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:
Southeast Investments, N.C., Inc., Frank Harmon Black (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97753
File Number: 3-19185
Date: Respondents:
Emilio Barrera, Jr., (a/k/a Mike Barrera) (ORDER REGARDING SERVICE)
Release No. 34-97731
File Number: 3-21302
Date: Respondents:
Lek Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97730
File Number: 3-20808
Date: Respondents:
Baynon International Corp. (ORDER REGARDING STATUS REPORT)
Release No. 34-97722
File Number: 3-20964
Date: Respondents:
Alton Theodore Davis, Jr. (OPINION OF THE COMMISSION)
Release No. 34-97721
File Number: 3-19588
Date: Respondents:
Sean Andrew O'Neal (ORDER DIRECTING STATUS REPORT FROM THE DIVISION OF ENFORCEMENT)
Release No. 34-97714
File Number: 3-21160
Date: Respondents:
Lee Sobel (ORDER DIRECTING STATUS REPORT FROM THE DIVISION OF ENFORCEMENT)
Release No. 34-97713
File Number: 3-21162
Date: Respondents:
Sonya D. Camarco (ORDER TO FILE ANSWER AND RESPONSE TO MOTION)
Release No. 34-97712, IA-6327
File Number: 3-19476
Date: Respondents:
William M. Apostelos (ORDER TO SHOW CAUSE)
Release No. 34-97711, IA-6326
File Number: 3-19435
Date: Respondents:
Christopher Byungin Lee (ORDER DIRECTING STATUS REPORT FROM THE DIVISION OF ENFORCEMENT)
Release No. 34-97709
File Number: 3-21159
Date: Respondents:
Rising Biosciences, Inc. (ORDER GRANTING REQUEST TO WITHDRAW PETITION FOR TERMINATION OF TRADING SUSPENSION AND DISMISSING PROCEEDING)
Release No. 34-97705
File Number: 3-19940
Date: Respondents:
Silver Leaf Partners, LLC (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97704
File Number: 3-19896
Date: Respondents:
Moleculin Biotech, Inc. and Walter V. Klemp (ORDER GRANTING REQUEST TO WITHDRAW PETITION FOR TERMINATION OF TRADING SUSPENSION AND DISMISSING PROCEEDING)
Release No. 34-97703
File Number: 3-19790
Date: Respondents:
Matthew R. Logan (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97702
File Number: 3-20922
Date: Respondents:
Robert Juan Escobio (OPINION OF THE COMMISSION)
Release No. 34-97701
File Number: 3-20260
Date: Respondents:
Lord Global Corporation (ORDER GRANTING REQUEST TO WITHDRAW PETITION FOR TERMINATION OF TRADING SUSPENSION AND DISMISSING PROCEEDING)
Release No. 34-97700
File Number: 3-19933
Date: Respondents:
CNS Pharmaceuticals, Inc. and John M. Climaco (ORDER GRANTING REQUEST TO WITHDRAW PETITION FOR TERMINATION OF TRADING SUSPENSION AND DISMISSING PROCEEDING)
Release No. 34-97698
File Number: 3-19789
Date: Respondents:
WPD Pharmaceuticals, Inc., and Mariusz Olejniczak (ORDER GRANTING REQUEST TO WITHDRAW PETITION FOR TERMINATION OF TRADING SUSPENSION AND DISMISSING PROCEEDING)
Release No. 34-97696
File Number: 3-19801
Date: Respondents:
Cantone Research Inc., Anthony Cantone and Christine Cantone (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97695
File Number: 3-18999
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97684
File Number: 3-19652
Date: Respondents:
Ryan William Mummert (OPINION OF THE COMMISSION)
Release No. 34-97680
File Number: 3-20210
Date: Respondents:
Richard Vu Nguyen (OPINION OF THE COMMISSION)
Release No. IA-6325
File Number: 3-20616
Date: Respondents:
Joshua Abrahams, CPA (ORDER AUTHORIZING ADDITIONAL DEPOSITIONS)
Release No. 34-97669
File Number: 3-21214
Date: Respondents:
Wilson-Davis & Co., James C. Snow, and Byron B. Barkley (CORRECTED ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97661
File Number: 3-19666
Date: Respondents:
American CryptoFed DAO LLC (ORDER DENYING MOTION TO DISMISS)
Release No. 34-97659
File Number: 3-20650
Date: Respondents:
Toga Limited (ORDER DISCHARGING ORDER TO SHOW CAUSE AND DIRECTING RESPONDENT TO FILE AN ANSWER)
Release No. 34-97652
File Number: 3-21385
Date: Respondents:
Pending Administrative Proceedings (Order Vacating Certain Associational Bars)
Release No. 33-11199, 34-97641, IA-6324, IC-34934, AAER-4414
File Number: 3-06673-rtv, 3-12893-rtv, 3-13974-rtv, 3-14304-rtv, 3-14655-rtv, 3-14676-rtv, 3-15024-rtv, 3-15046-rtv, 3-15074-rtv, 3-15123-rtv, 3-15314-rtv, 3-15380-rtv, 3-15586-rtv, 3-15672-rtv, 3-15823-rtv, 3-15874-rtv, 3-16357-rtv, 3-16737-rtv, 3-14655-rtv, 3-15896-rtv, 3-16032-rtv, 3-16181-rtv, 3-16354-rtv, 3-16359-rtv, 3-16366-rtv, 3-16556-rtv, 3-16576-rtv, 3-16687-rtv, 3-16714-rtv, 3-16725-rtv, 3-16736-rtv, 3-16805-rtv, 3-16845-rtv, 3-16875-rtv, 3-16878-rtv, 3-16883-rtv, 3-16936-rtv, 3-17137-rtv, 3-17216-rtv, 3-17232-rtv, 3-17251-rtv, 3-17334-rtv, 3-17360-rtv, 3-17373-rtv, 3-17511-rtv, 3-17521-rtv, 3-17522-rtv, 3-17612-rtv
Date: Respondents:
Pending Administrative Proceedings (Order Dismissing Proceedings)
Release No. 33-11198, 34-97640, IA-6323, IC-34933, AAER-4413
File Number: 3-17228, 3-15755, 3-16047, 3-16293, 3-16318, 3-16386, 3-16509, 3-16517, 3-17184, 3-17253, 3-17352, 3-17990, 3-18733, 3-18746, 3-18994, 3-19145, 3-19419, 3-19661, 3-19685, 3-19868, 3-20308, 3-20309, 3-20312, 3-20344, 3-20345, 3-20355, 3-20356, 3-17935, 3-17991, 3-17999, 3-18004, 3-18007, 3-18014, 3-18187, 3-18292, 3-18346, 3-18378, 3-18483, 3-18774, 3-18780, 3-18781, 3-18867
Date: Respondents:
MJ Biotech, Inc. (f/k/a Michael James Enterprises, Inc.) (Corrected Order Granting Motion to Set Aside Default and Ordering Briefs)
Release No. 34-97644
File Number: 3-20297
Date: Respondents:
Dominic O’Dierno (ORDER DENYING REQUEST FOR RETURN OF DISGORGEMENT AND INTEREST PAID)
Release No. 34-97643
File Number: 3-15123, 3-15123-rtv
Date: Respondents:
Stephen Stuart (ORDER DENYING REQUEST TO VACATE COLLATERAL BARS)
Release No. 34-97642
File Number: 3-16151
Date: Respondents:
Patrick Morgan Schiro (OPINION OF THE COMMISSION)
Release No. IA-6321
File Number: 3-19920
Date: Respondents:
Petrolia Energy Corporation (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-97635
File Number: 3-20724
Date: Respondents:
Curtis Richard Edmark (OPINION OF THE COMMISSION)
Release No. 34-97634
File Number: 3-19594
Date: Respondents:
Good Vibration Shoes, Inc. (ORDER GRANTING REQUEST TO WITHDRAW APPLICATION FOR REVIEW)
Release No. 34-97633
File Number: 3-19407
Date: Respondents:
Nancy Kimball Mellon (OPINION OF THE COMMISSION)
Release No. 34-97623
File Number: 3-21267
Date: Respondents:
Michael Joseph Clarke (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97619
File Number: 3-20126
Date: Respondents:
Wilfredo Felix (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97617
File Number: 3-20380
Date: Respondents:
Alpine Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97615
File Number: 3-18979
Date: Respondents:
Enigma MPC, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97614
File Number: 3-21117
Date: Respondents:
Start Scientific, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97613
File Number: 3-21108
Date: Respondents:
QMIS Finance Securities Corp. (OPINION OF THE COMMISSION)
Release No. 34-97606
File Number: 3-21095
Date: Respondents:
Shaun Perry Nicholson (OPINION OF THE COMMISSION)
Release No. 34-97604
File Number: 3-20529
Date: Respondents:
David W. Ingle (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97603
File Number: 3-20893
Date: Respondents:
John Doe (ORDER GRANTING MOTION TO WITHDRAW APPLICATION FOR REVIEW AND REQUEST FOR CONFIDENTIAL TREATMENT)
Release No. 34-97574
File Number: 3-21013
Date: Respondents:
Damian Ostertag (ORDER GRANTING MOTION TO STAY)
Release No. 34-97591
File Number: 3-21087
Date: Respondents:
Jia Roger Qian Wang, CPA and Wang Certified Public Accountant, P.C. (ORDER)
Release No. 34-97590, AAER-4410
File Number: 3-21298
Date: Respondents:
Petrone Worldwide, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97578
File Number: 3-21085
Date: Respondents:
Nerium Biotechnology, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97577
File Number: 3-21090
Date: Respondents:
Williamsville Sears Management, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97572
File Number: 3-21093
Date: Respondents:
Glohab, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97557
File Number: 3-21077
Date: Respondents:
Original Source Music, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97556
File Number: 3-21068
Date: Respondents:
Globe Photos, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97555
File Number: 3-21076
Date: Respondents:
Robert L. Bryant III (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97558
File Number: 3-19892
Date: Respondents:
NuGenerex Immuno-Oncology, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97546
File Number: 3-21066
Date: Respondents:
FAB Universal Corp. (OPINION OF THE COMMISSION)
Release No. 34-97545
File Number: 3-21027
Date: Respondents:
BLGI, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97544
File Number: 3-21025
Date: Respondents:
Devin Lamarr Wicker (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97538
File Number: 3-20705
Date: Respondents:
Almost Never Films Inc. (ORDER TO SHOW CAUSE )
Release No. 34-97539
File Number: 3-21343
Date: Respondents:
Paul Eric Flesche (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97537
File Number: 3-20647
Date: Respondents:
Edward M. Daspin and a/k/a "Edward (Ed) Michael" (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 33-11194, 34-97536
File Number: 3-16509
Date: Respondents:
Christopher W. Burns (CORRECTED ORDER REGARDING SERVICE)
Release No. IA-6313
File Number: 3-20935
Date: Respondents:
Basic Energy Services, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97533
File Number: 3-21023
Date: Respondents:
Omphalos, Corp. (OPINION OF THE COMMISSION)
Release No. 34-97534
File Number: 3-20747
Date: Respondents:
WOD Retail Solutions, Inc. (OPINION OF THE COMMISSION)
Release No. 34-97535
File Number: 3-20993
Date: Respondents:
Christopher Peter Tranchina (EXTENSION ORDER)
Release No. 34-97532
File Number: 3-21390
Date: Respondents:
Southeast Investments, N.C., Inc. Frank Harmon Black (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97531
File Number: 3-19185
Date: Respondents:
Madison Avenue Holdings, Inc. (ORDER TO SHOW CAUSE)
Release No. 34-97527
File Number: 3-21383
Date: Respondents:
Toga Limited (ORDER TO SHOW CAUSE)
Release No. 34-97526
File Number: 3-21385
Date: Respondents:
Jason Lynn DiPaola (ORDER SCHEDULING BRIEFS)
Release No. 34-97518
File Number: 3-21402
Date: Respondents:
Anita Sgarro (ORDER EXTENDING TIME FOR RESPONDENT TO FILE A BRIEF OPPOSING SUMMARY DISPOSITION AND FOR THE DIVISION OF ENFORCEMENT TO FILE A REPLY)
Release No. 34-97515
File Number: 3-20816
Date: Respondents:
Ramón Lafarga Bátiz (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97512, AAER-4409
File Number: 3-20603
Date: Respondents:
Michael Andrew DeMaria (OPINION OF THE COMMISSION)
Release No. 34-97511
File Number: 3-20199
Date: Respondents:
Noe Corrales Reyes (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97510 , AAER-4408
File Number: 3-20602
Date: Respondents:
Carlos Javier Moctezuma Velasco (ORDER GRANTING IN PART MOTION FOR LEAVE TO USE ALTERNATE MEANS OF SERVICE)
Release No. 34-97509, AAER-4407
File Number: 3-20601
Date: Respondents:
Shaun Perry Nicholson (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97505
File Number: 3-20529
Date: Respondents:
Alice Jean Solomon (ORDER GRANTING MOTION TO WITHDRAW APPLICATION FOR REVIEW)
Release No. 34-97502
File Number: 3-20631
Date: Respondents:
Neil Joseph Gagnon (ORDER GRANTING MOTION TO WITHDRAW APPLICATION FOR REVIEW)
Release No. 34-97501
File Number: 3-20819
Date: Respondents:
Christopher M. Gibson (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97500 , IA-6309, IC-34916
File Number: 3-17184
Date: Respondents:
The Robare Group, Ltd., Mark L. Robare, and Jack L. Jones, Jr. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. IA-6308
File Number: 3-16047
Date: Respondents:
Roman Sledziejowski (OPINION OF THE COMMISSION)
Release No. 34-97485
File Number: 3-19502
Date: Respondents:
Conrad A. Coggeshall (OPINION OF THE COMMISSION)
Release No. 34-97474, IA-6306
File Number: 3-20142
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97472
File Number: 3-19652
Date: Respondents:
Sandeep Varma (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97458
File Number: 3-20317
Date: Respondents:
Wilson-Davis & Co., James C. Snow and Byron B. Barkley (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97453
File Number: 3-19666
Date: Respondents:
Kent Vincent Pearce (OPINION OF THE COMMISSION)
Release No. 34-97451
File Number: 3-19228
Date: Respondents:
Bradley C. Reifler (ORDER DENYING REQUEST FOR POSTPONEMENT OR ADJOURNMENT AND DIRECTING PREHEARING CONFERENCE)
Release No. IA-6304
File Number: 3-21303
Date: Respondents:
Damian Ostertag (ORDER DIRECTING SUBMISSION OF STATUS REPORT FROM THE PARTIES)
Release No. 34-97447
File Number: 3-21087
Date: Respondents:
Christopher Peter Tranchina (ORDER SCHEDULING BRIEFS)
Release No. 34-97441
File Number: 3-21390
Date: Respondents:
Credex Corporation (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-97428
File Number: 3-21375
Date: Respondents:
Leon Vaccarelli (ORDER SCHEDULING BRIEFS)
Release No. 34-97425, IA-6298
File Number: 3-21030
Date: Respondents:
Kiwa Bio-Tech Products Group Corporation (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-97415
File Number: 3-21382
Date: Respondents:
Horter Investment Management, LLC and Drew K. Horter (ORDER GRANTING PETITION FOR REVIEW AND SCHEDULING BRIEFS)
Release No. IA-6295
File Number: 3-20531
Date: Respondents:
Alan J. Markowitz, CPA (ORDER)
Release No. 34-97414:, AAER-4405
File Number: 3-21314
Date: Respondents:
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97413, AAER-4404
File Number: 3-18292
Date: Respondents:
Kent Vincent Pearce (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97412
File Number: 3-19228
Date: Respondents:
Joseph S. Amundsen, Michael T. Remus and Michael Remus CPA (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97411
File Number: 3-18994
Date: Respondents:
Alton Theodore Davis, Jr. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97410
File Number: 3-19588
Date: Respondents:
James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 33-11181, 34-97409, IA-6294, IC-34904
File Number: 3-17253
Date: Respondents:
Alpine Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97402
File Number: 3-18979
601 to 700 of 4954 items