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. 26, 2023	Respondents: Green Automotive Company Release No. 34-98518 File Number: 3-21718
Date: Sept. 26, 2023	Respondents: Monica M. O’Mealia Release No. 34-98537 File Number: 3-21727
Date: Sept. 26, 2023	Respondents: Amoah, Brian Bartlett and Elbert “Al” Elliott Release No. 34-98526 See Also: Administrative Summary File Number: 3-21726
Date: Sept. 26, 2023	Respondents: Bruderman Asset Management, LLC, n/k/a Gary Goldberg Planning Services, LLC and Matthew J. Bruderman Release No. IA-6435 File Number: 3-21725
Date: Sept. 26, 2023	Respondents: AssetMark, Inc. Release No. IA-6434 File Number: 3-21724
Date: Sept. 26, 2023	Respondents: Steven A. Fernandez Release No. 34-98525 File Number: 3-21723
Date: Sept. 26, 2023	Respondents: Rivulet Media, Inc. Release No. 34-98524 File Number: 3-21722
Date: Sept. 26, 2023	Respondents: Red White & Bloom Brands Inc. (f/k/a Tidal Royalty Corp.) Release No. 34-98523 File Number: 3-21721
Date: Sept. 26, 2023	Respondents: Anthony R. Sichenzio Release No. 34-98522 File Number: 3-21720
Date: Sept. 26, 2023	Respondents: Joseph M. Laura, Esq. Release No. 34-98521 File Number: 3-21719
Date: Sept. 26, 2023	Respondents: William B. McHenry, Jr. and First South Investments, LLC Release No. 34-98520 File Number: 3-20999
Date: Sept. 26, 2023	Respondents: Kiwa Bio-Tech Products Group Corporation Release No. 34-98517 File Number: 3-21382
Date: Sept. 25, 2023	Respondents: Baxter International Inc. Release No. 34-98512 See Also: Plan of Distribution File Number: 3-20781
Date: Sept. 25, 2023	Respondents: Fieldman Rolapp & Associates, Inc. and Anna Sarabian Release No. 34-98510 See Also: Administrative Summary File Number: 3-21717
Date: Sept. 25, 2023	Respondents: Neuropathix, Inc. Release No. 34-98507 File Number: 3-21716
Date: Sept. 25, 2023	Respondents: Lux Amber, Corp. Release No. 34-98506 File Number: 3-21715
Date: Sept. 25, 2023	Respondents: Rampart Studios Inc. Release No. 34-98503 File Number: 3-21714
Date: Sept. 25, 2023	Respondents: Radale Imports, Inc. Release No. 34-98501 File Number: 3-21713
Date: Sept. 25, 2023	Respondents: Michael D. Messina, CPA Release No. 34-98499, AAER-4461 See Also: Administrative Summary File Number: 3-21712
Date: Sept. 25, 2023	Respondents: David C. Powell Release No. 34-98492, AAER-4460 See Also: Administrative Summary File Number: 3-21710
Date: Sept. 25, 2023	Respondents: GTT Communications, Inc. Release No. 33-11241, 34-98491, AAER-4459 File Number: 3-21708
Date: Sept. 25, 2023	Respondents: Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 34-98493 See Also: Proposed Plan of Distribution File Number: 3-20932
Date: Sept. 25, 2023	Respondents: Wellesley Asset Management, Inc. Release No. IA-6433 See Also: Administrative Summary File Number: 3-21711
Date: Sept. 25, 2023	Respondents: DWS Investment Management Americas, Inc. Release No. IA-6431 File Number: 3-21707
Date: Sept. 25, 2023	Respondents: DWS Investment Management Americas, Inc. Release No. IA-6432 File Number: 3-21709
Date: Sept. 22, 2023	Respondents: Super Micro Computer, Inc. Release No. 34-98487 File Number: 3-19927
Date: Sept. 22, 2023	Respondents: Houston American Energy Corp., et al. Release No. 34-98486 File Number: 3-16000
Date: Sept. 22, 2023	Respondents: Douglas Hawkins Release No. 34-98485 File Number: 3-21706
Date: Sept. 22, 2023	Respondents: Elsa M. Doyle Release No. IA-6429 See Also: Administrative Summary File Number: 3-21705
Date: Sept. 22, 2023	Respondents: American Infrastructure Funds, LLC Release No. IA-6428 File Number: 3-21704
Date: Sept. 22, 2023	Respondents: Citadel Securities, LLC Release No. 34-98482 File Number: 3-21703
Date: Sept. 22, 2023	Respondents: Gosun Communications Limited Inc. Release No. 34-98480 File Number: 3-21701
Date: Sept. 22, 2023	Respondents: Life Clips, Inc. Release No. 34-98481 File Number: 3-21702
Date: Sept. 22, 2023	Respondents: Goldman Sachs & Co. LLC Release No. 34-98479 File Number: 3-21700
Date: Sept. 22, 2023	Respondents: Carl M. Hennig, Inc. Release No. 34-98478 See Also: Administrative Summary File Number: 3-21699
Date: Sept. 21, 2023	Respondents: EQUUS CAPITAL PARTNERS LP Release No. 34-98477 File Number: 3-21698
Date: Sept. 21, 2023	Respondents: Kandi Technologies Group, Inc. Release No. 33-11240 See Also: Administrative Summary File Number: 3-21697
Date: Sept. 21, 2023	Respondents: Xoma Ltd. Release No. 34-98473 File Number: 3-21696
Date: Sept. 21, 2023	Respondents: Energis P.L.C. Release No. 34-98471 File Number: 3-21695
Date: Sept. 21, 2023	Respondents: THE DOCS, INC. Release No. 34-98469 File Number: 3-21694
Date: Sept. 21, 2023	Respondents: William K. Ichioka Release No. IA-6426 File Number: 3-21692
Date: Sept. 21, 2023	Respondents: Smartchase Corp. Release No. 34-98466 File Number: 3-21693
Date: Sept. 21, 2023	Respondents: 12 ReTech Corporation Release No. 34-98462 File Number: 3-21688
Date: Sept. 21, 2023	Respondents: ePresence, Inc. Release No. 34-98463 File Number: 3-21689
Date: Sept. 21, 2023	Respondents: No Respondents Release No. 34-98464
Date: Sept. 21, 2023	Respondents: Pegasus Medical Holdings, Inc. Release No. 34-98465 File Number: 3-21691
Date: Sept. 21, 2023	Respondents: Tauriga Sciences, Inc. Release No. 34-98461 File Number: 3-21687
Date: Sept. 20, 2023	Respondents: Faulding Inc. (n/k/a Alpharma Specialty Pharma) Release No. 34-98460 File Number: 3-21686
Date: Sept. 20, 2023	Respondents: Dragon Mining Corporation (a/k/a Dragon Diamond Corporation) Release No. 34-98459 File Number: 3-21685
Date: Sept. 20, 2023	Respondents: BlueStar Communications Group Inc. Release No. 34-98453 File Number: 3-21684
Date: Sept. 20, 2023	Respondents: Action Industries, Inc. Release No. 34-98452 File Number: 3-21683
Date: Sept. 20, 2023	Respondents: James Michael Wines Release No. 33-11239 See Also: Administrative Summary File Number: 3-21682
Date: Sept. 20, 2023	Respondents: Strong Solutions, Inc. Release No. 34-98440 File Number: 3-21681
Date: Sept. 20, 2023	Respondents: Secure Point Technologies, Inc. Release No. 34-98439 File Number: 3-21680
Date: Sept. 20, 2023	Respondents: Defense Technology Systems, Inc. Release No. 34-98431 File Number: 3-21677
Date: Sept. 20, 2023	Respondents: Deep Well Oil & Gas, Inc. Release No. 34-98430 File Number: 3-21676
Date: Sept. 19, 2023	Respondents: First Community Bancorp Inc /GA/ Release No. 34-98436 File Number: 3-21679
Date: Sept. 19, 2023	Respondents: Clark Reiner Release No. 33-11237, 34-98432, IA-6425, IC-34999 See Also: Administrative Summary File Number: 3-21678
Date: Sept. 19, 2023	Respondents: CBRE, Inc. Release No. 34-98429 File Number: 3-21675
Date: Sept. 18, 2023	Respondents: Exchange Traded Managers Group LLC, et al. Release No. 34-98426 File Number: 3-21542
Date: Sept. 18, 2023	Respondents: FCA US LLC and Fiat Chrysler Automobiles N.V. Release No. 34-98425 File Number: 3-19541
Date: Sept. 18, 2023	Respondents: Vincent J. Caputo Release No. 34-98424 File Number: 3-21488
Date: Sept. 18, 2023	Respondents: GGToor, Inc. Release No. 33-11236 See Also: Administrative Summary File Number: 3-21674
Date: Sept. 18, 2023	Respondents: Summit Planning Group, Inc and Richard Urciuoli Release No. IA-6423 See Also: Administrative Summary File Number: 3-21673
Date: Sept. 18, 2023	Respondents: Petróleo Brasilerio and S.A. - Petrobras Release No. 34-98423 File Number: 3-18843
Date: Sept. 18, 2023	Respondents: Pierre Economacos Release No. 34-98418 See Also: Administrative Summary File Number: 3-21669
Date: Sept. 18, 2023	Respondents: Fiat Chrysler Automobiles N.V. Release No. 34-98417 File Number: 3-20092
Date: Sept. 18, 2023	Respondents: GTV Media Group, Inc.; Saraca Media Group, Inc.; Voice of Guo Media, Inc. Release No. 34-98415 File Number: 3-20537
Date: Sept. 18, 2023	Respondents: Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 34-98416 File Number: 3-20932
Date: Sept. 18, 2023	Respondents: S&P Dow Jones Indices LLC Release No. 34-98414 File Number: 3-20310
Date: Sept. 18, 2023	Respondents: Lyft, Inc. Release No. 34-98413 File Number: 3-21672
Date: Sept. 15, 2023	Respondents: Coastal Caribbean Oils & Minerals, Ltd. Release No. 34-98412 File Number: 3-21671
Date: Sept. 15, 2023	Respondents: China Crescent Enterprises, Inc. Release No. 34-98411 File Number: 3-21670
Date: Sept. 15, 2023	Respondents: HCR Wealth Advisors Release No. 34-98408 See Also: Distribution Plan File Number: 3-19494
Date: Sept. 14, 2023	Respondents: Xia Hong Release No. 34-98401 See Also: Administrative Summary File Number: 3-21668
Date: Sept. 14, 2023	Respondents: Citigroup Global Markets, Inc., Morgan Stanley Smith Barney LLC Release No. 34-98399 See Also: Proposed Distribution Plan 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: 3-17808, 3-17809
Date: Sept. 14, 2023	Respondents: GlennCap LLC and Jonathan Vincent Glenn Release No. 33-11234, 34-98392, IA-6422, IC-34997 File Number: 3-21667
Date: Sept. 14, 2023	Respondents: The Kraft Heinz Co. and Eduardo Pelleissone Release No. 34-98398 File Number: 3-20523
Date: Sept. 14, 2023	Respondents: Allen Mecham Release No. 34-98391 File Number: 3-21666
Date: Sept. 14, 2023	Respondents: Latteno Food Corp. Release No. 34-98384 File Number: 3-21665
Date: Sept. 14, 2023	Respondents: IMAGINON, INC. Release No. 34-98383 File Number: 3-21664
Date: Sept. 14, 2023	Respondents: Acacia Diversified Holdings, Inc. Release No. 34-98382 File Number: 3-21663
Date: Sept. 13, 2023	Respondents: Artemis Wealth Advisors, LLC Release No. 34-98381, IA-6421 File Number: 3-21662
Date: Sept. 13, 2023	Respondents: INTERDYNE COMPANY Release No. 34-98379 File Number: 3-21661
Date: Sept. 13, 2023	Respondents: Rand Heckler Release No. 34-98374, IA-6419 File Number: 3-21660
Date: Sept. 13, 2023	Respondents: EPIRUS BIOPHARMACEUTICALS, INC. (f/k/a Zalicus, Inc.) Release No. 34-98371 File Number: 3-21658
Date: Sept. 13, 2023	Respondents: Rogue One, Inc. Release No. 34-98370 File Number: 3-21657
Date: Sept. 13, 2023	Respondents: Kibush Capital Corp. Release No. 34-98369 File Number: 3-21656
Date: Sept. 13, 2023	Respondents: Stoner Cats 2, LLC Release No. 33-11233 File Number: 3-21655
Date: Sept. 12, 2023	Respondents: Ameri Metro, Inc. Release No. 34-98364 File Number: 3-21654
Date: Sept. 12, 2023	Respondents: Youngevity International, Inc. Release No. 34-98356 File Number: 3-21653
Date: Sept. 12, 2023	Respondents: Yieldstreet Inc., and Yieldstreet Management, LLC Release No. 33-11230, IA-6414 File Number: 3-21651
Date: Sept. 12, 2023	Respondents: True Capital Management, LLC Release No. 34-98354, IA-6415 See Also: Administrative Summary File Number: 3-21652
Date: Sept. 12, 2023	Respondents: Alfonse Gregory Giugliano, CPA Release No. 34-98352, AAER-4458 File Number: 3-21650
Date: Sept. 11, 2023	Respondents: Maximus, Inc. Release No. 34-98351 See Also: Administrative Summary File Number: 3-21649
Date: Sept. 11, 2023	Respondents: Trowbridge Capital Partners LLC Release No. IA-6412 File Number: 3-21644
Date: Sept. 11, 2023	Respondents: MRA Advisory Group Release No. IA-6411 File Number: 3-21643
Date: Sept. 11, 2023	Respondents: McElhenny Sheffield Capital Management, LLC Release No. IA-6410 File Number: 3-21642
Date: Sept. 11, 2023	Respondents: Macroclimate LLC Release No. IA-6409 File Number: 3-21641
Date: Sept. 11, 2023	Respondents: Linden Thomas Advisory Services, LLC Release No. IA-6408 File Number: 3-21640