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:
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
Date: Respondents:
Secure Point Technologies, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98854
File Number: 3-21680
Date: Respondents:
Richard E. Gearhart (ORDER DIRECTING FILING OF STATUS REPORT REGARDING PREHEARING CONFERENCE)
Release No. IA-6476
File Number: 3-20928
Date: Respondents:
Stacy L. Beane (OPINION OF THE COMMISSION)
Release No. IA-6475
File Number: 3-19795
Date: Respondents:
Energis, P.L.C. (ORDER REGARDING SERVICE)
Release No. 34-98852
File Number: 3-21695
Date: Respondents:
Krupp Cash Plus Ltd Partnership (ORDER REGARDING SERVICE)
Release No. 34-98847
File Number: 3-21594
Date: Respondents:
Realmark Property Investors Limited Partnership Vi-B (a/k/a Realmark Property Investors Limited Partnership - VI B) (ORDER TO SHOW CAUSE)
Release No. 34-98842
File Number: 3-21603
Date: Respondents:
12 ReTech Corporation (ORDER TO SHOW CAUSE)
Release No. 34-98841
File Number: 3-21688
Date: Respondents:
Realmark Property Investors Ltd Partnership IV (ORDER TO SHOW CAUSE)
Release No. 34-98839
File Number: 3-21618
Date: Respondents:
Realmark Property Investors Ltd Partnership III (ORDER TO SHOW CAUSE)
Release No. 34-98838
File Number: 3-21617
Date: Respondents:
Tarek D. Bahgat. (ORDER REGARDING SERVICE)
Release No. 34-98832, IA-6473
File Number: 3-21578
Date: Respondents:
Teltrust, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98831
File Number: 3-21593
Date: Respondents:
TAYC Capital Trust I (ORDER TO SHOW CAUSE)
Release No. 34-98829
File Number: 3-21592
Date: Respondents:
Nano World Projects Corp. (ORDER TO SHOW CAUSE)
Release No. 34-98828
File Number: 3-21595
Date: Respondents:
Defense Technology Systems, Inc. (ORDER TO SHOW CAUSE0
Release No. 34-98822
File Number: 3-21677
Date: Respondents:
Michelle Gray (OPINION OF THE COMMISSION)
Release No. 34-98821
File Number: 3-20651
Date: Respondents:
Alpine Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98820
File Number: 3-18979
Date: Respondents:
Jason Lynn DiPaola (ORDER GRANTING EXTENSION OF TIME)
Release No. 34-98818
File Number: 3-21402
Date: Respondents:
China Crescent Enterprises, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98817
File Number: 3-21670
Date: Respondents:
THE DOCS, INC. (ORDER REGARDING SERVICE)
Release No. 34-98816
File Number: 3-21694
Date: Respondents:
Paul P. Aquitania (ORDER DISMISSING PROCEEDING)
Release No. 34-98801
File Number: 3-20793
Date: Respondents:
Glick, Jacob C. (ORDER DENYING MOTION FOR A RULING ON THE PLEADINGS)
Release No. IA-6472
File Number: 3-21125
Date: Respondents:
Emilio Barrera, Jr., aka Mike Barrera (ORDER TO SHOW CAUSE)
Release No. 34-98800
File Number: 3-21302
Date: Respondents:
First Community Bancorp Inc. /GA/ (ORDER REGARDING SERVICE)
Release No. 34-98802
File Number: 3-21679
Date: Respondents:
Bradley C. Reifler (ORDER GRANTING UNOPPOSED MOTION FOR EXTENSION OF STAY)
Release No. IA-6471
File Number: 3-21303
Date: Respondents:
Xeikon N.V. (ORDER TO SHOW CAUSE)
Release No. 34-98797
File Number: 3-21619
Date: Respondents:
Atlantic Industries Inc. /Co/ (ORDER TO SHOW CAUSE)
Release No. 34-98796
File Number: 3-21623
Date: Respondents:
William Joseph Kielczewski (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98795
File Number: 3-20636
Date: Respondents:
Sunridge International, Inc. (ORDER DIRECTING ADDITIONAL BRIEFING)
Release No. 34-98791
File Number: 3-21462
Date: Respondents:
Bruce C. Worthington (OPINION OF THE COMMISSION)
Release No. 34-98789, IA-6469
File Number: 3-19726
Date: Respondents:
Jennifer Anne Johnston (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-98778
File Number: 3-20120
Date: Respondents:
UNI-PIXEL, INC (ORDER TO SHOW CAUSE)
Release No. 34-98781
File Number: 3-21647
Date: Respondents:
Thomas D. Conrad, Jr. (OPINION OF THE COMMISSION)
Release No. IA-6467
File Number: 3-19590
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98777
File Number: 3-19185
Date: Respondents:
Grenda Group, LLC (ORDER GRANTING REQUEST FOR AN EXTENSION OF TIME)
Release No. IA-6466
File Number: 3-21097
Date: Respondents:
Gregory M. Grenda (ORDER GRANTING REQUEST FOR AN EXTENSION OF TIME)
Release No. IA-6465
File Number: 3-21098
Date: Respondents:
ForceField Energy Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98769
File Number: 3-21645
Date: Respondents:
JS Beauty Land Network Technology Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98767
File Number: 3-21634
Date: Respondents:
China Crescent Enterprises, Inc. (ORDER REGARDING SERVICE)
Release No. 34-98764
File Number: 3-21670
Date: Respondents:
Hai Khoa Dang (ORDER REQUESTING ADDITIONAL BRIEFING AND MATERIALS)
Release No. IA-6464
File Number: 3-20282
Date: Respondents:
George McKown (ORDER TO SHOW CAUSE)
Release No. IA-6463
File Number: 3-20927
Date: Respondents:
HomeCapital Investment Corp. (ORDER TO SHOW CAUSE)
Release No. 34-98760
File Number: 3-21598
Date: Respondents:
Halstead Energy Corp. (ORDER TO SHOW CAUSE)
Release No. 34-98759
File Number: 3-21597
Date: Respondents:
Independence Resources, PLC (ORDER TO SHOW CAUSE)
Release No. 34-98758
File Number: 3-21599
Date: Respondents:
Leon Vaccarelli (ORDER REQUESTING ADDITIONAL BRIEFING AND MATERIALS)
Release No. 34-98757, IA-6462
File Number: 3-21030
Date: Respondents:
Thomas J. Lykos, Jr. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98756
File Number: 3-20703
Date: Respondents:
Thomas Lee Johnson (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98755
File Number: 3-20646
Date: Respondents:
Richard Gregory Tilford (SECOND ORDER DIRECTING RESPONDENT TO SHOW CAUSE)
Release No. 34-98754
File Number: 3-21211
Date: Respondents:
Gary Edward Haynes (OPINION OF THE COMMISSION)
Release No. IA-6461
File Number: 3-20086
Date: Respondents:
Derek Rudolf D'Alonzo (THIRD ORDER REQUESTING BRIEFING)
Release No. 34-98742
File Number: 3-20682
Date: Respondents:
Arch Leasing Corp. (ORDER REGARDING SERVICE)
Release No. 34-98741
File Number: 3-21620
Date: Respondents:
Crank Media, Inc. (ORDER REGARDING SERVICE)
Release No. 34-98740
File Number: 3-21625
Date: Respondents:
Zeb Oro Explorations Inc. (OPINION OF THE COMMISSION)
Release No. 34-98724
File Number: 3-21478
Date: Respondents:
Cboe BZX Exchange, et al. (ORDER REGARDING THE CERTIFIED COPY OF THE RECORD)
Release No. 34-98727
File Number: 3-21779
Date: Respondents:
Actua Corp. (ORDER TO SHOW CAUSE)
Release No. 34-98725
File Number: 3-21624
Date: Respondents:
New You, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98719
File Number: 3-21468
Date: Respondents:
Wisdom Homes of America, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98717
File Number: 3-21477
Date: Respondents:
Lucille Farms Inc. (OPINION OF THE COMMISSION)
Release No. 34-98718
File Number: 3-21472
Date: Respondents:
DaRayl D. Davis (ORDER TO SHOW CAUSE)
Release No. 34-98720, IA-6459
File Number: 3-21280
Date: Respondents:
Jason Schwarz (ORDER DIRECTING STATUS REPORT)
Release No. IA-6458
File Number: 3-21202
Date: Respondents:
Tapestry Pharmaceuticals, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98709
File Number: 3-21459
Date: Respondents:
Umatrin Holding Limited (OPINION OF THE COMMISSION)
Release No. 34-98707
File Number: 3-21460
Date: Respondents:
RCMW Group, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98706
File Number: 3-21464
Date: Respondents:
Guy S. Amico and Scott H. Goldstein (EXTENSION ORDER)
Release No. 34-98715
File Number: 3-13099
Date: Respondents:
Michele Gray (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98713
File Number: 3-20651
Date: Respondents:
Robbi J. Jones and Kipling Jones & Company, Ltd (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98712
File Number: 3-20209
Date: Respondents:
Eric S. Smith (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98711
File Number: 3-20127
Date: Respondents:
EyeCity.Com, Inc. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98710
File Number: 3-19406
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98708
File Number: 3-19652
Date: Respondents:
SMSA Crane Acquisition Corp. (OPINION OF THE COMMISSION)
Release No. 34-98698
File Number: 3-21455
Date: Respondents:
Gabbit Corp. (OPINION OF THE COMMISSION)
Release No. 34-98697
File Number: 3-21453
Date: Respondents:
Russian Wireless Telephone Company, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98696
File Number: 3-21454
Date: Respondents:
Charles K. Topping (OPINION OF THE COMMISSION)
Release No. 34-98700
File Number: 3-20817
Date: Respondents:
Wilson-Davis & Co., James C. Snow and Byron B. Barkley (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98695
File Number: 3-19666
Date: Respondents:
Alpha Network Alliance Ventures Inc. (OPINION OF THE COMMISSION)
Release No. 34-98686
File Number: 3-21452
Date: Respondents:
E-Qure Corp. (OPINION OF THE COMMISSION)
Release No. 34-98688
File Number: 3-21450
Date: Respondents:
Indigenous Roots Corp. (OPINION OF THE COMMISSION)
Release No. 34-98687
File Number: 3-21443
Date: Respondents:
Matthew J. Skinner (ORDER DISCHARGING ORDER TO SHOW CAUSE, EXTENDING TIME TO FILE ANSWER, AND DENYING MOTION TO POSTPONE PROCEEDING)
Release No. 34-98685
File Number: 3-21001
Date: Respondents:
Kunshner Locke Co. (OPINION OF THE COMMISSION)
Release No. 34-98683
File Number: 3-21439
Date: Respondents:
HuntMountain Resources Ltd. (OPINION OF THE COMMISSION)
Release No. 34-98682
File Number: 3-21442
Date: Respondents:
Laxai Pharma Ltd. (OPINION OF THE COMMISSION)
Release No. 34-98681
File Number: 3-21440
Date: Respondents:
Madison Avenue Holdings, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98679
File Number: 3-21383
Date: Respondents:
Northstar Electronics, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98677
File Number: 3-21381
Date: Respondents:
Rito Group Corp. (OPINION OF THE COMMISSION)
Release No. 34-98675
File Number: 3-21384
Date: Respondents:
Advanzeon Solutions, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98674
File Number: 3-20847
Date: Respondents:
Jonathan William Lonske (OPINION OF THE COMMISSION)
Release No. 34-98673
File Number: 3-20633
Date: Respondents:
Gregory W. Gray, Jr. (ORDER DENYING REQUEST TO VACATE COLLATERAL BARS)
Release No. 34-98670
File Number: 3-13344-rtv
Date: Respondents:
Lam Securities Investments, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98671
File Number: 3-21024
Date: Respondents:
Alpine Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98634
File Number: 3-18979
Date: Respondents:
Wasatch Pharmaceutical, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98588
File Number: 3-21378
Date: Respondents:
Canna Corporation (OPINION OF THE COMMISSION)
Release No. 34-98587
File Number: 3-21374
Date: Respondents:
Well-being Holdings, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98581
File Number: 3-21379
Date: Respondents:
HAHA Generation Corp. (OPINION OF THE COMMISSION)
Release No. 34-98580
File Number: 3-21377
Date: Respondents:
Almost Never Films Inc. (OPINION OF THE COMMISSION)
Release No. 34-98579
File Number: 3-21343
Date: Respondents:
Brian Williamson (ORDER VACATING MUNICIPAL SECURITIES DEALER, MUNICIPAL ADVISOR, TRANSFER AGENT, AND NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION BARS)
Release No. 33-11246, 34-98602, IA-6436, IC-35024
File Number: 3-15430-rtv
Date: Respondents:
William Joseph Kielczewski (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-98578
File Number: 3-20636
Date: Respondents:
Edward M. Daspin a/k/a "Edward (Ed) Michael" (ORDER DENYING MOTION FOR RECONSIDERATION)
Release No. 33-11242, 34-98554
File Number: 3-16509
Date: Respondents:
Metatron, Inc. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98500
File Number: 3-18567
Date: Respondents:
Deep ATS, LLC (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98498
File Number: 3-20362
301 to 400 of 4954 items