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
Aug. 8, 2023	SG Americas Securities, LLC Release No. 34-98082 File Number: 3-21558
Aug. 8, 2023	Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC, Release No. 34-98076 See Also: Waiver Order File Number: 3-21552
Aug. 8, 2023	Wedbush Securities Inc., Release No. 34-98074, IA-6369 See Also: Waiver Order File Number: 3-21550
Aug. 7, 2023	CS Manager, LLC, Sica Wealth Management, LLC, Circle Squared Alternative Investments, LLC, Jeffrey C. Sica, and Cheryl Lynne Costa Release No. 33-11220; IA-6368 See Also: Administrative Summary File Number: 3-21548
Aug. 7, 2023	Lawrence K. White, CPA Release No. 33-11219, 34-98065, AAER-4435 See Also: Administrative Summary File Number: 3-21547
Aug. 7, 2023	Theorem Fund Services, LLC Release No. 33-11218; IA-6367 File Number: 3-21546
Aug. 4, 2023	Christopher Herwig Release No. IA-6363 File Number: 3-21545
Aug. 4, 2023	Canoo Inc. Release No. 33-11217 File Number: 3-21544
Aug. 3, 2023	Kathryn Jane Meredith, d/b/a KM Advisory Services; John Paul Harnish, d/b/a KM Advisory Services Release No. 34-98049 See Also: Proposed Plan of Distribution File Number: 3-20881
Aug. 2, 2023	Securities America Advisors, Inc. Release No. 34-98041 File Number: 3-20381
Aug. 2, 2023	David Lethem Release No. 34-98039, AAER-4434 File Number: 3-21543
Aug. 1, 2023	Exchange Traded Managers Group LLC, et al. Release No. 34-98034, IA-6362, IC-34979 File Number: 3-21542
Aug. 1, 2023	Steven Keith Woodard, Sr. Release No. IA-6361 File Number: 3-21541
Aug. 1, 2023	John J. Woods Release No. 34-98031, IA-6360 File Number: 3-21540
Aug. 1, 2023	John R. Browne, CPA Release No. 34-98030, AAER-4433 See Also: Administrative Summary File Number: 3-21539
July 31, 2023	Moshe aka "Mark" Feuer, Scott A. Taylor Release No. IA-6359, IC-34978 See Also: Administrative Summary File Number: 3-21538
July 31, 2023	Murray A. Huberfeld Release No. IA-6358, IC-34977 See Also: Administrative Summary File Number: 3-21537
July 31, 2023	Kathryn Jane Meredith, d/b/a KM Advisory Services Release No. 34-98024 File Number: 3-20881
July 26, 2023	Jeffrey Ikahn Release No. IA-6355 File Number: 3-21536
July 21, 2023	Quantstamp, Inc. Release No. 33-11215 See Also: Administrative Summary File Number: 3-21535
July 20, 2023	Monroe Capital Management Advisors, LLC Release No. 34-97957 See Also: Administrative Summary File Number: 3-21533
July 20, 2023	Digital World Acquisition Corp. Release No. 33-11213 , 34-97958 File Number: 3-21534
July 19, 2023	Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson Release No. 34-97949 File Number: 3-13675
July 18, 2023	Allianz Global Investors U.S. LLC Release No. 34-97930 File Number: 3-20855
July 18, 2023	Kevin R. Harris, CPA Release No. 33-11212, AAER-4431, 34-97940 File Number: 3-21532
July 18, 2023	Fifth Third Securities, Inc. Release No. 34-97937, IA-6350 See Also: Administrative Summary File Number: 3-21531
July 18, 2023	Theodore R. Maloney, Esq. Release No. 34-97931 File Number: 3-15948
July 17, 2023	Nirdosh Jagota, Ph.D. Release No. 34-97915 See Also: Administrative Summary File Number: 3-21530
July 17, 2023	HCR Wealth Advisors Release No. 34-97921 See Also: Proposed Plan of Distribution File Number: 3-19494
July 17, 2023	Geluk Capital Management Ltd. and Douglas Gerald Fathers Release No. 34-97916 File Number: 3-20906
July 14, 2023	Flynn, Ronald Shane Release No. 34-97907 File Number: 3-21529
July 14, 2023	Cantor Fitzgerald & Co. Release No. 34-97906 File Number: 3-21528
July 12, 2023	Robert Allen Gravette Release No. 34-97886, IA-6345 File Number: 3-21527
July 12, 2023	RSE Markets, Inc. Release No. 34-97878 File Number: 3-21526
July 11, 2023	Ganesh H. Betanabhatla Release No. IA-6341 File Number: 3-21523
July 11, 2023	Bell, Vania Mae Release No. IA-6343 File Number: 3-21525
July 11, 2023	Barclays PLC and Barclays Bank PLC Release No. 34-97874 File Number: 3-21181
July 11, 2023	Merrill Lynch, et al. Release No. 34-97872 File Number: 3-21524
July 7, 2023	EZTD Inc. Release No. 34-97856 See Also: Distribution Plan File Number: 3-17673
July 7, 2023	Unikrn, Inc. Release No. 34-97855 File Number: 3-20003
July 7, 2023	Vereit, Inc. Release No. 34-97854 See Also: Distribution Plan File Number: 3-19831
July 7, 2023	William Glen Baker Release No. 34-97852 File Number: 3-21520
July 7, 2023	James Wayne Long Release No. 34-97858 File Number: 3-21521
July 7, 2023	Matthew William Wheeler Release No. 34-97859 File Number: 3-21522
July 6, 2023	Bryan Pantofel Release No. 34-97845 File Number: 3-21517
July 6, 2023	BHP Capital NY, Inc. Release No. 34-97847 File Number: 3-21519
July 5, 2023	Reed L. Benson, CPA Release No. 34-97835, AAER-4427 See Also: Administrative Summary File Number: 3-21513
July 5, 2023	Andrew B. Benson Release No. 34-97834 See Also: Administrative Summary File Number: 3-21512
July 5, 2023	Dwight H. Egan Release No. 33-11210, 34-97837, AAER-4429 See Also: Administrative Summary File Number: 3-21515
July 5, 2023	Co-Diagnostics, Inc. Release No. 33-11209, 34-97836, AAER-4428 See Also: Administrative Summary File Number: 3-21514
July 3, 2023	Future FinTech Group Inc., Release No. 33-11206, 34-97829, AAER-4425 See Also: Administrative Summary File Number: 3-21511
July 3, 2023	View, Inc. Release No. 33-11208, 34-97830
June 30, 2023	Robert L. Benecke d/b/a Benecke Economics Release No. 34-97828 See Also: Administrative Summary File Number: 3-21509
June 30, 2023	Damon R. Durante Release No. 34-97827 See Also: Administrative Summary File Number: 3-21508
June 30, 2023	Newbridge Global Ventures, Inc. Release No. 34-97819 File Number: 3-20981
June 29, 2023	Weatherford International PLC, et al., Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Release No. 34-97818 File Number: 3-17582, 3-17628
June 29, 2023	Ashutosh Bhardwaj Release No. 34-97820 See Also: Administrative Summary File Number: 3-21504
June 27, 2023	Stable Road Acquisition Corp., et al. Release No. 34-97801 See Also: Proposed Plan of Distribution Comments Due: 30 days from date of this Notice Comments received are available: 3-20393 Submit Comments on: Notice of Proposed Plan of Distribution and Opportunity for comment File Number: 3-20393
June 27, 2023	Kathryn Jane Meredith, d/b/a KM Advisory Services Release No. 34-97802 File Number: 3-20881
June 27, 2023	Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 34-97811 File Number: 3-20932
June 22, 2023	J. P. Morgan Securities LLC Release No. 34-97787 File Number: 3-21502
June 21, 2023	BIGtoken, Inc. (f/k/a Force Protection Video Equipment Corp.) Release No. 34-97775 File Number: 3-21465
June 21, 2023	Jennifer Campbell Release No. IA-6333 File Number: 3-21501
June 21, 2023	Eagle Bancorp, Inc. Release No. 34-97774 File Number: 3-20963
June 21, 2023	Marcum LLP Release No. 34-97773, AAER-4423 File Number: 3-21500
June 20, 2023	Insight Venture Management, LLC Release No. IA-6332 File Number: 3-21499
June 20, 2023	Stanley Black & Decker, Inc. Release No. 34-97761, AAER-4422 File Number: 3-21497
June 20, 2023	Jeffery D. Ansell Release No. 34-97760, AAER-4421 File Number: 3-21498
June 20, 2023	Brian C. Jensen, CPA Release No. 34-97757, AAER-4420 File Number: 3-21496,
June 20, 2023	Richard St. Julien, Esq. Release No. 34-97756 File Number: 3-21495
June 20, 2023	Joshua W. Coleman Release No. 34-97755, IA-6331 File Number: 3-21494
June 16, 2023	Adam Belardino Release No. IA-6330 File Number: 3-21493
June 16, 2023	David Dickson and Stuart Andrew Spence Release No. 34-97740, AAER-4419 See Also: Administrative Summary File Number: 3-21491
June 16, 2023	Pacific Investment Management Company LLC Release No. IA-6329, IC-34943 File Number: 3-21490
June 16, 2023	Pacific Investment Management Company LLC Release No. IA-6328 File Number: 3-21489
June 15, 2023	Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA Release No. 34-97729 File Number: 3-17212
June 12, 2023	Caputo, Vincent J. Release No. 34-97697 File Number: 3-21488
June 9, 2023	DF Growth REIT II, LLC Release No. 33-11204 File Number: 3-20801
June 9, 2023	Boyle CPA, LLC; Robert Allan Boyle, CPA Release No. 34-97685, AAER-4418 See Also: Administrative Summary File Number: 3-21486
June 8, 2023	Diamond Wellness Holdings, Inc. Release No. 34-97676 File Number: 3-21376
June 8, 2023	Daniel V. Martinez, Esq. Release No. 33-11203, 34-97677 File Number: 3-21485
June 8, 2023	Willam Andrew Stack, Esq. Release No. 34-97670 File Number: 3-21484
June 8, 2023	Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC Release No. 34-97668 File Number: 3-20060
June 7, 2023	Ostertag, Damian Release No. 34-97660 File Number: 3-21087
June 6, 2023	Heckele, Mark W., Esq. Release No. 34-97655 File Number: 3-21015
June 5, 2023	Cantaloupe, Inc. (f/k/a USA Technologies, Inc.) Release No. 33-11202, 34-97651, AAER-4417 See Also: Administrative Summary File Number: 3-21483
June 5, 2023	Maeve M. Duska Release No. 33-11201, 34-97650, AAER-4416 File Number: 3-21482
June 5, 2023	Michael K. Lawlor Release No. 33-11200, 34-97649, AAER-4415 File Number: 3-21481
June 5, 2023	Kathryn Jane Meredith, d/b/a KM Advisory Services, John Paul Harnish, d/b/a KM Advisory Services Release No. 34-97646 File Number: 3-20881, 3-20882
June 1, 2023	Zeb Oro Explorations Inc. Release No. 34-97638 File Number: 3-21478
June 1, 2023	Wisdom Homes of America, Inc. Release No. 34-97637 File Number: 3-21477
June 1, 2023	Carl S. Schwartz, CPA Release No. IA-6320, AAER-4412 File Number: 3-21476
June 1, 2023	Carl S. Schwartz Release No. IA-6319 File Number: 3-21475
June 1, 2023	William D. King, CPA Release No. 34-97636 File Number: 3-19991
June 1, 2023	Barclays PLC and Barclays Bank PLC Release No. 34-97632 File Number: 3-21181
May 31, 2023	First Guaranty Bancshares, Inc. Release No. 34-97631 See Also: Administrative Summary File Number: 3-21474
May 31, 2023	Vereit, Inc. Release No. 34-97625 See Also: Proposed Plan of Distribution Comments Due: 30 days from date of this Notice Submit Comments on: Notice of Proposed Plan of Distribution and Opportunity for Comment File Number: 3-19831
May 30, 2023	RTW Investments, LP Release No. 34-97622, IA-6318 See Also: Administrative Summary File Number: 3-21473
May 30, 2023	Credex Corporation Release No. 34-97616 File Number: 3-21375
May 26, 2023	Lucille Farms Inc. Release No. 34-97611 File Number: 3-21472

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