Open Litigated Administrative Proceedings

View the Closed Litigated Administrative Proceedings page

File Number Respondents
3-16424 Lek Securities Corp.
3-19250 Upper Street Marketing Inc.
3-19603 The Application of Bloomberg, L.P.
3-19606 Vetter, Thomas H.
3-19719 Avnon, Yaniv Armon, Ran G Six Trading Y.R Ltd.
3-19733 Genovese, Nicholas J.
3-19735 Securities Industry and Financial Markets Association
3-19745 No Borders, Inc.
3-19787 Nano Magic Inc.
3-19814 Davis, Warren A.
3-19815 Gibraltar Global Securities, Inc.
3-19826 Navellier, Louis Navellier & Associates, Inc.
3-19896 Silver Leaf Partners, LLC
3-20120 Johnston, Jennifer Anne
3-20127 Smith, Eric S.
3-20134 Smith, Paul Horton, Sr.
3-20139 Rashid, Mohammed Ali
3-20184 Sood, Munish
3-20204 Advance Practice Advisors, LLC and Paul C. Spitzer
3-20209 Jones, Robbi J.; and Kipling Jones & Co., Ltd.
3-20238 Alpine Securities Corporation
3-20239 Murphy, Jocelyn
3-20242 Murphy, Michael Sean
3-20248 Perkins, Wesley Kyle
3-20249 World Tree Financial, LLC
3-20297 MJ Biotech, Inc.
3-20305 Tucker, Clinton Maurice, II
3-20331 Gagaza, Roy Y.
3-20380 Felix, Wilfredo
3-20387 Titan Securities and Brad C. Brooks
3-20394 Chancey, Paul L. Jr., CPA
3-20400 Rockwell, David Aaron
3-20460 Ortiz, David P.
3-20485 Alpine Securities Corporation
3-20503 Goldschmidt, Alexander
3-20504 Vax, Michael
3-20531 Horter Investment Management, LLC and Drew K. Horter
3-20586 Kamenksy, Daniel B.
3-20597 Resolute Capital Partners Ltd, LLC, et al.
3-20601 Velasco, Carlos Javier Moctezuma
3-20602 Reyes, Noe Corrales
3-20603 Bátiz, Ramón Lafarga
3-20622 Almagarby, Ibrahim
3-20636 Kielczewski, William Joseph
3-20639 DreamFunded Marketplace, LLC; and Fernandez, Manuel
3-20647 Flesche, Paul Eric
3-20650 American CryptoFed DAO LLC
3-20653 Carver, Robert Louis, a/k/a Donald Howard
3-20680 Paulsen, John A.
3-20695 Moleski, Stephen Scott
3-20703 Lykos, Thomas J., Jr.
3-20724 Petrolia Energy Corporation
3-20794 Halpern & Associates LLC Barbara Halpern, CPA
3-20795 Allen, Laurence G.
3-20796 Fries, Scott Allen
3-20807 Moss, Ronnie Lee, Jr.
3-20808 Lek Securities Corporation
3-20811 Zipper, Bruce and Dakota Securities International, Inc.
3-20823 Cawthorne, Lynn D.
3-20828 Lemelson, Gregory
3-20839 Herman, Justin Wallace
3-20849 High, Robert Charles II
3-20898 Petroteq Energy, Inc.; Aleksandr Blyumkin
3-20905 Young, James Thomas
3-20915 The Brandon Rawls Trust
3-20916 Ihsan Dariush Ibrahim Gholizadeh Inc. Ihsan Dariush Ibrahim Gholizadeh Transfer Trust
3-20917 The Northgate Nobles Greenhouseabe Foreign Grantor Trust
3-20927 McKown, George
3-20928 Gearhart, Richard
3-20935 Burns, Christopher W.
3-20941 LaGuardia, Donald S., Jr.
3-20950 Maccio, Michelle
3-20973 IEH Corporation
3-21000 Michael James Ferguson Jr. Foreign Private Trust
3-21001 Skinner, Matthew J.
3-21011 Chairez, Karina
3-21014 Heckele, Mark W., Esq.
3-21020 Dilley, Carl E.
3-21021 Eldred, Micah J.
3-21030 Vaccarelli, Leon
3-21039 Gordon, Lisa
3-21064 Pierre, Ruless a/k/a Rules Pierre
3-21084 Booth, Robert Lenard a/k/a Trevor Nicholas
3-21097 Grenda Group, LLC
3-21098 Grenda, Gregory M.
3-21125 Glick, Jacob C.
3-21137 Grown Rogue International Inc. f/k/a Novicius Corporation
3-21139 Viener, Ira S., CPA
3-21143 Hardiman, Elbert L., Jr.
3-21152 Sanchez, Jose Luis Casero
3-21159 Lee, Christopher Byungin
3-21160 O'Neal, Sean Andrew
3-21162 Sobel, Lee
3-21206 Broyles, Daniel Thomas
3-21211 Tilford, Richard Gregory
3-21214 Abrahams, Joshua, CPA
3-21220 Shern, Hung Wai "Howard"
3-21222 Allen, Laurence G.
3-21224 Ma, Joan Congyi "JC"
3-21225 Guo, Daliang "David"
3-21231 Geraci, Paul
3-21235 Vandivier, Cindy a/k/a "Madison Brooke or Brookes"
3-21239 Chen, Andy Chin Fong, CPA
3-21241 Tang, Jason Jianxun, CPA
3-21243 American CryptoFed DAO LLC
3-21246 Felix, Wilfredo
3-21257 Marques, John
3-21261 Mattessich, Adam
3-21264 The Peter Joseph Polinski Trust
3-21266 Gramins, Michael A.
3-21270 Keener, Justin W.
3-21280 Davis, DaRayl D.
3-21292 Ameritrust Corporation
3-21298 Wang, Jia Roger Qian, CPA and Wang Certified Public Accountant, P.C.
3-21302 Barrera, Emilio, Jr., (a/k/a Mike Barrera)
3-21303 Reifler, Bradley C.
3-21314 Markowitz, Alan J., CPA
3-21333 Guzman, Gustavo A.
3-21344 Cucinella, John
3-21345 Parker, Bernard M.
3-21364 Beam, Marcus
3-21387 3D Pioneer Systems, Inc.
3-21390 Tranchina, Christopher Peter
3-21400 Sztrom, Michael and Sztrom, David
3-21402 DiPaola, Jason Lynn
3-21414 Advantego Corporation
3-21462 Sunridge International, Inc.
3-21467 Cohen, Lee
3-21503 Sturniolo, Joseph Sylvester
3-21516 Mantei, Ricky Alan
3-21525 Bell, Vania Mae
3-21529 Flynn, Ronald Shane
3-21568 Swanson, Ronald D.
3-21578 Bahgat, Tarek D.
3-21626 Empower Clinics, Inc.
3-21654 Ameri Metro, Inc.
3-21701 Gosun Communications Limited Inc.
3-21702 Life Clips, Inc.
3-21715 Lux Amber, Corp.
3-21718 Green Automotive Company
3-21726 Amoah, Brian Bartlett and Elbert “Al” Elliott
3-21779 Cboe BZX Exchange, Inc.
3-21788 Holts, Bradley M.
3-21790 Cannon, Eric Christopher
3-21805 Kort, Frederick Maximilian
3-21818 Arnold, Christopher Robert
3-21822 Horn, Jeffrey Alan
3-21831 Hackert, Edward F.
3-21841 Mohidin, Ahmed, CPA, and Weinbaum, George, CPA
3-21862 ACCPAC International, Inc. (n/k/a Sage Software, Inc.)
3-21864 Applied Minerals, Inc.
3-21865 Cang Bao Tian Xia International Art Trade Center, Inc.
3-21866 Ecco Auto World Corporation
3-21867 Edge Data Solutions, Inc.
3-21869 WedoTalk Inc.
3-21870 Western Magnesium Corp.
3-21871 HQDA Elderly Life Network Corp.
3-21872 Ionix Technology, Inc.
3-21873 Global Wholehealth Partners Corporation
3-21874 Green Hygienics Holdings, Inc.
3-21878 nDivision Inc.,
3-21879 Edith Pardo Mehler, Esq.
3-21880 Strege, Adam
3-21884 Colambda Technologies, Inc. (f/k/a New Century Resources Corporation)
3-21885 Discovery Energy Corp.
3-21887 ESP Resources, Inc. (n/k/a Great Tang Bid Technology, Inc.)
3-21888 Fearless Films, Inc.
3-21889 Fovea Jewelry Holdings Ltd.
3-21890 Gene Biotherapeutics, Inc. (f/k/a Taxus Cardium Pharmaceuticals Group, Inc.)
3-21915 Burford, Charles Scott, Sr.
3-21919 Miller, William E.
3-21924 Alpine Securities Corporation
3-21925 Nemeckay, Timothy A.
3-21933 NYPPEX, LLC, Laurence Allen, and Michael Schunk
3-21944 Rauch, George (f/k/a George B. Fasciano)
3-21948 Mark Allen Plummer
3-21951 Breitling, Todd Stuart
3-21960 Daniel Urness
3-21963 Paul, Joseph Andrew
3-21966 Fierro, John D.
3-21968 Jian Ming ("Jonathan") Ni, CPA
3-21972 Church-Koegel, Brook
3-21973 Walker, Nicole J.
3-21974 Goldman, David H.
3-21982 Robertson, Norman Thorn
3-21985 Securities Capital Corporation