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: May 25, 2023	Respondents: BIGtoken, Inc. (f/k/a Force Protection Video Equipment Corp.) Release No. 34-97592 File Number: 3-21465
Date: May 25, 2023	Respondents: RCMW Group, Inc. Release No. 34-97589 File Number: 3-21464
Date: May 25, 2023	Respondents: Plymouth Commercial Mortgage Fund Release No. 34-97588 File Number: 3-21463
Date: May 25, 2023	Respondents: Sunridge International, Inc. Release No. 34-97583 File Number: 3-21462
Date: May 25, 2023	Respondents: StHealth Capital Investment Corporation Release No. 34-97582 File Number: 3-21461
Date: May 25, 2023	Respondents: Umatrin Holding Limited Release No. 34-97576 File Number: 3-21460
Date: May 25, 2023	Respondents: Tapestry Pharmaceuticals, Inc. Release No. 34-97575 File Number: 3-21459
Date: May 25, 2023	Respondents: AMBG, Inc. Release No. 34-97571 File Number: 3-21458
Date: May 25, 2023	Respondents: Renavotio, Inc. Release No. 34-97570 File Number: 3-21457
Date: May 25, 2023	Respondents: RedHawk Holdings Corp. Release No. 34-97569 File Number: 3-21456
Date: May 25, 2023	Respondents: SMSA Crane Acquisition Corp. Release No. 34-97568 File Number: 3-21455
Date: May 25, 2023	Respondents: Russian Wireless Telephone Company, Inc. Release No. 34-97567 File Number: 3-21454
Date: May 25, 2023	Respondents: Gabbit Corp. Release No. 34-97566 File Number: 3-21453
Date: May 25, 2023	Respondents: E-Qure Corp. Release No. 34-97564 File Number: 3-21450
Date: May 25, 2023	Respondents: Phoenix Life Sciences International Limited Release No. 34-97563 File Number: 3-21449
Date: May 25, 2023	Respondents: Pacific Monument Acquisition Corp. Release No. 34-97562 File Number: 3-21448
Date: May 25, 2023	Respondents: Beverage Acquisition Corporation Release No. 34-97561 File Number: 3-21447
Date: May 25, 2023	Respondents: American Fiber Green Products, Inc. Release No. 34-97560 File Number: 3-21446
Date: May 25, 2023	Respondents: Alpha Network Alliance Ventures Inc. Release No. 34-97565 File Number: 3-21452
Date: May 24, 2023	Respondents: Sciens Investment Management, LLC and Sciens Diversified Managers, LLC Release No. IA-6315 See Also: Administrative Summary File Number: 3-21445
Date: May 24, 2023	Respondents: Ion Geophysical Corp. Release No. 34-97554 File Number: 3-21444
Date: May 24, 2023	Respondents: Indigenous Roots Corp. Release No. 34-97553 File Number: 3-21443
Date: May 24, 2023	Respondents: HuntMountain Resources Ltd. Release No. 34-97552 File Number: 3-21442
Date: May 24, 2023	Respondents: Green Capital Group, Inc. Release No. 34-97551 File Number: 3-21441
Date: May 24, 2023	Respondents: Laxai Pharma Ltd. Release No. 34-97550 File Number: 3-21440
Date: May 24, 2023	Respondents: Kushner Locke Co. Release No. 34-97549 File Number: 3-21439
Date: May 23, 2023	Respondents: Gaia, Inc. and Paul C. Tarell, Jr. Release No. 33-11196, 34-97548 See Also: Administrative Summary File Number: 3-21438
Date: May 22, 2023	Respondents: Shirazali F. Jumani Release No. 33-11195, 34-97543 File Number: 3-21437
Date: May 22, 2023	Respondents: Allianz Global Investors U.S. LLC Release No. 34-97540 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: Submit Comments on 3-20855 File Number: 3-20855
Date: May 22, 2023	Respondents: Thomas Carter Ronk Release No. IA-6314 File Number: 3-21436
Date: May 22, 2023	Respondents: Brian Raymond Callahan Release No. IA-6312 File Number: 3-21435
Date: May 18, 2023	Respondents: Marcus K. Moon Release No. 34-97523, IA-6311 File Number: 3-21434
Date: May 18, 2023	Respondents: Michael Ross Kane Release No. IA-6310 See Also: Administrative Summary File Number: 3-21433
Date: May 18, 2023	Respondents: Scott Eugene Bachman Release No. 34-97522 File Number: 3-20089
Date: May 17, 2023	Respondents: Eagle Bancorp, Inc. Release No. 34-97517 File Number: 3-20963
Date: May 16, 2023	Respondents: Abed Ahmad Release No. 34-97508 File Number: 3-21432
Date: May 16, 2023	Respondents: Alaa Ahmad Release No. 34-97507 File Number: 3-21431
Date: May 16, 2023	Respondents: Hemp Naturals, Inc. Release No. 33-11193 File Number: 3-21430
Date: May 16, 2023	Respondents: Green Stream Holdings, Inc. Release No. 33-11192 File Number: 3-21429
Date: May 16, 2023	Respondents: The Marquie Group, Inc. Release No. 33-11191 File Number: 3-21428
Date: May 16, 2023	Respondents: CW Petroleum Corp. Release No. 33-11190 File Number: 3-21427
Date: May 16, 2023	Respondents: Verde Bio Holdings, Inc. Release No. 33-11189 File Number: 3-21426
Date: May 16, 2023	Respondents: SFLMaven Corp. Release No. 33-11188 File Number: 3-21425
Date: May 16, 2023	Respondents: Principal Solar, Inc. Release No. 33-11187 File Number: 3-21424
Date: May 16, 2023	Respondents: Graystone Company Inc. Release No. 33-11186 File Number: 3-21423
Date: May 16, 2023	Respondents: LiveWire Ergogenics, Inc. Release No. 33-11185 File Number: 3-21422
Date: May 16, 2023	Respondents: DNA Brands, Inc. Release No. 33-11184 File Number: 3-21421
Date: May 15, 2023	Respondents: Ryan R. Riley Release No. IA-6307 File Number: 3-21419
Date: May 15, 2023	Respondents: Quanta, Inc Release No. 34-97503 File Number: 3-21420
Date: May 12, 2023	Respondents: Todd Dobberfuhl Release No. 34-97499 See Also: Administrative Summary File Number: 3-21418
Date: May 12, 2023	Respondents: Cosmin I. Panait Release No. 34-97498 (Corrected) File Number: 3-21417
Date: May 12, 2023	Respondents: Alexander J. Dillon Release No. 34-97497 (Corrected) File Number: 3-21416
Date: May 12, 2023	Respondents: Kenneth C. Meissner, James Doug Scott and Mark S. "Mike" Tomich Release No. 34-97496 File Number: 3-16175
Date: May 11, 2023	Respondents: Isaac H. Sutton Release No. 33-11183, 34-97495 File Number: 3-21415
Date: May 11, 2023	Respondents: Advantego Corporation Release No. 34-97492 File Number: 3-21414
Date: May 11, 2023	Respondents: Access Capital Strategies Community Investment Fund Inc/Ma Release No. 34-97491 File Number: 3-21413
Date: May 11, 2023	Respondents: Matthew Eckstein Release No. 34-97488 File Number: 3-21412
Date: May 11, 2023	Respondents: Koninklijke Philips N.V. Release No. 34-97479, AAER-4406 File Number: 3-21411
Date: May 11, 2023	Respondents: Scotia Capital (USA) Inc. Release No. 34-97477
Date: May 11, 2023	Respondents: HSBC Securities (USA) Inc. Release No. 34-97476
Date: May 11, 2023	Respondents: Astro Aerospace Ltd. Release No. 34-97475 File Number: 3-21388
Date: May 10, 2023	Respondents: MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA Release No. 34-97470 See Also: Distribution Plan File Number: 3-17956
Date: May 10, 2023	Respondents: The Boeing Company and Dennis A. Muilenburg Release No. 34-97469 File Number: 3-21140, 3-21141
Date: May 10, 2023	Respondents: EZTD Inc. Release No. 34-97468 See Also: Proposed Plan of Distribution Comments Due: 30 days from date of this Notice Submit Comments on: EZTD Inc. - Notice of Proposed Plan of Distribution and Opportunity to Comment File Number: 3-17673
Date: May 10, 2023	Respondents: Comscore, Inc. and Serge Matta Release No. 34-97467 File Number: 3-19499, 3-19500
Date: May 9, 2023	Respondents: Yao Lin Release No. 34-97463 File Number: 3-21221
Date: May 8, 2023	Respondents: Stuart Joel Greenberg Release No. IA-6305 File Number: 3-21407
Date: May 5, 2023	Respondents: Pinnacle Investments, LLC Release No. 34-97448, IA-6302 File Number: 3-21405
Date: May 5, 2023	Respondents: Joseph Masella Release No. IA-6303, IC-34908 File Number: 3-21406
Date: May 4, 2023	Respondents: Ronald Frank Stevenson Release No. 34-97433, IA-6301 File Number: 3-21404
Date: May 4, 2023	Respondents: Classic Asset Management, LLC and Douglas G. Schmitz Release No. 34-97427, IA-6300 File Number: 3-21403
Date: May 4, 2023	Respondents: Shlomo Mordechai Bistritzky Release No. IA-6299 File Number: 3-21401
Date: May 2, 2023	Respondents: Michael Sztrom and David Sztrom Release No. IA-6296 File Number: 3-21400
Date: April 28, 2023	Respondents: Pavel Ruiz Release No. 34-97407 File Number: 3-21399
Date: April 28, 2023	Respondents: Neil Bergquist; Up, Global SEZC; Coinme, Inc. Release No. 33-11179 See Also: Administrative Summary File Number: 3-21398
Date: April 27, 2023	Respondents: Comscore, Inc., Serge Matta Release No. 34-97389 File Number: 3-19499, 3-19500
Date: April 27, 2023	Respondents: Taberna Capital Management, LLC, Michael Fralin and Raphael Licht Release No. 34-97388 File Number: 3-16776
Date: April 26, 2023	Respondents: Frank's International N.V. Release No. 34-97381, AAER-4403 See Also: Administrative Summary File Number: 3-21397
Date: April 25, 2023	Respondents: QHY Group Release No. 34-97370 File Number: 3-21395
Date: April 25, 2023	Respondents: Novation Companies, Inc. Release No. 34-97369 File Number: 3-21394
Date: April 24, 2023	Respondents: Joshua David Nicholas Release No. IA-6291 File Number: 3-21393
Date: April 24, 2023	Respondents: Mountain High Acquisitions Corp. Release No. 34-97352 File Number: 3-21392
Date: April 24, 2023	Respondents: Medifocus Inc. Release No. 34-97351 File Number: 3-21391
Date: April 21, 2023	Respondents: Blox, Inc. Release No. 34-97350 File Number: 3-21389
Date: April 21, 2023	Respondents: Astro Aerospace Ltd. Release No. 34-97349 File Number: 3-21388
Date: April 21, 2023	Respondents: Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC Release No. 34-97345 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC - Notice of Proposed Plan of Distribution and Opportunity to Comment File Number: 3-20060
Date: April 21, 2023	Respondents: 3D Pioneer Systems, Inc. Release No. 34-97344 File Number: 3-21387
Date: April 21, 2023	Respondents: Yew Bio-Pharm Group, Inc. Release No. 34-97343 File Number: 3-21386
Date: April 20, 2023	Respondents: Well-being Holdings, Inc. Release No. 34-97340 File Number: 3-21379
Date: April 20, 2023	Respondents: Wasatch Pharmaceutical, Inc. Release No. 34-97339 File Number: 3-21378
Date: April 20, 2023	Respondents: Toga Limited Release No. 34-97338 File Number: 3-21385
Date: April 20, 2023	Respondents: Rito Group Corp. Release No. 34-97337 File Number: 3-21384
Date: April 20, 2023	Respondents: Madison Avenue Holdings, Inc. Release No. 34-97335 File Number: 3-21383
Date: April 20, 2023	Respondents: Kiwa Bio-Tech Products Group Corporation Release No. 34-97334 File Number: 3-21382
Date: April 20, 2023	Respondents: Northstar Electronics, Inc. Release No. 34-97333 File Number: 3-21381
Date: April 20, 2023	Respondents: Noble Vici Group, Inc. Release No. 34-97332 File Number: 3-21380
Date: April 20, 2023	Respondents: HAHA Generation Corp. Release No. 34-97331 File Number: 3-21377
Date: April 20, 2023	Respondents: Diamond Wellness Holdings, Inc. Release No. 34-97330 File Number: 3-21376
Date: April 19, 2023	Respondents: Credex Corporation Release No. 34-97329 File Number: 3-21375
Date: April 19, 2023	Respondents: Canna Corporation Release No. 34-97328 File Number: 3-21374