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:
Northgate Nobles GreenhouseABE Foreign Grantor Trust (Order Directing Submission from the Division of Enforcement)
Release No. 34-95897
File Number: 3-20917
Date: Respondents:
The Brandon Rawls Trust (Order Directing Submission from the Division of Enforcement)
Release No. 34-95901
File Number: 3-20915
Date: Respondents:
The Brian Madison Carnes Trust (Order Directing Submission from the Division of Enforcement)
Release No. 34-95904
File Number: 3-20913
Date: Respondents:
Edward Beyn and Craig S. Taddonio (Order Extending Time to Issue Decision)
Release No. 34-95905
File Number: 3-19007, 3-19012
Date: Respondents:
Matthew R. Rossi and SJL Capital, LLC (Order Extending Time to Issue Decision)
Release No. 33-11103, 34-95819, IA-6135
File Number: 3-19145
Date: Respondents:
American CryptoFed DAO LLC (Order Requesting Additional Briefing)
Release No. 34-95812
File Number: 3-20650
Date: Respondents:
Petroteq Energy, Inc. and Aleksandr Blyumkin (Order Requesting Additional Briefing)
Release No. 33-11100, 34-95809
File Number: 3-20898
Date: Respondents:
Neil Burkholz (Order Dismissing Proceeding)
Release No. IA-6132
File Number: 3-19849
Date: Respondents:
American CryptoFed DAO LLC
Release No. 34-95799
File Number: 3-20650
Date: Respondents:
Robert Juan Escobio (Order Extending Time to Issue Decision)
Release No. 34-95776
File Number: 3-20260
Date: Respondents:
Silver Leaf Partners, LLC (Order Extending Time to Issue Decision)
Release No. 34-95757
File Number: 3-19896
Date: Respondents:
John Doe (Extension Order)
Release No. 34-95743
File Number: 3-21013
Date: Respondents:
Mark Feathers (Order Extending Time to Issue Decision)
Release No. 34-95755
File Number: 3-15755
Date: Respondents:
Michael Andrew Demaria (Order Extending Time to Issue Decision)
Release No. 34-95756
File Number: 3-20199
Date: Respondents:
Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision)
Release No. 34-95758
File Number: 3-18999
Date: Respondents:
Consolidated Arbitration Applications (Order Extending Time to Issue Decision)
Release No. 34-95759
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:
Shawn K. Dicken (Order Discharging Order to Show Cause and Directing Prehearing Conference)
Release No. 34-95762
File Number: 3-18831
Date: Respondents:
Zenosense, Inc. (Order to Show Cause)
Release No. 34-95731
File Number: 3-20743
Date: Respondents:
Bare Metal Standard, Inc. (a/k/a as Capital, Inc.)
Release No. 34-95740
File Number: 3-20716
Date: Respondents:
IEH Corporation (Order Granting an Extension of Time)
Release No. 34-95730
File Number: 3-20973
Date: Respondents:
Digital Brand Media & Marketing Group, Inc. (Order Extending Time to Issue Decision)
Release No. 34-95675
File Number: 3-17990
Date: Respondents:
Apawthecary Pets USA (Opinion of the Commission)
Release No. 34-95659
File Number: 3-20715
Date: Respondents:
CurAegis Technologies, Inc. (Opinion of the Commission)
Release No. 34-95660
File Number: 3-20762
Date: Respondents:
ZhongTai Biotechnology Pharmaceutical Group Co., Ltd. (Order to Show Cause)
Release No. 34-95661
File Number: 3-20744
Date: Respondents:
Matthew R. Logan (Extension Order)
Release No. 34-95652
File Number: 3-20922
Date: Respondents:
John Doe (Order Requesting Additional Written Submissions)
Release No. 34-95662
File Number: 3-21013
Date: Respondents:
Ustocktrade Securities, Inc. (Order Scheduling Briefs)
Release No. 34-95645
File Number: 3-20946
Date: Respondents:
Stephen Condon Peters (Order Requesting Additional Briefing and Denying Stay as Moot)
Release No. IA-6102
File Number: 3-19635
Date: Respondents:
IEH Corporation (Order Granting an Extension of Time)
Release No. 34-95639
File Number: 3-20973
Date: Respondents:
Anita Sgarro (Order Regarding Status Report)
Release No. 34-95636
File Number: 3-20816
Date: Respondents:
Neil Burkholz (Third Supplemental Order Regarding Service)
Release No. IA-6101
File Number: 3-19849
Date: Respondents:
Hughe Duwayne Graham (Postponement Order)
Release No. 34-95638
File Number: 3-20659
Date: Respondents:
Global Seed Corp. (Order to Show Cause)
Release No. 34-95623
File Number: 3-20734
Date: Respondents:
Wilfredo Felix (Order Extending Time to Issue Decision)
Release No. 34-95624
File Number: 3-20380
Date: Respondents:
Yaniv Avnon, Ran Armon and G Six Trading Y.R. Ltd. (Order Granting Motion to Intervene and Stay Proceedings)
Release No. 34-95629
File Number: 3-19719
Date: Respondents:
Michael Joseph Clarke (Order Extending Time to Issue Decision)
Release No. 34-95631
File Number: 3-20126
Date: Respondents:
Alpine Securities Corporation (Order Extending Time to Issue Decision)
Release No. 34-95632
File Number: 3-18979
Date: Respondents:
Paul Horton Smith, Sr. (Order Regarding Service)
Release No. IA-6100
File Number: 3-20134
Date: Respondents:
Ronnie Lee Moss, Jr. (Order to Show Cause)
Release No. 34-95633
File Number: 3-20807
Date: Respondents:
Global Boatworks Holdings, Inc. (Order to Show Cause)
Release No. 34-95606
File Number: 3-20804
Date: Respondents:
Ihsan Dariush Ibrahim Gholizadeh Inc. and Ihsan Dariush Ibrahim Gholizadeh Transfer Trust (Order)
Release No. 34-95598
File Number: 3-20916
Date: Respondents:
Wendy Elizabeth Sill Trust (Order)
Release No. 34-95599
File Number: 3-20918
Date: Respondents:
Safety First Healthcare Corp. (Opinion of the Commission)
Release No. 34-95595
File Number: 3-20779
Date: Respondents:
Richard G. Duncan (Order Regarding Service)
Release No. 34-95591, IA-6096
File Number: 3-20874
Date: Respondents:
Edward Beyn and Craig S. Taddonio (Order Extending Time to Issue Decision)
Release No. 34-95592
File Number: 3-19012, 3-19007
Date: Respondents:
Sonant Systems, Inc. (Opinion of the Commission)
Release No. 34-95580
File Number: 3-20759
Date: Respondents:
Symphony Acquisition Corp. (Opinion of the Commission)
Release No. 34-95582
File Number: 3-20760
Date: Respondents:
CMS Asset Holdings, Inc. (Opinion of the Commission)
Release No. 34-95583
File Number: 3-20761
Date: Respondents:
Randolph Capital Group, Inc. (Opinion of the Commission)
Release No. 34-95585
File Number: 3-20778
Date: Respondents:
Virolab, Inc. (Opinion of the Commission)
Release No. 34-95586
File Number: 3-20775
Date: Respondents:
Xodtec Group USA, Inc. (Opinion of the Commission)
Release No. 34-95587
File Number: 3-20776
Date: Respondents:
Double Down Holdings, Inc. (Opinion of the Commission)
Release No. 34-95567
File Number: 3-20746
Date: Respondents:
Artemis Acquisition Corp. (Opinion of the Commission)
Release No. 34-95569
File Number: 3-20754
Date: Respondents:
Parallax Health Sciences, Inc. (Opinion of the Commission)
Release No. 34-95570
File Number: 3-20749
Date: Respondents:
Bioscience Neutraceuticals, Inc. (Opinion of the Commission)
Release No. 34-95571
File Number: 3-20755
Date: Respondents:
Capital Access Point III, Inc. (Opinion of the Commission)
Release No. 34-95572
File Number: 3-20756
Date: Respondents:
Talware Networx Inc. (Opinion of the Commission)
Release No. 34-95575
File Number: 3-20752
Date: Respondents:
Michelle Morton (Opinion of the Commission)
Release No. IA-6094
File Number: 3-20198, 20198
Date: Respondents:
Cynthia Mary Couyoumjian (Order Extending Time to Issue Decision)
Release No. 34-95577
File Number: 3-20154
Date: Respondents:
Thomas Christophe Prentice (Order Extending Time to Issue Decision)
Release No. 34-95578
File Number: 3-18894
Date: Respondents:
Edward M. Daspin a/k/a "Edward (Ed) Michael" (Order Extending Time to Issue Decision)
Release No. 33-11094, 34-95576
File Number: 3-16509
Date: Respondents:
BlueNRGY Group Ltd. (Opinion of the Commission)
Release No. 34-95547
File Number: 3-20729
Date: Respondents:
Blue State Corp. (Opinion of the Commission)
Release No. 34-95550
File Number: 3-20728
Date: Respondents:
Inventergy Global, Inc. (Opinion of the Commission)
Release No. 34-95556
File Number: 3-20731
Date: Respondents:
Nearctic Nickel Mines, Inc. (Opinion of the Commission)
Release No. 34-95557
File Number: 3-20738
Date: Respondents:
Price Net U.S.A., Inc. (Opinion of the Commission)
Release No. 34-95558
File Number: 3-20741
Date: Respondents:
Qwick Media, Inc. (Opinion of the Commission)
Release No. 34-95559
File Number: 3-20742
Date: Respondents:
DBUB Group, Inc. (Opinion of the Commission)
Release No. 34-95560
File Number: 3-20745
Date: Respondents:
Gordon Biersch Brewery Restaurant Group, Inc. (Opinion of the Commission)
Release No. 34-95561
File Number: 3-20730
Date: Respondents:
E*Hedge Securities, Inc. f/k/a E*Hedge, Inc. and Devon W. Parks (Order Dismissing Proceeding)
Release No. IA-6092
File Number: 3-20257
Date: Respondents:
Gary Edward Haynes (Order)
Release No. IA-6093
File Number: 3-20086
Date: Respondents:
FreeSeas Inc. (Opinion of the Commission)
Release No. 34-95534
File Number: 3-20325
Date: Respondents:
Star Buffet, Inc. (Opinion of the Commission)
Release No. 34-95544
File Number: 3-20720
Date: Respondents:
Celexus, Inc. fka Telupay International, Inc. (Opinion of the Commission)
Release No. 34-95545
File Number: 3-20712
Date: Respondents:
Two Rivers Water & Farming Company (Opinion of the Commission)
Release No. 34-95549
File Number: 3-20722
Date: Respondents:
Sector5, Inc. (Opinion of the Commission)
Release No. 34-95555
File Number: 3-20725
Date: Respondents:
Boston Carriers, Inc. (Opinion of the Commission)
Release No. 34-95525
File Number: 3-20320
Date: Respondents:
Immune Pharmaceuticals Inc. (Opinion of the Commission)
Release No. 34-95527
File Number: 3-20350
Date: Respondents:
Emarine Global, Inc. (Opinion of the Commission)
Release No. 34-95528
File Number: 3-20509
Date: Respondents:
HEPI Pharmaceuticals, Inc. (Opinion of the Commission)
Release No. 34-95531
File Number: 3-20579
Date: Respondents:
AVTEAM, INC. (Opinion of the Commission)
Release No. 34-95532
File Number: 3-20711
Date: Respondents:
Gregory Lemelson (Postponement Order)
Release No. IA-6091
File Number: 3-20828
Date: Respondents:
Ronnie Lee Moss, Jr. (Order Regarding Service)
Release No. 34-95521
File Number: 3-20807
Date: Respondents:
Shaun Perry Nicholson (Order Extending Time to Issue Decision)
Release No. 34-95524
File Number: 3-20529
Date: Respondents:
Zenosense, Inc. (Scheduling Order)
Release No. 34-95509
File Number: 3-20743
Date: Respondents:
The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision)
Release No. IA-6088
File Number: 3-16047
Date: Respondents:
Christopher M. Gibson (Order Extending Time to Issue Decision)
Release No. 34-95500, IA-6089, IC-34673
File Number: 3-17184
Date: Respondents:
Lek Securities Corporation (Order Scheduling Supplemental Briefs)
Release No. 34-95491
File Number: 3-20543
Date: Respondents:
Consolidated Arbitration Applications (Order Extending Time to Issue Decision)
Release No. 34-95493
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:
Alpine Securities Corporation (Order Granting an Extension of Time)
Release No. 34-95480
File Number: 3-20485
Date: Respondents:
Ustocktrade Securities, Inc. (Order Denying Motion for a Stay)
Release No. 34-95464
File Number: 3-20946
Date: Respondents:
Sandeep Varma (Order Extending Time to Issue Decision)
Release No. 34-95447
File Number: 3-20317
Date: Respondents:
Blackbook Capital, Inc. and Franklin Ogele (Order Extending Time to Issue Decision)
Release No. 34-95448
File Number: 3-19771
Date: Respondents:
Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Order Extending Time to Issue Decision)
Release No. 34-95449
File Number: 3-19666
Date: Respondents:
Gary Edward Haynes (Order)
Release No. IA-6080
File Number: 3-20086
Date: Respondents:
The Brandon Rawls Trust (Order to Show Cause)
Release No. 34-95439
File Number: 3-20915
Date: Respondents:
The Northgate Nobles GreenhouseABE Foreign Grantor Trust (Order to Show Cause)
Release No. 34-95440
File Number: 3-20917
Date: Respondents:
The Brian Madison Carnes Trust (Order to Show Cause)
Release No. 34-95441
File Number: 3-20913
Date: Respondents:
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-95413, AAER-4317
File Number: 3-18292
Date: Respondents:
Matthew R. Logan (Order Scheduling Briefs)
Release No. 34-95410
File Number: 3-20922
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