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.

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Date Sort ascending	Respondents
Nov. 22, 2023	Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC Release No. 34-99016 See Also: Plan of Distribution File Number: 3-20060
Nov. 22, 2023	Scott T. Wolfrum and Tyler C. Sadek Release No. 34-99010 File Number: 3-20252, 3-20253
Nov. 21, 2023	Continental Energy Corp. Release No. 34-99004 File Number: 3-21803
Nov. 21, 2023	Michael V. Shustek Release No. 34-99006, IA-6489 File Number: 3-21804
Nov. 20, 2023	Bradley C. Reifler Release No. IA-6487 File Number: 3-21303
Nov. 20, 2023	Marguerite Cassandra Toroian Release No. IA-6486 File Number: 3-21802
Nov. 20, 2023	Adam D. Bering, Esq. Release No. 34-98992 File Number: 3-20671
Nov. 20, 2023	Laidlaw and Company (UK) Ltd. Release No. 34-98983 See Also: Administrative Summary File Number: 3-21800
Nov. 20, 2023	Richard Michalski and Michael Murray Release No. 34-98984 See Also: Administrative Summary File Number: 3-21801
Nov. 16, 2023	David M. Rees Release No. 34-98971
Nov. 15, 2023	Citigroup Global Markets, Inc., Morgan Stanley Smith Barney LLC Release No. 34-98940 See Also: Plan of Distribution File Number: 3-17808, 3-17809
Nov. 14, 2023	HCR Wealth Advisors Release No. 34-98939 File Number: 3-19494
Nov. 14, 2023	Jack C. Ridall Release No. IA-6483 File Number: 3-21798
Nov. 14, 2023	Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 34-98936 See Also: Plan of Disribution File Number: 3-20932
Nov. 14, 2023	Charter Communications, Inc. Release No. 34-98923 File Number: 3-21797
Nov. 14, 2023	Eagle Bancorp, Inc. Release No. 34-98922 File Number: 3-20963
Nov. 13, 2023	Barclays PLC and Barclays Bank PLC Release No. 34-98918 File Number: 3-21181
Nov. 13, 2023	Prime Group Holdings, LLC, Release No. 34-98916 File Number: 3-21602
Nov. 13, 2023	Fluor Corporation, Jon Eric Best, James F. Brittain, Robin K. Chopra, CA, Bradley R. Scott, Kent N. Smith Release No. 34-98914 File Number: 3-21610
Nov. 8, 2023	Jeremy Shor Release No. IA-6481 File Number: 3-21795
Nov. 8, 2023	Ronald T. Molo Release No. 34-98890, IA-6480 File Number: 3-21794
Nov. 7, 2023	Red White & Bloom Brands Inc. (f/k/a Tidal Royalty Corp.) Release No. 34-98871 File Number: 3-21721
Nov. 6, 2023	Original Sixteen to One Mine, Inc. Release No. 34-98870 File Number: 3-21690
Nov. 3, 2023	Stoner Cats 2, LLC Release No. 34-98851 File Number: 3-21655
Nov. 2, 2023	Royal Bank of Canada Release No. 34-98849, AAER-4473 File Number: 3-21792
Nov. 1, 2023	Covia Holdings Corp., Fairmount Santrol Holdings Inc. and Now Known as Bison Merger Sub I, LLC Release No. 34-98844 File Number: 3-20163
Nov. 1, 2023	Patrick N. Thayer Release No. 34-98840, IA-6474 File Number: 3-21791
Oct. 31, 2023	Eric Christopher Cannon Release No. 34-98827 File Number: 3-21790
Oct. 30, 2023	Joseph Conlan Release No. 34-98824 See Also: Administrative Summary File Number: 3-21789
Oct. 30, 2023	Bradley M. Holts Release No. 34-98823 File Number: 3-21788
Oct. 27, 2023	Scott T. Wolfrum Release No. 34-98804 File Number: 3-20252
Oct. 27, 2023	Impact Theory, LLC Release No. 34-98803 File Number: 3-21585
Oct. 24, 2023	Brian Keat Hobbs Release No. IA-6470 File Number: 3-21787
Oct. 24, 2023	BlackRock Advisors, LLC Release No. IA-6468, IC-35035 File Number: 3-21786
Oct. 23, 2023	DongFang City Holding Group Company Limited Release No. 34-98786 File Number: 3-21466
Oct. 23, 2023	Marco A. Perez, aka Marc Perez Release No. 34-98788, AAER-4472 File Number: 3-21785
Oct. 23, 2023	Luther C. Speight, III, CPA and Luther Speight & Company, LLC Release No. 34-98779, AAER-4471 File Number: 3-21784
Oct. 19, 2023	Novation Companies, Inc. Release No. 34-98773 File Number: 3-21394
Oct. 19, 2023	Neuropathix, Inc. Release No. 34-98774 File Number: 3-21716
Oct. 19, 2023	Rivulet Media, Inc. Release No. 34-98776 File Number: 3-21722
Oct. 19, 2023	Anson Advisors Inc. Release No. 34-98775 See Also: Administrative Summary File Number: 3-21783
Oct. 17, 2023	Anthony B. Brandel and M.Y. Consultants, Inc. Release No. 34-98763 File Number: 3-19734
Oct. 17, 2023	Frontier Wealth Management, LLC and Shawn Sokolosky Release No. 34-98762 See Also: Proposed Plan of Distribution File Number: 3-20526
Oct. 13, 2023	Renavotio, Inc. Release No. 34-98750 File Number: 3-21457
Oct. 12, 2023	The Boeing Company Release No. 34-98735 See Also: Proposed Plan of Distribution Comments Due: Thirty (30) days from the date of this Notice Submit Comments on: Notice of Proposed Plan of Distribution and Opportunity for Comment File Number: 3-21140
Oct. 12, 2023	Martin, Thomas Garnette, Jr. Release No. IA-6460 File Number: 3-21278
Oct. 12, 2023	American Fiber Green Products, Inc. Release No. 34-98723 File Number: 3-21446
Oct. 11, 2023	Collaborative Financial Consulting LLC and Jason Todd Reynolds Release No. IA-6457, IC-35031 See Also: Administrative Summary File Number: 3-21782
Oct. 11, 2023	Ronald E. Filoramo Release No. 34-98716, IA-6456 File Number: 3-21781
Oct. 10, 2023	Wilmington Trust Investment Management, LLC Release No. IA-6455 See Also: Administrative Summary File Number: 3-21780
Oct. 10, 2023	Kahn Brothers Advisors, LLC and Thomas Kahn Release No. 34-98714 See Also: Plan of Distribution File Number: 3-20880
Oct. 10, 2023	Quantstamp, Inc. Release No. 34-98705 See Also: Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order File Number: 3-21535
Oct. 5, 2023	StHealth Capital Investment Corporation Release No. 34-98694 File Number: 3-21461
Sept. 29, 2023	Douglas MacWright Release No. 34-98669, IA-6453 File Number: 3-21778
Sept. 29, 2023	Jonathan J. Ferrie Release No. 34-98667, AAER-4470 File Number: 3-21777
Sept. 29, 2023	Appomattox Advisory Inc. and Oscar Gustavo Gil Vollmer Release No. IA-6451 See Also: Administrative Summary File Number: 3-21774
Sept. 29, 2023	D. E. Shaw & Co, L.P. Release No. 34-98641, IA-6452 File Number: 3-21775
Sept. 29, 2023	Florence Capital Advisors, LLC and Gregory A. Hersch Release No. IA-6450 See Also: Administrative Summary File Number: 3-21771
Sept. 29, 2023	Nathan N. Nguyen Release No. 34-98608 File Number: 3-21751
Sept. 29, 2023	Brian Lam Release No. IA-6439 File Number: 3-21752
Sept. 29, 2023	Interactive Brokers Corp. and Interactive Brokers LLC Release No. 34-98633 File Number: 3-21770
Sept. 29, 2023	Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP Release No. 34-98632, IA-6449 File Number: 3-21769
Sept. 29, 2023	Robert W. Baird & Co. Incorporated Release No. 34-98631, IA-6448 File Number: 3-21768
Sept. 29, 2023	Nuveen Securities, LLC Release No. 34-98630 File Number: 3-21767
Sept. 29, 2023	Fifth Third Securities, Inc. Release No. 34-98627, IA-6447 File Number: 3-21765
Sept. 29, 2023	William Blair & Company, L.L.C., and William Blair Investment Management, LLC Release No. 34-98626, IA-6446 File Number: 3-21764
Sept. 29, 2023	Maxim Group, LLC Release No. 34-98605 See Also: Administrative Summary File Number: 3-21749
Sept. 29, 2023	Kroll Bond Rating Agency, LLC Release No. 34-98654 File Number: 3-21776
Sept. 29, 2023	DBRS, Inc. Release No. 34-98638 File Number: 3-21773
Sept. 29, 2023	DBRS, Inc. Release No. 34-98636 File Number: 3-21772
Sept. 29, 2023	Newell Brands Inc. and Michael B. Polk Release No. 33-11251, 34-98629, AAER-4469 File Number: 3-21766
Sept. 29, 2023	Albemarle Corporation Release No. 34-98622, AAER-4468 File Number: 3-21763
Sept. 28, 2023	Spruce Power Holding Corporation Release No. 33-11247, 34-98612 File Number: 3-21748
Sept. 28, 2023	Woodbury Financial Services, Inc. Release No. IA-6444 See Also: Administrative Summary File Number: 3-21760
Sept. 28, 2023	SagePoint Financial, Inc. Release No. IA-6443 See Also: Administrative Summary File Number: 3-21759
Sept. 28, 2023	Osaic Wealth, Inc. Release No. IA-6442 See Also: Administrative Summary File Number: 3-21758
Sept. 28, 2023	FSC Securities Corporation Release No. IA-6441 See Also: Administrative Summary File Number: 3-21757
Sept. 28, 2023	Salomon Whitney LLC Release No. 34-98619 See Also: Administrative Summary File Number: 3-21762
Sept. 28, 2023	Jose D. Rocha Release No. IA-6445 File Number: 3-21756
Sept. 28, 2023	Forepont Capital LLC Release No. IA-6438, AAER-4464 See Also: Administrative Summary File Number: 3-21750
Sept. 28, 2023	Apexium Financial LP Release No. IA-6437 See Also: Administrative Summary File Number: 3-21747
Sept. 28, 2023	Exelon Corporation and Commonwealth Edison Company Release No. 33-11248, 34-98616, AAER-4467 File Number: 3-21761
Sept. 28, 2023	Citigroup Global Markets, Inc. and Citi International Financial Services, LLC, now known as Insigneo International Financial Services, LLC Release No. 34-98609, IA-6440 See Also: Administrative Summary File Number: 3-21753
Sept. 28, 2023	TAL Education Group Release No. 34-98611, AAER-4465 File Number: 3-21754
Sept. 28, 2023	Clear Channel Outdoor Holdings, Inc. Release No. 34-98615, AAER-4466 File Number: 3-21755
Sept. 28, 2023	Surgalign Holdings, Inc. and Robert P. Jordheim Release No. 34-98600 File Number: 3-20945
Sept. 28, 2023	Robert Del Prete Release No. 34-98595, AAER-4463 File Number: 3-21746
Sept. 28, 2023	Kathryn Jane Meredith d/b/a KM Advisory Services Release No. 34-98594 See Also: Plan of Distribution File Number: 3-20881
Sept. 28, 2023	Stanley Stefanski, CPA Release No. 33-11245, 34-98577, AAER-4462 File Number: 3-21745
Sept. 27, 2023	Cloudastructure, Inc. Release No. 33-11244, 34-98575 See Also: Administrative Summary File Number: 3-21743
Sept. 27, 2023	Hightimes Holding Corp. Release No. 33-11243, 34-98574 See Also: Administrative Summary File Number: 3-21741
Sept. 27, 2023	Nancy Williams Release No. 34-98576 File Number: 3-21744
Sept. 27, 2023	Weatherford International PLC, et al. Release No. 34-98569 File Number: 3-17582
Sept. 27, 2023	ZNERGY, INC. Release No. 34-98556 File Number: 3-21740
Sept. 27, 2023	LIFE ON EARTH, INC. Release No. 34-98555 File Number: 3-21739
Sept. 27, 2023	Cumberland Pharmaceuticals Inc. Release No. 34-98553 File Number: 3-21738
Sept. 27, 2023	AgEagle Aerial Systems Inc. Release No. 34-98552 File Number: 3-21737
Sept. 27, 2023	eXp World Holdings, Inc. Release No. 34-98551 File Number: 3-21736
Sept. 27, 2023	Peixin Xu Release No. 34-98550 File Number: 3-21735
Sept. 27, 2023	SolarEdge Technologies, Inc. Release No. 34-98549 File Number: 3-21734

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