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:
American CryptoFed DAO LLC (Order Denying Motions to Seal)
Release No. 34-96498
File Number: 3-20650
Date: Respondents:
Trevor Michael Saliba (Extension Order)
Release No. 34-96515
File Number: 3-18989
Date: Respondents:
Consolidated Arbitration Applications (Order Extending Time to Issue Decision)
Release No. 34-96497
File Number: 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20499, 3-20620, 3-20621
Date: Respondents:
Mark Feathers (Order Extending Time to Issue Decision)
Release No. 34-96478
File Number: 3-15755
Date: Respondents:
Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision)
Release No. 34-96479
File Number: 3-18999
Date: Respondents:
Silver Leaf Partners, LLC (Order Extending Time to Issue Decision)
Release No. 34-96483
File Number: 3-19896
Date: Respondents:
Michael Andrew DeMaria (Order Extending Time to Issue Decision)
Release No. 34-96484
File Number: 3-20199
Date: Respondents:
Robert Juan Escobio (Order Extending Time to Issue Decision)
Release No. 34-96491
File Number: 3-20260
Date: Respondents:
Gary Edward Haynes (Order to Show Cause)
Release No. IA-6202
File Number: 3-20086
Date: Respondents:
Northern Power Systems Corp. (Order to Show Cause)
Release No. 34-96470
File Number: 3-20987
Date: Respondents:
Robert Charles High, II (Order Granting an Extension of Time)
Release No. 34-96462, IA-6201
File Number: 3-20849
Date: Respondents:
Alpine Securities Corporation and Matthew Iverson (Order Scheduling Briefs)
Release No. 34-96463
File Number: 3-21228
Date: Respondents:
Trevor Michael Saliba (Order Scheduling Briefs)
Release No. 34-96464
File Number: 3-18989r, 3-18989
Date: Respondents:
Sleepaid Holding Co. n/k/a QDM, Inc. (Order to Show Cause)
Release No. 34-96451
File Number: 3-21091
Date: Respondents:
WATER NOW, INC. (Order to Show Cause)
Release No. 34-96455
File Number: 3-21127
Date: Respondents:
Michael Assenza aka Michael Grimaldi (Order Granting Joint Motion to Stay)
Release No. 34-96449
File Number: 3-21233
Date: Respondents:
Elbert L. Hardiman, Jr. (Order Regarding Service)
Release No. IA-6200
File Number: 3-21143
Date: Respondents:
Benjamin Durant, III (Opinion of the Commission)
Release No. 34-96445, IA-6198
File Number: 3-20111
Date: Respondents:
Digital Brand Media & Marketing Group, Inc. (Order Extending Time to Issue Decision)
Release No. 34-96446
File Number: 3-17990
Date: Respondents:
Jose G. Ramirez, Jr. (Opinion of the Commission)
Release No. 34-96440
File Number: 3-19195
Date: Respondents:
Donald Howard (Order Directing Status Report from The Division Of Enforcement)
Release No. 34-96441
File Number: 3-20653
Date: Respondents:
Joshua Abrahams, CPA (Order Granting an Extension of Time)
Release No. 34-96442
File Number: 3-21214
Date: Respondents:
Northern Power Systems Corp (Order Regarding Service)
Release No. 34-96417
File Number: 3-20987
Date: Respondents:
Karina Chairez (Order Regarding Service)
Release No. 34-96418
File Number: 3-21011
Date: Respondents:
Leon Vaccarelli (Order to Show Cause)
Release No. 34-96420, IA-6196
File Number: 3-21030
Date: Respondents:
Charles K. Topping (Second Order Regarding Service)
Release No. 34-96421
File Number: 3-20817
Date: Respondents:
Eugenio Garcia Jimenez, Jr. (Order to Show Cause)
Release No. IA-6197
File Number: 3-21122, 3-21122
Date: Respondents:
Gary Edward Haynes (Order Regarding Service of Amended Order Instituting Administrative Proceedings)
Release No. 34-96424
File Number: 3-20086
Date: Respondents:
View Systems, Inc. (Order Directing Status Report from The Division Of Enforcement)
Release No. 34-96405
File Number: 3-21131
Date: Respondents:
Ernest J. Romer (Opinion of the Commission)
Release No. 34-96406
File Number: 3-19006
Date: Respondents:
John Sherman Jumper (Opinion of the Commission)
Release No. 34-96407, IA-6193
File Number: 3-18960
Date: Respondents:
Paul Horton Smith, Sr. (Order Directing Status Report from The Division Of Enforcement)
Release No. IA-6194
File Number: 3-20134
Date: Respondents:
Ismail Elmas (Opinion of the Commission)
Release No. 34-96409, IA-6195
File Number: 3-18845
Date: Respondents:
LegacyXChange, Inc.
Release No. 34-96401
File Number: 3-20058
Date: Respondents:
Steele Oceanic Corporation (Order to Show Cause)
Release No. 34-96398
File Number: 3-21130
Date: Respondents:
Travis A. Branch (Opinion of the Commission)
Release No. 34-96397
File Number: 3-18791
Date: Respondents:
Robert Lenard Booth a/k/a Trevor Nicholas (Order to Show Cause)
Release No. 34-96400
File Number: 3-21084
Date: Respondents:
Michael K. Martin (Order to Show Cause)
Release No. 34-96402
File Number: 3-19608
Date: Respondents:
Scott Allen Fries (Order Regarding Service)
Release No. 34-96404, IA-6192
File Number: 3-20796
Date: Respondents:
Michelle Maccio (Order to Show Cause)
Release No. IA-6191
File Number: 3-20950, 3-20950
Date: Respondents:
Alpine Securities Corporation (Order Extending Time to Issue Decision)
Release No. 34-96387
File Number: 3-18979
Date: Respondents:
Michael Joseph Clarke (Order Extending Time to Issue Decision)
Release No. 34-96388
File Number: 3-20126
Date: Respondents:
Wilfredo Felix (Order Extending Time to Issue Decision)
Release No. 34-96389
File Number: 3-20380
Date: Respondents:
Laurence G. Allen (Order Scheduling Briefs)
Release No. 34-96390
File Number: 3-21222
Date: Respondents:
Laurence G. Allen (Order Denying Motion for a Stay)
Release No. 34-96391
File Number: 3-21222
Date: Respondents:
Edward Beyn and Craig S. Taddonio (Order Extending Time to Issue Decision)
Release No. 34-96385
File Number: 3-19012, 3-19007
Date: Respondents:
Lescarden Inc. (Order to Show Cause)
Release No. 34-96371
File Number: 3-20979
Date: Respondents:
Edward M. Daspin a/k/a "Edward (Ed) Michael" (Order Extending Time to Issue Decision)
Release No. 33-11135, 34-96365
File Number: 3-16509
Date: Respondents:
Cynthia Mary Couyoumjian (Order Extending Time to Issue Decision)
Release No. 34-96369
File Number: 3-20154
Date: Respondents:
Thomas Christophe Prentice (Order Extending Time to Issue Decision)
Release No. 34-96370
File Number: 3-18894
Date: Respondents:
Lee C. Schlesinger (Order Dismissing Proceeding)
Release No. 34-96372
File Number: 3-19775
Date: Respondents:
Van Nuys Studios, Inc. (Order Regarding Service)
Release No. 34-96350
File Number: 3-21092
Date: Respondents:
Taronis Technologies, Inc., n/k/a BBHC, Inc. (Order to Show Cause)
Release No. 34-96358
File Number: 3-21019
Date: Respondents:
Jason Schwarz (Order Granting an Extension of Time)
Release No. IA-6187
File Number: 3-21202
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision)
Release No. 34-96339
File Number: 3-19185
Date: Respondents:
Ira S. Viener (Second Order Regarding Service)
Release No. 34-96325, AAER-4365
File Number: 3-21139
Date: Respondents:
Warren A. Davis (Order Requesting Briefs)
Release No. 34-96326
File Number: 3-19814
Date: Respondents:
Gibraltar Global Securities, Inc. (Order Requesting Briefs)
Release No. 34-96328
File Number: 3-19815
Date: Respondents:
WATER NOW, INC. (Order Regarding Service)
Release No. 34-96314
File Number: 3-21127
Date: Respondents:
China XD Plastics Company Limited (Order to Show Cause)
Release No. 34-96316
File Number: 3-21138
Date: Respondents:
Original Source Music, Inc. (Order to Show Cause)
Release No. 34-96317
File Number: 3-21068
Date: Respondents:
Enigma MPC, Inc. (Order to Show Cause)
Release No. 34-96318
File Number: 3-21117
Date: Respondents:
TC Acquisition Corp. (Order to Show Cause)
Release No. 34-96319
File Number: 3-21109
Date: Respondents:
Shaun Perry Nicholson (Order Extending Time to Issue Decision)
Release No. 34-96323
File Number: 3-20529
Date: Respondents:
Consolidated Arbitration Applications (Order Extending Time To Issue Decision)
Release No. 34-96300
File Number: 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20467, 3-20499, 3-20620, 3-20621
Date: Respondents:
Grown Rogue International Inc. (Order Directing Prehearing Conference)
Release No. 34-96301
File Number: 3-21137
Date: Respondents:
Christopher M. Gibson (Order Extending Time To Issue Decision)
Release No. 34-96302, IA-6186, IC-34750
File Number: 3-17184
Date: Respondents:
The Robare Group, et al. (Order Extending Time To Issue Decision)
Release No. 34-96303
File Number: 3-16047
Date: Respondents:
David E. Jennings (Order Granting Motion To Withdraw Application For Review)
Release No. 34-96304
File Number: 3-21073
Date: Respondents:
Metwood Inc. (Order Granting Extension of Time)
Release No. 34-96280
File Number: 3-20980
Date: Respondents:
NuGenerex Immuno-Oncology, Inc. (Order to Show Cause)
Release No. 34-96283
File Number: 3-21066
Date: Respondents:
Earth Search Sciences, Inc. (Order to Show Cause)
Release No. 34-96284
File Number: 3-21116
Date: Respondents:
AngioGenex, Inc (Order to Show Cause)
Release No. 34-96287
File Number: 3-21124
Date: Respondents:
Globe Photos, Inc. (Order to Show Cause)
Release No. 34-96288
File Number: 3-21076
Date: Respondents:
Alpine Securities Corporation (Order Denying Motion for Stay)
Release No. 34-96293
File Number: 3-20238
Date: Respondents:
DirectView Holdings, Inc.
Release No. 34-96256
File Number: 3-21041
Date: Respondents:
Alanco Technologies, Inc. (Order to Show Cause)
Release No. 34-96265
File Number: 3-20976
Date: Respondents:
Guozi Zhongyu Capital Holdings (Order to Show Cause)
Release No. 34-96266
File Number: 3-21146
Date: Respondents:
Baynon International Corp. (Order Granting Extension of Time)
Release No. 34-96267
File Number: 3-20964
Date: Respondents:
Petrone Worldwide, Inc. (Order to Show Cause)
Release No. 34-96269
File Number: 3-21085
Date: Respondents:
Andes7, Inc. (Order to Show Cause)
Release No. 34-96271
File Number: 3-20977
Date: Respondents:
Glohab, Inc. (Order to Show Cause)
Release No. 34-96273
File Number: 3-21077
Date: Respondents:
Wesley Kyle Perkins and World Tree Financial, LLC (Order Denying Motions to Withdraw as Counsel for Respondents and Extending the Time for Respondents to File a Brief Opposing Summary Disposition and for the Division of Enforcement to File a Reply)
Release No. 34-96258, IA-6184
File Number: 3-20248, 3-20249
Date: Respondents:
Anita Sgarro (Second Order Regarding Status Report)
Release No. 34-96268
File Number: 3-20816
Date: Respondents:
Sandeep Varma (Order Extending Time to Issue Decision)
Release No. 34-96276
File Number: 3-20317
Date: Respondents:
BlackBook Capital, Inc., and Franklin Ogele (Order Extending Time to Issue Decision)
Release No. 34-96277
File Number: 3-19771
Date: Respondents:
Wilson-Davis & Co., et al. (Order Extending Time to Issue Decision)
Release No. 34-96278
File Number: 3-19666
Date: Respondents:
Bridgeway National Corp. (Order to Show Cause)
Release No. 34-96233
File Number: 3-21060
Date: Respondents:
Michael James Ferguson Jr. Foreign Private Trust (Order to Show Cause)
Release No. 34-96220
File Number: 3-21000
Date: Respondents:
Ira S. Viener, CPA (Order)
Release No. 34-96224, AAER-4362
File Number: 3-21139
Date: Respondents:
Premier Holding Corp. (Order to Show Cause)
Release No. 34-96195
File Number: 3-21086
Date: Respondents:
Sky Wolf Wind Turbine Corp. (Order to Show Cause)
Release No. 34-96200
File Number: 3-21088
Date: Respondents:
Fuquan Financial Company (Order to Show Cause)
Release No. 34-96202
File Number: 3-21147
Date: Respondents:
Taronis Technologies, Inc. (n/k/a BBHC, Inc.) (Order Regarding Service)
Release No. 34-96204
File Number: 3-21019
Date: Respondents:
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-96196, AAER-4361
File Number: 3-18292
Date: Respondents:
View Systems, Inc. (Order Regarding Service)
Release No. 34-96181
File Number: 3-21131
Date: Respondents:
Douglas Martin (Order Granting Motion to Stay)
Release No. 34-96184
File Number: 3-21010
Date: Respondents:
Robert Charles High, II (Order Regarding Service)
Release No. 34-96186, IA-6179
File Number: 3-20849
Date: Respondents:
Joseph S. Amundsen, Michael T. Remus and Michael Remus CPA (Order Extending Time to Issue Decision)
Release No. 34-96188
File Number: 3-18994
Date: Respondents:
James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Order Extending Time to Issue Decision)
Release No. 33-11128, 34-96189, IA-6180, IC-34744
File Number: 3-17253
1001 to 1100 of 4976 items