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. 13, 2022	Respondents: Scott Adam Brander Release No. 34-95747, IA-6124 File Number: 3-21069
Date: Sept. 13, 2022	Respondents: Jefferies LLC Release No. 34-95749 File Number: 3-21070
Date: Sept. 13, 2022	Respondents: BNY Mellon Capital Markets, LLC Release No. 34-95750 File Number: 3-21071
Date: Sept. 13, 2022	Respondents: TD Securities (USA) LLC Release No. 34-95751 File Number: 3-21072
Date: Sept. 12, 2022	Respondents: Hudson Advisors L.P. and Lone Star Global Acquisitions, Ltd. Release No. IA-6120 File Number: 3-21062
Date: Sept. 12, 2022	Respondents: GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. Release No. 34-95732 File Number: 3-20537
Date: Sept. 12, 2022	Respondents: SparkLabs Global Ventures Management, LLC, SparkLabs Management, LLC and Bernard Moon Release No. IA-6121 See Also: Administrative Summary File Number: 3-21063
Date: Sept. 12, 2022	Respondents: Wells Fargo & Company Release No. 34-95733 File Number: 3-19704
Date: Sept. 12, 2022	Respondents: Pierre, Ruless a/k/a Rules Pierre Release No. IA-6122 File Number: 3-21064
Date: Sept. 12, 2022	Respondents: VMware, Inc. Release No. 33-11099, 34-95744, AAER-4333 File Number: 3-21065
Date: Sept. 12, 2022	Respondents: NuGenerex Immuno-Oncology, Inc. Release No. 34-95745 File Number: 3-21066
Date: Sept. 12, 2022	Respondents: Original Source Music, Inc. Release No. 34-95746 File Number: 3-21068
Date: Sept. 12, 2022	Respondents: Christopher R. Bentley Release No. IA-6123 File Number: 3-21067
Date: Sept. 9, 2022	Respondents: Steward Capital Management, Inc. Release No. IA-6111 File Number: 3-21048
Date: Sept. 9, 2022	Respondents: Titan Fund Management, LLC Release No. IA-6112 File Number: 3-21049
Date: Sept. 9, 2022	Respondents: Garrison Investment Group LP Release No. IA-6113 File Number: 3-21050
Date: Sept. 9, 2022	Respondents: Janus Henderson Investors US LLC Release No. IA-6114 File Number: 3-21051
Date: Sept. 9, 2022	Respondents: Polaris Equity Management, Inc. Release No. IA-6115 File Number: 3-21052
Date: Sept. 9, 2022	Respondents: QVR, LLC Release No. IA-6116 File Number: 3-21053
Date: Sept. 9, 2022	Respondents: Ridgeview Asset Management Partners, LLC Release No. IA-6117 File Number: 3-21054
Date: Sept. 9, 2022	Respondents: Lend Academy Investments, LLC Release No. IA-6118 File Number: 3-21055
Date: Sept. 9, 2022	Respondents: BiscayneAmericas Advisers L.L.C. Release No. IA-6119 File Number: 3-21056
Date: Sept. 9, 2022	Respondents: Hygge Integrated Brands Corp. Release No. 34-95719 File Number: 3-21057
Date: Sept. 9, 2022	Respondents: Lightscape Technologies, Inc. Release No. 34-95720 File Number: 3-21058
Date: Sept. 9, 2022	Respondents: Legacy Funding Services, LLC and Raymond Howard Sowell Release No. 34-95726 See Also: Administrative Summary File Number: 3-21059
Date: Sept. 9, 2022	Respondents: Bridgeway National Corp. Release No. 34-95727 File Number: 3-21060
Date: Sept. 9, 2022	Respondents: Centaurus Diamond Technologies, Inc. Release No. 34-95728 File Number: 3-21061
Date: Sept. 8, 2022	Respondents: The Kraft Heinz Co. and Eduardo Pelleissone Release No. 34-95702 File Number: 3-20523
Date: Sept. 8, 2022	Respondents: Stanley B. Secor Release No. 34-95703, IA-6108 File Number: 3-21043
Date: Sept. 8, 2022	Respondents: Charles Pratt & Company, LLC Release No. IA-6107, AAER-4332 See Also: Administrative Summary File Number: 3-21042
Date: Sept. 8, 2022	Respondents: Benjamin Bin Chow Release No. IA-6109 File Number: 3-21045
Date: Sept. 8, 2022	Respondents: NPA Asset Management, LLC Release No. IA-6110 See Also: Administrative Summary File Number: 3-21047
Date: Sept. 8, 2022	Respondents: Gold Camp Cripple Creek Colorado, Inc. Release No. 34-95705 File Number: 3-21044
Date: Sept. 8, 2022	Respondents: Gold Capital Corp. /Co/ Release No. 34-95706 File Number: 3-21046
Date: Sept. 7, 2022	Respondents: Energem Resources, Inc. f/k/a Diamondworks Ltd. Release No. 34-95680 File Number: 3-21035
Date: Sept. 7, 2022	Respondents: Enova Systems, Inc. Release No. 34-95681 File Number: 3-21036
Date: Sept. 7, 2022	Respondents: Doers Education Asean Ltd. Release No. 34-95686 File Number: 3-21037
Date: Sept. 7, 2022	Respondents: Emerging Opportunities Corp. Release No. 34-95689 File Number: 3-21038
Date: Sept. 7, 2022	Respondents: Gordon, Lisa Release No. 34-95690 File Number: 3-21039
Date: Sept. 7, 2022	Respondents: Corporate Resource Services, Inc. Release No. 34-95692 File Number: 3-21040
Date: Sept. 7, 2022	Respondents: DirectView Holdings, Inc. Release No. 34-95693 File Number: 3-21041
Date: Sept. 7, 2022	Respondents: Santa Fe Financial Corporation Release No. 34-95701 File Number: 3-20989
Date: Sept. 6, 2022	Respondents: Aventura Capital Management, LLC Release No. IA-6103 See Also: Administrative Summary File Number: 3-21026
Date: Sept. 6, 2022	Respondents: Electropremium Release No. 33-11097 File Number: 3-21032
Date: Sept. 6, 2022	Respondents: Perceptive Advisors LLC Release No. 34-95673, IA-6106
Date: Sept. 6, 2022	Respondents: Adaptive Medias, Inc. Release No. 34-95677 File Number: 3-21033
Date: Sept. 6, 2022	Respondents: American Pacific Minerals Ltd. Release No. 34-95678 File Number: 3-21034
Date: Sept. 2, 2022	Respondents: CHS Inc. Release No. 34-95663, AAER-4330 See Also: Administrative Summary File Number: 3-21022
Date: Sept. 2, 2022	Respondents: Basic Energy Services, Inc. Release No. 34-95665 File Number: 3-21023
Date: Sept. 2, 2022	Respondents: BLGI, Inc. Release No. 34-95666 File Number: 3-21025
Date: Sept. 2, 2022	Respondents: FAB Universal Corp. Release No. 34-95667 File Number: 3-21027
Date: Sept. 2, 2022	Respondents: Glen Rose Petroleum Corp Release No. 34-95668 File Number: 3-21028
Date: Sept. 2, 2022	Respondents: Energy Innovation Capital Management, LLC Release No. IA-6104 File Number: 3-21029
Date: Sept. 2, 2022	Respondents: Vaccarelli, Leon Release No. 34-95671, IA-6105 File Number: 3-21030
Date: Sept. 1, 2022	Respondents: Stable Road Acquisition Corp., et al. Release No. 34-95653 File Number: 3-20393
Date: Aug. 31, 2022	Respondents: Taronis Technologies, Inc. (n/k/a BBHC, Inc.) Release No. 34-95640 File Number: 3-21019
Date: Aug. 31, 2022	Respondents: HCR Wealth Advisors Release No. 34-95641 File Number: 3-19494
Date: Aug. 31, 2022	Respondents: Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 34-95642 File Number: 3-16729
Date: Aug. 31, 2022	Respondents: Fred Alger Management, Inc. and Fred Alger & Company, Incorporated Release No. 34-95643 File Number: 3-12540
Date: Aug. 31, 2022	Respondents: Dilley, Carl E. Release No. 34-95648 File Number: 3-21020
Date: Aug. 31, 2022	Respondents: Eldred, Micah J. Release No. 34-95649 File Number: 3-21021
Date: Aug. 29, 2022	Respondents: Heckele, Mark W., Esq. Release No. 34-95625 File Number: 3-21014
Date: Aug. 29, 2022	Respondents: Heckele, Mark W., Esq. Release No. 34-95626 File Number: 3-21015
Date: Aug. 29, 2022	Respondents: Worldwide Markets, Ltd. Release No. 34-95627 File Number: 3-21016
Date: Aug. 29, 2022	Respondents: TAB Networks, Inc. Release No. 34-95628 File Number: 3-21017
Date: Aug. 29, 2022	Respondents: Jonathan Dax Cooke Release No. 34-95630, IA-6099 File Number: 3-21018
Date: Aug. 26, 2022	Respondents: Martin, Douglas Release No. 34-95617 File Number: 3-21010
Date: Aug. 26, 2022	Respondents: Kovack Advisors, Inc. Release No. IA-6098 See Also: Administrative Summary File Number: 3-21008
Date: Aug. 26, 2022	Respondents: Mark C. Kelly, CPA Release No. 33-11096, 34-95612, AAER-4329 See Also: Administrative Summary File Number: 3-21009
Date: Aug. 26, 2022	Respondents: Chairez, Karina Release No. 34-95619 File Number: 3-21011
Date: Aug. 26, 2022	Respondents: Ian Horn, Esq. Release No. 34-95621 File Number: 3-21012
Date: Aug. 25, 2022	Respondents: McHenry, William B., Jr.; First South Investments, LLC Release No. 34-95594 File Number: 3-20999
Date: Aug. 25, 2022	Respondents: Michael James Ferguson Jr. Foreign Private Trust Release No. 34-95600 File Number: 3-21000
Date: Aug. 25, 2022	Respondents: Swapnil J. Rege Release No. IA-6097 File Number: 3-21007
Date: Aug. 25, 2022	Respondents: Skinner, Matthew J. Release No. 34-95608 File Number: 3-21001
Date: Aug. 25, 2022	Respondents: James H. Roberts Release No. 34-95609, AAER-4325
Date: Aug. 25, 2022	Respondents: Laurel Krzeminski Release No. 34-95610, AAER-4326
Date: Aug. 25, 2022	Respondents: Jigisha Desai Release No. 34-95611, AAER-4327
Date: Aug. 24, 2022	Respondents: The Bancorp, Inc. Release No. 34-95589, AAER-4323 See Also: Administrative Summary File Number: 3-20997
Date: Aug. 24, 2022	Respondents: Farber Hass Hurley LLP; Michel Abedian, CPA; and Michael Hurley, CPA Release No. 34-95593, AAER-4324 See Also: Administrative Summary File Number: 3-20998
Date: Aug. 23, 2022	Respondents: Virginia Himmelsteib King Release No. IA-6095 File Number: 3-20996
Date: Aug. 22, 2022	Respondents: Qornerstone Inc. Release No. 34-95562 File Number: 3-20988
Date: Aug. 22, 2022	Respondents: Santa Fe Financial Corporation Release No. 34-95563 File Number: 3-20989
Date: Aug. 22, 2022	Respondents: Union Bridge Holdings Limited Release No. 34-95564 File Number: 3-20990
Date: Aug. 22, 2022	Respondents: VeriTeQ Corporation Release No. 34-95565 File Number: 3-20991
Date: Aug. 22, 2022	Respondents: Vu1 Corporation Release No. 34-95566 File Number: 3-20992
Date: Aug. 22, 2022	Respondents: WOD Retail Solutions, Inc. Release No. 34-95568 File Number: 3-20993
Date: Aug. 22, 2022	Respondents: Tasa Products Limited Release No. 34-95573 File Number: 3-20994
Date: Aug. 22, 2022	Respondents: The American Energy Group, Ltd. Release No. 34-95574 File Number: 3-20995
Date: Aug. 18, 2022	Respondents: Insulcrete, Inc. Release No. 34-95535 File Number: 3-20978
Date: Aug. 18, 2022	Respondents: Lescarden Inc. Release No. 34-95536 File Number: 3-20979
Date: Aug. 18, 2022	Respondents: Metwood Inc. (Aka Emerge Health International Inc.) Release No. 34-95538 File Number: 3-20980
Date: Aug. 18, 2022	Respondents: Newbridge Global Ventures, Inc. Release No. 34-95539 File Number: 3-20981
Date: Aug. 18, 2022	Respondents: Shearson American Reit, Inc. Release No. 34-95540 File Number: 3-20982
Date: Aug. 18, 2022	Respondents: Tara Gold Resources Corp. Release No. 34-95541 File Number: 3-20983
Date: Aug. 18, 2022	Respondents: Novelion Therapeutics Inc. Release No. 34-95542 File Number: 3-20984
Date: Aug. 18, 2022	Respondents: Plantation Corp. Release No. 34-95543 File Number: 3-20985
Date: Aug. 18, 2022	Respondents: NMI Health, Inc. Release No. 34-95553 File Number: 3-20986
Date: Aug. 18, 2022	Respondents: Northern Power Systems Corp. Release No. 34-95554 File Number: 3-20987
Date: Aug. 17, 2022	Respondents: MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA Release No. 34-95511 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-17956/3-17956.htm Submit Comments on: 3-17956 File Number: 3-17956