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:
Joan Congyi "JC" Ma (Order to Show Cause)
Release No. 34-97097
File Number: 3-21224
Date: Respondents:
Alanco Technologies, Inc. (Opinion of the Commission)
Release No. 34-97066
File Number: 3-20976
Date: Respondents:
Insulcrete, Inc. (Opinion of the Commission)
Release No. 34-97067
File Number: 3-20978
Date: Respondents:
Shearson American REIT, Inc. (Opinion of the Commission)
Release No. 34-97068
File Number: 3-20982
Date: Respondents:
ParagonCoin, Limited (Opinion of the Commission)
Release No. 34-97069
File Number: 3-20748
Date: Respondents:
Lescarden Inc. (Opinion of the Commission)
Release No. 34-97070
File Number: 3-20979
Date: Respondents:
Andes 7, Inc. (Opinion of the Commission)
Release No. 34-97072
File Number: 3-20977
Date: Respondents:
Tara Gold Resources Corp. (Opinion of the Commission)
Release No. 34-97073
File Number: 3-20983
Date: Respondents:
Wilson-Davis & Co., James C. Snow, and Byron B. Barkley (Order Extending Time to Issue Decision)
Release No. 34-97071
File Number: 3-19666
Date: Respondents:
Shawn K. Dicken (Order Regarding Prehearing Conference)
Release No. 34-97075
File Number: 3-18831
Date: Respondents:
Robert Charles High, II (Order to Show Cause)
Release No. 34-97076, IA-6256
File Number: 3-20849
Date: Respondents:
Andy Chin Fong Chen, CPA (Order Scheduling Briefs and Amending Caption)
Release No. 33-11164, 34-97061, AAER-4387
File Number: 3-21239
Date: Respondents:
Jia Roger Qian WangJia Roger Qian Wang, et al. (Order Extending Time to File an Answer)
Release No. 34-97074, AAER-4388
File Number: 3-21298
Date: Respondents:
Theron Resource Group (Opinion of the Commission)
Release No. 34-97046
File Number: 3-20506
Date: Respondents:
Digital Brand Media & Marketing Group, Inc. (Order Extending Time to Issue Decision)
Release No. 34-97047
File Number: 3-17990
Date: Respondents:
IEH Corporation (Scheduling Order)
Release No. 34-97041
File Number: 3-20973
Date: Respondents:
Anita Sgarro (Order Denying Respondent's Motion to Stay Proceeding and Directing Prehearing Conference and Status Report)
Release No. 34-97040
File Number: 3-20816
Date: Respondents:
Justin Wallace Herman (Order to Show Cause)
Release No. 34-97022
File Number: 3-20839
Date: Respondents:
Richard Gregory Tilford (Order)
Release No. 34-97024
File Number: 3-21211
Date: Respondents:
BlackBook Capital, Inc. and Franklin Ogele (Opinion of the Commission)
Release No. 34-97027
File Number: 3-19771
Date: Respondents:
Noe Corrales Reye (Order Regarding Service)
Release No. 34-97004, AAER-4381
File Number: 3-20602
Date: Respondents:
Ramón Lafarga Bátiz (Order Regarding Service)
Release No. 34-97007, AAER-4383
File Number: 3-20603
Date: Respondents:
Onwuka Afame (Order to Show Cause)
Release No. 34-97002
File Number: 3-21263
Date: Respondents:
Lek Securities Corporation (Order Granting Request for Dismissal of Application for Review)
Release No. 34-97006
File Number: 3-20665
Date: Respondents:
Carlos Javier Moctezuma Velasco (Order Regarding Service)
Release No. 34-97005, AAER-4382
File Number: 3-20601
Date: Respondents:
Karina Chairez (Third Order Regarding Service)
Release No. 34-96993
File Number: 3-21011
Date: Respondents:
Paul Horton Smith, Sr. (Order Directing Respondent to File Certificate of Service)
Release No. IA-6252
File Number: 3-20134, 3-20134
Date: Respondents:
Jia Roger Qian Wang, CPA, and Wang Certified Public Accountant, P.C. (Order Granting in Part Motion for Extension of Time to File an Answer)
Release No. 34-96994, AAER-4379
File Number: 3-21298
Date: Respondents:
Alpine Securities Corporation (Order Extending Time to Issue Decision)
Release No. 34-96984
File Number: 3-18979
Date: Respondents:
Wilfredo Felix (Order Extending Time to Issue Decision)
Release No. 34-96985
File Number: 3-20380
Date: Respondents:
Michael Joseph Clarke (Order Extending Time to Issue Decision)
Release No. 34-96986
File Number: 3-20126
Date: Respondents:
Richard G. Duncan (Order Granting an Extension of Time)
Release No. 34-96987, IA-6248
File Number: 3-20874
Date: Respondents:
Ron K. Harrison (Order Regarding Service)
Release No. IA-6246
File Number: 3-21121
Date: Respondents:
George Mckown (Supplemental Order Regarding Service)
Release No. IA-6247
File Number: 3-20927
Date: Respondents:
Edward Beyn and Craig S. Taddonio (Order Extending Time to Issue Decision)
Release No. 34-96962
File Number: 3-19007, 3-19012
Date: Respondents:
Paul Eric Flesche (Order Extending Time to Issue Decision)
Release No. 34-96955
File Number: 3-20647
Date: Respondents:
Edward M. Daspin a/k/a "Edward (Ed) Michael" (Order Extending Time to Issue Decision)
Release No. 33-11158, 34-96956
File Number: 3-16509
Date: Respondents:
Devin Lamarr Wicker (Order Extending Time to Issue Decision)
Release No. 34-96957
File Number: 3-20705
Date: Respondents:
Cynthia Mary Couyoumjian (Order Extending Time to Issue Decision)
Release No. 34-96958
File Number: 3-20154
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision)
Release No. 34-96950
File Number: 3-19185
Date: Respondents:
Jia Roger Qian WangJia Roger Qian Wang, et al. (Order)
Release No. 34-96949, AAER-4376
File Number: 3-21298
Date: Respondents:
Louis Navellier and Navellier & Associates, Inc. (Order Scheduling Briefs)
Release No. IA-6243
File Number: 3-19826, 3-19826
Date: Respondents:
Hughe Duwayne Graham (Order Directing Submission of Status Report from the Division of Enforcement)
Release No. 34-96942
File Number: 3-20659
Date: Respondents:
Adam Mattessich (Order Scheduling Briefs)
Release No. 34-96946
File Number: 3-21261
Date: Respondents:
Advance Practice Advisors, LLC and Paul C. Spitzer (Order Granting an Extension of Time)
Release No. 34-96947
File Number: 3-20204
Date: Respondents:
Jose Luis Casero Sanchez (Order Regarding Service)
Release No. 34-96931, IA-6241
File Number: 3-21152
Date: Respondents:
Wilfredo Felix (Order Granting FINRA's Motion to Withdraw Its Motion to Dismiss; Accepting Respondent's Brief in Support of the Application for Review; and Granting FINRA's Motion to Extend the Briefing Schedule)
Release No. 34-96937
File Number: 3-21246
Date: Respondents:
Lee Sobel (Order Regarding Service)
Release No. 34-96907
File Number: 3-21162
Date: Respondents:
Christopher Byungin Lee (Order Regarding Service)
Release No. 34-96908
File Number: 3-21159
Date: Respondents:
Sean Andrew O’Neal (Order Regarding Service)
Release No. 34-96917
File Number: 3-21160
Date: Respondents:
Justin Wallace Herman (Order Directing Status Report from the Division of Enforcement)
Release No. 34-96929
File Number: 3-20839
Date: Respondents:
Start Scientific, Inc. (Order to Show Cause)
Release No. 34-96892
File Number: 3-21108
Date: Respondents:
Williamsville Sears Management, Inc. (Order to Show Cause)
Release No. 34-96888
File Number: 3-21093
Date: Respondents:
CannAwake Corporation (Opinion of the Commission)
Release No. 34-96893
File Number: 3-21132
Date: Respondents:
China XD Plastics Company Limited (Opinion of the Commission)
Release No. 34-96894
File Number: 3-21138
Date: Respondents:
GlyEco, Inc. (Opinion of the Commission)
Release No. 34-96895
File Number: 3-21136
Date: Respondents:
Rock Creek Pharmaceuticals, Inc. (Opinion of the Commission)
Release No. 34-96896
File Number: 3-21149
Date: Respondents:
Shaun Perry Nicholson (Order Extending Time to Issue Decision)
Release No. 34-96897
File Number: 3-20529
Date: Respondents:
Consolidated Arbitration Applications (Order Extending Time to Issue Decision)
Release No. 34-96899
File Number: 3-18616, 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, 3-20499, 3-20620, 3-20621
Date: Respondents:
Christopher M. Gibson (Order Extending Time to Issue Decision)
Release No. 34-96891, IA-6236, IC-34830
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-6235
File Number: 3-16047, 3-16047
Date: Respondents:
QMIS Finance Securities Corp. (Order to Show Cause)
Release No. 34-96874
File Number: 3-21095
Date: Respondents:
Nerium Biotechnology, Inc (Order to Show Cause)
Release No. 34-96876
File Number: 3-21090
Date: Respondents:
Sino Agro Food, Inc. (Order to Show Cause)
Release No. 34-96877
File Number: 3-21096
Date: Respondents:
Sky Wolf Wind Turbine Corp. (Opinion of the Commission)
Release No. 34-96880
File Number: 3-21088
Date: Respondents:
Axion International Holdings, Inc. (Opinion of the Commission)
Release No. 34-96881
File Number: 3-21129
Date: Respondents:
Premier Holding Corp. (Opinion of the Commission)
Release No. 34-96882
File Number: 3-21086
Date: Respondents:
6D Global Technologies, Inc. (Opinion of the Commission)
Release No. 34-96883
File Number: 3-21128
Date: Respondents:
Steele Oceanic Corporation (Opinion of the Commission)
Release No. 34-96884
File Number: 3-21130
Date: Respondents:
Carl E. Dilley (Order Scheduling Briefs)
Release No. 34-96873
File Number: 3-21020
Date: Respondents:
Micah J. Eldred (Order Scheduling Briefs)
Release No. 34-96875
File Number: 3-21021
Date: Respondents:
Glen Rose Petroleum Corp. (Opinion of the Commission)
Release No. 34-96857
File Number: 3-21028
Date: Respondents:
Adaptive Medias, Inc. (Opinion of the Commission)
Release No. 34-96858
File Number: 3-21033
Date: Respondents:
American Pacific Minerals Ltd. (Opinion of the Commission)
Release No. 34-96859
File Number: 3-21034
Date: Respondents:
Enova Systems, Inc. (Opinion of the Commission)
Release No. 34-96860
File Number: 3-21036
Date: Respondents:
Doers Education Asean Ltd. (Opinion of the Commission)
Release No. 34-96862
File Number: 3-21037
Date: Respondents:
Gold Capital Corp. /Co/ (Opinion of the Commission)
Release No. 34-96863
File Number: 3-21046
Date: Respondents:
Leon Vaccarelli (Order Discharging Order to Show Cause and Directing Prehearing Conference)
Release No. 34-96853, IA-6234
File Number: 3-21030
Date: Respondents:
Anthony B. Brandel and M.Y. Consultants, Inc. (Order Requesting Additional Briefing and Materials)
Release No. 34-96855
File Number: 3-19734
Date: Respondents:
Alton Theodore Davis, Jr. (Order Extending Time to Issue Decision)
Release No. 34-96866
File Number: 3-19588
Date: Respondents:
Findex.Com, Inc. (Opinion of the Commission)
Release No. 34-96845
File Number: 3-20972
Date: Respondents:
NMI Health, Inc. (Opinion of the Commission)
Release No. 34-96846
File Number: 3-20986
Date: Respondents:
Taronis Technologies, Inc. (n/k/a Bbhc, Inc.) (Opinion of the Commission)
Release No. 34-96847
File Number: 3-21019
Date: Respondents:
Dominion Minerals Corp. (Opinion of the Commission)
Release No. 34-96848
File Number: 3-20970
Date: Respondents:
Halo Companies, Inc. (Opinion of the Commission)
Release No. 34-96849
File Number: 3-20974
Date: Respondents:
Union Bridge Holdings Limited (Opinion of the Commission)
Release No. 34-96850
File Number: 3-20990
Date: Respondents:
WOD Retail Solutions, Inc. (Order to Show Cause)
Release No. 34-96834
File Number: 3-20993
Date: Respondents:
Damian Ostertag (Order Granting Motion to Stay)
Release No. 34-96838
File Number: 3-21087
Date: Respondents:
Gregory M. Grenda (Order Regarding Service)
Release No. IA-6231
File Number: 3-21098
Date: Respondents:
Grenda Group, LLC (Order Regarding Service)
Release No. IA-6232
File Number: 3-21097
Date: Respondents:
David Aaron Rockwell (Order to Show Cause)
Release No. 34-96841, IA-6233
File Number: 3-20400
Date: Respondents:
Bravo Enterprises Ltd. (Opinion of the Commission)
Release No. 34-96823
File Number: 3-20965
Date: Respondents:
Destination Maternity Corporation (Opinion of the Commission)
Release No. 34-96825
File Number: 3-20969
Date: Respondents:
ZYQC Group Holding Limited (Opinion of the Commission)
Release No. 34-96826
File Number: 3-20751
Date: Respondents:
Global Seed Corp. (Opinion of the Commission)
Release No. 34-96828
File Number: 3-20734
Date: Respondents:
ZhongTai Biotechnology Pharmaceutical Group Co., Ltd. (Opinion of the Commission)
Release No. 34-96831
File Number: 3-20744
Date: Respondents:
Champion Pain Care Corp. (f/k/a Oicco Acquisition I, Inc.) (Opinion of the Commission)
Release No. 34-96833
File Number: 3-20967
Date: Respondents:
Wesley Kyle Perkins and World Tree Financial, LLC (Order to Show Cause)
Release No. 34-96822, IA-6230
File Number: 3-20248, 3-20249
Date: Respondents:
Hygge Integrated Brands Corp. (Opinion of the Commission)
Release No. 34-96811
File Number: 3-21057
Date: Respondents:
Bridgeway National Corp. (Opinion of the Commission)
Release No. 34-96812
File Number: 3-21060
801 to 900 of 4952 items