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: April 18, 2023	Respondents: Betterment LLC Release No. IA-6288 File Number: 3-21373
Date: April 17, 2023	Respondents: Martha Patricia Bustos, CPA Release No. 34-97317, AAER-4401 File Number: 3-21372
Date: April 14, 2023	Respondents: Ashish Dole Release No. IA-6286 File Number: 3-21371
Date: April 14, 2023	Respondents: Amin Majidi Release No. 34-97312, IA-6285 File Number: 3-21370
Date: April 14, 2023	Respondents: Corvex Management LP Release No. IA-6284 See Also: Administrative Summary File Number: 3-21369
Date: April 13, 2023	Respondents: Jerome Austin Release No. 34-97299 File Number: 3-21368
Date: April 13, 2023	Respondents: George A. Schmidt, Jr. Release No. 34-97298 File Number: 3-21367
Date: April 13, 2023	Respondents: Douglas F. Cmelik Release No. IA-6283 File Number: 3-21366
Date: April 12, 2023	Respondents: Timothy Allcott Release No. IA-6282 File Number: 3-21120
Date: April 12, 2023	Respondents: Michael K. Molen Release No. 34-97292, AAER-4400 File Number: 3-21365
Date: April 11, 2023	Respondents: Beam, Marcus Release No. IA-6279 File Number: 3-21364
Date: April 7, 2023	Respondents: William Eric Meek Release No. 34-97270, AAER-4398 File Number: 21363
Date: April 7, 2023	Respondents: Bobby Peavler Release No. 34-97269, AAER-4397 File Number: 3-21362
Date: April 6, 2023	Respondents: James Fitts, CPA, Release No. 34-97259, AAER-4396 File Number: 3-21361
Date: April 6, 2023	Respondents: Alexander Capital, L.P., Philip A. Noto II, Barry T. Eisenberg Release No. 34-97258 File Number: 3-18561, 3-18562, 3-18563
Date: April 4, 2023	Respondents: Darren L. Ofsink Release No. 34-97245 File Number: 3-21360
Date: April 4, 2023	Respondents: Joseph Kirkland Release No. 34-97244, IA-6273 File Number: 3-21359
Date: April 4, 2023	Respondents: Michael T. Morris Release No. 34-97243 File Number: 3-21357
Date: April 4, 2023	Respondents: Roberto Mejill-Tellado Release No. IA-6272 File Number: 3-21358
Date: April 3, 2023	Respondents: Merrill Lynch, Pierce, Fenner & Smith Incorporated Release No. 34-97242, IA-6271 File Number: 3-21356
Date: April 3, 2023	Respondents: Chatham Asset Management, LLC and Anthony Melchiorre Release No. IA-6270, IC-34875 File Number: 3-21355
Date: March 30, 2023	Respondents: Barclays PLC and Barclays Bank PLC Release No. 34-97221 File Number: 3-21181
Date: March 29, 2023	Respondents: Spicer Jeffries LLP and Sean P. Tafaro Release No. 34-97216, AAER-4394 File Number: 3-21353
Date: March 29, 2023	Respondents: Justin A. Greenblum Release No. 34-97219
Date: March 28, 2023	Respondents: Mario E. Rivero Release No. 34-97213, IA-6266 File Number: 3-21352
Date: March 27, 2023	Respondents: Dicken, Shawn K. Release No. 34-97203 File Number: 3-18831
Date: March 27, 2023	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 34-97208 File Number: 3-20781
Date: March 23, 2023	Respondents: Momentus, Inc., et al. Release No. 34-97187
Date: March 22, 2023	Respondents: Shaffer Chimere Smith Release No. 33-11170
Date: March 22, 2023	Respondents: Jake Joseph Paul Release No. 33-11171
Date: March 22, 2023	Respondents: Aliaune Damala Badara Akon Thiam Release No. 33-11172
Date: March 22, 2023	Respondents: Lindsay Dee Lohan Release No. 33-11173
Date: March 22, 2023	Respondents: Michele Anne Mason Release No. 33-11174
Date: March 22, 2023	Respondents: Miles Parks McCollum Release No. 33-11175
Date: March 21, 2023	Respondents: Richard Keith Robertson, IFP Advisors, LLC Release No. 34-97175 File Number: 3-20954, 3-20955
Date: March 20, 2023	Respondents: Parker, Bernard M. Release No. 34-97166, IA-6265 File Number: 3-21345
Date: March 20, 2023	Respondents: BNY Mellon Securities LLC and Mark Shaw Release No. 34-97172 File Number: 3-14191, 3-14192
Date: March 17, 2023	Respondents: Cucinella, John Release No. 34-97155 File Number: 3-21344
Date: March 16, 2023	Respondents: Sica Wealth Management, LLC and Jeffrey C. Sica Release No. 34-97152
Date: March 16, 2023	Respondents: deVere USA, Inc. Release No. 34-97153
Date: March 16, 2023	Respondents: Almost Never Films Inc. Release No. 34-97154 File Number: 3-21343
Date: March 14, 2023	Respondents: DXC Technology Company Release No. 33-11166, 34-97140, AAER-4391
Date: March 13, 2023	Respondents: E. Magnus Oppenheim & Co. Inc. Release No. 34-97114, IA-6259 See Also: Administrative Summary File Number: 3-21340
Date: March 13, 2023	Respondents: Steven Xigoros Release No. IA-6260 File Number: 3-21341
Date: March 13, 2023	Respondents: Bandimere, David F. Young, John O. Release No. 34-97122 File Number: 3-15124
Date: March 13, 2023	Respondents: Sino Agro Food, Inc. Release No. 34-97128 File Number: 3-21096
Date: March 9, 2023	Respondents: Ralph Bartel Release No. 34-97084 See Also: Administrative Summary File Number: 3-21337
Date: March 9, 2023	Respondents: Jason P. Wootten Release No. 34-97096 File Number: 3-21338
Date: March 9, 2023	Respondents: Blackbaud, Inc. Release No. 33-11165, 34-97098
Date: March 8, 2023	Respondents: Balter, Laurence I. d/b/a Oracle Investment Research Release No. 34-97083 File Number: 3-17614
Date: March 7, 2023	Respondents: KeyBanc Capital Markets Inc. Release No. 34-97064 See Also: Administrative Summary File Number: 3-21336
Date: March 6, 2023	Respondents: Flutter Entertainment and plc as successor-in-interest to The Stars Group, Inc. (Corrected) Release No. 34-97044, AAER-4384 See Also: Administrative Summary File Number: 3-21330
Date: March 6, 2023	Respondents: Guzman, Gustavo A. Release No. IA-6255 File Number: 3-21333
Date: March 6, 2023	Respondents: James R. Thompson, Esq. Release No. 34-97045
Date: March 6, 2023	Respondents: Rio Tinto plc Release No. 34-97049, AAER-4386
Date: March 6, 2023	Respondents: Barry D. Loveless, CPA Release No. 34-97050, AAER-4385
Date: March 3, 2023	Respondents: Joshua Simmons Release No. 34-97030
Date: March 3, 2023	Respondents: Daniel Valentino Release No. 34-97031
Date: March 3, 2023	Respondents: Robert Daniel Louis Release No. 34-97032
Date: March 3, 2023	Respondents: Dave Nicolas Release No. 34-97033
Date: March 3, 2023	Respondents: Daniel J. Mackle, Sr. and Silver Edge Financial LLC Release No. 34-97034, IA-6254
Date: March 3, 2023	Respondents: Equity Acquisition Company Ltd. and Carsten Klein Release No. 34-97035
Date: March 3, 2023	Respondents: Scott Esposito Release No. 34-97036
Date: March 3, 2023	Respondents: Richard Konopka Release No. 34-97037
Date: March 3, 2023	Respondents: Todd J. Prince Release No. 34-97038 File Number: 3-21329
Date: March 2, 2023	Respondents: William A. Furman Release No. 33-11161, 34-97016
Date: March 2, 2023	Respondents: The Greenbrier Companies, Inc. Release No. 33-11162, 34-97017
Date: March 2, 2023	Respondents: Cambria Capital, LLC Release No. 34-97020, IA-6253 See Also: Administrative Summary
Date: March 2, 2023	Respondents: Chembio Diagnostics, Inc. Release No. 33-11163 See Also: Administrative Summary File Number: 3-21320
Date: March 1, 2023	Respondents: Surgalign Holdings, Inc. and Robert P. Jordheim Release No. 34-96997 File Number: 3-20945
Date: March 1, 2023	Respondents: Nikola Corporation Release No. 34-96998 File Number: 3-20687
Date: March 1, 2023	Respondents: Brian C. Doherty Release No. 34-96999 File Number: 3-21315
Date: March 1, 2023	Respondents: Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel Release No. 34-97000 File Number: 3-19266
Date: March 1, 2023	Respondents: Mark L. Hopkins Release No. 34-97003 File Number: 3-21316
Date: March 1, 2023	Respondents: Unikrn, Inc. Release No. 34-97008 File Number: 3-20003
Date: Feb. 28, 2023	Respondents: Markowitz, Alan J., CPA Release No. 34-96995, AAER-4380 File Number: 3-21314
Date: Feb. 28, 2023	Respondents: Kahn Brothers Advisors, LLC and Thomas Kahn Release No. 34-96996 File Number: 3-20880
Date: Feb. 27, 2023	Respondents: Shawn E. Good Release No. 34-96988, IA-6249
Date: Feb. 27, 2023	Respondents: Foresight Wealth Management, LLC and Adam E. Nugent Release No. 33-11160, 34-96989, IA-6250, IC-34843 See Also: Administrative Summary File Number: 3-21312
Date: Feb. 27, 2023	Respondents: Credit Suisse Release No. 34-96991 File Number: 3-15098
Date: Feb. 27, 2023	Respondents: Credit Suisse Release No. 34-96992 File Number: 3-15098
Date: Feb. 27, 2023	Respondents: Huntleigh Advisors, Inc., Datatex Investment Services, Inc. Release No. IA-6251 See Also: Administrative Summary File Number: 3-21313
Date: Feb. 24, 2023	Respondents: Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough and Derek Acree Release No. 34-96977 File Number: 3-20453
Date: Feb. 24, 2023	Respondents: S&P Dow Jones Indices LLC Release No. 34-96978 File Number: 3-20310
Date: Feb. 24, 2023	Respondents: Stable Road Acquisition Corp., et al. Release No. 34-96981 File Number: 3-20393
Date: Feb. 24, 2023	Respondents: ShipChain, Inc. Release No. 34-96982 File Number: 3-20185
Date: Feb. 22, 2023	Respondents: African Gold Acquisition Corp. Release No. 34-96960, AAER-4377
Date: Feb. 22, 2023	Respondents: Alan A. Tucker Release No. 34-96961, AAER-4378 File Number: 3-21310
Date: Feb. 22, 2023	Respondents: UBS Financial Services Inc. of Puerto Rico and Ramiro L. Colon, III Release No. 34-96964
Date: Feb. 21, 2023	Respondents: Ensign Peak Advisors, Inc. and the Church of Jesus Christ of Latter-Day Saints Release No. 34-96951
Date: Feb. 21, 2023	Respondents: Candlestick Capital Management LP Release No. 34-96952
Date: Feb. 21, 2023	Respondents: HITE Hedge Asset Management LLC Release No. 34-96953 File Number: 3-21308
Date: Feb. 17, 2023	Respondents: Paul Anthony Pierce Release No. 33-11157
Date: Feb. 16, 2023	Respondents: The Options Clearing Corporation Release No. 34-96945
Date: Feb. 15, 2023	Respondents: Reifler, Bradley C. Release No. IA-6242 File Number: 3-21303
Date: Feb. 14, 2023	Respondents: Barrera, Emilio, Jr., (a/k/a Mike Barrera) Release No. 34-96913 File Number: 3-21302
Date: Feb. 14, 2023	Respondents: Roadrunner Transportation Systems, Inc. Release No. 33-11156, 34-96909, AAER-4375 See Also: Administrative Summary
Date: Feb. 13, 2023	Respondents: Craig L. Josephberg Release No. 34-96900
Date: Feb. 13, 2023	Respondents: Baxter International Inc. Release No. 34-96898 See Also: Proposed Distribution Plan Comments received are available: 3-20781
Date: Feb. 13, 2023	Respondents: Jason Sugarman Release No. 34-96901, IA-6237