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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Administrative Proceedings Table

Respondents
Date: Respondents:
Contrarian Capital Management, L.L.C.
Release No. 34-99578
See Also: Administrative Summary
File Number: 3-21860
Date: Respondents:
Christian Fernandez
Release No. 33-11271
See Also: Administrative Summary
File Number: 3-21858
Date: Respondents:
Andrew M. Komarow
Release No. 34-99560, IA-6561
File Number: 3-21859
Date: Respondents:
TIAA-CREF Individual & Institutional Services, LLC
Release No. 34-99549, IA-6559
File Number: 3-21856
Date: Respondents:
Van Eck Associates Corporation
Release No. IC-35132, IA-6560
File Number: 3-21857
Date: Respondents:
Rafael Vargas
Release No. IA-6558
File Number: 3-21855
Date: Respondents:
Credit Suisse Securities (USA) LLC and Sanford Michael Katz
Release No. 34-99541
File Number: 3-17899, 3-17900
Date: Respondents:
Poloniex, LLC
Release No. 34-99517
File Number: 3-20455
Date: Respondents:
Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies, Inc.,; J. Michael Pearson; Howard B. Schiller; and Tanya R. Carro, CPA
Release No. 34-99516
File Number: 3-19899, 3-19900, 3-19901, 3-19902
Date: Respondents:
U.S. Bancorp Investments, Inc.
Release No. 34-99505
File Number: 3-21854
Date: Respondents:
The Huntington Investment Company; Huntington Securities, Inc.; Capstone Capital Markets
Release No. 34-99504, IA-6552
File Number: 3-21853
Date: Respondents:
Oppenheimer & Co. Inc.
Release No. 34-99503
File Number: 3-21852
Date: Respondents:
Guggenheim Securities LLC; Guggenheim Partners Investment Management LLC;
Release No. 34-99502, IA-6551
File Number: 3-21851
Date: Respondents:
Northwestern Mutual Investment Services, LLC; Northwestern Mutual Investment Management Company, LLC; Mason Street Advisors, LLC
Release No. 34-99501, IA-6550
File Number: 3-21850
Date: Respondents:
Key Investment Services LLC; KeyBanc Capital Markets Inc.
Release No. 34-99500, IA-6549
File Number: 3-21849
Date: Respondents:
Lincoln Financial Advisors Corporation; Lincoln Financial Securities Corporation
Release No. 34-99499, IA-6548
File Number: 3-21848
Date: Respondents:
Cambridge Investment Research, Inc.; Cambridge Investment Research Advisors, Inc.
Release No. 34-99498, IA-6547
File Number: 3-21847
Date: Respondents:
Jake Soberal, Esq.
Release No. 34-99496
File Number: 3-21846
Date: Respondents:
Allianz Global Investors U.S. LLC
Release No. 34-99494
See Also: Amended Plan of Distribution
File Number: 3-20855
Date: Respondents:
Justin Samuel Cary, CPA
Release No. 34-99492, AAER-4488
File Number: 3-18344
Date: Respondents:
TradeStation Crypto, Inc.
Release No. 33-11269
File Number: 3-21845
Date: Respondents:
Cloopen Group Holding Limited
Release No. 34-99483, AAER-4487
File Number: 3-21844
Date: Respondents:
Brijesh Goel
Release No. 34-99478, IA-6543
File Number: 3-21843
Date: Respondents:
Miller Energy Resources, Inc., et al.
Release No. 34-99469
See Also: Proposed Plan of Distribution
Submit Comments on: Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number: 3-16729, 3-18110
Date: Respondents:
Valeant Pharmaceuticals International, Inc. n/k/a Bausch Health Companies, Inc.; J. Michael Pearson; Howard B. Schiller; and Tanya R. Carro, CPA
Release No. 34-99468
File Number: 3-19899, 3-19900, 3-19901, 3-19902
Date: Respondents:
The Boeing Company and Dennis Muilenburg
Release No. 34-99467
File Number: 3-21140, 3-21141
Date: Respondents:
Prime Group Holdings, LLC
Release No. 34-99466
File Number: 3-21602
Date: Respondents:
Eagle Bancorp, Inc.
Release No. 34-99465
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: 3-20963
Date: Respondents:
BlueCrest Capital Management Limited
Release No. 34-99464
File Number: 3-20162
Date: Respondents:
Gregory Moats Sampson
Release No. IA-6541
File Number: 3-20235
Date: Respondents:
David B. Bodner
Release No. IA-6540, IC-35123
See Also: Administrative Summary
File Number: 3-21842
Date: Respondents:
Jason Schwarz
Release No. IA-6539
File Number: 3-21202
Date: Respondents:
Pegasus Medical Holdings, Inc.
Release No. 34-99455
File Number: 3-21691
Date: Respondents:
Educators Financial Services, Inc.
Release No. 34-99454
File Number: 3-20792
Date: Respondents:
Sparkster, Ltd. and Sajjad Daya
Release No. 34-99441
File Number: 3-21103
Date: Respondents:
Robert Joseph Armijo
Release No. 34-99437, IA-6537
File Number: 3-21840
Date: Respondents:
Steven C. Bachar
Release No. 34-99436
File Number: 3-21839
Date: Respondents:
Northern Star Investment Corp. II
Release No. 33-11266
File Number: 3-21838
Date: Respondents:
Aon Investments USA Inc. fka Aon Hewitt Investment Consulting, Inc.
Release No. IA-6536
File Number: 3-21837
Date: Respondents:
Claire P. Shaughnessy
Release No. IA-6535
File Number: 3-21836
Date: Respondents:
Marc J. Frankel
Release No. IA-6533
File Number: 3-21835
Date: Respondents:
Douglas McKelvey
Release No. 34-99412, IA-6532
File Number: 3-21834
Date: Respondents:
Tian "Tony" Tian
Release No. 34-99410
File Number: 3-21833
Date: Respondents:
Richard Keith Robertson and IFP Advisors, LLC
Release No. 34-99389
File Number: 3-20954, 3-20955
Date: Respondents:
Brent Seaman
Release No. 34-99388
File Number: 3-21832
Date: Respondents:
Edward F. Hackert, CPA
Release No. 33-11267, 34-99384, AAER-4483
See Also: Administrative Summary
File Number: 3-21831
Date: Respondents:
Craig A. Golding, CPA
Release No. 34-99348, AAER-4482
File Number: 3-20600
Date: Respondents:
Dean Tellone
Release No. IA-6531
File Number: 3-21830
Date: Respondents:
J.P. Morgan Securities LLC
Release No. 34-99344, IA-6530
File Number: 3-21829
Date: Respondents:
Brian Kingsfield
Release No. 34-99341
File Number: 3-21828
Date: Respondents:
Pawan Kumar Passi
Release No. 34-99337
File Number: 3-21826
Date: Respondents:
Morgan Stanley & Co. LLC
Release No. 34-99336
File Number: 3-21825
Date: Respondents:
SAP SE
Release No. 34-99308, AAER-4481
File Number: 3-21824
Date: Respondents:
Valeant Pharmaceuticals International, Inc. n/k/a Bausch Health Companies Inc., J. Michael Pearson, Howard B. Schiller, Tanya R. Carro, CPA
Release No. 34-99284
File Number: 3-19899, 3-19900, 3-19901, 3-19902
Date: Respondents:
Impact Theory, LLC
Release No. 34-99278
File Number: 3-21585
Date: Respondents:
Mark Marchi
Release No. IA-6520
File Number: 3-21823
Date: Respondents:
Unikrn, Inc.
Release No. 34-99255
File Number: 3-20003
Date: Respondents:
Jeffrey Alan Horn
Release No. 34-99254
File Number: 3-21822
Date: Respondents:
Allianz Global Investors U.S. LLC
Release No. 34-99253
See Also: Amended Proposed Distribution Plan
File Number: 3-20855
Date: Respondents:
Comscore, Inc. and Serge Matta
Release No. 34-99246
File Number: 3-19499, 3-19500
Date: Respondents:
Chingyuan "Gary" Chang
Release No. 34-99239, IA-6515, IC-35082
See Also: Administrative Summary
File Number: 3-21820
Date: Respondents:
Scott David Hughes, Esq.
Release No. 34-99243
File Number: 3-21821
Date: Respondents:
OEP Capital Advisors, L.P.
Release No. IA-6514
See Also: Administrative Summary
File Number: 3-21819
Date: Respondents:
Super Micro Computer, Inc. and Howard Hideshima
Release No. 34-99237
File Number: 3-19927, 3-19928
Date: Respondents:
BarnBridge DAO
Release No. 33-11262, IC-35079
File Number: 3-21817
Date: Respondents:
Tyler Ward and Troy Murray
Release No. 33-11261, IC-35078
File Number: 3-21815
Date: Respondents:
Brooge Energy Limited, Nicolaas Lammert Paardenkooper and Lina Saheb
Release No. 33-11260, 34-99228, AAER-4480
File Number: 3-21816
Date: Respondents:
Wells Fargo & Company
Release No. 34-99216
File Number: 3-19704
Date: Respondents:
Super Micro Computer, Inc. and Howard Hideshima
Release No. 34-99215
File Number: 3-19927, 3-19928
Date: Respondents:
Jon Darrell Seawright
Release No. IA-6509
File Number: 3-21814
Date: Respondents:
Ted Brent Alexander
Release No. IA-6508
File Number: 3-21813
Date: Respondents:
Scott Levine
Release No. 34-99178
File Number: 3-21812
Date: Respondents:
Credit Suisse Securities (USA) LLC; Credit Suisse Asset Management, LLC; and Credit Suisse Asset Management Limited
Release No. 34-99158, IA-6504, IC-35067
File Number: 3-21811
Date: Respondents:
The Boeing Company
Release No. 34-99146
File Number: 3-21140
Date: Respondents:
Frontier Wealth Management, LLC and Shawn Sokolosky
Release No. 34-99145
See Also: Plan of Distribution
File Number: 3-20526
Date: Respondents:
Fluor Corporation
Release No. 34-99144
File Number: 3-21610
Date: Respondents:
Scott Wayne Reed
Release No. 34-99128, IA-6501
File Number: 3-21810
Date: Respondents:
Alan Z. Appelbaum
Release No. 33-11257, 34-99117, IA-6500
File Number: 3-21809
Date: Respondents:
Rogue One, Inc.
Release No. 34-99080
File Number: 3-21657
Date: Respondents:
Youngevity International, Inc.
Release No. 34-99086
File Number: 3-21653
Date: Respondents:
Scott T Wolfrum
Release No. 34-99078
File Number: 3-20252
Date: Respondents:
Newell Brands Inc. and Michael B. Polk
Release No. 34-99077
File Number: 3-21766
Date: Respondents:
Compass Minerals International, Inc.
Release No. 34-99076
File Number: 3-21145
Date: Respondents:
CRANK MEDIA INC
Release No. 34-99069
File Number: 3-21625
Date: Respondents:
Energis P.L.C.
Release No. 34-99068
File Number: 3-21695
Date: Respondents:
Eagan Capital Management, LLC
Release No. IA-6491
See Also: Administrative Summary
File Number: 3-21807
Date: Respondents:
Mallinckrodt plc
Release No. 33-11256, 34-99058
See Also: Administrative Summary
File Number: 3-21806
Date: Respondents:
Prime Group Holdings, LLC
Release No. 34-99055
File Number: 3-21602
Date: Respondents:
Centaurus Financial, Inc., Ricky A. Mantei and Atul Makharia
Release No. 34-99054
File Number: 3-21295
Date: Respondents:
Barclays PLC and Barclays Bank PLC
Release No. 34-99038
File Number: 3-21181
Date: Respondents:
Exelon Corporation and Commonwealth Edison Company
Release No. 34-99039
File Number: 3-21761
Date: Respondents:
Daniel L. Rothbaum, CPA
Release No. 33-11255, 34-99033, AAER-4475
File Number: 3-18020
Date: Respondents:
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
Date: Respondents:
Scott T. Wolfrum and Tyler C. Sadek
Release No. 34-99010
File Number: 3-20252, 3-20253
Date: Respondents:
Continental Energy Corp.
Release No. 34-99004
File Number: 3-21803
Date: Respondents:
Michael V. Shustek
Release No. 34-99006, IA-6489
File Number: 3-21804
Date: Respondents:
Bradley C. Reifler
Release No. IA-6487
File Number: 3-21303
Date: Respondents:
Marguerite Cassandra Toroian
Release No. IA-6486
File Number: 3-21802
Date: Respondents:
Adam D. Bering, Esq.
Release No. 34-98992
File Number: 3-20671
Date: Respondents:
Laidlaw and Company (UK) Ltd.
Release No. 34-98983
See Also: Administrative Summary
File Number: 3-21800
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