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:
Ruless Piere a/k/a Rules Pierre (SUPPLEMENTAL ORDER REGARDING SERVICE)
Release No. IA-6430
File Number: 3-21064
Date: Respondents:
DreamFunded Marketplace, LLC; and Fernandez, Manuel (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98470
File Number: 3-20639
Date: Respondents:
Zenosense, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98468
File Number: 3-20743
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98442
File Number: 3-19185
Date: Respondents:
The Transportation Group (Securities) Limited (ORDER EXTENDING BRIEFING SCHEDULE)
Release No. 34-98447
File Number: 3-21582
Date: Respondents:
Ronnie Lee Moss (SECOND RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98441
File Number: 3-20807
Date: Respondents:
William Joseph Kielczewski (ORDER GRANTING MOTION TO SUBMIT SUPPLEMENTAL BRIEFING)
Release No. 34-98435
File Number: 3-20636
Date: Respondents:
Warren A. Davis and Gibraltar Global Securities, Inc. (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98434
File Number: 3-19814
Date: Respondents:
Joseph Sturniolo (EXTENSION ORDER)
Release No. 34-98433
File Number: 3-21503
Date: Respondents:
Titan Securities and Brad C. Brooks (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98428
File Number: 3-20387
Date: Respondents:
Bruce Zipper and Dakota Securities International, Inc. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98427
File Number: 3-20811
Date: Respondents:
Richard G. Duncan (ORDER DISMISSING PROCEEDING)
Release No. 34-98421, IA-6424
File Number: 3-20874
Date: Respondents:
Robert L. Bryant III (OPINION OF THE COMMISSION)
Release No. 34-98404
File Number: 3-19892
Date: Respondents:
Paul Hanson (OPINION OF THE COMMISSION)
Release No. 34-98405
File Number: 3-20406
Date: Respondents:
Ronald Shane Flynn (ORDER REGARDING SERVICE)
Release No. 34-98403
File Number: 3-21529
Date: Respondents:
Executive Financial Services, Inc. (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98402
File Number: 3-20407
Date: Respondents:
Hai Khoa Dang (ORDER TO SHOW CAUSE)
Release No. IA-6420
File Number: 3-20282
Date: Respondents:
Scott Allen Fries (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98373, IA-6418
File Number: 3-20796
Date: Respondents:
Randall S. Goulding (ORDER REQUESTING SUBMISSIONS)
Release No. IA-6417
File Number: 3-19617
Date: Respondents:
Donald S. Laguardia, Jr. (ORDER SCHEDULING BRIEFS)
Release No. IA-6416
File Number: 3-20941
Date: Respondents:
Lek Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98372
File Number: 3-20808
Date: Respondents:
Renavotio, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98359
File Number: 3-21457
Date: Respondents:
Silver Leaf Partners, LLC (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98350
File Number: 3-19896
Date: Respondents:
Matthew R. Logan (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98348
File Number: 3-20922
Date: Respondents:
Cantone Research Inc., Anthony Cantone and Christine Cantone (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98342
File Number: 3-18999
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98336
File Number: 3-19652
Date: Respondents:
AMBG, Inc. (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98334
File Number: 3-21458
Date: Respondents:
Justin Wallace Herman (ORDER DISCHARGING ORDERS TO SHOW CAUSE AND DIRECTING SUBMISSION AND DIRECTING DIVISION OF ENFORCEMENT TO FILE STATUS REPORT CONCERNING SERVICE)
Release No. 34-98333, IA-6403
File Number: 3-20839
Date: Respondents:
Michelle L. Helterbran Cochran, CPA (ORDER DENYING MOTION FOR RECONSIDERATION)
Release No. 34-98329, AAER-4457
File Number: 3-17228
Date: Respondents:
Vania May Bell (ORDER TO SHOW CAUSE)
Release No. IA-6402
File Number: 3-21525
Date: Respondents:
Gregory Moats Sampson (SECOND ORDER REGARDING SERVICE)
Release No. IA-6401
File Number: 3-20235
Date: Respondents:
The Edward Walker Benifield Trust (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98319
File Number: 3-20914
Date: Respondents:
Wilson-Davis & Co.;Snow, James C.; and Barkley, Byron B. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98316
File Number: 3-19666
Date: Respondents:
The Brian Madison Carnes Trust (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98314
File Number: 3-20913
Date: Respondents:
The Brandon Rawls Trust (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98312
File Number: 3-20915
Date: Respondents:
The Northgate Nobles GreenhouseABE Foreign Grantor Trust (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98311
File Number: 3-20917
Date: Respondents:
Afame, Onwuka (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98308
File Number: 3-21263
Date: Respondents:
Donald Howard (ORDER GRANTING MOTION TO AMEND THE ORDER INSTITUTING PROCEEDINGS)
Release No. 34-98291
File Number: 3-20653
Date: Respondents:
Guy S. Amico and Scott H. Goldstein (SCHEDULING ORDER)
Release No. 34-98287
File Number: 3-13099
Date: Respondents:
Clinton Maurice Tucker II (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98286
File Number: 3-20305
Date: Respondents:
Stephen Scott Moleski (ORDER DISCHARGING ORDER TO SHOW CAUSE AND DIRECTING DIVISION OF ENFORCEMENT TO FILE STATUS REPORT CONCERNING SERVICE)
Release No. 34-98283, IA-6397
File Number: 3-20695
Date: Respondents:
Wang, Jia Roger QianWang Certified Public Accountant, P.C (AMENDED SCHEDULING ORDER)
Release No. 34-98275, AAER-4454
File Number: 3-21298
Date: Respondents:
Jason Lynn DiPaola (ORDER GRANTING EXTENSION OF TIME)
Release No. 34-98274
File Number: 3-21402
Date: Respondents:
Hughe Duwayne Graham (ORDER REGARDING SERVICE OF AMENDED ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS)
Release No. 34-98273
File Number: 3-20659
Date: Respondents:
Nicholas J. Genovese (ORDER GRANTING EXTENSION OF TIME)
Release No. IA-6389
File Number: 3-19733
Date: Respondents:
Alpine Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98245
File Number: 3-18979
Date: Respondents:
Lisa Gordon (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98242
File Number: 3-21039
Date: Respondents:
John Cucinella (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98241
File Number: 3-21344
Date: Respondents:
Ronnie Lee Moss (RENEWED ORDER TO SHOW CAUSE)
Release No. 34-98240
File Number: 3-20807
Date: Respondents:
William B. McHenry, Jr. and First South Investments, LLC (ORDER REGARDING SERVICE)
Release No. 34-98239
File Number: 3-20999
Date: Respondents:
Wilfredo Felix (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98230
File Number: 3-20380
Date: Respondents:
Jason C. Goldfarb (ORDER DENYING REQUEST TO VACATE COLLATERAL BARS)
Release No. 34-98224
File Number: 3-14597
Date: Respondents:
Marcus Beam (RENEWED ORDER TO SHOW CAUSE)
Release No. IA-6386
File Number: 3-21364
Date: Respondents:
John Marques (ORDER DIRECTING SUBMISSION FROM THE DIVISION OF ENFORCEMENT)
Release No. 34-98211
File Number: 3-21257
Date: Respondents:
David W. Ingle (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98210
File Number: 3-20893
Date: Respondents:
Joseph Sylvester Sturniolo (CORRECTED EXTENSION ORDER)
Release No. 34-98201
File Number: 3-21503
Date: Respondents:
Justin Wallace Herman (ORDER DIRECTING SUBMISSION FROM THE DIVISION OF ENFORCEMENT)
Release No. 34-98205
File Number: 3-20839
Date: Respondents:
Bernard M. Parker (ORDER REGARDING SERVICE)
Release No. 34-98204, IA-6385
File Number: 3-21345
Date: Respondents:
Robert L. Bryant III (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98203
File Number: 3-19892
Date: Respondents:
Devin Lamarr Wicker (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98178
File Number: 3-20705
Date: Respondents:
Paul Eric Flesche (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98177
File Number: 3-20647
Date: Respondents:
Liquidation World, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98175
File Number: 3-21471
Date: Respondents:
Southeast Investments, N.C., Inc.; and Frank Harmon Black (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98174
File Number: 3-19185
Date: Respondents:
Richard Gregory Tilford (ORDER DIRECTING SUBMISSION OF CERTIFICATE OF SERVICE BY RESPONDENT)
Release No. 34-98167
File Number: 3-21211
Date: Respondents:
Blox, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98164
File Number: 3-21389
Date: Respondents:
American Fiber Green Products, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98162
File Number: 3-21446
Date: Respondents:
AMBG, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98161
File Number: 3-21458
Date: Respondents:
Ion Geophysical Corp. (ORDER TO SHOW CAUSE)
Release No. 34-98155
File Number: 3-21444
Date: Respondents:
Pacific Monument Acquisition Corp. (ORDER TO SHOW CAUSE)
Release No. 34-98152
File Number: 3-21448
Date: Respondents:
Phoenix Life Sciences International Limited (ORDER TO SHOW CAUSE)
Release No. 34-98145
File Number: 3-21449
Date: Respondents:
Beverage Acquisition Corporation (ORDER TO SHOW CAUSE)
Release No. 34-98144
File Number: 3-21447
Date: Respondents:
RedHawk Holdings Corp. (ORDER TO SHOW CAUSE)
Release No. 34-98135
File Number: 3-21456
Date: Respondents:
Ricky Alan Mantei (ORDER GRANTING EXTENSION OF TIME)
Release No. 34-98134
File Number: 3-21516
Date: Respondents:
Gustavo A. Guzman (ORDER DIRECTING SUBMISSION OF STATUS REPORT AND SERVICE CERTIFICATE)
Release No. IA-6376
File Number: 3-21333
Date: Respondents:
Thomas Garnette Martin, Jr. (ORDER GRANTING STAY)
Release No. IA-6375
File Number: 3-21278
Date: Respondents:
3D Pioneer Systems, Inc. (ORDER REGARDING SERVICE)
Release No. 34-98125
File Number: 3-21387
Date: Respondents:
Robert Marcus Lane (ORDER DENYING MOTION FOR RECONSIDERATION)
Release No. 34-98124
File Number: 3-15701
Date: Respondents:
Joshua Abrahams, CPA (ORDER POSTPONING PROCEEDING)
Release No. 34-98122, AAER-4439
File Number: 3-21214
Date: Respondents:
Bruce Zipper and Dakota Securities International, Inc. (SECOND ORDER REQUESTING ADDITIONAL WRITTEN SUBMISSION)
Release No. 34-98121
File Number: 3-20811
Date: Respondents:
Nicholi Mandracken (OPINION OF THE COMMISSION)
Release No. 34-98120
File Number: 3-19222
Date: Respondents:
Noble Vici Group, Inc. (OPINION OF THE COMMISSION)
Release No. 34-98100
File Number: 3-21380
Date: Respondents:
Justin W. Keener (ORDER SCHEDULING BRIEFS)
Release No. 34-98105
File Number: 3-21270
Date: Respondents:
Emilio Barrera, Jr., aka Mike Barrera (SECOND ORDER REGARDING SERVICE)
Release No. 34-98104
File Number: 3-21302
Date: Respondents:
Sandeep Varma (OPINION OF THE COMMISSION)
Release No. 34-98102
File Number: 3-20317
Date: Respondents:
Jennifer Anne Johnston (ORDER REQUESTING ADDITIONAL BRIEFING)
Release No. 34-98099
File Number: 3-20120
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98098
File Number: 3-19652
Date: Respondents:
Gregory Moats Sampson (ORDER REGARDING SERVICE)
Release No. IA-6374
File Number: 3-20235
Date: Respondents:
Ruless Pierre a/k/a Rules Pierre (ORDER REGARDING SERVICE)
Release No. IA-6373
File Number: 3-21064
Date: Respondents:
Leroy King (ORDER TO SHOW CAUSE)
Release No. 34-98097; IA-6372
File Number: 3-21204
Date: Respondents:
Donald S. Laguardia, Jr. (ORDER DENYING STAY AND DIRECTING PREHEARING CONFERENCE)
Release No. IA-6371
File Number: 3-20941
Date: Respondents:
Joshua Stephens-Anselm (ORDER TO SHOW CAUSE)
Release No. 34-98083
File Number: 3-20147
Date: Respondents:
Thomas Garnette Martin Jr. (ORDER TO SHOW CAUSE)
Release No. IA-6370
File Number: 3-21278
Date: Respondents:
Alan J. Markowitz, CPA (ORDER POSTPONING PROCEEDING)
Release No. 34-98069, AAER-4436
File Number: 3-21314
Date: Respondents:
Sandeep Varma (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98068
File Number: 3-20317
Date: Respondents:
Wilson-Davis & Co.;Snow, James C.; and Barkley, Byron B. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98067
File Number: 3-19666
Date: Respondents:
Robert Vallone (ORDER REQUESTING ADDITIONAL BRIEFING)
Release No. 34-98062, IC-34982
File Number: 3-15046
Date: Respondents:
Umatrin Holding Limited (ORDER TO SHOW CAUSE)
Release No. 34-98053
File Number: 3-21460
Date: Respondents:
Gregory M. Grenda (ORDER SCHEDULING BRIEFS)
Release No. IA-6366
File Number: 3-21098
Date: Respondents:
Grenda Group, LLC (ORDER SCHEDULING BRIEFS)
Release No. IA-6365
File Number: 3-21097
Date: Respondents:
Sachin K. Uppal (ORDER REQUESTING ADDITIONAL BRIEFING)
Release No. IA-6364
File Number: 3-16706
401 to 500 of 4954 items