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. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

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Date Sort ascending	Respondents
Nov. 18, 2022	American CryptoFed DAO LLC Release No. 33-11134 File Number: 3-21243
Nov. 18, 2022	Daniel Moser Release No. 34-96349, AAER-4367
Nov. 17, 2022	Tang, Jason Jianxun, CPA Release No. 34-96347, AAER-4366 File Number: 3-21241
Nov. 17, 2022	Centaurus Diamond Technologies, Inc. Release No. 34-96344 File Number: 3-21061
Nov. 17, 2022	The American Energy Group, Ltd. Release No. 34-96343 File Number: 3-20995
Nov. 17, 2022	Weatherford International Plc, et al. Release No. 34-96340 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-17582/3-17582.htm
Nov. 14, 2022	S&P Global Ratings Release No. 34-96308 File Number: 3-21240
Nov. 14, 2022	Cozad Asset Management, Inc. Release No. 34-96309 File Number: 3-19752
Nov. 14, 2022	Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited Release No. 34-96310 See Also: Distribution Plan File Number: 3-20030
Nov. 10, 2022	Ruiz, Martin A. Release No. IA-6185 File Number: 3-21099, 3-21099
Nov. 10, 2022	Chen, Andy Chin Fong, CPA Release No. 33-11133, 34-96299, AAER-4364 File Number: 3-21239
Nov. 9, 2022	PIC Renegade Properties, LLC Release No. 33-11132 See Also: Administrative Summary File Number: 3-21238
Nov. 8, 2022	Carlos Pingarron Release No. 34-96253
Nov. 8, 2022	Carlos Sorondo Release No. 34-96254
Nov. 8, 2022	SCF Investment Advisors, Inc. Release No. 34-96255
Nov. 4, 2022	Vandivier, Cindy a/k/a "Madison Brooke or Brookes" Release No. 34-96245 File Number: 3-21235
Nov. 4, 2022	Tyler Forbes Release No. 34-96238, IA-6183
Nov. 4, 2022	Michael E. Mueller Release No. 34-96243 See Also: Administrative Summary
Nov. 4, 2022	Geraci, Paul Release No. 34-96236 File Number: 3-21231
Nov. 4, 2022	Assenza, Michael J. a/k/a "Michael Grimaldi" Release No. 34-96240 File Number: 3-21233
Nov. 4, 2022	Scott David Mahoney Release No. 34-96235, AAER-4363
Nov. 3, 2022	Joseph Orazio DeGregorio Release No. 34-96215
Nov. 3, 2022	David B. Mata Release No. IA-6181 File Number: 3-21229
Nov. 3, 2022	Horter Investment Management, LLC and Drew K. Horter Release No. IA-6182 File Number: 3-20531, 3-20531
Nov. 3, 2022	John C. Ahearn Release No. 34-96216
Nov. 3, 2022	Kathryn Jane Meredith and John Paul Harnish d/b/a KM Advisory Services Release No. 34-96217, 34-95046, 34-95047, IA-6044, IA-6045
Nov. 2, 2022	Guo, Daliang "David" Release No. 34-96207 File Number: 3-21225
Nov. 1, 2022	Ma, Joan Congyi "JC" Release No. 34-96203 File Number: 3-21224
Nov. 1, 2022	Koppers Holdings Inc. Release No. 33-11129, 34-96193, AAER-4360 See Also: Administrative Summary
Oct. 28, 2022	Lin, Yao Release No. 34-96170 File Number: 3-21221
Oct. 26, 2022	Bare Metal Standard, Inc. (a/k/a AS Capital, Inc.) Release No. 34-96152 File Number: 3-20716
Oct. 26, 2022	Shern, Hung Wai "Howard" Release No. 34-96157 File Number: 3-21220
Oct. 25, 2022	Scott A. Woodward, CPA Release No. 34-96153, AAER-4359 See Also: Administrative Summary File Number: 3-21219
Oct. 24, 2022	Lina Maria Garcia Release No. 34-96146, IA-6174
Oct. 24, 2022	Cronos Group Inc. Release No. 33-11123, 34-96137, AAER-4357
Oct. 24, 2022	William Hilson, CPA, CA Release No. 33-11124, 34-96138, AAER-4358
Oct. 24, 2022	Ramiro Jose Sugranes Release No. 34-96145, IA-6173
Oct. 21, 2022	Mattel, Inc. Release No. 33-11122, 34-96126, AAER-4355
Oct. 21, 2022	Abrahams, Joshua, CPA Release No. 34-96127, AAER-4356 File Number: 3-21214
Oct. 20, 2022	Eagle Bancorp, Inc. Release No. 34-96115 File Number: 3-20963
Oct. 20, 2022	Perry Douglas West, Esq. Release No. 34-96114 File Number: 3-18968
Oct. 19, 2022	Tilford, Richard Gregory Release No. 34-96103 File Number: 3-21211
Oct. 19, 2022	NewAge, Inc. Release No. 33-11120, 34-96106
Oct. 17, 2022	MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA, Release No. 34-96095
Oct. 13, 2022	Howard Richards Release No. 34-96064 File Number: 3-16877
Oct. 13, 2022	Gilberto Lopez Release No. 34-96067
Oct. 13, 2022	Badree Komandur, et al. Release No. 34-96071, AAER-4354 File Number: 3-17746
Oct. 13, 2022	Charles Parrino Release No. 34-96072 File Number: 3-21210
Oct. 12, 2022	Keith Springer Release No. IA-6169 File Number: 3-21208
Oct. 11, 2022	Gold Camp Cripple Creek Colorado, Inc. Release No. 34-96033 File Number: 3-21044
Oct. 11, 2022	Broyles, Daniel Thomas Release No. 34-96025 File Number: 3-21206
Oct. 11, 2022	Andrew R. Dougherty Release No. 34-96032, IA-6167 File Number: 3-21207
Oct. 7, 2022	Leroy KIng Release No. 34-96008; IA-6163 File Number: 3-21204
Oct. 7, 2022	Surgalign Holdings, Inc. and Robert P. Jordheim Release No. 34-96010 File Number: 3-20945
Oct. 7, 2022	Shaun P. Golden Release No. IA-6164 File Number: 3-21205
Oct. 6, 2022	Fifth Third Bancorp and Daniel Poston Release No. 34-95988 See Also: Distribution Plan
Oct. 6, 2022	John W. Fisher Release No. 34-95989, IA-6159 File Number: 3-21201
Oct. 6, 2022	Schwarz, Jason Release No. IA-6160 File Number: 3-21202
Oct. 6, 2022	Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited Release No. 34-96000 See Also: Proposed Distribution Plan File Number: 3-20030
Oct. 6, 2022	Tyler Ostern Release No. 34-95991 File Number: 3-21203
Oct. 6, 2022	Eco Science Solutions, Inc. Release No. 34-96004 File Number: 3-20971
Oct. 5, 2022	Fusion Analytics Investment Partners, LLC Release No. IA-6158 File Number: 3-21200
Oct. 5, 2022	Michael J. Conte Release No. 34-95983, IA-6157 File Number: 3-21199
Oct. 3, 2022	Paragon Coin, Inc. Release No. 34-95965 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: File No.: 3-18897 File Number: 3-18897
Oct. 3, 2022	Joel Sanders, Esq. Release No. 34-95966 File Number: 3-21198
Oct. 3, 2022	Kimberly Kardashian Release No. 33-11116 File Number: 3-21197
Sept. 30, 2022	R. Jacob Steele Release No. 34-95951 File Number: 3-21187
Sept. 30, 2022	Lisa Sanford Release No. 33-11111, 34-95947, AAER-4345
Sept. 30, 2022	Anthony G. Roth Release No. 34-95952, AAER-4348 File Number: 3-21188
Sept. 30, 2022	Standard Oil Company, Inc. Release No. 33-11112, 34-95950 File Number: 3-21185
Sept. 30, 2022	Brian McClure Release No. 33-11113 File Number: 3-21186
Sept. 30, 2022	RSM US LLP Release No. 34-95948, AAER-4346
Sept. 30, 2022	Cemtrex, Inc. and Saagar Govil (Corrected) Release No. 33-11114, 34-95953 File Number: 3-21189
Sept. 30, 2022	Steven Kirn, CPA, Michael Piqueira, CPA and Richard Condon, CPA Release No. 34-95949, AAER-4347
Sept. 30, 2022	Carl V. Dawson, et al. Release No. 33-11115, 34-95963 File Number: 3-21196
Sept. 30, 2022	BrookWeiner, et al. Release No. 34-95958, AAER-4349 See Also: Administrative Summary File Number: 3-21192
Sept. 30, 2022	Berkower LLC; Michael G. Mullen, CPA; and Maurice Berkower, CPA Release No. 34-95959, AAER-4350 See Also: Administrative Summary File Number: 3-21193
Sept. 30, 2022	Joseph Boulos Release No. 34-95960
Sept. 30, 2022	David Lee Parrish Release No. 34-95956 File Number: 3-21190
Sept. 30, 2022	Darrell Green Release No. 34-95962 File Number: 3-21195
Sept. 30, 2022	Kent R. E. Whitney Release No. 34-95957 File Number: 3-21191
Sept. 29, 2022	Barclays PLC and Barclays Bank PLC Release No. 33-11110, 34-95944, AAER-4344
Sept. 29, 2022	Deloitte Touche Tohmatsu Certified Public Accountants, LLP Release No. 34-95938, AAER-4342
Sept. 29, 2022	Emerging Opportunities Corp. Release No. 34-95940 File Number: 3-21038
Sept. 29, 2022	Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 34-95941 File Number: 3-16729
Sept. 29, 2022	Aeon Global Health Corp. Release No. 34-95942 File Number: 3-20540
Sept. 29, 2022	Tupperware Brands Corporation Release No. 34-95943, AAER-4343 See Also: Administrative Summary
Sept. 29, 2022	Sean Wygovsky Release No. IA-6155 File Number: 3-21179
Sept. 28, 2022	Anilesh Ahuja Release No. IA-6154 File Number: 3-21175
Sept. 27, 2022	Oracle Corporation Release No. 34-95913
Sept. 27, 2022	UBS Financial Services, Inc. and UBS Securities LLC Release No. 34-95929 See Also: Waiver Order
Sept. 27, 2022	Nomura Securities International, Inc. Release No. 34-95925 See Also: Waiver Order
Sept. 27, 2022	BofA Securities, Inc., et al. Release No. 34-95921 See Also: Waiver Order
Sept. 27, 2022	Raynor, Michael Roy Release No. 34-95916 File Number: 3-21161
Sept. 27, 2022	Donald J. Kellen Release No. IA-6152 File Number: 3-21163
Sept. 27, 2022	Credit Suisse Securities (USA) LLC Release No. 34-95926 See Also: Waiver Order
Sept. 27, 2022	Goldman Sachs & Co. LLC Release No. 34-95922 See Also: Waiver Order
Sept. 27, 2022	Sobel, Lee Release No. 34-95918 File Number: 3-21162
Sept. 27, 2022	Darcas Oliver Young Release No. 34-95932
Sept. 27, 2022	Cantor Fitzgerald & Co. Release No. 34-95927 See Also: Waiver Order

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