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: Feb. 8, 2023	Respondents: Olga Kuprina Release No. 33-11154 File Number: 3-21297
Date: Feb. 8, 2023	Respondents: Wang, Jia Roger Qian, CPA and Wang Certified Public Accountant, P.C. Release No. 34-96852, AAER-4374 See Also: Administrative Summary File Number: 3-21298
Date: Feb. 7, 2023	Respondents: Gentex Corporation and Kevin C. Nash Release No. 34-96819, AAER-4373 See Also: Administrative Summary File Number: 3-21296
Date: Feb. 6, 2023	Respondents: Centaurus Financial, Inc., Ricky A. Mantei and Atul Makharia Release No. 33-11153, 34-96805, IA-6228 See Also: Administrative Summary
Date: Feb. 6, 2023	Respondents: Mitra, Satyajeet "Sunny" Release No. 34-96804 File Number: 3-21252
Date: Feb. 6, 2023	Respondents: Scott T. Wolfrum Release No. 34-96813 File Number: 3-20252
Date: Feb. 6, 2023	Respondents: Assenza, Michael J. a/k/a "Michael Grimaldi" Release No. 34-96815 File Number: 3-21233
Date: Feb. 3, 2023	Respondents: Activision Blizzard, Inc. Release No. 34-96796
Date: Feb. 2, 2023	Respondents: Nathaniel Clay Release No. 34-96795 File Number: 3-21293
Date: Feb. 1, 2023	Respondents: Ameritrust Corporation Release No. 34-96789 File Number: 3-21292
Date: Jan. 31, 2023	Respondents: Citigroup Global Markets, Inc., Morgan Stanley Smith Barney LLC Release No. 34-96777 File Number: 3-17808, 3-17809
Date: Jan. 31, 2023	Respondents: Baxter International Inc., Jeffrey Schaible, Scott Bohaboy Release No. 34-96778 File Number: 3-20781, 3-20782
Date: Jan. 31, 2023	Respondents: Poloniex, LLC Release No. 34-96779 See Also: Distribution Plan File Number: 3-20455
Date: Jan. 30, 2023	Respondents: Steven E. Larson Release No. 34-96766, IA-6225
Date: Jan. 30, 2023	Respondents: Randy Herschaft Release No. 34-96776 File Number: 3-21290
Date: Jan. 27, 2023	Respondents: Donna Matuizek Release No. 34-96759 See Also: Administrative Summary
Date: Jan. 27, 2023	Respondents: Abraham "Avi " Mirman Release No. 34-96764 File Number: 3-21288
Date: Jan. 27, 2023	Respondents: Generex Biotechnology Corporation Release No. 34-96760 File Number: 3-21148
Date: Jan. 26, 2023	Respondents: Ross, Sinclaire & Associates LLC and Murray Sinclaire, Jr. Release No. 34-96754
Date: Jan. 26, 2023	Respondents: Advanced Emissions Solutions, Inc. Release No. 34-96757 File Number: 3-17892
Date: Jan. 26, 2023	Respondents: XSport Global, Inc. Release No. 34-96756 File Number: 3-20349
Date: Jan. 23, 2023	Respondents: Bloomberg Finance L.P. Release No. 33-11150
Date: Jan. 23, 2023	Respondents: David S.Y. Chang Release No. 34-96726, IA-6223 File Number: 3-21285
Date: Jan. 23, 2023	Respondents: Stable Road Acquisition Corp., et al. Release No. 34-96733 File Number: 3-20393
Date: Jan. 23, 2023	Respondents: Nikola Corporation Release No. 34-96736 File Number: 3-20687
Date: Jan. 23, 2023	Respondents: Orthofix International N.V.; Jeffrey Hammel, CPA; Brian Mccollum; Kenneth Mack and Bryan Mcmillan, Orthofix International N.V.; Jeffrey Hammel, CPA; Brian McCollum; Kenneth Mack and Bryan McMillan Release No. 34-96737 File Number: 3-17791, 3-17792, 3-17793, 3-17794
Date: Jan. 23, 2023	Respondents: Securities America Advisors, Inc. Release No. 34-96738 See Also: Amended Distribution Plan File Number: 3-20381
Date: Jan. 19, 2023	Respondents: Nexo Capital Inc. Release No. 33-11149
Date: Jan. 19, 2023	Respondents: Water Now, Inc. Release No. 34-96706 File Number: 3-21127
Date: Jan. 19, 2023	Respondents: MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA Release No. 34-96709 File Number: 3-17956
Date: Jan. 19, 2023	Respondents: Davis, DaRayl D. Release No. 34-96712, IA-6220 File Number: 3-21280
Date: Jan. 19, 2023	Respondents: Computer Sciences Corporation, et al. Release No. 34-96718 File Number: 3-16575
Date: Jan. 19, 2023	Respondents: Moors & Cabot, Inc. Release No. 34-96719, IA-6222 See Also: Administrative Summary
Date: Jan. 19, 2023	Respondents: James Stuart Adams Release No. 34-96721 File Number: 3-21283
Date: Jan. 18, 2023	Respondents: Weatherford International plc, et al., Ernst & Young LLP, Craig R. Fronckiewicz, CPA, and Sarah E. Adams, CPA Release No. 34-96687 File Number: 3-17582, 3-17628
Date: Jan. 18, 2023	Respondents: Frontier Wealth Management, LLC and Shawn Sokolosky Release No. 34-96692 File Number: 3-20526
Date: Jan. 17, 2023	Respondents: Bell, Matthew A. Release No. 34-96670
Date: Jan. 17, 2023	Respondents: Martin, Thomas Garnette, Jr. Release No. IA-6217 File Number: 3-21278, 3-21278
Date: Jan. 17, 2023	Respondents: National Trust, et al. Release No. 33-11146, 34-96668 See Also: Administrative Summary File Number: 3-21277
Date: Jan. 13, 2023	Respondents: Kurt W. Streams Release No. 34-96659, AAER-4370 File Number: 3-21275
Date: Jan. 13, 2023	Respondents: Jonathan Tetreault Release No. 34-96661 File Number: 3-21276
Date: Jan. 13, 2023	Respondents: Frontier Wealth Management, LLC and Shawn Sokolosky Release No. 34-96663 File Number: 3-20526
Date: Jan. 13, 2023	Respondents: Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough and Derek Acree Release No. 34-96664 File Number: 3-20453
Date: Jan. 13, 2023	Respondents: Unikrn, Inc. Release No. 34-96665 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: 3-20003 Submit Comments on: 3-20003 File Number: 3-20003
Date: Jan. 12, 2023	Respondents: Raynor, Michael Roy Release No. 34-96643 File Number: 3-21161
Date: Jan. 12, 2023	Respondents: Paul Hess Release No. 34-96650, IA-6216 File Number: 3-21271
Date: Jan. 12, 2023	Respondents: Yarden Moshe Mony Krampf Release No. 34-96651 File Number: 3-21272
Date: Jan. 12, 2023	Respondents: Cooper J. Morgenthau Release No. 34-96652, AAER-4369
Date: Jan. 12, 2023	Respondents: United Bancshares Inc./Pa Release No. 34-96653
Date: Jan. 12, 2023	Respondents: The Boeing Company Release No. 34-96655 File Number: 3-21140
Date: Jan. 10, 2023	Respondents: Martin, Douglas Release No. 34-96620 File Number: 3-21010
Date: Jan. 10, 2023	Respondents: Keener, Justin W. Release No. 34-96627 File Number: 3-21270
Date: Jan. 9, 2023	Respondents: Stephen J. Easterbrook and McDonald's Corporation Release No. 33-11144, 34-96610
Date: Jan. 5, 2023	Respondents: Randy Robertson Release No. IA-6211, IC-34795" File Number: 3-21268
Date: Dec. 30, 2022	Respondents: James Albert Pettit Release No. 34-96595, IA-6209 File Number: 3-21265
Date: Dec. 30, 2022	Respondents: Gramins, Michael A. Release No. 34-96596, IA-96596 File Number: 3-21266
Date: Dec. 27, 2022	Respondents: Afame, Onwuka Release No. 34-96584 See Also: Administrative Summary File Number: 3-21263
Date: Dec. 27, 2022	Respondents: The Peter Joseph Polinski Trust Release No. 34-96585 See Also: Administrative Summary File Number: 3-21264
Date: Dec. 23, 2022	Respondents: The Kraft Heinz Co. and Eduardo Pelleissone Release No. 34-96578 See Also: Distribution Plan File Number: 3-20523
Date: Dec. 23, 2022	Respondents: Roger Knox Release No. 34-96579
Date: Dec. 22, 2022	Respondents: Mattessich, Adam Release No. 34-96576 File Number: 3-21261
Date: Dec. 22, 2022	Respondents: View Systems, Inc. Release No. 34-96573 File Number: 3-21131
Date: Dec. 21, 2022	Respondents: PNC Capital Markets LLC Release No. 34-96558 See Also: Administrative Summary File Number: 3-21259
Date: Dec. 21, 2022	Respondents: Eliseo Acosta Release No. 34-96560 File Number: 3-21260
Date: Dec. 20, 2022	Respondents: Marques, John Release No. 34-96540 File Number: 3-21257
Date: Dec. 20, 2022	Respondents: ShipChain, Inc. Release No. 34-96547
Date: Dec. 20, 2022	Respondents: Frank S. Dickerson Release No. 34-96549 File Number: 3-21258
Date: Dec. 20, 2022	Respondents: Wendy Elizabeth Sill Trust Release No. 34-96552 File Number: 3-20918
Date: Dec. 19, 2022	Respondents: John P. Mendes Release No. 34-96526, IA-6204 File Number: 3-21254
Date: Dec. 19, 2022	Respondents: Honeywell International Inc. (Corrected) Release No. 34-96529, AAER-4368 File Number: 3-21255
Date: Dec. 19, 2022	Respondents: Exela Technologies, Inc. James Reynolds Release No. 34-96535 See Also: Administrative Summary File Number: 3-21256
Date: Dec. 15, 2022	Respondents: Paragon Coin, Inc. Release No. 34-96512 File Number: 3-18897
Date: Dec. 7, 2022	Respondents: Mitra, Satyajeet "Sunny" Release No. 34-96465 File Number: 3-21252
Date: Dec. 6, 2022	Respondents: Qornerstone Inc. Release No. 34-96456 File Number: 3-20988
Date: Dec. 6, 2022	Respondents: Vincent Issier Release No. 34-96457 See Also: Administrative Summary File Number: 3-21251
Date: Dec. 5, 2022	Respondents: Two Point Capital Management, Inc., and John B. McGowan Release No. IA-6199 File Number: 3-21249
Date: Dec. 5, 2022	Respondents: PFP Entrust Corp., et al. Release No. 33-11137 See Also: Administrative Summary File Number: 3-21250
Date: Dec. 3, 2022	Respondents: ABB Ltd. Release No. 34-96444
Date: Dec. 1, 2022	Respondents: UBS Financial Services Inc. of Puerto Rico Release No. 34-96419 File Number: 3-14863
Date: Dec. 1, 2022	Respondents: BitClave PTE, Ltd. Release No. 34-96423 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: File No.: 3-19816 File Number: 3-19816
Date: Dec. 1, 2022	Respondents: The Boeing Company Release No. 34-96425 File Number: 3-21140
Date: Dec. 1, 2022	Respondents: Paragon Coin, Inc. Release No. 34-96428 See Also: Distribution Plan File Number: 3-18897
Date: Dec. 1, 2022	Respondents: Poloniex, LLC Release No. 34-96429 See Also: Proposed Plan of Distribution
Date: Dec. 1, 2022	Respondents: Kahn Brothers Advisors, LLC and Thomas Kahn Release No. 34-96434
Date: Dec. 1, 2022	Respondents: Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc. and Gavin D. Southwell Release No. 34-96435
Date: Dec. 1, 2022	Respondents: General Electric Company Release No. 34-96436
Date: Dec. 1, 2022	Respondents: Mancera, et al. Release No. 34-96437
Date: Dec. 1, 2022	Respondents: Securities America Advisors, Inc. Release No. 34-96438
Date: Nov. 28, 2022	Respondents: James K. Couture Release No. 34-96392, IA-6190 File Number: 3-21247
Date: Nov. 22, 2022	Respondents: Goldman Sachs Asset Management, L.P. Release No. IA-6189 File Number: 3-21245
Date: Nov. 22, 2022	Respondents: Securities America Advisors, Inc. Release No. 34-96379 See Also: Amended Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-20381/3-20381.htm Submit Comments on: 3-20381 File Number: 3-20381
Date: Nov. 21, 2022	Respondents: Legal & General Investment Management America, Inc. Release No. IA-6188 See Also: Administrative Summary File Number: 3-21244
Date: Nov. 18, 2022	Respondents: American CryptoFed DAO LLC Release No. 33-11134 File Number: 3-21243
Date: Nov. 18, 2022	Respondents: Daniel Moser Release No. 34-96349, AAER-4367
Date: Nov. 17, 2022	Respondents: Tang, Jason Jianxun, CPA Release No. 34-96347, AAER-4366 File Number: 3-21241
Date: Nov. 17, 2022	Respondents: Centaurus Diamond Technologies, Inc. Release No. 34-96344 File Number: 3-21061
Date: Nov. 17, 2022	Respondents: The American Energy Group, Ltd. Release No. 34-96343 File Number: 3-20995
Date: Nov. 17, 2022	Respondents: Weatherford International Plc, et al. Release No. 34-96340 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-17582/3-17582.htm
Date: Nov. 14, 2022	Respondents: S&P Global Ratings Release No. 34-96308 File Number: 3-21240
Date: Nov. 14, 2022	Respondents: Cozad Asset Management, Inc. Release No. 34-96309 File Number: 3-19752