Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – 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.

E-mail Updates

To sign up for updates, please enter your e-mail address below.

Administrative Proceedings RSS Feed


Date Sort ascending	Respondents
June 30, 2022	Wesley J. Evans Release No. 34-95187 File Number: 3-20919
June 30, 2022	The Brandon Rawls Trust Release No. 34-95183 See Also: Administrative Summary File Number: 3-20915
June 30, 2022	Hamilton Investment Counsel, LLC and Jeffrey Kirkpatrick Release No. 34-95189, IA-6061 File Number: 3-20920
June 30, 2022	Ihsan Dariush Ibrahim Gholizadeh Inc. Ihsan Dariush Ibrahim Gholizadeh Transfer Trust Release No. 34-95184 See Also: Administrative Summary File Number: 3-20916
June 30, 2022	Corona Associates Capital Management, LLC, et al. Release No. IA-6062 See Also: Administrative Summary File Number: 3-20921
June 30, 2022	The Northgate Nobles Greenhouseabe Foreign Grantor Trust Release No. 34-95185 See Also: Administrative Summary File Number: 3-20917
June 29, 2022	UBS Financial Services Inc. Release No. 34-95168, IA-6060
June 28, 2022	Ernst & Young LLP Release No. 34-95167, AAER-4313 File Number: 3-20911
June 28, 2022	Poloniex, LLC Release No. 34-95172 File Number: 3-20455
June 27, 2022	German Nino Release No. 34-95160, IA-6058 File Number: 3-20908
June 27, 2022	Sidney A. Spector, Md and Phd Release No. 33-11078, 34-95163 See Also: Administrative Summary File Number: 3-20910
June 27, 2022	David Lee Bonuccelli Release No. IA-6059 File Number: 3-20909
June 24, 2022	Geluk Capital Management Ltd. and Douglas Gerald Fathers Release No. 33-11077, 34-95158, IA-6057, IC-34637 See Also: Administrative Summary File Number: 3-20906
June 24, 2022	GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. Release No. 34-95149 File Number: 3-20537
June 24, 2022	Robinhood Financial, LLC Release No. 34-95152 File Number: 3-20171
June 22, 2022	The Brink's Company Release No. 34-95138 See Also: Administrative Summary File Number: 3-20904
June 21, 2022	Aaron B. Fletcher Release No. 34-95131, IA-6052 File Number: 3-20903
June 21, 2022	Egan-Jones Ratings Company and Sean Egan Release No. 34-95127
June 17, 2022	Erin Verespy Release No. 34-95121, IA-6051
June 16, 2022	William D. King, CPA Release No. 34-95109 See Also: Distribution Plan File Number: 3-19991
June 16, 2022	Sica Wealth Management, LLC and Jeffrey C. Sica Release No. 34-95110 See Also: Distribution Plan File Number: 3-19716
June 14, 2022	Weiss Asset Management LP Release No. 34-95099 File Number: 3-20899
June 14, 2022	Energy Capital Partners Management, LP Release No. IA-6049 File Number: 3-20900
June 13, 2022	Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc. and Schwab Wealth Investment Advisory, Inc. Release No. 34-95087, IA-6047 See Also: Administrative Summary File Number: 3-20897
June 13, 2022	Petroteq Energy, Inc.; Aleksandr Blyumkin Release No. 33-11072, 34-95089 See Also: Complaint File Number: 3-20898
June 9, 2022	Lijuan "Sandra" Hao, CPA Release No. 34-95076, AAER-4312 See Also: Administrative Summary File Number: 3-20896
June 8, 2022	Stephen M. Wyss, CPA, Stephen H. Jackson, CPA and Robert G. Hilbert, CPA Release No. 34-95067, AAER-4310 File Number: 3-20892
June 8, 2022	Steven C. Avis, CPA, and Steven W. Hurd, CPA Release No. 34-95071, AAER-4311 File Number: 3-20894
June 8, 2022	Jae Cheol Oh Release No. 34-95072 See Also: Administrative Summary File Number: 3-20895
June 8, 2022	CohnReznick LLP Release No. 34-95066, AAER-4309 File Number: 3-20891
June 7, 2022	Stephen G. Waldis Release No. 34-95054, AAER-4307 File Number: 3-20888
June 7, 2022	Clayton "Charlie" Thomas Release No. 34-95050, AAER-4303 File Number: 3-20884
June 7, 2022	Ronald Prague, Esq. Release No. 34-95055, AAER-4308 File Number: 3-20889
June 7, 2022	Marc Bandini Release No. 34-95051, AAER-4304 File Number: 3-20885
June 7, 2022	Trust Advisory Group, Ltd. Release No. IA-6046 See Also: Administrative Summary File Number: 3-20890
June 7, 2022	Daniel Ives Release No. 34-95052, AAER-4305 File Number: 3-20886
June 7, 2022	John Murdock Release No. 34-95053, AAER-4306 File Number: 3-20887
June 7, 2022	Synchronoss Technologies, Inc. Release No. 34-95049, AAER-4302 File Number: 3-20883
June 6, 2022	Kahn Brothers Advisors, LLC and Thomas Kahn Release No. 34-95045, IA-6043 See Also: Administrative Summary File Number: 3-20880
June 6, 2022	Kathryn Jane Meredith, d/b/a KM Advisory Services Release No. 34-95046, IA-6044, 34-96217 See Also: Administrative Summary File Number: 3-20881
June 6, 2022	Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 34-95043 File Number: 3-20781
June 6, 2022	Houston American Energy Corp. Terwilliger, John F., Jr. Undiscovered Equities Inc. McKnight, Kevin T. Release No. 34-95044 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: 3-16000 File Number: 3-16000
June 6, 2022	Adirondack Financial Services Corp. Release No. IA-6041 File Number: 3-20879
June 6, 2022	John Paul Harnish, d/b/a KM Advisory Services Release No. 34-95047, IA-6045, 34-96217 See Also: Administrative Summary File Number: 3-20882
June 3, 2022	Alphacentric Advisors LLC Release No. IA-6040, IC-34608 See Also: Administrative Summary File Number: 3-20877
June 3, 2022	Garrison Point Capital, LLC Release No. IA-6039, IC-34607 See Also: Administrative Summary File Number: 3-20876
June 2, 2022	Town of Sterlington, Louisiana Release No. 33-11069, 34-95024 File Number: 3-20873
June 2, 2022	Duncan, Richard G. Release No. 34-95023, IA-6038 See Also: Exhibit A File Number: 3-20874
June 2, 2022	Tenaris S.A. Release No. 34-95030 File Number: 3-20875
May 31, 2022	Madison Avenue Securities, LLC Release No. 34-95008, IA-6036 See Also: Administrative Summary File Number: 3-20872
May 26, 2022	Securities America Advisors, Inc. Release No. 34-94995 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-20381/3-20381.htm Submit Comments on: 3-20381 File Number: 3-20381
May 26, 2022	Hansen, David Henry Release No. IA-6035 File Number: 3-20684
May 25, 2022	Bankrate, Inc. and Hyunjin Lerner, CPA Release No. 34-94979 File Number: 3-16786
May 25, 2022	RiverSource Distributors, Inc. Release No. 34-94978, IC-34592 File Number: 3-20871
May 24, 2022	TradeZero America, Inc. and Daniel Pipitone (Corrected) Release No. 33-11066 File Number: 3-20870
May 24, 2022	PMB Helin Donovan, LLP, Christopher Bauer, CPA and Jeffrey Jamieson, CPA Release No. 34-94976, AAER-4301 File Number: 3-17691
May 23, 2022	BNY Mellon Investment Adviser, Inc. Release No. IA-6032, IC-34591 File Number: 3-20867
May 23, 2022	Jillian Sidoti, Esq. Release No. 34-94962 File Number: 3-20868
May 23, 2022	Virtua Capital Management, LLC, et al. Release No. 34-94967, IA-6033 See Also: Administrative Summary File Number: 3-20869
May 20, 2022	Wells Fargo Clearing Services, LLC. Release No. 34-94955, IA-6031 File Number: 3-20866
May 20, 2022	Masters, Daniel C. Release No. 33-11064, 34-94956 File Number: 3-20051
May 19, 2022	Michael Staisil Release No. 34-94943 File Number: 3-20863
May 19, 2022	Thomas F. Plaut Release No. 34-94944 File Number: 3-20864
May 19, 2022	First Republic Investment Management, Inc. Release No. IA-6030 See Also: Administrative Summary File Number: 3-20865
May 19, 2022	FCA US LLC and Fiat Chrysler Automobiles N.V. Release No. 34-94948 See Also: Proposed Distribution Plan File Number: 3-19541
May 19, 2022	Butler, Kimberly D. Prosperity Economics Partners, LLC Partners for Prosperity, LLC Release No. 33-11063, 34-94945, IA-6029, IC-34589 File Number: 3-20454
May 18, 2022	Digi Outdoor Media, Inc. Release No. 33-11062 File Number: 3-20862
May 18, 2022	Anthony Salandra Release No. 34-94937 File Number: 3-20861
May 17, 2022	Trevor L. Taylor Release No. 34-94925, IA-6025 File Number: 3-20853
May 17, 2022	Stephen G. Bond-Nelson Release No. 34-94926, IA-6026 File Number: 3-20854
May 17, 2022	Alan H. New Release No. 34-94931 File Number: 3-20857
May 17, 2022	Allianz Global Investors U.S. LLC Release No. 34-94927, IA-6027 File Number: 3-20855
May 17, 2022	David N. Knuth Release No. 34-94930 File Number: 3-20856
May 13, 2022	Douglas A. Richardson, CPA Release No. 34-94906, AAER-4300 File Number: 3-20852
May 12, 2022	Peter J. Baker Release No. 34-94904 File Number: 3-20851
May 12, 2022	S&P Dow Jones Indices LLC Release No. 34-94905 See Also: Distribution Plan File Number: 3-20310
May 11, 2022	Steven F. Muntin Release No. IA-6020 File Number: 3-20850
May 10, 2022	Lev Parnas Release No. 34-94885 File Number: 3-20848
May 10, 2022	High, Robert Charles II Release No. 34-94886, IA-6019 File Number: 3-20849
May 9, 2022	Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel Release No. 34-94877 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: 3-19266 File Number: 3-19266
May 6, 2022	Advanzeon Solutions, Inc. Release No. 34-94861 File Number: 3-20847
May 6, 2022	NVIDIA Corporation Release No. 33-11060, 34-94859 File Number: 3-20844
May 6, 2022	Perini Capital, LLC and Michael D. Perini Release No. IA-6015 See Also: Administrative Summary File Number: 3-20843
May 6, 2022	Boveda Asset Management, Inc. Release No. IA-6016 File Number: 3-20845
May 6, 2022	George Kenneth Witherspoon, Jr. Release No. IA-6017 File Number: 3-20846
May 5, 2022	Bobby Eugene Guess Release No. 34-94852 File Number: 3-20841
May 5, 2022	General Electric Company Release No. 34-94856 See Also: Distribution Plan File Number: 3-20165
May 5, 2022	Balter, Laurence I. d/b/a Oracle Investment Research Release No. 34-94857 See Also: Distribution Plan File Number: 3-17614
May 5, 2022	Eric A. Alexander, CPA Release No. 34-94858, AAER-4299 File Number: 3-20842
May 4, 2022	Omnibus Order Directing the Engagement of Two Tax Administrators for Appointment on a Case-By-Case Basis in Administrative Proceedings that Establish Distribution Funds Release No. 34-94845
May 2, 2022	True Link Financial Advisors, LLC and Kai H. Stinchcombe Release No. 33-11059, IA-6012 File Number: 3-20838
May 2, 2022	Herman, Justin Wallace Release No. 34-94833 File Number: 3-20839
May 2, 2022	Balasubrahmanya Kuchibhotla Release No. 34-94834 See Also: Administrative Summary File Number: 3-20840
May 2, 2022	Maplelane Capital LLC Release No. 34-94830, IA-6011 File Number: 3-20837
April 28, 2022	Medley Management Inc., Brook B. Taube and Seth B. Taube Release No. 33-11057, 34-94819, IA-6008 File Number: 3-20836
April 27, 2022	Alexandra H. Cock Release No. 33-11055, 34-94806, IA-6004, IC-34573 See Also: Administrative Summary File Number: 3-20834
April 27, 2022	Wealth Plus, Inc. Release No. 33-11056, 34-94807, IA-6005 See Also: Administrative Summary File Number: 3-20835
April 27, 2022	Highpoint Advisor Group, LLC Release No. IA-6003 See Also: Administrative Summary File Number: 3-20833
April 25, 2022	Scott A. Merkelson Release No. 34-94790 File Number: 3-20832
April 22, 2022	Carl Iberger Release No. 34-94786, AAER-4297 File Number: 3-20830

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in About

Breadcrumb

Administrative Proceedings

E-mail Updates