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:
Toga Limited (ORDER REGARDING PREHEARING CONFERENCE)
Release No. 34-98042
File Number: 3-21385
Date: Respondents:
RedHawk Holdings Corp. (ORDER REGARDING SERVICE)
Release No. 34-98037
File Number: 3-21456
Date: Respondents:
Tapestry Pharmaceuticals, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-98036
File Number: 3-21459
Date: Respondents:
Alpine Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-98027
File Number: 3-18979
Date: Respondents:
Rick Alan Mantei (ORDER SCHEDULING BRIEFS)
Release No. 34-98026
File Number: 3-21516
Date: Respondents:
Nicholas J. Genovese (RENEWED ORDER DIRECTING RESPONSE FROM RESPONDENT)
Release No. IA-6357
File Number: 3-19733
Date: Respondents:
Marc Jacob Jacobson (ORDER GRANTING MOTION TO WITHDRAW APPLICATION FOR REVIEW)
Release No. 34-98007
File Number: 3-21510
Date: Respondents:
John Cucinella (ORDER TO SHOW CAUSE)
Release No. 34-98006
File Number: 3-21344
Date: Respondents:
MJ Biotech, Inc. (SCHEDULING ORDER)
Release No. 34-98004
File Number: 3-20297
Date: Respondents:
QHY Group (ORDER TO SHOW CAUSE)
Release No. 34-97994
File Number: 3-21395
Date: Respondents:
Access Capital Strategies Community Investment Fund Inc/Ma (ORDER TO SHOW CAUSE)
Release No. 34-97993
File Number: 3-21413
Date: Respondents:
Novation Companies, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97992
File Number: 3-21394
Date: Respondents:
Mountain High Acquisitions Corp. (ORDER TO SHOW CAUSE)
Release No. 34-97991
File Number: 3-21392
Date: Respondents:
Jason Schwarz (ORDER GRANTING EXTENSION OF TIME)
Release No. IA-6356
File Number: 3-21202
Date: Respondents:
Lee Cohen (ORDER REGARDING SERVICE)
Release No. 34-97982
File Number: 3-21467
Date: Respondents:
Plymouth Commercial Mortgage Fund (ORDER TO SHOW CAUSE)
Release No. 34-97981
File Number: 3-21463
Date: Respondents:
Advantego Corporation (ORDER REGARDING PREHEARING CONFERENCE)
Release No. 34-97979
File Number: 3-21414
Date: Respondents:
RCMW Group, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97978
File Number: 3-21464
Date: Respondents:
StHealth Capital Investment Corporation (ORDER TO SHOW CAUSE)
Release No. 34-97976
File Number: 3-21461
Date: Respondents:
Sunridge International, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97975
File Number: 3-21462
Date: Respondents:
Bruce Zipper and Dakota Securities International, Inc. (ORDER REQUESTING ADDITIONAL WRITTEN SUBMISSION)
Release No. 34-97971
File Number: 3-20811
Date: Respondents:
William Joseph Kielczewski (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97966
File Number: 3-20636
Date: Respondents:
Kiwa Bio-Tech Products Group Corporation (ORDER TO SHOW CAUSE)
Release No. 34-97970
File Number: 3-21382
Date: Respondents:
Keener, Justin W. (ORDER REGARDING STATUS REPORT)
Release No. 34-97968
File Number: 3-21270
Date: Respondents:
Jonathan William Lonske (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97967
File Number: 3-20633
Date: Respondents:
Robert L. Bryant III (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97965
File Number: 3-19892
Date: Respondents:
Hughe Duwayne Graham (ORDER GRANTING MOTION TO AMEND THE ORDER INSTITUTING PROCEEDINGS)
Release No. 34-97963
File Number: 3-20659
Date: Respondents:
Joseph Sylvester Sturniolo (ORDER SCHEDULING BRIEFS)
Release No. 34-97962
File Number: 3-21503
Date: Respondents:
Joshua Abrahams, CPA (ORDER REQUESTING ADDITIONAL MATERIALS REGARDING SUBPOENAS)
Release No. 34-97961
File Number: 3-21214
Date: Respondents:
Wisdom Homes of America, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97960
File Number: 3-21477
Date: Respondents:
American CryptoFed DAO LLC (ORDER GRANTING PETITION FOR REVIEW AND SCHEDULING BRIEFS)
Release No. 33-11214
File Number: 3-21243
Date: Respondents:
Laxai Pharma Ltd. (ORDER TO SHOW CAUSE)
Release No. 34-97951
File Number: 3-21440
Date: Respondents:
Kushner Locke Co. (ORDER TO SHOW CAUSE)
Release No. 34-97952
File Number: 3-21439
Date: Respondents:
Blox, Inc. (ORDER REGARDING SERVICE)
Release No. 34-97953
File Number: 3-21389
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97954
File Number: 3-19185
Date: Respondents:
Bradley C. Reifler (ORDER GRANTING UNOPPOSED MOTION TO STAY)
Release No. IA-6351
File Number: 3-21303
Date: Respondents:
Green Capital Group, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97945
File Number: 3-21441
Date: Respondents:
Lucille Farms Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97944
File Number: 3-21472
Date: Respondents:
HuntMountain Resources Ltd. (ORDER TO SHOW CAUSE)
Release No. 34-97943
File Number: 3-21442
Date: Respondents:
Indigenous Roots Corp. (ORDER TO SHOW CAUSE)
Release No. 34-97942
File Number: 3-21443
Date: Respondents:
Michelle L. Helterbran Cochran, CPA (ORDER REQUESTING RESPONSE TO MOTION FOR RECONSIDERATION)
Release No. 34-97941, AAER-4432
File Number: 3-17228
Date: Respondents:
Northstar Electronics, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97934
File Number: 3-21381
Date: Respondents:
New You, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97935
File Number: 3-21468
Date: Respondents:
Canna Corporation (ORDER TO SHOW CAUSE)
Release No. 34-97933
File Number: 3-21374
Date: Respondents:
HAHA Generation Corp. (ORDER TO SHOW CAUSE)
Release No. 34-97932
File Number: 3-21377
Date: Respondents:
Jia Roger Qian Wang, CPA and Wang Certified Public Accountant, P.C. (ORDER)
Release No. 34-97920, AAER-4430
File Number: 3-21298
Date: Respondents:
Jason Lynn Dipaola (ORDER GRANTING EXTENSION OF TIME)
Release No. 34-97919
File Number: 3-21402
Date: Respondents:
Thomas Lee Johnson (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97918
File Number: 3-20646
Date: Respondents:
Thomas J. Lykos, Jr. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97917
File Number: 3-20703
Date: Respondents:
Calmare Therapeutics Incorporated (OPINION OF THE COMMISSION)
Release No. 34-97911
File Number: 3-20550
Date: Respondents:
Gearhart, Richard (ORDER DIRECTING FILING OF CERTIFICATES OF SERVICE)
Release No. IA-6349
File Number: 3-20928
Date: Respondents:
Zeb Oro Explorations, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97912
File Number: 3-21478
Date: Respondents:
AMBG, Inc. (ORDER REGARDING SERVICE)
Release No. 34-97913
File Number: 3-21458
Date: Respondents:
Petrolia Energy Corporation (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-97910
File Number: 3-20724
Date: Respondents:
Dean Mustaphalli (OPINION OF THE COMMISSION)
Release No. IA-6348
File Number: 3-20264
Date: Respondents:
Michael Sztrom and David Sztrom (SCHEDULING ORDER)
Release No. IA-6347
File Number: 3-21400
Date: Respondents:
George Mcknown (SECOND SUPPLEMENTAL ORDER REGARDING SERVICE)
Release No. IA-6346
File Number: 3-20927
Date: Respondents:
Orion Financial, LTD. (ORDER TO SHOW CAUSE)
Release No. 34-97889
File Number: 3-21469
Date: Respondents:
Russian Wireless Telephone Company, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97882
File Number: 3-21454
Date: Respondents:
Gabbit Corp. (ORDER TO SHOW CAUSE)
Release No. 34-97880
File Number: 3-21453
Date: Respondents:
Medifocus Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97875
File Number: 3-21391
Date: Respondents:
E-Qure Corp. (ORDER TO SHOW CAUSE)
Release No. 34-97873
File Number: 3-21450
Date: Respondents:
Robbi J. Jones and Kipling Jones & Co., Ltd. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97868
File Number: 3-20209
Date: Respondents:
Michele Gray (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97867
File Number: 3-20651
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97865
File Number: 3-19652
Date: Respondents:
Eric S. Smith (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97864
File Number: 3-20127
Date: Respondents:
Jennifer Anne Johnston (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97863
File Number: 3-20120
Date: Respondents:
SMSA Crane Acquisition Corp. (ORDER TO SHOW CAUSE)
Release No. 34-97862
File Number: 3-21455
Date: Respondents:
Alpha Network Alliance Ventures Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97861
File Number: 3-21452
Date: Respondents:
Michael Joseph Clarke (OPINION OF THE COMMISSION)
Release No. 34-97860
File Number: 3-20126
Date: Respondents:
EyeCity.Com, Inc. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97866
File Number: 3-19406
Date: Respondents:
Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Order Extending Time to Issue Decision (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97857
File Number: 3-19666
Date: Respondents:
Noble Vici Group, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97853
File Number: 3-21380
Date: Respondents:
Jason Schwarz (ORDER REGARDING PREHEARING CONFERENCE)
Release No. IA-6340
File Number: 3-21202
Date: Respondents:
Liquidation World, Inc. (ORDER REGARDING SERVICE)
Release No. 34-97846
File Number: 3-21471
Date: Respondents:
Marcus Beam (ORDER TO SHOW CAUSE)
Release No. IA-6337
File Number: 3-21364
Date: Respondents:
Michael Joseph Clarke (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97821
File Number: 3-20126
Date: Respondents:
Paul Horton Smith, Sr. (ORDER GRANTING EXTENSIONS OF TIME AND ACCEPTING MOTION FOR DEFAULT)
Release No. IA-6338
File Number: 3-20134
Date: Respondents:
Anita Sgarro (ORDER DIRECTING ADDITIONAL WRITTEN SUBMISSION)
Release No. 34-97823
File Number: 3-20816
Date: Respondents:
Alpine Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97822
File Number: 3-18979
Date: Respondents:
Wasatch Pharmaceutical, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97812
File Number: 3-21378
Date: Respondents:
Yew Bio-Pharm Group, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97810
File Number: 3-21386
Date: Respondents:
Well-being Holdings, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97809
File Number: 3-21379
Date: Respondents:
Rito Group Corp. (ORDER TO SHOW CAUSE)
Release No. 34-97807
File Number: 3-21384
Date: Respondents:
Deep ATS, LLC (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97806
File Number: 3-20362
Date: Respondents:
Metatron, Inc. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97799
File Number: 3-18567
Date: Respondents:
Daliang "David" Guo (ORDER EXTENDING TIME TO FILE REPLY)
Release No. 34-97797
File Number: 3-21225
Date: Respondents:
Michael Sztrom and David Sztrom (ORDER REGARDING PREHEARING CONFERENCE)
Release No. IA-6335
File Number: 3-21400
Date: Respondents:
DreamFunded Marketplace, LLC; and Manuel Fernandez (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97796
File Number: 3-20639
Date: Respondents:
Alan J. Markowitz, CPA (SCHEDULING ORDER)
Release No. 34-97795, AAER-4424
File Number: 3-21314
Date: Respondents:
Karina Chairez (FOURTH ORDER REGARDING SERVICE)
Release No. 34-97793
File Number: 3-21011
Date: Respondents:
Robert L. Bryant III (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97791
File Number: 3-19892
Date: Respondents:
Richard Gregory Tilford (ORDER TO SHOW CAUSE)
Release No. 34-97790
File Number: 3-21211
Date: Respondents:
Steve G. Blasko (OPINION OF THE COMMISSION)
Release No. 34-97779
File Number: 3-19336
Date: Respondents:
William Harper Minor, Jr. (OPINION OF THE COMMISSION)
Release No. 34-97778, IA-6334
File Number: 3-19281
Date: Respondents:
Alexander Charles White (OPINION OF THE COMMISSION)
Release No. 34-97777
File Number: 3-19237
Date: Respondents:
Mitchell B. Dow (OPINION OF THE COMMISSION)
Release No. 34-97776
File Number: 3-19335
Date: Respondents:
Daniel Thomas Broyles (ORDER DIRECTING STATUS REPORT FROM THE DIVISON OF ENFORCEMENT)
Release No. 34-97759
File Number: 3-21206
Date: Respondents:
Bruce Zipper and Dakota Securities International, Inc. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97758
File Number: 3-20811
Date: Respondents:
Titan Securities and Brad C. Brooks (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97754
File Number: 3-20387
501 to 600 of 4954 items