二八杠技术

Administrative Proceedings

二八杠技术the list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings. the list is arranged by notice or order date.

The following link allows you to view a compilation of significant pleadings, orders and decisions for a particular administrative proceeding. These documents are arranged by file number or case name: Administrative Proceedings - Pleadings, Orders, and Decisions

First Quarter

Additional Archives

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Release No. Date Respondents

First Quarter

34-88377 Mar. 12, 2020 David G. Dreslin, CPA
Other Release No.: AAER-4119
IA-5462 Mar. 12, 2020 Motty Mizrahi
IA-5461 Mar. 12, 2020 Naya Ventures, LLC, Dayakar Puskoor and Prabhakar Reddy
34-88371 Mar. 12, 2020 BMA Securities, LLC
34-88353 Mar. 10, 2020 Wells Fargo & Company
34-88347 Mar. 10, 2020 Bruce C. Worthington
Other Release No.: IA-5460
34-88344 Mar. 9, 2020 Dennis M. Farrah
34-88338 Mar. 5, 2020 Attis Industries, Inc.
IA-5458 Mar. 4, 2020 Eric D. Lyons
34-88316 Mar. 4, 2020 E. Herbert Hafen
Other Release No.: IA-5456
IA-5457 Mar. 4, 2020 Motty Mizrahi
34-88314 Mar. 3, 2020 Daniel B. Vazquez, Sr.
Other Release No.: IA-5455
34-88305 Feb. 28, 2020 Yaniv Avnon, Ran Armon and G Six Trading Y.R Ltd.
33-10761 Feb. 28, 2020 Shawn Severson
See also: Administrative Summary
34-88303 Feb. 28, 2020 Cardinal Health, Inc.
Other Release No.: AAER-4118
34-88295 Feb. 27, 2020 Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC
Other Release No.: IA-5451
IA-5453 Feb. 27, 2020 Sica Wealth Management, LLC and Jeffrey C. Sica
See also: Administrative Summary
IA-5452 Feb. 27, 2020 Fortress Investment Management, LLC, William M. Malloy, III
Other Release No.: IC-33807
See also: Administrative Summary
IA-5450 Feb. 27, 2020 Steven E. Fishman
Other Release No.: IC-33806
33-10760 Feb. 27, 2020 Steven Seagal
34-88290 Feb. 26, 2020 Brett Pittsenbargar
34-88289 Feb. 26, 2020 Axiom Corp., et al.
34-88287 Feb. 26, 2020 RSM US LLP (f/k/a/ Mcgladrey LLP)
Other Release No.: AAER-4117
See also: Administrative Summary
34-88280 Feb. 25, 2020 Thomas J. Craft, Jr.
34-88274 Feb. 24, 2020 Charles F. Kerwin
See also: Administrative Summary
34-88270 Feb. 24, 2020 Faiyaz Dean
IA-5448 Feb. 24, 2020 Lone Star Value Management LLC and Jeffrey Eberwein
34-88258 Feb. 21, 2020 Richard Jeffrey Rubin
34-88257 Feb. 21, 2020 Wells Fargo & Company
See also: Waiver Order
34-88256 Feb. 21, 2020 Marcus Boggs
Other Release No.: IA-5447
34-88249 Feb. 20, 2020 Fieldstone Financial Management Group, LLC and Kristofor R. Behn
See also: Plan of Distribution
33-10756 Feb. 19, 2020 Diageo plc
Other Release No.: 34-88234
33-10755 Feb. 19, 2020 Enigma MPC
34-88223 Feb. 14, 2020 National Stock Exchange and David Colker
34-88205 Feb. 13, 2020 Marc A. Celello, Esq.
34-88202 Feb. 13, 2020 BPU Investment Management, Inc.
Other Release No.: IA-5444
See also: Administrative Summary
34-88192 Feb. 13, 2020 Martin J. Kinchloe (corrected)
34-88155 Feb. 7, 2020 Randall Goulding, Esq.
34-88150 Feb. 7, 2020 Thomas Troy Brooks
34-88153 Feb. 7, 2020 Joseph A. Meyer, Jr.
Other Release No.: IA-5443
34-88145 Feb. 7, 2020 Leonardo Cornide and Jorge Falcon
34-88144 Feb. 7, 2020 Leonardo Cornide and Jorge Falcon
34-88143 Feb. 7, 2020 Wayne Scott Simpson
34-88140 Feb. 6, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA
Other Release No.: AAER-4116
See also: Administrative Summary
IA-5442 Feb. 6, 2020 Jay Costa Kelter
34-88139 Feb. 6, 2020 ABN AMRO Clearing Chicago LLC
34-88123 Feb. 5, 2020 David Alan Wolfson
34-88121 Feb. 5, 2020 Glenn Joseph Story
34-88119 Feb. 5, 2020 Gordon Caplan, Esq.
IA-5441 Feb. 4, 2020 Cannell Capital, LLC
See also: Administrative Summary
34-88117 Feb. 4, 2020 Jason David St. Amour
34-88116 Feb. 4, 2020 Gregory Lamont Drake
34-88114 Feb. 3, 2020 Edward E. Matthes
Other Release No.: IA-5440
IA-5439 Jan. 31, 2020 Barton W. Stuck
34-88104 Jan. 30, 2020 Daniel Markel
34-88073 Jan. 29, 2020 Jeffrey L. Wendel
34-88072 Jan. 29, 2020 Jeffrey Goldman
34-88071 Jan. 29, 2020 Charles N. Nilosek
34-88070 Jan. 29, 2020 Paramount Financial Services, Inc. d/b/a Live Abundant
34-88063 Jan. 28, 2020 Donald Anthony Mackenzie
34-88062 Jan. 28, 2020 Gregory A. Koch
34-88061 Jan. 28, 2020 Richard Fritts
34-88059 Jan. 28, 2020 Erik Rhodes
34-88057 Jan. 28, 2020 Gary R. Smith
34-88048 Jan. 27, 2020 Steven M. Des Champs, CPA
IA-5436 Jan. 27, 2020 Catalyst Capital Advisors, LLC and Jerry Szilagyi
34-88043 Jan. 27, 2020 Robert S. "Lute" Davis, Jr.
34-88042 Jan. 27, 2020 Aaron R. Andrew
34-88041 Jan. 27, 2020 Gregory W. Anderson
34-88035 Jan. 24, 2020 Jay Zola Scoratow
34-88034 Jan. 24, 2020 Scott Charles Messier
IA-5366A Jan. 24, 2020 Leonardo Cornide and Jorge Falcon
34-88024 Jan. 23, 2020 Medigreen Holdings Corporation (a/k/a Rapid Fire Marketing, Inc.)
33-10748 Jan. 23, 2020 Benjamin L. Bunker, Esq.
Other Release No.: 34-88018
See also: Administrative Summary
34-88005 Jan. 17, 2020 Signator Investors, Inc. and Gregory J. Mitchell; Cory D. Williams
34-87999 Jan. 16, 2020 Soupman, Inc. and Trailblazer Resources, Inc.
34-87996 Jan. 16, 2020 Medical Innovation Holdings, Inc.
33-10745 Jan. 16, 2020 Chad Starkey
34-87983 Jan. 15, 2020 Great Basin Scientific, Inc.
34-87979 Jan. 15, 2020 Genoil Inc. and SAMEX Mining Corp.
34-87975 Jan. 15, 2020 Brett Hamburger
34-87974 Jan. 15, 2020 Jonathan Morrone
34-87973 Jan. 15, 2020 Anthony Orth
34-87972 Jan. 15, 2020 Paul Jurberg
34-87970 Jan. 15, 2020 Jeffrey Wada, CPA
Other Release No.: AAER-4113
34-87969 Jan. 15, 2020 David Middendorf, CPA
Other Release No.: AAER-4112
34-87968 Jan. 15, 2020 Gregory L. Kelly, Esq.
34-87967 Jan. 14, 2020 Lester W. Burroughs
Other Release No.: IA-5432
34-87966 Jan. 14, 2020 MediaWorx, Inc. and Perrin Partners, Inc.
34-87965 Jan. 14, 2020 Sea Breeze Power Corp. et al.
34-87961 Jan. 14, 2020 Mongolia Holdings, Inc. and MyGo Games Holding Co.
34-87954 Jan. 13, 2020 Piedmont Mining Company, Inc. and Rainbow Coral Corp.
34-87949 Jan. 13, 2020 GroGenesis, Inc. and Golden Gate Partners, Inc.
34-87947 Jan. 13, 2020 Primera Foods Corporation, Rubicon Corp. a/k/a Osprey Holding, Inc. and Super 8 Motels Texas Ltd.
34-87945 Jan. 13, 2020 Conversion Services International, Inc. and Chester County Bancshares, Inc.
34-87940 Jan. 10, 2020 Toshoan Holdings, Inc. and Toa Optical Tech, Inc.
34-87939 Jan. 10, 2020 Howard J. Allen III
34-87938 Jan. 10, 2020 Trimerica Energy Corporation f/k/a Treaty Energy Corporation
33-10742 Jan. 10, 2020 John James Sheehan, Jr.
34-87937 Jan. 10, 2020 Kerri L. Wasserman
34-87936 Jan. 10, 2020 United City Corp. and Worldwide Internet Marketing, Inc.
34-87934 Jan. 10, 2020 Michael Mindlin
Other Release Nos.: IA-5431, IC-33744
See also: Administrative Summary
34-87933 Jan. 10, 2020 Rick D. Mullins
34-87931 Jan. 9, 2020 Debt Resolve, Inc. and Elite Group, Inc.
34-87925 Jan. 9, 2020 CannaSys, Inc., China Modern Agricultural Information, Inc. and Cinderella Target Value Zones Inc. f/k/a China Travel Resort Holdings, Inc.
34-87923 Jan. 9, 2020 Bluefire Renewables, Inc. and Canadian Cannabis Corp.
34-87922 Jan. 9, 2020 Danka Business Systems PLC
34-87921 Jan. 9, 2020 Credit Suisse Securities (USA) LLC
34-87916 Jan. 9, 2020 Franklin Scientific, Inc. and Goodwell Inc.
33-10741 Jan. 9, 2020 J.P. Morgan Securities LLC
Other Release Nos.: 34-87919, IA-5429
See also: Administrative Summary
34-87904 Jan. 7, 2020 Bradley C. Mascho
Other Release No.: IA-5427
34-87899 Jan. 7, 2020 Luke Christopher Zouvas, Esq.
34-87895 Jan. 6, 2020 Gray Financial Group, Inc., et al.
34-87893 Jan. 6, 2020 Dennis Gibb and Sweetwater Investments, Inc.
34-87890 Jan. 6, 2020 Aladdin Capital Management LLC and Aladdin Capital LLC
34-87889 Jan. 6, 2020 Petróleo Brasileiro S.A. - Petrobras
IA-5424 Jan. 6, 2020 Stephen Condon Peters
34-87884 Jan. 3, 2020 Robert A. Karmann, CPA
Other Release No.: AAER-4111
34-87878 Jan. 2, 2020 Ryan K. Dunaske
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