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:
Equus Capital Partners LP (Order to Show Cause)
Release No. 34-99157
File Number: 3-21698
Date: Respondents:
Xoma Ltd. (Order to Show Cause)
Release No. 34-99156
File Number: 3-21696
Date: Respondents:
Gosun Communications Limited Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99155
File Number: 3-21701
Date: Respondents:
Smartchase Corp. (Order to Show Cause)
Release No. 34-99154
File Number: 3-21693
Date: Respondents:
Executive Financial Services, Inc. (Opinion of the Commission)
Release No. 34-99153
File Number: 3-20407
Date: Respondents:
Sonya D. Camarco (OPINION OF THE COMMISSION)
Release No. 34-99148, IA-6503
File Number: 3-19476
Date: Respondents:
Lek Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99143
File Number: 3-20808
Date: Respondents:
Lee Sobel (SECOND ORDER REGARDING SERVICE)
Release No. 34-99139
File Number: 3-21162
Date: Respondents:
Silver Leaf Partners, LLC (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99133
File Number: 3-19896
Date: Respondents:
Moats Sampson, Gregory (ORDER TO SHOW CAUSE)
Release No. IA-6502
File Number: 3-20235
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99136
File Number: 3-19652
Date: Respondents:
Logan, Matthew R. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99135
File Number: 3-20922
Date: Respondents:
Cantone Research Inc., Cantone, Anthony and Cantone, Christine (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99134
File Number: 3-18999
Date: Respondents:
Megurditch Patatian (ORDER SCHEDULING BREIFS)
Release No. 34-99123
File Number: 3-21796
Date: Respondents:
Southeast Investments, N.C., Inc. and Black, Frank Harmon (OPINION OF THE COMMISSION)
Release No. 34-99118
File Number: 3-19185
Date: Respondents:
Geraci, Paul (ORDER TO SHOW CAUSE)
Release No. 34-99110
File Number: 3-21231
Date: Respondents:
Vandivier, Cindy a/k/a "Madison Brooke or Brookes" (ORDER TO SHOW CAUSE)
Release No. 34-99105
File Number: 3-21235
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-6499
File Number: 3-21097
Date: Respondents:
Grenda, Gregory M. (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-6498
File Number: 3-21098
Date: Respondents:
O'Neal, Sean Andrew (ORDER TO SHOW CAUSE)
Release No. 34-99101
File Number: 3-21160
Date: Respondents:
Herman, Justin Wallace (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-99107
File Number: 3-20839
Date: Respondents:
Wilson-Davis & Co.;Snow, James C.; and Barkley, Byron B. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99099
File Number: 3-19666
Date: Respondents:
Hu, Albert K. (OPINION OF THE COMMISSION)
Release No. IA-6497
File Number: 3-19510
Date: Respondents:
Howard, Donald (ORDER TO SHOW CAUSE)
Release No. 34-99094
File Number: 3-20653
Date: Respondents:
Mutimura, Parfait (OPINION OF THE COMMISSION)
Release No. 34-99085, IA-6496
File Number: 3-20159
Date: Respondents:
Jacob C. Glick (ORDER REGARDING PREHEARING CONFERENCE)
Release No. IA-6495
File Number: 3-21125
Date: Respondents:
Donald J. Fowler (OPINION OF THE COMMISSION)
Release No. 34-99084
File Number: 3-19740
Date: Respondents:
Ruless Pierre a/k/a Rules Pierre (ORDER TO SHOW CAUSE)
Release No. IA-6494
File Number: 3-21064
Date: Respondents:
Joshua Abrahams, CPA (ORDER MODIFYING POSTPONEMENT ORDER)
Release No. 34-99074, AAER-4477
File Number: 3-21214
Date: Respondents:
BlueStar Communications Group Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99073
File Number: 3-21684
Date: Respondents:
Faulding Inc. (n/k/a Alpharma Specialty Pharma) (ORDER TO SHOW CAUSE)
Release No. 34-99072
File Number: 3-21686
Date: Respondents:
Dragon Mining Corporation (a/k/a Dragon Diamond Corporation) (ORDER TO SHOW CAUSE)
Release No. 34-99071
File Number: 3-21685
Date: Respondents:
Goulding, Randall S. (ORDER DISMISSING PROCEEDING)
Release No. IA-6492
File Number: 3-19617
Date: Respondents:
Rampart Studios Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99067
File Number: 3-21714
Date: Respondents:
Youngevity International, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99066
File Number: 3-21653
Date: Respondents:
Radale Imports, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99064
File Number: 3-21713
Date: Respondents:
Lux Amber, Corp. (ORDER TO SHOW CAUSE)
Release No. 34-99063
File Number: 3-21715
Date: Respondents:
Latteno Food Corp. (ORDER TO SHOW CAUSE)
Release No. 34-99061
File Number: 3-21665
Date: Respondents:
INTERDYNE COMPANY (ORDER TO SHOW CAUSE)
Release No. 34-99059
File Number: 3-21661
Date: Respondents:
ZNERGY, INC. (ORDER TO SHOW CAUSE)
Release No. 34-99052
File Number: 3-21740
Date: Respondents:
IMAGINON, INC. (ORDER TO SHOW CAUSE)
Release No. 34-99051
File Number: 3-21664
Date: Respondents:
Green Automotive Company (ORDER TO SHOW CAUSE)
Release No. 34-99053
File Number: 3-21718
Date: Respondents:
Life On Earth, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99050
File Number: 3-21739
Date: Respondents:
Acacia Diversified Holdings, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99043
File Number: 3-21663
Date: Respondents:
Coastal Caribbean Oils & Minerals, Ltd. (ORDER TO SHOW CAUSE)
Release No. 34-99048
File Number: 3-21671
Date: Respondents:
Ricky Alan Mantei (ORDER GRANTING EXTENSION OF BRIEFING WORD LIMIT)
Release No. 34-99032
File Number: 3-21516
Date: Respondents:
Wilfredo Felix (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99020
File Number: 3-20380
Date: Respondents:
Martin, Michael K. (OPINION OF THE COMMISSION)
Release No. 34-99018
File Number: 3-19608
Date: Respondents:
Marcus Beam (ORDER DIRECTING FILING OF REPLY BRIEF AND REMINDING RESPONDENT OF FILING AND SERVICE OBLIGATIONS)
Release No. IA-6490
File Number: 3-21364
Date: Respondents:
Brian Bartlett Amoah and Elbert "Al" Elliott (ORDER REGARDING SERVICE)
Release No. 34-99015
File Number: 3-21726
Date: Respondents:
Ameritrust Corporation (ORDER DIRECTING STATUS REPORT FROM THE DIVISION OF ENFORCEMENT)
Release No. 34-99014
File Number: 3-21292
Date: Respondents:
David W. Ingle (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-99013
File Number: 3-20893
Date: Respondents:
Sungroup Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99005
File Number: 3-21604
Date: Respondents:
Winthrop California Investors Ltd Partnership (ORDER TO SHOW CAUSE)
Release No. 34-99003
File Number: 3-21611
Date: Respondents:
Deep Well Oil & Gas, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-99002
File Number: 3-21676
Date: Respondents:
First Community Bancorp Inc. /GA/ (ORDER TO SHOW CAUSE)
Release No. 34-99000
File Number: 3-21679
Date: Respondents:
China Pacific, Inc. (n/k/a Yorkston Holdings, Inc.) (ORDER TO SHOW CAUSE)
Release No. 34-98999
File Number: 3-21596
Date: Respondents:
DaRayl D. Davis (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-98998
File Number: 3-21280
Date: Respondents:
Southeast Investments, N.C., Inc.; and Frank Harmon Black (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98996
File Number: 3-19185
Date: Respondents:
Paul Eric Flesche (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98995
File Number: 3-20647
Date: Respondents:
Devin Lamarr Wicker (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98993
File Number: 3-20705
Date: Respondents:
Joshua Stephens-Anselm (OPINION OF THE COMMISSION)
Release No. 34-98990
File Number: 3-20147
Date: Respondents:
Electropremium (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98989
File Number: 3-21032
Date: Respondents:
Leon Vaccarelli (ORDER DIRECTING DIVISION OF ENFORCEMENT TO MAIL FILING TO RESPONDENT’S CURRENT ADDRESS)
Release No. 34-98986, IA-6485
File Number: 3-21030
Date: Respondents:
AMBG, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98961
File Number: 3-21458
Date: Respondents:
Paul Horton Smith, Sr. (RENEWED ORDER TO SHOW CAUSE)
Release No. IA-6484
File Number: 3-20134
Date: Respondents:
Wilfredo Felix (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98978
File Number: 3-21246
Date: Respondents:
Anthony B. Brandel and M.Y. Consultants, Inc. (SECOND ORDER REQUESTING ADDITIONAL BRIEFING AND MATERIALS)
Release No. 34-98969
File Number: 3-19734
Date: Respondents:
Orion Financial, Ltd. (OPINION OF THE COMMISSION)
Release No. 34-98968
File Number: 3-21469
Date: Respondents:
Plymouth Commercial Mortgage Fund (OPINION OF THE COMMISSION)
Release No. 34-98960
File Number: 3-21463
Date: Respondents:
RedHawk Holdings Corp. (OPINION OF THE COMMISSION)
Release No. 34-98949
File Number: 3-21456
Date: Respondents:
Phoenix Life Sciences International Limited (OPINION OF THE COMMISSION)
Release No. 34-98946
File Number: 3-21449
Date: Respondents:
Strong Solutions, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98943
File Number: 3-21681
Date: Respondents:
Action Industries, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98942
File Number: 3-21683
Date: Respondents:
Pacific Monument Acquisition Corp. (OPINION OF THE COMMISSION)
Release No. 34-98929
File Number: 3-21448
Date: Respondents:
Beverage Acquisition Corporation (OPINION OF THE COMMISSION)
Release No. 34-98927
File Number: 3-21447
Date: Respondents:
Eugenio Garcia Jimenez, Jr. (OPINION OF THE COMMISSION)
Release No. IA-6482
File Number: 3-21122
Date: Respondents:
Arch Leasing Corp. (ORDER TO SHOW CAUSE)
Release No. 34-98931
File Number: 3-21620
Date: Respondents:
Crank Media Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98926
File Number: 3-21625
Date: Respondents:
Access Capital Strategies Community Investment Fund Inc/Ma (OPINION OF THE COMMISSION)
Release No. 34-98909
File Number: 3-21413
Date: Respondents:
Green Capital Group, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98907
File Number: 3-21441
Date: Respondents:
Ion Geophysical Corp. (OPINION OF THE COMMISSION)
Release No. 34-98904
File Number: 3-21444
Date: Respondents:
Life Clips, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98911
File Number: 3-21702
Date: Respondents:
Adam Strege (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98903
File Number: 3-21253
Date: Respondents:
Medifocus Inc. (OPINION OF THE COMMISSION)
Release No. 34-98897
File Number: 3-21391
Date: Respondents:
Mountain High Acquisitions Corp. (OPINION OF THE COMMISSION)
Release No. 34-98896
File Number: 3-21392
Date: Respondents:
QHY Group (OPINION OF THE COMMISSION)
Release No. 34-98895
File Number: 3-21395
Date: Respondents:
Tweed, Robert R. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98900
File Number: 3-19652
Date: Respondents:
Yew Bio-Pharm Group, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98885
File Number: 3-21386
Date: Respondents:
Blox, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98889
File Number: 3-21389
Date: Respondents:
Tauriga Sciences, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98887
File Number: 3-21687
Date: Respondents:
ePresence, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98884
File Number: 3-21689
Date: Respondents:
DaRayl D. Davis (ORDER DISCHARGING ORDER TO SHOW CAUSE AND DIRECTING PREHEARING CONFERENCE)
Release No. 34-98883, IA-6479
File Number: 3-21280
Date: Respondents:
THE DOCS, INC. (ORDER TO SHOW CAUSE)
Release No. 34-98872
File Number: 3-21694
Date: Respondents:
Alpine Securities Corporation (OPINION OF THE COMMISSION)
Release No. 34-98868
File Number: 3-18979
Date: Respondents:
Alpine Securities Corporation (ORDER DENYING MOTION FOR STAY AND SETTING BRIEFING SCHEDULE)
Release No. 34-98867
File Number: 3-20238
Date: Respondents:
Wilson-Davis & Co.; Snow, James C.; and Barkley, Byron B. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98864
File Number: 3-19666
Date: Respondents:
Empower Clinics, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98862
File Number: 3-21626
Date: Respondents:
Karina Chairez (ORDER TO SHOW CAUSE)
Release No. 34-98861
File Number: 3-21011
Date: Respondents:
Travis Laska (OPINION OF THE COMMISSION)
Release No. IA-6477
File Number: 3-19796
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