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:
Linden Thomas Advisory Services, LLC
Release No. IA-6408
File Number: 3-21640
Date: Respondents:
Hansen and Associates Financial Group Inc.
Release No. IA-6407
File Number: 3-21639
Date: Respondents:
Elm Partners Management LLC
Release No. IA-6406
File Number: 3-21638
Date: Respondents:
BTS Asset Management Inc.
Release No. IA-6405
File Number: 3-21637
Date: Respondents:
Banorte Asset Management, Inc.
Release No. IA-6404
File Number: 3-21636
Date: Respondents:
Simplex Trading, LLC
Release No. 34-98346
See Also: Administrative Summary
File Number: 3-21648
Date: Respondents:
UNI-PIXEL, INC.
Release No. 34-98345
File Number: 3-21647
Date: Respondents:
Mortgage Industry Advisory Corporation
Release No. IA-6413
See Also: Administrative Summary
File Number: 3-21646
Date: Respondents:
ForceField Energy Inc.
Release No. 34-98344
File Number: 3-21645
Date: Respondents:
JS BEAUTY LAND NETWORK TECHNOLOGY INC.
Release No. 34-98341
File Number: 3-21634
Date: Respondents:
Daniel E. Levin
Release No. 34-98343
File Number: 3-21635
Date: Respondents:
Jacob R. Orvidas
Release No. 33-11231, 34-98323
File Number: 3-21630
Date: Respondents:
Richard D. Whitney
Release No. 34-98326
File Number: 3-21633
Date: Respondents:
Ngoc-Ha T. Nguyen
Release No. 34-98325
File Number: 3-21632
Date: Respondents:
Luke Ho
Release No. 34-98324
File Number: 3-21631
Date: Respondents:
Monolith Resources, LLC
Release No. 34-98322
File Number: 3-21629
Date: Respondents:
Linus Financial, Inc.
Release No. 33-11229
File Number: 3-21627
Date: Respondents:
Empower Clinics, Inc.
Release No. 34-98315
File Number: 3-21626
Date: Respondents:
CRANK MEDIA INC
Release No. 34-98313
File Number: 3-21625
Date: Respondents:
Actua Corp.
Release No. 34-98310
File Number: 3-21624
Date: Respondents:
Atlantic Industries Inc. /CO/
Release No. 34-98309
File Number: 3-21623
Date: Respondents:
Mark Wogsland
Release No. 34-98307, AAER-4456
File Number: 3-21622
Date: Respondents:
Bret Naggs
Release No. 34-98306, AAER-4455
File Number: 3-21621
Date: Respondents:
ARCH LEASING CORP
Release No. 34-98305
File Number: 3-21620
Date: Respondents:
Xeikon N.V.
Release No. 34-98301
File Number: 3-21619
Date: Respondents:
Realmark Property Investors Ltd Partnership IV
Release No. 34-98300
File Number: 3-21618
Date: Respondents:
Realmark Property Investors Ltd Partnership III
Release No. 34-98299
File Number: 3-21617
Date: Respondents:
Winthrop California Investors Ltd Partnership
Release No. 34-98298
File Number: 3-21611
Date: Respondents:
Kent N. Smith
Release No. 34-98297
File Number: 3-21616
Date: Respondents:
Bradley R. Scott
Release No. 34-98296
File Number: 3-21615
Date: Respondents:
Robin K. Chopra, CA
Release No. 34-98295
File Number: 3-21614
Date: Respondents:
James F. Brittain
Release No. 34-98294
File Number: 3-21613
Date: Respondents:
Jon Eric Best
Release No. 34-98293
File Number: 3-21612
Date: Respondents:
Fluor Corporation
Release No. 34-98292
File Number: 3-21610
Date: Respondents:
Robinhood Financial, LLC
Release No. 34-98289
File Number: 3-20771
Date: Respondents:
Disruptive Technology Advisers LLC
Release No. IA-6400
File Number: 3-21609
Date: Respondents:
The Eideard Group, LLC
Release No. IA-6399
File Number: 3-21608
Date: Respondents:
Bluestone Capital Management, LLC
Release No. IA-6398
File Number: 3-21607
Date: Respondents:
Lloyd George Management (HK) Limited
Release No. IA-6395
File Number: 3-21605
Date: Respondents:
Apex Financial Advisors, Inc.
Release No. ia-6396
File Number: 3-21606
Date: Respondents:
Sungroup Inc.
Release No. 34-98282
File Number: 3-21604
Date: Respondents:
Realmark Property Investors Limited Partnership Vi-B (a/k/a Realmark Property Investors Limited Partnership - VI B)
Release No. 34-98281
File Number: 3-21603
Date: Respondents:
Prime Group Holdings, LLC
Release No. 33-11228
File Number: 3-21602
Date: Respondents:
Jason Nordlund
Release No. IA-6394
File Number: 3-21601
Date: Respondents:
SQN Capital Management, LLC and Jeremiah Silkowski
Release No. 34-98272, IA-6393, AAER-4453
See Also: Administrative Summary
File Number: 3-21600
Date: Respondents:
Independence Resources PLC
Release No. 34-98270
File Number: 3-21599
Date: Respondents:
HomeCapital Investment Corp.
Release No. 34-98269
File Number: 3-21598
Date: Respondents:
Halstead Energy Corp.
Release No. 34-98257
File Number: 3-21597
Date: Respondents:
China Pacific, Inc. (n/k/a Yorkston Holdings, Inc.)
Release No. 34-98256
File Number: 3-21596
Date: Respondents:
Nano World Projects Corp.
Release No. 34-98255
File Number: 3-21595
Date: Respondents:
Krupp Cash Plus Ltd Partnership
Release No. 34-98254
File Number: 3-21594
Date: Respondents:
Teltrust, Inc.
Release No. 34-98251
File Number: 3-21593
Date: Respondents:
TAYC Capital Trust I
Release No. 34-98250
File Number: 3-21592
Date: Respondents:
King, Leroy
Release No. 34-98246
File Number: 3-21204
Date: Respondents:
Blake Cathey
Release No. 34-98244
File Number: 3-21589
Date: Respondents:
Chad Stickforth
Release No. IA-6391
File Number: 3-21590
Date: Respondents:
Anthony B. Liddle
Release No. 34-98248, IA-6392
File Number: 3-21591
Date: Respondents:
Plug Power Inc.
Release No. 34-98243, AAER-4452
See Also: Administrative Summary
File Number: 3-21588
Date: Respondents:
Citigroup Global Markets Inc.
Release No. 34-98238
File Number: 3-21583
Date: Respondents:
Archipelago Trading Services, Inc.
Release No. 34-98234
File Number: 3-21587
Date: Respondents:
Legacy Hospitality II, LLC, Legendary Capital REIT III, LLC and Corey R. Maple
Release No. 33-11227
See Also: Administrative Summary
File Number: 3-21586
Date: Respondents:
Impact Theory, LLC
Release No. 33-11226
File Number: 3-21585
Date: Respondents:
Peter Armbruster, CPA
Release No. 34-98229, AAER-4451
File Number: 3-21584
Date: Respondents:
3M Company
Release No. 34-98222, AAER-4450
File Number: 3-21581
Date: Respondents:
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Release No. 34-98221, IA-6387
File Number: 3-21580
Date: Respondents:
Mac Wayne Billings, CPA
Release No. 34-98218, AAER-4449
File Number: 3-21579
Date: Respondents:
Momentus, Inc., et al.
Release No. 34-98209
File Number: 3-20393
Date: Respondents:
Vivic Corp.
Release No. 34-98194, AAER-4448
See Also: Administrative Summary
File Number: 3-21577
Date: Respondents:
ReShape Lifesciences Inc.
Release No. 34-98193, AAER-4447
See Also: Administrative Summary
File Number: 3-21576
Date: Respondents:
Omnia Wellness Inc.
Release No. 34-98192, AAER-4446
See Also: Administrative Summary
File Number: 3-21574
Date: Respondents:
Alpine 4 Holdings, Inc.
Release No. 34-98190, AAER-4444
See Also: Administrative Summary
File Number: 3-21573
Date: Respondents:
Black Spade Acquisition Co
Release No. 34-98188, AAER-4443
See Also: Administrative Summary
File Number: 3-21572
Date: Respondents:
Tarek D. Bahgat
Release No. 34-98195, IA-6382
File Number: 3-21578
Date: Respondents:
David D. Brooks, CPA
Release No. 34-98191, AAER-4445
File Number: 3-21575
Date: Respondents:
Fundrise Advisors, LLC
Release No. IA-6381
See Also: Administrative Summary
File Number: 3-21571
Date: Respondents:
Michael J. Senken
Release No. 34-98186, AAER-4442
File Number: 3-21570
Date: Respondents:
Titan Global Capital Management USA LLC
Release No. IA-6380
File Number: 3-21569
Date: Respondents:
Ronald D. Swanson
Release No. 34-98166
File Number: 3-21568
Date: Respondents:
Carla Lea Chastain
Release No. IA-6379
File Number: 3-21567
Date: Respondents:
DST Asset Manager Solutions, Inc.
Release No. 34-98153
File Number: 3-21565
Date: Respondents:
Joseph Michael Todd
Release No. 34-98154; IA-6378
File Number: 3-21566
Date: Respondents:
Stacey Marie Porter
Release No. 34-98141
File Number: 3-21564
Date: Respondents:
James P. Anglim
Release No. 34-98133; IA-6377
File Number: 3-21563
Date: Respondents:
Malvern Bancorp, Inc. and Joseph D. Gangemi
Release No. 33-11223, 34-98132, AAER-4441
See Also: Administrative Summary
File Number: 3-21562
Date: Respondents:
Ault Alliance, et al.
Release No. 33-11222, 34-98131, AAER-4440
See Also: Administrative Summary
File Number: 3-21561
Date: Respondents:
Kahn Brothers Advisors, LLC and Thomas Kahn
Release No. 34-98119
See Also: Proposed Distribution Plan
File Number: 3-20880
Date: Respondents:
Crowe U.K. LLP, Nigel D. Bostock, FCA, Matthew C. Stallabrass, FCA
Release No. 34-98118, AAER-4438
File Number: 3-21560
Date: Respondents:
Grupo Aval Acciones y Valores S.A. and Corporación Financiera Colombiana S.A.
Release No. 34-98103, AAER-4437
File Number: 3-21559
Date: Respondents:
BNP Paribas Securities Corp.
Release No. 34-98079
File Number: 3-21555
Date: Respondents:
Moelis & Company LLC
Release No. 34-98078
File Number: 3-21554
Date: Respondents:
Houlihan Lokey Capital, Inc.,
Release No. 34-98077
File Number: 3-21553
Date: Respondents:
BMO Capital Markets Corp.,
Release No. 34-98080
File Number: 3-21556
Date: Respondents:
SMBC Nikko Securities America, Inc.,
Release No. 34-98075
See Also: Waiver Order
File Number: 3-21551
Date: Respondents:
Mizuho Securities USA LLC,
Release No. 34-98081
File Number: 3-21557
Date: Respondents:
SG Americas Securities, LLC
Release No. 34-98082
File Number: 3-21558
Date: Respondents:
Wells Fargo Securities, LLC, Wells Fargo Clearing Services, LLC, and Wells Fargo Advisors Financial Network, LLC,
Release No. 34-98076
See Also: Waiver Order
File Number: 3-21552
Date: Respondents:
Wedbush Securities Inc.,
Release No. 34-98074, IA-6369
See Also: Waiver Order
File Number: 3-21550
Date: Respondents:
CS Manager, LLC, Sica Wealth Management, LLC, Circle Squared Alternative Investments, LLC, Jeffrey C. Sica, and Cheryl Lynne Costa
Release No. 33-11220; IA-6368
See Also: Administrative Summary
File Number: 3-21548
Date: Respondents:
Lawrence K. White, CPA
Release No. 33-11219, 34-98065, AAER-4435
See Also: Administrative Summary
File Number: 3-21547
Date: Respondents:
Theorem Fund Services, LLC
Release No. 33-11218; IA-6367
File Number: 3-21546
401 to 500 of 17542 items