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.

Date	Respondents
Date: Sept. 27, 2022	Respondents: BofA Securities, Inc., et al. Release No. 34-95921 See Also: Waiver Order
Date: Sept. 27, 2022	Respondents: Goldman Sachs & Co. LLC Release No. 34-95922 See Also: Waiver Order
Date: Sept. 27, 2022	Respondents: Jefferies LLC Release No. 34-95923 See Also: Waiver Order
Date: Sept. 27, 2022	Respondents: Morgan Stanley & Co. LLC and Morgan Stanley Smith Barney LLC Release No. 34-95924 See Also: Waiver Order
Date: Sept. 27, 2022	Respondents: Nomura Securities International, Inc. Release No. 34-95925 See Also: Waiver Order
Date: Sept. 27, 2022	Respondents: Credit Suisse Securities (USA) LLC Release No. 34-95926 See Also: Waiver Order
Date: Sept. 27, 2022	Respondents: Cantor Fitzgerald & Co. Release No. 34-95927 See Also: Waiver Order
Date: Sept. 27, 2022	Respondents: Deutsche Bank Securities Inc., DWS Investment Management Americas, Inc. and DWS Distributors, Inc. Release No. 34-95928, IA-6153 See Also: Waiver Order
Date: Sept. 27, 2022	Respondents: UBS Financial Services, Inc. and UBS Securities LLC Release No. 34-95929 See Also: Waiver Order
Date: Sept. 27, 2022	Respondents: Donald J. Kellen Release No. IA-6152 File Number: 3-21163
Date: Sept. 27, 2022	Respondents: Darcas Oliver Young Release No. 34-95932
Date: Sept. 27, 2022	Respondents: Joshua Louis Rupp Release No. 34-95935
Date: Sept. 26, 2022	Respondents: Randall H. Fields Release No. IA-6150 File Number: 3-21154
Date: Sept. 26, 2022	Respondents: James Patrick O'connell Release No. IA-6151 File Number: 3-21155
Date: Sept. 26, 2022	Respondents: Alex Duain Forester Release No. 34-95911 File Number: 3-21156
Date: Sept. 26, 2022	Respondents: Michael Robert Hicks Release No. 34-95912 File Number: 3-21157
Date: Sept. 23, 2022	Respondents: Friedman LLP Release No. 34-95887, AAER-4339 See Also: Administrative Summary
Date: Sept. 23, 2022	Respondents: Hardiman, Elbert L., Jr. Release No. IA-6145 File Number: 3-21143
Date: Sept. 23, 2022	Respondents: Wave Equity Partners LLC Release No. IA-6146 File Number: 3-21144
Date: Sept. 23, 2022	Respondents: Fuquan Financial Company Release No. 34-95891 File Number: 3-21147
Date: Sept. 23, 2022	Respondents: Generex Biotechnology Corporation Release No. 34-95892 File Number: 3-21148
Date: Sept. 23, 2022	Respondents: Raymond T. Clark Release No. 34-95894 File Number: 3-21150
Date: Sept. 23, 2022	Respondents: Richard M. Crabtree Release No. 33-11108, 34-95898, IA-6147, IC-34717 File Number: 3-21151
Date: Sept. 23, 2022	Respondents: Guozi Zhongyu Capital Holdings Release No. 34-95890 File Number: 3-21146
Date: Sept. 23, 2022	Respondents: Rock Creek Pharmaceuticals, Inc. Release No. 34-95893 File Number: 3-21149
Date: Sept. 23, 2022	Respondents: Compass Minerals International, Inc. Release No. 33-11107, 34-95889, AAER-4340
Date: Sept. 23, 2022	Respondents: Sanchez, Jose Luis Casero Release No. 34-95906, IA-6149 File Number: 3-21152
Date: Sept. 23, 2022	Respondents: Lee A. Bressler Release No. IA-6148 File Number: 3-21153
Date: Sept. 22, 2022	Respondents: Robert A. Vanetten Release No. 34-95858 File Number: 3-21126
Date: Sept. 22, 2022	Respondents: AngioGenex, Inc Release No. 34-95861 File Number: 3-21124
Date: Sept. 22, 2022	Respondents: Water Now, Inc. Release No. 34-95862 File Number: 3-21127
Date: Sept. 22, 2022	Respondents: 6D Global Technologies, Inc. Release No. 34-95863 File Number: 3-21128
Date: Sept. 22, 2022	Respondents: Axion International Holdings, Inc. Release No. 34-95864 File Number: 3-21129
Date: Sept. 22, 2022	Respondents: Oxbow Advisors, LLC Release No. 34-95873 File Number: 3-19817
Date: Sept. 22, 2022	Respondents: Glick, Jacob C. Release No. IA-6144 File Number: 3-21125
Date: Sept. 22, 2022	Respondents: Steele Oceanic Corporation Release No. 34-95866 File Number: 3-21130
Date: Sept. 22, 2022	Respondents: View Systems, Inc. Release No. 34-95868 File Number: 3-21131
Date: Sept. 22, 2022	Respondents: CannAwake Corporation (Order to Show Cause) Release No. 34-95872 File Number: 3-21132
Date: Sept. 22, 2022	Respondents: Raymond James & Associates, Inc. Release No. 34-95875 See Also: Administrative Summary File Number: 3-21133
Date: Sept. 22, 2022	Respondents: Glyeco, Inc. (Order to Show Cause) Release No. 34-95879 File Number: 3-21136
Date: Sept. 22, 2022	Respondents: Grown Rogue International Inc. f/k/a Novicius Corporation Release No. 34-95880 File Number: 3-21137
Date: Sept. 22, 2022	Respondents: China XD Plastics Company Limited Release No. 34-95882 File Number: 3-21138
Date: Sept. 22, 2022	Respondents: The Boeing Company Release No. 33-11105
Date: Sept. 22, 2022	Respondents: Dennis A. Muilenburg Release No. 33-11106
Date: Sept. 22, 2022	Respondents: Viener, Ira S., CPA Release No. 34-95884, AAER-4338 See Also: Administrative Summary File Number: 3-21139
Date: Sept. 21, 2022	Respondents: Sheng Fu and Ming Xu Release No. 33-11104, 34-95847 File Number: 3-21118
Date: Sept. 21, 2022	Respondents: Allcott, Timothy Release No. IA-6141 File Number: 3-21120
Date: Sept. 21, 2022	Respondents: Harrison, Ron K. Release No. IA-6142 File Number: 3-21121
Date: Sept. 21, 2022	Respondents: Terrence J. Walton, CPA Release No. 34-95852, AAER-4336 File Number: 3-21119
Date: Sept. 21, 2022	Respondents: Jimenez, Eugenio Garcia, Jr. Release No. IA-6143 File Number: 3-21122
Date: Sept. 21, 2022	Respondents: Manuel A. Romero Release No. 34-95856, AAER-4337 File Number: 3-21123
Date: Sept. 21, 2022	Respondents: Lightscape Technologies, Inc. Release No. 34-95857 File Number: 3-21058
Date: Sept. 20, 2022	Respondents: Morgan Stanley Smith Barney LLC Release No. 34-95832, IA-6138
Date: Sept. 20, 2022	Respondents: Timothy S. Hart, CPA Release No. 34-95835 File Number: 3-21114
Date: Sept. 20, 2022	Respondents: Corbin L. Lambert Release No. 34-95836, IA-6140 File Number: 3-21115
Date: Sept. 20, 2022	Respondents: Toews Corporation Release No. IA-6139 See Also: Administrative Summary File Number: 3-21113
Date: Sept. 20, 2022	Respondents: Earth Search Sciences, Inc. Release No. 34-95838 File Number: 3-21116
Date: Sept. 20, 2022	Respondents: Enigma MPC, Inc. Release No. 34-95839 File Number: 3-21117
Date: Sept. 19, 2022	Respondents: Neil B. Swartz Release No. 34-95816 File Number: 3-21101
Date: Sept. 19, 2022	Respondents: Sparkster, Ltd. and Sajjad Daya Release No. 33-11102 File Number: 3-21103
Date: Sept. 19, 2022	Respondents: Scott Adam Brander Release No. 34-95818, IA-6134 File Number: 3-21102
Date: Sept. 19, 2022	Respondents: Ted L. Romeo Release No. 34-95821 File Number: 3-21104
Date: Sept. 19, 2022	Respondents: Damilare Sonoiki Release No. 34-95824 File Number: 3-21105
Date: Sept. 19, 2022	Respondents: Shimon Rosenfeld, Esq. Release No. 34-95826 File Number: 3-21106
Date: Sept. 19, 2022	Respondents: Waddell & Reed, LLC Release No. 34-95828, IA-6136 See Also: Administrative Summary File Number: 3-21107
Date: Sept. 19, 2022	Respondents: Start Scientific, Inc. Release No. 34-95830 File Number: 3-21108
Date: Sept. 19, 2022	Respondents: TC Acquisition Corp. Release No. 34-95831 File Number: 3-21109
Date: Sept. 19, 2022	Respondents: Matthew W. Dreyer, CPA Release No. 34-95833, AAER-4335 See Also: Administrative Summary File Number: 3-21111
Date: Sept. 19, 2022	Respondents: Arcadia Wealth Management, Inc. Release No. IA-6137 See Also: Administrative Summary File Number: 3-21110
Date: Sept. 16, 2022	Respondents: Allianz Global Investors U.S. LLC Release No. 34-95801 File Number: 3-20855
Date: Sept. 16, 2022	Respondents: QMIS Finance Securities Corp. Release No. 34-95803 File Number: 3-21095
Date: Sept. 16, 2022	Respondents: Sino Agro Food, Inc. Release No. 34-95804 File Number: 3-21096
Date: Sept. 16, 2022	Respondents: Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 34-95805 File Number: 3-20932
Date: Sept. 16, 2022	Respondents: TBG Holdings Corporation Release No. 34-95815 File Number: 3-21100
Date: Sept. 16, 2022	Respondents: Grenda Group, LLC Release No. IA-6130 File Number: 3-21097
Date: Sept. 16, 2022	Respondents: Grenda, Gregory M. Release No. IA-6131 File Number: 3-21098
Date: Sept. 16, 2022	Respondents: Ruiz, Martin A. Release No. IA-6133 File Number: 3-21099
Date: Sept. 15, 2022	Respondents: Globe Photos, Inc. Release No. 34-95777 File Number: 3-21076
Date: Sept. 15, 2022	Respondents: Glohab, Inc. Release No. 34-95778 File Number: 3-21077
Date: Sept. 15, 2022	Respondents: Arthur S. Hoffman Release No. 34-95779, IA-6125 File Number: 3-21078
Date: Sept. 15, 2022	Respondents: Booth, Robert Lenard a/k/a Trevor Nicholas Release No. 34-95784 File Number: 3-21084
Date: Sept. 15, 2022	Respondents: Mark Alan Lisser Release No. 34-95785 File Number: 3-21083
Date: Sept. 15, 2022	Respondents: Petrone Worldwide, Inc. Release No. 34-95786 File Number: 3-21085
Date: Sept. 15, 2022	Respondents: Premier Holding Corp. Release No. 34-95787 File Number: 3-21086
Date: Sept. 15, 2022	Respondents: Ostertag, Damian Release No. 34-95788 File Number: 3-21087
Date: Sept. 15, 2022	Respondents: Canaan Management, LLC Release No. IA-6126 See Also: Administrative Summary File Number: 3-21079
Date: Sept. 15, 2022	Respondents: Asset Management Group of Bank of Hawaii Release No. IA-6127 See Also: Administrative Summary File Number: 3-21080
Date: Sept. 15, 2022	Respondents: Highland Capital Partners LLC Release No. IA-6128 See Also: Administrative Summary File Number: 3-21081
Date: Sept. 15, 2022	Respondents: Starvest Management, Inc. Release No. IA-6129 See Also: Administrative Summary File Number: 3-21082
Date: Sept. 15, 2022	Respondents: Sky Wolf Wind Turbine Corp. Release No. 34-95790 File Number: 3-21088
Date: Sept. 15, 2022	Respondents: Sleepaid Holding Co. n/k/a QDM, Inc. Release No. 34-95792 File Number: 3-21091
Date: Sept. 15, 2022	Respondents: Nanovation Microtech, Inc. Release No. 34-95793 File Number: 3-21089
Date: Sept. 15, 2022	Respondents: Van Nuys Studios, Inc. Release No. 34-95794 File Number: 3-21092
Date: Sept. 15, 2022	Respondents: Nerium Biotechnology, Inc. Release No. 34-95796 File Number: 3-21090
Date: Sept. 15, 2022	Respondents: Williamsville Sears Management, Inc. Release No. 34-95797 File Number: 3-21093
Date: Sept. 15, 2022	Respondents: GOL Linhas Aéreas Inteligentes S.A. Release No. 34-95800 See Also: Administrative Summary
Date: Sept. 14, 2022	Respondents: Loop Capital Markets, LLC Release No. 34-95764 File Number: 3-21075
Date: Sept. 14, 2022	Respondents: DCA Asset Management, Inc. Release No. 34-95765 File Number: 3-20968
Date: Sept. 14, 2022	Respondents: Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC Release No. 34-95766 File Number: 3-20060
Date: Sept. 14, 2022	Respondents: Badree Komandur, et al. Release No. 34-95767, AAER-4334 File Number: 3-17746