-99562
File Number: 3-20905
Date: Respondents:
Devin Lamarr Wicker (Order Extending Time to issue Decision)
Release No. 34-99561
File Number: 3-20705
Date: Respondents:
Metatron, Inc. (Opinion of the Commission)
Release No. 34-99558
File Number: 3-18567
Date: Respondents:
Electropremium (Order Extending Time to Issue Decision)
Release No. 33-11272
File Number: 3-21032
Date: Respondents:
Emilio Barrera, Jr., a/k/a Mike Barrera (Order Directing Submission from the Division of Enforcement)
Release No. 34-99563
File Number: 3-21302
Date: Respondents:
Realmark Property Investors Ltd Partnership IV (Opinion of the Commission)
Release No. 34-99542
File Number: 3-21618
Date: Respondents:
Realmark Property Investors Ltd Partnership III (Opinion of the Commission)
Release No. 34-99543
File Number: 3-21617
Date: Respondents:
Xeikon NV (Opinion of the Commission)
Release No. 34-99544
File Number: 3-21619
Date: Respondents:
Wilfredo Felix (Order Extending Time to Issue Decision)
Release No. 34-99547
File Number: 3-21246
Date: Respondents:
Thomas Lee Johnson (Order Extending Time to Issue Decision)
Release No. 34-99546
File Number: 3-20646
Date: Respondents:
Realmark Property Investors Ltd Partnership Vi-B (a/k/a Realmark Property Investors Limited Partnership - VI B) (Opinion of the Commission)
Release No. 34-99536
File Number: 3-21603
Date: Respondents:
William M. Apostelos (Opinion of the Commission)
Release No. 34-99539, IA-6557
File Number: 3-19435
Date: Respondents:
Stephen Condon Peters (Opinion of the Commission)
Release No. IA-6556
File Number: 3-19635
Date: Respondents:
Marcus Beam (Order Discharging Order to Show Cause, Directing Prehearing Conference, and Reminding Respondent of His Obligation to Send His Filings to the Office of the Secretary)
Release No. IA-6555
File Number: 3-21364
Date: Respondents:
China Pacific, Inc. (n/k/a Yorkston Holdings, Inc.) (Opinion of the Commission)
Release No. 34-99525
File Number: 3-21596
Date: Respondents:
Sachin K. Uppal (Order Denying Request to Vacate Collateral Bars)
Release No. IA-6554
File Number: 3-16706-rtv
Date: Respondents:
TAYC Capital Trust I (Opinion of the Commission)
Release No. 34-99514
File Number: 3-21592
Date: Respondents:
Teltrust, Inc. (Opinion of the Commission)
Release No. 34-99515
File Number: 3-21593
Date: Respondents:
Wang, Jia Roger Qian, CPA and Wang Certified Public Accountant, P.C.
Release No. 34-99518, AAER-4489
File Number: 3-21298
Date: Respondents:
Robert Vallone (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Release No. 34-99509, IC-6553
File Number: 3-15046-rtv
Date: Respondents:
Matthew J. Skinner (Order Denying Motion to Appoint Counsel, Denying Motion for Jury Trial, and Directing Prehearing Conference)
Release No. 34-99506
File Number: 3-21001
Date: Respondents:
Sergey Pustelnik a/k/a Serge Pustelnik (Opinion of the Commission)
Release No. 34-99493
File Number: 3-19798
Date: Respondents:
Nano World Projects Corp. (Order Directing Additional Briefing)
Release No. 34-99486
File Number: 3-21595
Date: Respondents:
Vania May Bell (Renewed Order to Show Cause)
Release No. IA-6544
File Number: 3-21525
Date: Respondents:
Leon Vaccarelli (Order Clarifying Status of Proceeding, Setting New Response Date to October 2023 Order, and Providing a Copy of The Rules of Practice)
Release No. 34-99485
File Number: 3-21030
Date: Respondents:
Nicholas J. Genovese (Order Regarding Prehearing Conference)
Release No. IA-6542
File Number: 3-19733
Date: Respondents:
Christopher Robert Arnold (Order Scheduling Briefs)
Release No. 34-99463
File Number: 3-21818
Date: Respondents:
Edward F. Hackert, CPA (Order Regarding Service)
Release No. 33-11268, 34-99461, AAER-4486
File Number: 3-21831
Date: Respondents:
3D PIONEER SYSTEMS, INC. (Second Order Regarding Service)
Release No. 34-99453
File Number: 3-21387
Date: Respondents:
Jia Roger Qian Wang and Wang Certified Public Accountant, P.C (Order Extending Briefing Deadlines On Motion for Summary Disposition and Postponing Other Deadlines)
Release No. 34-99448, AAER-4484
File Number: 3-21298
Date: Respondents:
Ronald Shane Flynn (Order Granting Motion to Amend the Order Instituting Proceedings)
Release No. 34-99443
File Number: 3-21529
Date: Respondents:
Jose Luis Casero Sanchez (Order Deeming Service Effective and Directing Respondent to File Answer)
Release No. 34-99442, IA-6538
File Number: 3-21152
Date: Respondents:
Decision Diagnostics Corp. (Opinion of the Commission)
Release No. 34-99439
File Number: 3-19788
Date: Respondents:
Frederick Maximilian Kort (Order Granting Request to Dismiss Application for Review)
Release No. 34-99438
File Number: 3-21805
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
101 to 200 of 4954 items