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:
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
Date: Respondents:
Global Boatworks Holdings, Inc. (Opinion of the Commission)
Release No. 34-96814
File Number: 3-20804
Date: Respondents:
Nanovation Microtech, Inc. (Opinion of the Commission)
Release No. 34-96816
File Number: 3-21089
Date: Respondents:
Charles K. Topping (Order Denying Motion to Deem Service Complete and Directing the Filing of a Status Report)
Release No. 34-96806
File Number: 3-20817
Date: Respondents:
Sandeep Varma (Order Extending Time to Issue Decision)
Release No. 34-96807
File Number: 3-20317
Date: Respondents:
BlackBook Capital, Inc., and Franklin Ogele (Order Extending Time to Issue Decision)
Release No. 34-96808
File Number: 3-19771
Date: Respondents:
Michael A. Gramins (Order Scheduling Briefs)
Release No. 34-96809, IA-6229
File Number: 3-21266
Date: Respondents:
Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Order Extending Time to Issue Decision)
Release No. 34-96810
File Number: 3-19666
Date: Respondents:
Alpine Securities Corporation and Matthew Iverson (Order Dismissing Review Proceeding)
Release No. 34-96794
File Number: 3-21228
Date: Respondents:
Anita Sgarro (Order Directing Respondent to File Certificate of Service)
Release No. 34-96784
File Number: 3-20816
Date: Respondents:
Lisa Gordon (Order Regarding Service)
Release No. 34-96785
File Number: 3-21039
Date: Respondents:
Christopher Anthony Sumner (Order Requesting Additional Written Submission)
Release No. 34-96790
File Number: 3-21291
Date: Respondents:
Adam Mattessich (Order Regarding Service and Denying Motion for Leave to File Summary Disposition Briefing)
Release No. 34-96780
File Number: 3-21261
Date: Respondents:
Thomas Christophe Prentice (Opinion of the Commission)
Release No. 34-96769
File Number: 3-18894
Date: Respondents:
Kent Vincent Pearce (Order Extending Time to Issue Decision)
Release No. 34-96772
File Number: 3-19228
Date: Respondents:
Joseph S. Amundsen, Michael T. Remus and Michael Remus CPA (Order Extending Time to Issue Decision)
Release No. 34-96774
File Number: 3-18994
Date: Respondents:
Louis Navellier and Navellier & Associates, Inc. (Order Regarding the Prehearing Conference)
Release No. IA-6227
File Number: 3-19826, 3-19826
Date: Respondents:
James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Order Extending Time to Issue Decision)
Release No. 33-11152, 34-96770, IA-6226, IC-34822
File Number: 3-17253
Date: Respondents:
Gregory A. Wahl, CPA, Michael Deutchman, CPA and Georgia Chung, CPA (Order Extending Time to Issue Decision)
Release No. 34-96771, AAER-4372
File Number: 3-18292
Date: Respondents:
John Marques (Order to Show Cause)
Release No. 34-96761
File Number: 3-21257
Date: Respondents:
Smartag International, Inc. (Opinion of the Commission)
Release No. 34-96755
File Number: 3-20007
Date: Respondents:
Anita Sgarro (Order Directing Respondent to File Certificate of Service)
Release No. 34-96758
File Number: 3-20816
Date: Respondents:
Nancy Kimball Mellon (Order Scheduling Briefs and Extending the Briefing Schedule)
Release No. 34-96750
File Number: 3-21267
Date: Respondents:
Edward Beyn and Craig S. Taddonio (Order Extending Time to Issue Decision)
Release No. 34-96727
File Number: 3-19007, 3-19012
Date: Respondents:
Robert L. Bryant III (Order Extending Time to Issue Decision)
Release No. 34-96728
File Number: 3-19892
Date: Respondents:
William Joseph Kielczewski (Order Extending Time to Issue Decision)
Release No. 34-96729
File Number: 3-20636
Date: Respondents:
Jonathan William Lonske (Order Extending Time to Issue Decision)
Release No. 34-96730
File Number: 3-20633
Date: Respondents:
Carl E. Dilley (Order Regarding Prehearing Conference)
Release No. 34-96731
File Number: 3-21020
Date: Respondents:
Micah J. Eldred (Order Regarding Prehearing Conference)
Release No. 34-96732
File Number: 3-21021
Date: Respondents:
Andy Chin Fong Chen, CPA (Order Denying Petition to Lift Temporary Suspension and Directing Hearing)
Release No. 33-11148, 34-96710, AAER-4371
File Number: 3-21239
Date: Respondents:
Grown Rogue International Inc. (Fka Novicius Corporation) (Scheduling Order)
Release No. 34-96686
File Number: 3-21137
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision)
Release No. 34-96685
File Number: 3-19185
Date: Respondents:
Laurence G. Allen (Extension Order)
Release No. 34-96704
File Number: 3-21222
Date: Respondents:
Electropremium (Order Granting Petition for Review and Scheduling Briefs)
Release No. 33-11147
File Number: 3-21032
Date: Respondents:
Laurie Bebo and John Buono, CPA (Order Extending Time to Issue Decision)
Release No. 34-96671
File Number: 3-16293
Date: Respondents:
Thomas Lee Johnson (Order Extending Time to Issue Decision)
Release No. 34-96675
File Number: 3-20646
Date: Respondents:
Curtis Richard Edmark (Order Extending Time to Issue Decision)
Release No. 34-96676
File Number: 3-19594
Date: Respondents:
Consolidated Arbitration Applications (Order Extending Time to Issue Decision)
Release No. 34-96660
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:
WATER NOW, INC. (Order Discharging Order to Show Cause and Granting Extension of Time)
Release No. 34-96648
File Number: 3-21127
Date: Respondents:
Damian Ostertag (Order Regarding Service)
Release No. 34-96647
File Number: 3-21087
Date: Respondents:
Paul Horton Smith, Sr. (Order to Show Cause)
Release No. IA-6215
File Number: 3-20134
Date: Respondents:
Newbridge Global Ventures, Inc. (Second Order Regarding Prehearing Conference)
Release No. 34-96633
Date: Respondents:
Roman Sledziejowski (Order)
Release No. 34-96635
Date: Respondents:
Adam Strege (Order Scheduling Briefs)
Release No. 34-96637
File Number: 3-21253
Date: Respondents:
Hughe Duwayne Graham (Order Requesting Briefs)
Release No. 34-96640
File Number: 3-20659
Date: Respondents:
Robbi J. Jones and Kipling Jones & Co., Ltd. (Order Extending Time to Issue Decision)
Release No. 34-96630
File Number: 3-20209
Date: Respondents:
Timothy W. Carnahan and CYIOS Corporation (Order Extending Time to Issue Decision)
Release No. 33-11145, 34-96617
File Number: 3-16386
Date: Respondents:
Jennifer Anne Johnston (Order Extending Time to Issue Decision)
Release No. 34-96612
File Number: 3-20120
Date: Respondents:
Good Vibration Shoes, Inc. (n/k/a Allied Corp.) (Order Extending Time to Issue Decision)
Release No. 34-96613
File Number: 3-19407
Date: Respondents:
Daniel Paul Motherway (Order Extending Time to Issue Decision)
Release No. 34-96614
File Number: 3-19897
Date: Respondents:
Eric S. Smith (Order Extending Time to Issue Decision)
Release No. 34-96615
File Number: 3-20127
Date: Respondents:
Michele Gray (Order Extending Time to Issue Decision)
Release No. 34-96616
File Number: 3-20651
Date: Respondents:
Robert R. Tweed (Order Extending Time to Issue Decision)
Release No. 34-96618
File Number: 3-19652
Date: Respondents:
Eyecity.Com, Inc. (n/k/a Carex Blockchain Platform, Inc.) (Order Extending Time to Issue Decision)
Release No. 34-96619
File Number: 3-19406
Date: Respondents:
Saving2Retire, LLC and Marian P. Young (Order Extending Time to Issue Decision)
Release No. IA-6214
File Number: 3-17352, 3-17352
Date: Respondents:
Justin Wallace Herman (Order Regarding Service)
Release No. 34-96608
File Number: 3-20839
Date: Respondents:
Richard G. Duncan (Order Granting an Extension of Time)
Release No. 34-96609, IA-6213
File Number: 3-20874
Date: Respondents:
Advance Practice Advisors, LLC and Paul C. Spitzer (Order Granting an Extension of Time)
Release No. 34-96602
File Number: 3-20204
Date: Respondents:
Alpine Securities Corporation (Order Extending Time to Issue Decision)
Release No. 34-96603
File Number: 3-20818
Date: Respondents:
Plantation Corp. (Opinion of the Commission)
Release No. 34-96594
File Number: 3-20985
Date: Respondents:
Deep ATS, LLC (Order Extending Time to Issue Decision)
Release No. 34-96593
File Number: 3-20362
Date: Respondents:
Metwood Inc. (a/k/a Emerge Health International Inc.) (Opinion of the Commission)
Release No. 34-96589
File Number: 3-20980
Date: Respondents:
Metatron, Inc. (Order Extending Time to Issue Decision)
Release No. 34-96580
File Number: 3-18567
Date: Respondents:
Edward Beyn and Craig S. Taddonio (Order Extending Time to Issue Decision)
Release No. 34-96581
File Number: 3-19012, 3-19007
Date: Respondents:
Ryan William Mummert (Order Extending Time to Issue Decision)
Release No. 34-96582
File Number: 3-20210
Date: Respondents:
Gregory M. Grenda (Order Regarding Service)
Release No. IA-6207
File Number: 3-21098
Date: Respondents:
Grenda Group, LLC (Order Regarding Service)
Release No. IA-6208
File Number: 3-21097
Date: Respondents:
Karina Chairez (Second Order Regarding Service)
Release No. 34-96569
File Number: 3-21011
Date: Respondents:
Laurence G. Allen (Extension Order)
Release No. 34-96562
File Number: 3-21222
Date: Respondents:
Tara Gold Resources Corp. (Order to Show Cause)
Release No. 34-96554
File Number: 3-20983
Date: Respondents:
Van Nuys Studios, Inc. (Order to Show Cause)
Release No. 34-96536
File Number: 3-21092
Date: Respondents:
Titan Securities and Brad C. Brooks (Order Extending Time to Issue Decision)
Release No. 34-96528
File Number: 3-19145, 3-20387
Date: Respondents:
Matthew R. Rossi and SJL Capital, LLC (Order Extending Time to Issue Decision)
Release No. 33-11141, 34-96531, IA-6205
File Number: 3-19145
Date: Respondents:
Timothy Allcott (Order Regarding Service)
Release No. IA-6206
File Number: 3-21120
Date: Respondents:
Wilfredo Felix (Order Scheduling Briefs)
Release No. 34-96537
File Number: 3-21246
Date: Respondents:
Mark W. Heckele (Order Directing Status Report From the Division of Enforcement)
Release No. 34-96538
File Number: 3-21015
Date: Respondents:
Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision)
Release No. 34-96539
File Number: 3-19185
901 to 1000 of 4976 items