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:
Michelle Maccio (ORDER DIRECTING SUBMISSION FROM THE DIVISION OF ENFORCEMENT)
Release No. IA-6293
File Number: 3-20950
Date: Respondents:
Robert Lenard Booth a/k/a Trevor Nicholas (ORDER DIRECTING SUBMISSION FROM THE DIVISION OF ENFORCEMENT)
Release No. 34-97382
File Number: 3-21084
Date: Respondents:
Richard Gearhart (ORDER DIRECTING PREHEARING CONFERENCE)
Release No. IA-6292
File Number: 3-20928
Date: Respondents:
Gregory M. Grenda (ORDER REGARDING PREHEARING CONFERENCE)
Release No. 34-97380
File Number: 3-21098
Date: Respondents:
Grenda Group, LLC (ORDER REGARDING PREHEARING CONFERENCE)
Release No. 34-97379
File Number: 3-21097
Date: Respondents:
Charles K. Topping (ORDER TO SHOW CAUSE)
Release No. 34-97377
File Number: 3-20817
Date: Respondents:
Warren A. Davis and Gibraltar Global Securities, Inc. (ORDER CONSOLIDATING PROCEEDINGS AND REQUESTING ADDITIONAL BRIEFING AND MATERIALS)
Release No. 34-97376
File Number: 3-19814
Date: Respondents:
Daliang "David" Guo (SCHEDULING ORDER)
Release No. 34-97359
File Number: 3-21225
Date: Respondents:
Robert L. Bryant III (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97357
File Number: 3-19892
Date: Respondents:
Jonathan William Lonske (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97356
File Number: 3-20633
Date: Respondents:
William Joseph Kielczewski (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97355
File Number: 3-20636
Date: Respondents:
Alpine Securities Corporation (OPINION OF THE COMMISSION)
Release No. 34-97347
File Number: 3-20818
Date: Respondents:
Scott Allen Fries (ORDER TO SHOW CAUSE)
Release No. 34-97336, IA-6290
File Number: 3-20796
Date: Respondents:
Edward Beyn and Craig S. Taddonio (OPINION OF THE COMMISSION)
Release No. 34-97325
File Number: 3-19007, 3-19012
Date: Respondents:
Neil Joseph Gagnon (ORDER SCHEDULING BRIEFS)
Release No. 34-97324
File Number: 3-20819
Date: Respondents:
James Thomas Young (ORDER SCHEDULING BRIEFS)
Release No. 34-97323
File Number: 3-20905
Date: Respondents:
Alice Jean Solomon (ORDER SCHEDULING BRIEFS)
Release No. 34-97322
File Number: 3-20631
Date: Respondents:
Nicholas J. Genovese (ORDER DIRECTING RESPONSE FROM RESPONDENT)
Release No. IA-6289
File Number: 3-19733
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97321
File Number: 3-19185
Date: Respondents:
Petrolia Energy Corporation (ORDER REQUESTING ADDITIONAL BRIEFING)
Release No. 34-97320
File Number: 3-20724
Date: Respondents:
Smith, Paul Horton, Sr. (ORDER DENYING RESPONDENT’S MOTION TO STAY PROCEEDING AND DIRECTING RESPONDENT TO SHOW CAUSE)
Release No. IA-6287
File Number: 3-20134
Date: Respondents:
Thomas J. Lykos, Jr. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97316
File Number: 3-20703
Date: Respondents:
Laurie Bebo and John Buono, CPA (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97315
File Number: 3-16293
Date: Respondents:
Thomas Lee Johnson (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97314
File Number: 3-20646
Date: Respondents:
Curtis Richard Edmark (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97313
File Number: 3-19594
Date: Respondents:
Christopher Anthony Sumner (Order Dismissing Application for Review)
Release No. 34-97310
File Number: 3-21291
Date: Respondents:
Michael A. Gramins (ORDER GRANTING AN EXTENSION OF TIME)
Release No. 34-97282
File Number: 3-21266
Date: Respondents:
Albert K. Hu (ORDER REQUESTING ADDITIONAL BRIEFING AND MATERIALS)
Release No. IA-6278
File Number: 3-19510
Date: Respondents:
Lisa Gordon (ORDER TO SHOW CAUSE)
Release No. 34-97281
File Number: 3-21039
Date: Respondents:
Saving2retire, LLC and Marian P. Young (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. IA-6277
File Number: 3-17352
Date: Respondents:
The Peter Joseph Polinski Trust (ORDER SCHEDULING BRIEFS)
Release No. 34-97279
File Number: 3-21264
Date: Respondents:
Robert R. Tweed (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97278
File Number: 3-19652
Date: Respondents:
EyeCity.Com, Inc. (n/k/a/ Carex Blockchain Platform, Inc.) (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97277
File Number: 3-19406
Date: Respondents:
Eric S. Smith (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97275
File Number: 3-20127
Date: Respondents:
Good Vibration Shoes, Inc. (n/k/a Allied Corp.) (ORDER EXTENDING TIME TO ISSUE DECISION
Release No. 34-97276
File Number: 3-19407
Date: Respondents:
Robbi J. Jones and Kipling Jones & Co., Ltd. (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97274
File Number: 3-20209
Date: Respondents:
Timothy W. Carnahan and Cyios Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 33-11177, 34-97273
File Number: 3-16386
Date: Respondents:
Michele Gray (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97272
File Number: 3-20651
Date: Respondents:
Jennifer Anne Johnston (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97271
File Number: 3-20120
Date: Respondents:
Ron K. Harrison (ORDER REGARDING SERVICE)
Release No. IA-6276
File Number: 3-21121
Date: Respondents:
Wilson-Davis & Co., James C. Snow and Byron B. Barkley (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97265
File Number: 3-19666
Date: Respondents:
Mark W. Heckele, Esq. (ORDER REGARDING PREHEARING CONFERENCE)
Release No. 34-97264
File Number: 3-21015
Date: Respondents:
Joshua Constantin (ORDER VACATING INVESTMENT ADVISER, MUNICIPAL SECURITIES DEALER, MUNICIPAL ADVISOR, TRANSFER AGENT, AND NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION BARS)
Release No. 34-97256
File Number: 3-15332
Date: Respondents:
Jeffrey Yokuty (ORDER VACATING BROKER, DEALER, MUNICIPAL SECURITIES DEALER, AND TRANSFER AGENT BARS)
Release No. IA-6275
File Number: 3-14484
Date: Respondents:
Eric A. Bloom (ORDER VACATING BROKER, DEALER, MUNICIPAL SECURITIES DEALER, AND TRANSFER AGENT BARS)
Release No. IA-6274
File Number: 3-16722
Date: Respondents:
Alpine Securities Corporation (ORDER EXTENDING TIME TO ISSUE DECISION)
Release No. 34-97254
File Number: 3-20818
Date: Respondents:
Matthew J. Skinner (ORDER TO SHOW CAUSE)
Release No. 34-97253
File Number: 3-21001
Date: Respondents:
The Consolidated Arbitration Applications for Review of Action Taken By FINRA (OPINION OF THE COMMISSION)
Release No. 34-97248
File Number: 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20467, 3-20499, 3-20620, 3-20621, 3-18616
Date: Respondents:
Jason Jianxun Tang, CPA (POSTPONEMENT ORDER)
Release No. 34-97246, AAER-4395
File Number: 3-21241
Date: Respondents:
Joshua Abrahams, CPA (SCHEDULING ORDER)
Release No. 34-97238
File Number: 3-21214
Date: Respondents:
Elbert Lamont Hardiman, Jr. (Second Order Regarding Service)
Release No. IA-6268
File Number: 3-21143
Date: Respondents:
Mark W. Heckele, Esq. (Order Denying Motion for a More Definite Statement)
Release No. 34-97233
File Number: 3-21015
Date: Respondents:
Gustavo A. Guzman (Order Granting Extension of Time)
Release No. IA-6269
File Number: 3-21333, 3-21333
Date: Respondents:
Reginald Buddy Ringgold, III Aka Rasool Abdul Rahim El (Opinion of the Commission)
Release No. IA-6267
File Number: 3-20208
Date: Respondents:
Alan J. Markowitz (Order Setting Deadline for Markowitz's Answer)
Release No. 34-97209, AAER-4393
File Number: 3-21314
Date: Respondents:
Deep ATS, LLC (Order Extending Time to Issue Decision)
Release No. 34-97215
File Number: 3-20362
Date: Respondents:
Alpine Securities Corporation (Order Extending Time to Issue Decision)
Release No. 34-97217
File Number: 3-18979
Date: Respondents:
Ryan William Mummert (Order Extending Time to Issue Decision)
Release No. 34-97204
File Number: 3-20210
Date: Respondents:
Metatron, Inc. (Order Extending Time to Issue Decision)
Release No. 34-97207
File Number: 3-18567
Date: Respondents:
Energem Resources, Inc. f/k/a Diamondworks Ltd. (Second Order Regarding Service)
Release No. 34-97200
File Number: 3-21035
Date: Respondents:
Edward Beyn and Craig S. Taddonio (Order Extending Time to Issue Decision)
Release No. 34-97198
File Number: 3-19007, 3-19012
Date: Respondents:
Peter Joseph Polinski Trust (Order Directing Prehearing Conference Report and Denying Motion for Leave to Move for Summary Disposition)
Release No. 34-97199
File Number: 3-21264
Date: Respondents:
Yao Lin (Order Granting Joint Motion to Stay)
Release No. 34-97201
File Number: 3-21221
Date: Respondents:
Justin W. Keener (Order Denying Respondent's Motion to Stay Proceeding)
Release No. 34-97192
File Number: 3-21270
Date: Respondents:
Anita Sgarro (Order Scheduling Briefs)
Release No. 34-97185
File Number: 3-20816
Date: Respondents:
Daliang "David" Guo (Order Directing Prehearing Conference)
Release No. 34-97177
File Number: 3-21225
Date: Respondents:
Cynthia Mary Couyoumjian (Opinion of the Commission)
Release No. 34-97179
File Number: 3-20154
Date: Respondents:
Daniel Paul Motherway (Opinion of the Commission)
Release No. 34-97180
File Number: 3-19897
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision)
Release No. 34-97162
File Number: 3-19185
Date: Respondents:
Matthew R. Rossi and SJL Capital, LLC (Order Extending Time to Issue Decision)
Release No. 33-11169, 34-97163, IA-6264
File Number: 3-19145
Date: Respondents:
Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision)
Release No. 34-97164
File Number: 3-20811
Date: Respondents:
Titan Securities and Brad C. Brooks (Order Extending Time to Issue Decision)
Release No. 34-97165
File Number: 3-20387
Date: Respondents:
Charles K. Topping (Order Deeming Service Complete and Directing an Answer)
Release No. 34-97157
File Number: 3-20817
Date: Respondents:
Consolidated Arbitration Applications (Order Extending Time to Issue Decision)
Release No. 34-97132
File Number: 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20467, 3-20499, 3-20620, 3-20621, 3-18919, 3-18934
Date: Respondents:
Yao Lin (Order Regarding Prehearing Conference)
Release No. 34-97135
File Number: 3-21221
Date: Respondents:
Silver Leaf Partners, LLC (Order Extending Time to Issue Decision)
Release No. 34-97116
File Number: 3-19896
Date: Respondents:
Ameritrust Corporation (Order to Show Cause)
Release No. 34-97121
File Number: 3-21292
Date: Respondents:
Cantone Research Group, Inc. (Order Extending Time to Issue Decision)
Release No. 34-97115
File Number: 3-18999
Date: Respondents:
Mark Feathers (Order Extending Time to Issue Decision)
Release No. 34-97118
File Number: 3-15755
Date: Respondents:
Robert Juan Escobio (Order Extending Time to Issue Decision)
Release No. 34-97119
File Number: 3-20260
Date: Respondents:
Michael Andrew DeMaria (Order Extending Time to Issue Decision)
Release No. 34-97120
File Number: 3-20199
Date: Respondents:
Alan J. Markowitz, CPA (Order Regarding Service)
Release No. 34-97113, AAER-4389
File Number: 3-21314
Date: Respondents:
Guozi Zhongyu Capital Holdings (Opinion of the Commission)
Release No. 34-97101
File Number: 3-21146
Date: Respondents:
TC Acquisition Corp. (Opinion of the Commission)
Release No. 34-97103
File Number: 3-21109
Date: Respondents:
Sleepaid Holding Co. n/k/a QDM, Inc. (Opinion of the Commission)
Release No. 34-97105
File Number: 3-21091
Date: Respondents:
Fuquan Financial Company (Opinion of the Commission)
Release No. 34-97107
File Number: 3-21147
Date: Respondents:
Earth Search Sciences, Inc. (Opinion of the Commission)
Release No. 34-97110
File Number: 3-21116
Date: Respondents:
Van Nuys Studios, Inc. (Opinion of the Commission)
Release No. 34-97111
File Number: 3-21092
Date: Respondents:
AngioGenex, Inc. (Opinion of the Commission)
Release No. 34-97112
File Number: 3-21124
Date: Respondents:
Gregory M. Grenda (Order Requesting Briefs)
Release No. IA-6257
File Number: 3-21098
Date: Respondents:
Grenda Group, LLC (Order Requesting Briefs)
Release No. IA-6258
File Number: 3-21097, 3-21097
Date: Respondents:
Hung Wai “Howard” Shern (Order Regarding Service)
Release No. 34-97117
File Number: 3-21220
Date: Respondents:
Vu1 Corporation (Opinion of the Commission)
Release No. 34-97085
File Number: 3-20992
Date: Respondents:
Corporate Resource Services, Inc. (Opinion of the Commission)
Release No. 34-97086
File Number: 3-21040
Date: Respondents:
Novelion Therapeutics Inc. (Opinion of the Commission)
Release No. 34-97087
File Number: 3-20984
Date: Respondents:
VeriTeQ Corporation (Opinion of the Commission)
Release No. 34-97089
File Number: 3-20991
Date: Respondents:
DirectView Holdings, Inc. (Opinion of the Commission)
Release No. 34-97090
File Number: 3-21041
Date: Respondents:
Tasa Products Limited (Opinion of the Commission)
Release No. 34-97091
File Number: 3-20994
Date: Respondents:
Northern Power Systems Corp. (Opinion of the Commission)
Release No. 34-97092
File Number: 3-20987
Date: Respondents:
Matthew J. Skinner (Order Regarding Service)
Release No. 34-97095
File Number: 3-21001
701 to 800 of 4952 items