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:
Alton Theodore Davis, Jr. (Order Extending Time to Issue Decision)
Release No. 34-96190
File Number: 3-19588
Date: Respondents:
Kent Vincent Pearce (Order Extending Time to Issue Decision)
Release No. 34-96192
File Number: 3-19228
Date: Respondents:
Energem Resources, Inc. f/k/a Diamondworks Ltd. (Order Regarding Service)
Release No. 34-96172
File Number: 3-21035
Date: Respondents:
American Pacific Minerals Ltd. (Order to Show Cause)
Release No. 34-96175
File Number: 3-21034
Date: Respondents:
Ustocktrade Securities, Inc. (Order Dismissing Application for Review)
Release No. 34-96173
File Number: 3-20946
Date: Respondents:
Mark W. Heckele, Esq. (Order Regarding Service)
Release No. 34-96174
File Number: 3-21015
Date: Respondents:
Eugenio Garcia Jimenez, Jr. (Order Regarding Service)
Release No. IA-6178
File Number: 3-21122, 3-21122
Date: Respondents:
Consolidated Arbitration Applications (Order Denying FINRA's Motion to Consolidate)
Release No. 34-96179
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:
Doers Education Asean Ltd. (Order to Show Cause)
Release No. 34-96165
File Number: 3-21037
Date: Respondents:
BLGI, Inc. (Order to Show Cause)
Release No. 34-96166
File Number: 3-21025
Date: Respondents:
FAB Universal Corp. (Order to Show Cause)
Release No. 34-96167
File Number: 3-21027
Date: Respondents:
Basic Energy Services, Inc. (Order to Show Cause)
Release No. 34-96168
File Number: 3-21023
Date: Respondents:
Enova Systems, Inc. (Order to Show Cause)
Release No. 34-96169
File Number: 3-21036
Date: Respondents:
Jacob C. Glick (Order Regarding Service)
Release No. IA-6177
File Number: 3-21125
Date: Respondents:
Tasa Products Limited (Order to Show Cause)
Release No. 34-96161
File Number: 3-20994
Date: Respondents:
Vu1 Corporation (Order to Show Cause)
Release No. 34-96162
File Number: 3-20992
Date: Respondents:
VeriTeQ Corporation (Order to Show Cause)
Release No. 34-96163
File Number: 3-20991
Date: Respondents:
Rock Creek Pharmaceuticals, Inc. (Order to Show Cause)
Release No. 34-96147
File Number: 3-21149
Date: Respondents:
Richard G. Duncan (Order Granting Extension of Time)
Release No. 34-96155, IA-6175
File Number: 3-20874
Date: Respondents:
Axion International Holdings, Inc. (Order to Show Cause)
Release No. 34-96131
File Number: 3-21129
Date: Respondents:
6D Global Technologies, Inc. (Order to Show Cause)
Release No. 34-96139
File Number: 3-21128
Date: Respondents:
CannAwake Corporation (Order to Show Cause)
Release No. 34-96140
File Number: 3-21132
Date: Respondents:
Edward Beyn and Craig S. Taddonio (Order Extending Time to Issue Decision)
Release No. 34-96133
File Number: 3-19007, 3-19012
Date: Respondents:
Jonathan William Lonske (Order Extending Time to Issue Decision)
Release No. 34-96135
File Number: 3-20633
Date: Respondents:
Robert L. Bryant III (Order Extending Time to Issue Decision)
Release No. 34-96141
File Number: 3-19892
Date: Respondents:
Gary Edward Haynes (Order Granting Motion to Amend the Order Instituting Proceedings)
Release No. IA-6172
File Number: 3-20086
Date: Respondents:
Glyeco, Inc. (Order to Show Cause)
Release No. 34-96109
File Number: 3-21136
Date: Respondents:
Halo Companies, Inc. (Order to Show Cause)
Release No. 34-96110
File Number: 3-20974
Date: Respondents:
Grown Rogue International Inc. (Fka Novicius Corporation) (Order to Show Cause)
Release No. 34-96116
File Number: 3-21137
Date: Respondents:
Petroteq Energy, Inc. and Aleksandr Blyumkin (Order Requesting Additional Briefing)
Release No. 33-11121, 34-96117
File Number: 3-20898
Date: Respondents:
Union Bridge Holdings Limited (Order to Show Cause)
Release No. 34-96105
File Number: 3-20990
Date: Respondents:
Northern Power Systems Corp. (Order Regarding Service)
Release No. 34-96108
File Number: 3-20987
Date: Respondents:
Qornerstone Inc. (Order Regarding Prehearing Conference)
Release No. 34-96096
File Number: 3-20988
Date: Respondents:
Champion Pain Care Corp. (f/k/a Oicco Acquisition I, Inc.) (Order to Show Cause)
Release No. 34-96097
File Number: 3-20967
Date: Respondents:
Bridgeway National Corp. (Order Regarding Service)
Release No. 34-96098
File Number: 3-21060
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision)
Release No. 34-96099
File Number: 3-19185
Date: Respondents:
Ronnie Lee Moss, Jr. (Order Requesting Additional Briefing and Materials)
Release No. 34-96089
File Number: 3-20807
Date: Respondents:
Richard Gearhart (Order Regarding Service)
Release No. IA-6170
File Number: 3-20928, 3-20928
Date: Respondents:
George McKown (Order Regarding Service)
Release No. IA-6171
File Number: 3-20927, 3-20927
Date: Respondents:
Laurie Bebo and John Buono, CPA (Order Extending Time to Issue Decision)
Release No. 34-96092
File Number: 3-16293
Date: Respondents:
Curtis Richard Edmark (Order Extending Time to Issue Decision)
Release No. 34-96093
File Number: 3-19594
Date: Respondents:
Corporate Resource Services, Inc. (Order to Show Cause)
Release No. 34-96080
File Number: 3-21040
Date: Respondents:
DirectView Holdings, Inc. (Order Regarding Service)
Release No. 34-96087
File Number: 3-21041
Date: Respondents:
Lek Securities Corporation (Order Scheduling Supplemental Briefs)
Release No. 34-96078
File Number: 3-20665
Date: Respondents:
Carl E. Dilley (Order Denying Respondent's Motion to Stay Proceeding and Granting Respondent's Request for an Extension of Time to File an Answer)
Release No. 34-96079
File Number: 3-21020
Date: Respondents:
Micah J. Eldred (Order Denying Respondent's Motion to Stay Proceeding and Granting Respondent's Request for an Extension of Time to File an Answer)
Release No. 34-96083
File Number: 3-21021
Date: Respondents:
Dominion Minerals Corp. (Order to Show Cause)
Release No. 34-96057
File Number: 3-20970
Date: Respondents:
Findex.Com, Inc. (Order to Show Cause)
Release No. 34-96058
File Number: 3-20972
Date: Respondents:
Halo Companies, Inc. (Order Regarding Service)
Release No. 34-96059
File Number: 3-20974
Date: Respondents:
Theron Resource Group (Order to Show Cause)
Release No. 34-96063
File Number: 3-20506
Date: Respondents:
David E. Jennings (Order Scheduling Briefs and Denying FINRA's Motion to Consolidate and Postpone Briefing)
Release No. 34-96070
File Number: 3-21073
Date: Respondents:
Adaptive Medias, Inc. (Order to Show Cause)
Release No. 34-96040
File Number: 3-21033
Date: Respondents:
Generex Biotechnology Corporation (Order Regarding Service)
Release No. 34-96041
File Number: 3-21148
Date: Respondents:
Grown Rogue International Inc. (Fka Novicius Corporation) (Order Regarding Service)
Release No. 34-96043
File Number: 3-21137
Date: Respondents:
Lescarden Inc. (Order Regarding Service)
Release No. 34-96045
File Number: 3-20979
Date: Respondents:
Insulcrete, Inc. (Order to Show Cause)
Release No. 34-96049
File Number: 3-20978
Date: Respondents:
Baynon International Corp. (Order Regarding Prehearing Conference)
Release No. 34-96051
File Number: 3-20964
Date: Respondents:
Glen Rose Petroleum Corp (Order to Show Cause)
Release No. 34-96052
File Number: 3-21028
Date: Respondents:
Fuquan Financial Company (Order Regarding Service)
Release No. 34-96053
File Number: 3-21147
Date: Respondents:
Glyeco, Inc. (Order Regarding Service)
Release No. 34-96054
File Number: 3-21136
Date: Respondents:
Andes7, Inc. (Order Regarding Service)
Release No. 34-96055
File Number: 3-20977
Date: Respondents:
Alanco Technologies, Inc. (Order Regarding Service)
Release No. 34-96056
File Number: 3-20976
Date: Respondents:
Lek Securities Corporation (Order Granting Request for Dismissal of Application for Review)
Release No. 34-96035
File Number: 3-20543
Date: Respondents:
Richard G. Duncan (Supplemental Order Regarding Service)
Release No. 34-96036, IA-6168
File Number: 3-20874
Date: Respondents:
Michael James Ferguson Jr. Foreign Private Trust (Order Regarding Service)
Release No. 34-96037
File Number: 3-21000
Date: Respondents:
Robbi J. Jones and Kipling Jones & Co., Ltd. (Order Extending Time to Issue Decision)
Release No. 34-96039
File Number: 3-20209
Date: Respondents:
Consolidated Arbitration Applications (Order Extending Time to Issue Decision)
Release No. 34-96048
File Number: 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919
Date: Respondents:
Douglas Martin (Order Regarding Prehearing Conference)
Release No. 34-96050
File Number: 3-21010
Date: Respondents:
Hygge Integrated Brands Corp. (Order to Show Cause)
Release No. 34-96013
File Number: 3-21057
Date: Respondents:
Metwood Inc. (a/k/a Emerge Health International Inc.) (Order to Show Cause)
Release No. 34-96020
File Number: 3-20980
Date: Respondents:
Gold Camp Cripple Creek Colorado, Inc. (Order to Show Cause)
Release No. 34-96022
File Number: 3-21044
Date: Respondents:
Gold Capital Corp. /CO/ (Order to Show Cause)
Release No. 34-96024
File Number: 3-21046
Date: Respondents:
Champion Pain Care Corp. (f/k/a Oicco Acquisition I, Inc.) (Corrected Order Regarding Service)
Release No. 34-96026
File Number: 3-20967
Date: Respondents:
Omphalos, Corp. (Order to Show Cause)
Release No. 34-96027
File Number: 3-20747
Date: Respondents:
Timothy W. Carnahan and Cyios Corporation (Order Extending Time to Issue Decision)
Release No. 33-11119, 34-96016
File Number: 3-16386
Date: Respondents:
Eyecity.Com, Inc. (n/k/a Carex Blockchain Platform, Inc.) (Order Extending Time to Issue Decision)
Release No. 34-96015
File Number: 3-19406
Date: Respondents:
Jennifer Anne Johnston (Order Extending Time to Issue Decision)
Release No. 34-96017
File Number: 3-20120
Date: Respondents:
Daniel Paul Motherway (Order Extending Time to Issue Decision)
Release No. 34-96019
File Number: 3-19897
Date: Respondents:
Robert R. Tweed (Order Extending Time to Issue Decision)
Release No. 34-96030
File Number: 3-19652
Date: Respondents:
Saving2Retire, LLC and Marian P. Young (Order Extending Time to Issue Decision)
Release No. IA-6166
File Number: 3-17352
Date: Respondents:
Michele Gray (Order Extending Time to Issue Decision)
Release No. 34-96028
File Number: 3-20651
Date: Respondents:
Good Vibration Shoes, Inc. (n/k/a Allied Corp.) (Order Extending Time to Issue Decision)
Release No. 34-96029
File Number: 3-19407
Date: Respondents:
Eric S. Smith (Order Extending Time to Issue Decision)
Release No. 34-96031
File Number: 3-20127
Date: Respondents:
Newbridge Global Ventures, Inc. (Order Regarding Prehearing Conference)
Release No. 34-95998
File Number: 3-20981
Date: Respondents:
Charles Myrick Winstead (Opinion of the Commission)
Release No. 34-95997, IA-6161
File Number: 3-19151
Date: Respondents:
Thomas H. Vetter (Order Regarding Prehearing Conference)
Release No. 34-95999
File Number: 3-19606
Date: Respondents:
Centaurus Diamond Technologies, Inc. (Order to Show Cause)
Release No. 34-95984
File Number: 3-21061
Date: Respondents:
34-95954,public://migration/litigation/opinions/2022/34-95954.pdf,September 30
Release No. 34-95973
File Number: 3-20982
Date: Respondents:
Tara Gold Resources Corp. (Order Regarding Service)
Release No. 34-95974
File Number: 3-20983
Date: Respondents:
Plantation Corp. (Order to Show Cause)
Release No. 34-95975
File Number: 3-20985
Date: Respondents:
Novelion Therapeutics Inc. (Order to Show Cause)
Release No. 34-95977
File Number: 3-20984
Date: Respondents:
NMI Health, Inc. (Order to Show Cause)
Release No. 34-95979
File Number: 3-20986
Date: Respondents:
Ira S. Viener, CPA (Order Regarding Service)
Release No. 34-95980, AAER-4353
File Number: 3-21139
Date: Respondents:
The Edward Walker Benifield Trust
Release No. 34-95954
File Number: 3-20914
Date: Respondents:
Deep ATS, LLC (Order Extending Time to Issue Decision)
Release No. 34-95955
File Number: 3-20362
Date: Respondents:
Bravo Enterprises Ltd. (Order to Show Cause)
Release No. 34-95946
File Number: 3-20965
Date: Respondents:
Ryan William Mummert (Order Extending Time to Issue Decision)
Release No. 34-95907
File Number: 3-20210
Date: Respondents:
Metatron, Inc. (Order Extending Time to Issue Decision)
Release No. 34-95908
File Number: 3-18567
Date: Respondents:
Destination Maternity Corporation (Order to Show Cause)
Release No. 34-95888
File Number: 3-20969
Date: Respondents:
Patrick Morgan Schiro (Order to Show Cause)
Release No. 34-95895
File Number: 3-19920
1101 to 1200 of 4976 items