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. 4, 2023	Respondents: Christopher Herwig Release No. IA-6363 File Number: 3-21545
Date: Aug. 4, 2023	Respondents: Canoo Inc. Release No. 33-11217 File Number: 3-21544
Date: Aug. 3, 2023	Respondents: Kathryn Jane Meredith, d/b/a KM Advisory Services; John Paul Harnish, d/b/a KM Advisory Services Release No. 34-98049 See Also: Proposed Plan of Distribution File Number: 3-20881
Date: Aug. 2, 2023	Respondents: Securities America Advisors, Inc. Release No. 34-98041 File Number: 3-20381
Date: Aug. 2, 2023	Respondents: David Lethem Release No. 34-98039, AAER-4434 File Number: 3-21543
Date: Aug. 1, 2023	Respondents: Exchange Traded Managers Group LLC, et al. Release No. 34-98034, IA-6362, IC-34979 File Number: 3-21542
Date: Aug. 1, 2023	Respondents: Steven Keith Woodard, Sr. Release No. IA-6361 File Number: 3-21541
Date: Aug. 1, 2023	Respondents: John J. Woods Release No. 34-98031, IA-6360 File Number: 3-21540
Date: Aug. 1, 2023	Respondents: John R. Browne, CPA Release No. 34-98030, AAER-4433 See Also: Administrative Summary File Number: 3-21539
Date: July 31, 2023	Respondents: Moshe aka "Mark" Feuer, Scott A. Taylor Release No. IA-6359, IC-34978 See Also: Administrative Summary File Number: 3-21538
Date: July 31, 2023	Respondents: Murray A. Huberfeld Release No. IA-6358, IC-34977 See Also: Administrative Summary File Number: 3-21537
Date: July 31, 2023	Respondents: Kathryn Jane Meredith, d/b/a KM Advisory Services Release No. 34-98024 File Number: 3-20881
Date: July 26, 2023	Respondents: Jeffrey Ikahn Release No. IA-6355 File Number: 3-21536
Date: July 21, 2023	Respondents: Quantstamp, Inc. Release No. 33-11215 See Also: Administrative Summary File Number: 3-21535
Date: July 20, 2023	Respondents: Monroe Capital Management Advisors, LLC Release No. 34-97957 See Also: Administrative Summary File Number: 3-21533
Date: July 20, 2023	Respondents: Digital World Acquisition Corp. Release No. 33-11213 , 34-97958 File Number: 3-21534
Date: July 19, 2023	Respondents: Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson Release No. 34-97949 File Number: 3-13675
Date: July 18, 2023	Respondents: Allianz Global Investors U.S. LLC Release No. 34-97930 File Number: 3-20855
Date: July 18, 2023	Respondents: Kevin R. Harris, CPA Release No. 33-11212, AAER-4431, 34-97940 File Number: 3-21532
Date: July 18, 2023	Respondents: Fifth Third Securities, Inc. Release No. 34-97937, IA-6350 See Also: Administrative Summary File Number: 3-21531
Date: July 18, 2023	Respondents: Theodore R. Maloney, Esq. Release No. 34-97931 File Number: 3-15948
Date: July 17, 2023	Respondents: Nirdosh Jagota, Ph.D. Release No. 34-97915 See Also: Administrative Summary File Number: 3-21530
Date: July 17, 2023	Respondents: HCR Wealth Advisors Release No. 34-97921 See Also: Proposed Plan of Distribution File Number: 3-19494
Date: July 17, 2023	Respondents: Geluk Capital Management Ltd. and Douglas Gerald Fathers Release No. 34-97916 File Number: 3-20906
Date: July 14, 2023	Respondents: Flynn, Ronald Shane Release No. 34-97907 File Number: 3-21529
Date: July 14, 2023	Respondents: Cantor Fitzgerald & Co. Release No. 34-97906 File Number: 3-21528
Date: July 12, 2023	Respondents: Robert Allen Gravette Release No. 34-97886, IA-6345 File Number: 3-21527
Date: July 12, 2023	Respondents: RSE Markets, Inc. Release No. 34-97878 File Number: 3-21526
Date: July 11, 2023	Respondents: Ganesh H. Betanabhatla Release No. IA-6341 File Number: 3-21523
Date: July 11, 2023	Respondents: Bell, Vania Mae Release No. IA-6343 File Number: 3-21525
Date: July 11, 2023	Respondents: Barclays PLC and Barclays Bank PLC Release No. 34-97874 File Number: 3-21181
Date: July 11, 2023	Respondents: Merrill Lynch, et al. Release No. 34-97872 File Number: 3-21524
Date: July 7, 2023	Respondents: EZTD Inc. Release No. 34-97856 See Also: Distribution Plan File Number: 3-17673
Date: July 7, 2023	Respondents: Unikrn, Inc. Release No. 34-97855 File Number: 3-20003
Date: July 7, 2023	Respondents: Vereit, Inc. Release No. 34-97854 See Also: Distribution Plan File Number: 3-19831
Date: July 7, 2023	Respondents: William Glen Baker Release No. 34-97852 File Number: 3-21520
Date: July 7, 2023	Respondents: James Wayne Long Release No. 34-97858 File Number: 3-21521
Date: July 7, 2023	Respondents: Matthew William Wheeler Release No. 34-97859 File Number: 3-21522
Date: July 6, 2023	Respondents: Bryan Pantofel Release No. 34-97845 File Number: 3-21517
Date: July 6, 2023	Respondents: BHP Capital NY, Inc. Release No. 34-97847 File Number: 3-21519
Date: July 5, 2023	Respondents: Reed L. Benson, CPA Release No. 34-97835, AAER-4427 See Also: Administrative Summary File Number: 3-21513
Date: July 5, 2023	Respondents: Andrew B. Benson Release No. 34-97834 See Also: Administrative Summary File Number: 3-21512
Date: July 5, 2023	Respondents: Dwight H. Egan Release No. 33-11210, 34-97837, AAER-4429 See Also: Administrative Summary File Number: 3-21515
Date: July 5, 2023	Respondents: Co-Diagnostics, Inc. Release No. 33-11209, 34-97836, AAER-4428 See Also: Administrative Summary File Number: 3-21514
Date: July 3, 2023	Respondents: Future FinTech Group Inc., Release No. 33-11206, 34-97829, AAER-4425 See Also: Administrative Summary File Number: 3-21511
Date: July 3, 2023	Respondents: View, Inc. Release No. 33-11208, 34-97830
Date: June 30, 2023	Respondents: Robert L. Benecke d/b/a Benecke Economics Release No. 34-97828 See Also: Administrative Summary File Number: 3-21509
Date: June 30, 2023	Respondents: Damon R. Durante Release No. 34-97827 See Also: Administrative Summary File Number: 3-21508
Date: June 30, 2023	Respondents: Newbridge Global Ventures, Inc. Release No. 34-97819 File Number: 3-20981
Date: June 29, 2023	Respondents: Weatherford International plc, et al., Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Release No. 34-97818 File Number: 3-17582, 3-17628
Date: June 29, 2023	Respondents: Ashutosh Bhardwaj Release No. 34-97820 See Also: Administrative Summary File Number: 3-21504
Date: June 27, 2023	Respondents: Stable Road Acquisition Corp., et al. Release No. 34-97801 See Also: Proposed Plan of Distribution Comments Due: 30 days from date of this Notice Comments received are available: 3-20393 Submit Comments on: Notice of Proposed Plan of Distribution and Opportunity for comment File Number: 3-20393
Date: June 27, 2023	Respondents: Kathryn Jane Meredith, d/b/a KM Advisory Services Release No. 34-97802 File Number: 3-20881
Date: June 27, 2023	Respondents: Health Insurance Innovations, Inc., now named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 34-97811 File Number: 3-20932
Date: June 22, 2023	Respondents: J. P. Morgan Securities LLC Release No. 34-97787 File Number: 3-21502
Date: June 21, 2023	Respondents: BIGtoken, Inc. (f/k/a Force Protection Video Equipment Corp.) Release No. 34-97775 File Number: 3-21465
Date: June 21, 2023	Respondents: Jennifer Campbell Release No. IA-6333 File Number: 3-21501
Date: June 21, 2023	Respondents: Eagle Bancorp, Inc. Release No. 34-97774 File Number: 3-20963
Date: June 21, 2023	Respondents: Marcum LLP Release No. 34-97773, AAER-4423 File Number: 3-21500
Date: June 20, 2023	Respondents: Insight Venture Management, LLC Release No. IA-6332 File Number: 3-21499
Date: June 20, 2023	Respondents: Stanley Black & Decker, Inc. Release No. 34-97761, AAER-4422 File Number: 3-21497
Date: June 20, 2023	Respondents: Jeffery D. Ansell Release No. 34-97760, AAER-4421 File Number: 3-21498
Date: June 20, 2023	Respondents: Brian C. Jensen, CPA Release No. 34-97757, AAER-4420 File Number: 3-21496,
Date: June 20, 2023	Respondents: Richard St. Julien, Esq. Release No. 34-97756 File Number: 3-21495
Date: June 20, 2023	Respondents: Joshua W. Coleman Release No. 34-97755, IA-6331 File Number: 3-21494
Date: June 16, 2023	Respondents: Adam Belardino Release No. IA-6330 File Number: 3-21493
Date: June 16, 2023	Respondents: David Dickson and Stuart Andrew Spence Release No. 34-97740, AAER-4419 See Also: Administrative Summary File Number: 3-21491
Date: June 16, 2023	Respondents: Pacific Investment Management Company LLC Release No. IA-6329, IC-34943 File Number: 3-21490
Date: June 16, 2023	Respondents: Pacific Investment Management Company LLC Release No. IA-6328 File Number: 3-21489
Date: June 15, 2023	Respondents: Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA Release No. 34-97729 File Number: 3-17212
Date: June 12, 2023	Respondents: Caputo, Vincent J. Release No. 34-97697 File Number: 3-21488
Date: June 9, 2023	Respondents: DF Growth REIT II, LLC Release No. 33-11204 File Number: 3-20801
Date: June 9, 2023	Respondents: Boyle CPA, LLC; Robert Allan Boyle, CPA Release No. 34-97685, AAER-4418 See Also: Administrative Summary File Number: 3-21486
Date: June 8, 2023	Respondents: Diamond Wellness Holdings, Inc. Release No. 34-97676 File Number: 3-21376
Date: June 8, 2023	Respondents: Daniel V. Martinez, Esq. Release No. 33-11203, 34-97677 File Number: 3-21485
Date: June 8, 2023	Respondents: Willam Andrew Stack, Esq. Release No. 34-97670 File Number: 3-21484
Date: June 8, 2023	Respondents: Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC Release No. 34-97668 File Number: 3-20060
Date: June 7, 2023	Respondents: Ostertag, Damian Release No. 34-97660 File Number: 3-21087
Date: June 6, 2023	Respondents: Heckele, Mark W., Esq. Release No. 34-97655 File Number: 3-21015
Date: June 5, 2023	Respondents: Cantaloupe, Inc. (f/k/a USA Technologies, Inc.) Release No. 33-11202, 34-97651, AAER-4417 See Also: Administrative Summary File Number: 3-21483
Date: June 5, 2023	Respondents: Maeve M. Duska Release No. 33-11201, 34-97650, AAER-4416 File Number: 3-21482
Date: June 5, 2023	Respondents: Michael K. Lawlor Release No. 33-11200, 34-97649, AAER-4415 File Number: 3-21481
Date: June 5, 2023	Respondents: Kathryn Jane Meredith, d/b/a KM Advisory Services, John Paul Harnish, d/b/a KM Advisory Services Release No. 34-97646 File Number: 3-20881, 3-20882
Date: June 1, 2023	Respondents: Zeb Oro Explorations Inc. Release No. 34-97638 File Number: 3-21478
Date: June 1, 2023	Respondents: Wisdom Homes of America, Inc. Release No. 34-97637 File Number: 3-21477
Date: June 1, 2023	Respondents: Carl S. Schwartz, CPA Release No. IA-6320, AAER-4412 File Number: 3-21476
Date: June 1, 2023	Respondents: Carl S. Schwartz Release No. IA-6319 File Number: 3-21475
Date: June 1, 2023	Respondents: William D. King, CPA Release No. 34-97636 File Number: 3-19991
Date: June 1, 2023	Respondents: Barclays PLC and Barclays Bank PLC Release No. 34-97632 File Number: 3-21181
Date: May 31, 2023	Respondents: First Guaranty Bancshares, Inc. Release No. 34-97631 See Also: Administrative Summary File Number: 3-21474
Date: May 31, 2023	Respondents: Vereit, Inc. Release No. 34-97625 See Also: Proposed Plan of Distribution Comments Due: 30 days from date of this Notice Submit Comments on: Notice of Proposed Plan of Distribution and Opportunity for Comment File Number: 3-19831
Date: May 30, 2023	Respondents: RTW Investments, LP Release No. 34-97622, IA-6318 See Also: Administrative Summary File Number: 3-21473
Date: May 30, 2023	Respondents: Credex Corporation Release No. 34-97616 File Number: 3-21375
Date: May 26, 2023	Respondents: Lucille Farms Inc. Release No. 34-97611 File Number: 3-21472
Date: May 26, 2023	Respondents: Liquidation World, Inc Release No. 34-97610 File Number: 3-21471
Date: May 26, 2023	Respondents: Gartner, Inc. Release No. 34-97609, AAER-4411 See Also: Administrative Summary File Number: 3-21470
Date: May 26, 2023	Respondents: Orion Financial, LTD. Release No. 34-97608 File Number: 3-21469
Date: May 26, 2023	Respondents: New You, Inc. Release No. 34-97607 File Number: 3-21468
Date: May 25, 2023	Respondents: Cohen, Lee Release No. 34-97594 File Number: 3-21467
Date: May 25, 2023	Respondents: DongFang City Holding Group Company Limited Release No. 34-97593 File Number: 3-21466