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: Aug. 17, 2022	Respondents: Champion Pain Care Corp. (f/k/a OICCO Acquisition I, Inc.) Release No. 34-95512 File Number: 3-20967
Date: Aug. 17, 2022	Respondents: DCA Asset Management, Inc. Release No. 34-95513 File Number: 3-20968
Date: Aug. 17, 2022	Respondents: Destination Maternity Corporation Release No. 34-95514 File Number: 3-20969
Date: Aug. 17, 2022	Respondents: Dominion Minerals Corp. Release No. 34-95515 File Number: 3-20970
Date: Aug. 17, 2022	Respondents: Eco Science Solutions, Inc. Release No. 34-95516 File Number: 3-20971
Date: Aug. 17, 2022	Respondents: Findex.Com, Inc. Release No. 34-95517 File Number: 3-20972
Date: Aug. 17, 2022	Respondents: IEH Corporation Release No. 34-95518 File Number: 3-20973
Date: Aug. 17, 2022	Respondents: Halo Companies, Inc. Release No. 34-95519 File Number: 3-20974
Date: Aug. 17, 2022	Respondents: Alanco Technologies, Inc. Release No. 34-95522 File Number: 3-20976
Date: Aug. 17, 2022	Respondents: Andes 7, Inc. Release No. 34-95523 File Number: 3-20977
Date: Aug. 17, 2022	Respondents: KinerjaPay Corp. Release No. 34-95533 File Number: 3-20717
Date: Aug. 16, 2022	Respondents: Gregory Blotnick and Brattle Street Capital, LLC Release No. 33-11091, 34-95502, IA-6090, IC-34674 See Also: Administrative Summary File Number: 3-20962
Date: Aug. 16, 2022	Respondents: Eagle Bancorp, Inc. Release No. 33-11092, 34-95505, AAER-4321 File Number: 3-20963
Date: Aug. 16, 2022	Respondents: Kahn Brothers Advisors, LLC and Thomas Kahn Release No. 34-95506 File Number: 3-20880
Date: Aug. 16, 2022	Respondents: Baynon International Corp. Release No. 34-95507 File Number: 3-20964
Date: Aug. 16, 2022	Respondents: Bravo Enterprises Ltd. Release No. 34-95508 File Number: 3-20965
Date: Aug. 16, 2022	Respondents: Conrad Neil Normann Release No. 33-11093, 34-95510, IC-34675 See Also: Administrative Summary File Number: 3-20966
Date: Aug. 12, 2022	Respondents: IMC Chicago, LLC Release No. 34-95487 See Also: Administrative Summary File Number: 3-20961
Date: Aug. 11, 2022	Respondents: Crown Bridge Partners, LLC Release No. 34-95467 File Number: 3-20956
Date: Aug. 11, 2022	Respondents: Soheil Ahdoot Release No. 34-95468 File Number: 3-20957
Date: Aug. 11, 2022	Respondents: Sepas Ahdoot Release No. 34-95469 File Number: 3-20958
Date: Aug. 11, 2022	Respondents: Ross Barish Release No. 34-95482 File Number: 3-20960
Date: Aug. 11, 2022	Respondents: Sergei Polevikov Release No. IA-6087 File Number: 3-20959
Date: Aug. 10, 2022	Respondents: Angel Oak Capital Advisors, LLC and Ashish Negandhi Release No. 33-11090, IA-6084 File Number: 3-20953
Date: Aug. 10, 2022	Respondents: Richard Keith Robertson Release No. 34-95462, IA-6085, IC-34669 See Also: Administrative Summary File Number: 3-20954
Date: Aug. 10, 2022	Respondents: IFP Advisors, LLC Release No. IA-6086 See Also: Administrative Summary File Number: 3-20955
Date: Aug. 9, 2022	Respondents: Frank Okunak, CPA Release No. 34-95451, AAER-4320 File Number: 3-20949
Date: Aug. 9, 2022	Respondents: Dustin Paul Shafer Release No. 34-95453, IA-6082 File Number: 3-20951
Date: Aug. 9, 2022	Respondents: Maccio, Michelle Release No. IA-6081 File Number: 3-20950
Date: Aug. 9, 2022	Respondents: Bloom Protocol, LLC Release No. 33-11089 See Also: Administrative Summary File Number: 3-20952
Date: Aug. 5, 2022	Respondents: Houston American Energy Corp. Terwilliger, John F., Jr. Undiscovered Equities Inc. McKnight, Kevin T. Release No. 34-95432 See Also: Distribution Plan File Number: 3-16000
Date: Aug. 4, 2022	Respondents: Fifth Third Bancorp and Daniel Poston Release No. 34-95418 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice File Number: 3-15635
Date: Aug. 4, 2022	Respondents: Kevin Gillespie Release No. 34-95421 File Number: 3-20947
Date: Aug. 4, 2022	Respondents: Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC Release No. 34-95427 File Number: 3-20060
Date: Aug. 4, 2022	Respondents: Allianz Global Investors U.S. LLC Release No. 34-95429 File Number: 3-20855
Date: Aug. 3, 2022	Respondents: Deccan Value Investors LP and Vinit Bodas Release No. IA-6079 See Also: Administrative Summary File Number: 3-20944
Date: Aug. 3, 2022	Respondents: Surgalign Holdings, Inc. and Robert P. Jordheim Release No. 33-11088, 34-95415, AAER-4318 See Also: Complaint File Number: 3-20945
Date: Aug. 1, 2022	Respondents: LaGuardia, Donald S., Jr. Release No. IA-6078 File Number: 3-20941
Date: July 28, 2022	Respondents: Paul F. Gallivan Release No. 33-11085, 34-95389, IA-6075, IC-34655 File Number: 3-20939
Date: July 28, 2022	Respondents: Aegis Capital Corp. Release No. 33-11086, 34-95390, IA-6076 File Number: 3-20940
Date: July 27, 2022	Respondents: J.P. Morgan Securities LLC Release No. 34-95367, IA-6073 File Number: 3-20936
Date: July 27, 2022	Respondents: UBS Financial Services Inc. Release No. 34-95368, IA-6074 File Number: 3-20937
Date: July 27, 2022	Respondents: TradeStation Securities, Inc. Release No. 34-95369 File Number: 3-20938
Date: July 25, 2022	Respondents: Burns, Christopher W. Release No. IA-6072 File Number: 3-20935
Date: July 22, 2022	Respondents: Mesirow Financial Investment Management, Inc. Release No. 34-95351, IA-6070 File Number: 3-20934
Date: July 21, 2022	Respondents: Private Advisor Group, LLC Release No. IA-6069 See Also: Administrative Summary File Number: 3-20933
Date: July 20, 2022	Respondents: Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 33-11084, 34-95323 File Number: 3-20932
Date: July 18, 2022	Respondents: Equitable Financial Life Insurance Company Release No. 33-11083 File Number: 3-20931
Date: July 18, 2022	Respondents: Securities America Advisors, Inc. Release No. 34-95311 File Number: 3-20381
Date: July 15, 2022	Respondents: Allianz Global Investors U.S. LLC Release No. 34-95293 File Number: 3-20855
Date: July 14, 2022	Respondents: The Kraft Heinz Co. and Eduardo Pelleissone Release No. 34-95277 See Also: Proposed Distribution Pla Comments received are available: https://www.sec.gov/comments/3-20523/3-20523.htm File Number: 3-20523
Date: July 12, 2022	Respondents: Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel Release No. 34-95255 See Also: Distribution Plan File Number: 3-19266
Date: July 12, 2022	Respondents: FCA US LLC and Fiat Chrysler Automobiles N.V. Release No. 34-95261 See Also: Distribution Plan File Number: 3-19541
Date: July 8, 2022	Respondents: Steven J. Sheinfeld, CPA Release No. 34-95223, AAER-4315 File Number: 3-20930
Date: July 8, 2022	Respondents: Arcangelo Loberto, CPA and CA Release No. 34-95224, AAER-4316 File Number: 3-13421
Date: July 7, 2022	Respondents: Hugh Lee Sweeney Release No. 33-11079, 34-95204 See Also: Administrative Summary File Number: 3-20925
Date: July 7, 2022	Respondents: John W. Pauciulo, Esq. Release No. 33-11080, 34-95205 See Also: Administrative Summary File Number: 3-20926
Date: July 7, 2022	Respondents: McKown, George Release No. IA-6063 File Number: 3-20927
Date: July 7, 2022	Respondents: Gearhart, Richard Release No. IA-6064 File Number: 3-20928
Date: July 7, 2022	Respondents: James M. Davis Release No. 34-95212, IA-6065
Date: July 1, 2022	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 34-95192 File Number: 3-20781, 3-20782, 3-20783
Date: July 1, 2022	Respondents: voxeljet AG and Rudolf Franz Release No. 34-95193, AAER-4314 See Also: Administrative Summary File Number: 3-20923
Date: July 1, 2022	Respondents: Efrain Betancourt Jr. Release No. 34-95194 File Number: 3-20924
Date: June 30, 2022	Respondents: The Brian Madison Carnes Trust Release No. 34-95181 See Also: Administrative Summary File Number: 3-20913
Date: June 30, 2022	Respondents: The Edward Walker Benifield Trust Release No. 34-95182 See Also: Administrative Summary File Number: 3-20914
Date: June 30, 2022	Respondents: The Brandon Rawls Trust Release No. 34-95183 See Also: Administrative Summary File Number: 3-20915
Date: June 30, 2022	Respondents: Ihsan Dariush Ibrahim Gholizadeh Inc. Ihsan Dariush Ibrahim Gholizadeh Transfer Trust Release No. 34-95184 See Also: Administrative Summary File Number: 3-20916
Date: June 30, 2022	Respondents: The Northgate Nobles Greenhouseabe Foreign Grantor Trust Release No. 34-95185 See Also: Administrative Summary File Number: 3-20917
Date: June 30, 2022	Respondents: Wendy Elizabeth Sill Trust Release No. 34-95186 See Also: Administrative Summary File Number: 3-20918
Date: June 30, 2022	Respondents: Wesley J. Evans Release No. 34-95187 File Number: 3-20919
Date: June 30, 2022	Respondents: Hamilton Investment Counsel, LLC and Jeffrey Kirkpatrick Release No. 34-95189, IA-6061 File Number: 3-20920
Date: June 30, 2022	Respondents: Corona Associates Capital Management, LLC, et al. Release No. IA-6062 See Also: Administrative Summary File Number: 3-20921
Date: June 29, 2022	Respondents: UBS Financial Services Inc. Release No. 34-95168, IA-6060
Date: June 28, 2022	Respondents: Ernst & Young LLP Release No. 34-95167, AAER-4313 File Number: 3-20911
Date: June 28, 2022	Respondents: Poloniex, LLC Release No. 34-95172 File Number: 3-20455
Date: June 27, 2022	Respondents: German Nino Release No. 34-95160, IA-6058 File Number: 3-20908
Date: June 27, 2022	Respondents: Sidney A. Spector, Md and Phd Release No. 33-11078, 34-95163 See Also: Administrative Summary File Number: 3-20910
Date: June 27, 2022	Respondents: David Lee Bonuccelli Release No. IA-6059 File Number: 3-20909
Date: June 24, 2022	Respondents: GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc. Release No. 34-95149 File Number: 3-20537
Date: June 24, 2022	Respondents: Robinhood Financial, LLC Release No. 34-95152 File Number: 3-20171
Date: June 24, 2022	Respondents: Geluk Capital Management Ltd. and Douglas Gerald Fathers Release No. 33-11077, 34-95158, IA-6057, IC-34637 See Also: Administrative Summary File Number: 3-20906
Date: June 22, 2022	Respondents: The Brink's Company Release No. 34-95138 See Also: Administrative Summary File Number: 3-20904
Date: June 21, 2022	Respondents: Egan-Jones Ratings Company and Sean Egan Release No. 34-95127
Date: June 21, 2022	Respondents: Aaron B. Fletcher Release No. 34-95131, IA-6052 File Number: 3-20903
Date: June 17, 2022	Respondents: Erin Verespy Release No. 34-95121, IA-6051
Date: June 16, 2022	Respondents: William D. King, CPA Release No. 34-95109 See Also: Distribution Plan File Number: 3-19991
Date: June 16, 2022	Respondents: Sica Wealth Management, LLC and Jeffrey C. Sica Release No. 34-95110 See Also: Distribution Plan File Number: 3-19716
Date: June 14, 2022	Respondents: Weiss Asset Management LP Release No. 34-95099 File Number: 3-20899
Date: June 14, 2022	Respondents: Energy Capital Partners Management, LP Release No. IA-6049 File Number: 3-20900
Date: June 13, 2022	Respondents: Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc. and Schwab Wealth Investment Advisory, Inc. Release No. 34-95087, IA-6047 See Also: Administrative Summary File Number: 3-20897
Date: June 13, 2022	Respondents: Petroteq Energy, Inc.; Aleksandr Blyumkin Release No. 33-11072, 34-95089 See Also: Complaint File Number: 3-20898
Date: June 9, 2022	Respondents: Lijuan "Sandra" Hao, CPA Release No. 34-95076, AAER-4312 See Also: Administrative Summary File Number: 3-20896
Date: June 8, 2022	Respondents: CohnReznick LLP Release No. 34-95066, AAER-4309 File Number: 3-20891
Date: June 8, 2022	Respondents: Stephen M. Wyss, CPA, Stephen H. Jackson, CPA and Robert G. Hilbert, CPA Release No. 34-95067, AAER-4310 File Number: 3-20892
Date: June 8, 2022	Respondents: Steven C. Avis, CPA, and Steven W. Hurd, CPA Release No. 34-95071, AAER-4311 File Number: 3-20894
Date: June 8, 2022	Respondents: Jae Cheol Oh Release No. 34-95072 See Also: Administrative Summary File Number: 3-20895
Date: June 7, 2022	Respondents: Synchronoss Technologies, Inc. Release No. 34-95049, AAER-4302 File Number: 3-20883
Date: June 7, 2022	Respondents: Clayton "Charlie" Thomas Release No. 34-95050, AAER-4303 File Number: 3-20884
Date: June 7, 2022	Respondents: Marc Bandini Release No. 34-95051, AAER-4304 File Number: 3-20885
Date: June 7, 2022	Respondents: Daniel Ives Release No. 34-95052, AAER-4305 File Number: 3-20886