Commission Opinions and Adjudicatory Orders
The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.
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| Release No. | Date | Respondents |
| Fourth Quarter | ||
| IA-5648 | Dec. 17, 2020 | Mohammed Ali Rashid (Order Granting an Extension of Time) |
| 34-90690 | Dec. 16, 2020 | Smartag International, Inc. (Order Regarding Prehearing Conference) |
| 34-90673 | Dec. 15, 2020 | Lee C. Schlesinger (Order to Show Cause) |
| 34-90670 | Dec. 15, 2020 | Robert L. Bryant III (Order Requesting Additional Briefing) |
| 34-90669 | Dec. 15, 2020 | Potomac Capital Markets, LLC (Extension Order) |
| 34-90674 | Dec. 15, 2020 | Fidelity Transfer Services, Inc. and Ruben Sanchez (Order Requesting Additional Materials)
Other Release No.: IC-34142 |
| 33-10904 | Dec. 15, 2020 | Alexandre S. Clug, et al. (Order Requesting Additional Written Submissions)
Other Release Nos.: 34-90666, IC-34140 |
| 34-90663 | Dec. 14, 2020 | NXChain, et al. (Order to Show Cause as to Rock Energy Resources, Inc.) |
| 34-90662 | Dec. 14, 2020 | KJM Securities, Inc. (Order Extending Time to Issue Decision) |
| 34-90657 | Dec. 14, 2020 | Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision) |
| 34-90648 | Dec. 11, 2020 | Seen On Screen TV, Inc. and The Pulse Network, Inc. (Order to Show Cause as to Seen On Screen TV, Inc.) |
| 34-90647 | Dec. 11, 2020 | RARAN Corporation, Refco Public Commodity Pool, L.P. and Rent USA, Inc. (Order to Show Cause as to Raran Corporation and Rent USA, Inc.) |
| 34-90641 | Dec. 11, 2020 | FlikMedia, Inc. (Order to Show Cause) |
| 34-90634 | Dec. 10, 2020 | Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision) |
| 34-90633 | Dec. 10, 2020 | Green Ballast, Inc. and Lithium Exploration Group, Inc. (Order to Show Cause as to Green Ballast, Inc.) |
| 34-90632 | Dec. 10, 2020 | Pro Squared, Inc. and Protech Global Holdings Corp. (Order to Show Cause) |
| 34-90631 | Dec. 10, 2020 | Nexus Resources Corporation and Private Access, Inc. (Order to Show Cause) |
| IA-5645 | Dec. 10, 2020 | Mohammed Ali Rashid (Order Granting an Extension of Time) |
| 34-90618 | Dec. 9, 2020 | Africa Growth Corporation and Gold Dynamics Corp. (Opinion of the Commission as to Gold Dynamics Corp.) |
| 34-90614 | Dec. 9, 2020 | Aztech International Ltd., Bev-Tyme, Inc. and Concord Energy Incorporated (Opinion of the Commission) |
| 34-90613 | Dec. 9, 2020 | Advanced Voice Technologies, Inc., American Pharmaceutical Company and Apollo Eye Group, Inc. (Opinion of the Commission) |
| 34-90605 | Dec. 8, 2020 | Blackcraft Cult, Inc. and Unified Signal, Inc. (Opinion of the Commission as to Blackcraft Cult, Inc.) |
| 34-90602 | Dec. 8, 2020 | Quantumsphere, Inc. and Shenzhen Yidian Double Way of Innovation Culture Media Corp. (Opinion of the Commission as to Shenzhen Yidian Double Way of Innovation Culture Media Corp.) |
| 34-90599 | Dec. 8, 2020 | Crescent Airways Corp., Electronic Manufacturing Services Group Inc. and M&M Financial Corp. (Opinion of the Commission) |
| 34-90595 | Dec. 8, 2020 | Gold Lakes Corp. and Novagen Ingenium Inc. (Opinion of the Commission) |
| 34-90589 | Dec. 7, 2020 | David B. Tysk (Order Extending Time to Issue Decision) |
| 34-90588 | Dec. 7, 2020 | LD Holdings, Inc.; Mansfield-Martin Exploration Mining, Inc.; and RadTek, Inc. (Opinion of the Commission as to LD Holdings, Inc. and RadTek, Inc.) |
| 34-90587 | Dec. 7, 2020 | Bakken Resources, Inc.; Ireland Inc.; and Worlds Mall, Inc. (Opinion of the Commission as to Worlds Mall, Inc.) |
| 34-90586 | Dec. 7, 2020 | Diadexus, Inc.; Mustang Alliances, Inc.; and Protea Biosciences Group, Inc. (Opinion of the Commission) |
| 34-90581 | Dec. 7, 2020 | Adama Technologies Corp.; GeoBio Energy, Inc.; and Powerdyne International, Inc. (Opinion of the Commission as to Adama Technologies Corp. and GeoBio Energy, Inc.) |
| IA-5641 | Dec. 7, 2020 | The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision) |
| 34-90572 | Dec. 4, 2020 | Mark Feathers (Order Declining to Seek Judicial Enforcement of Subpoena) |
| 34-90570 | Dec. 4, 2020 | Piedmont Mining Company, Inc. and Rainbow Coral Corp. (Order to Show Cause) |
| 34-90561 | Dec. 3, 2020 | Eric S. Smith (Order Scheduling Briefs) |
| 34-90557 | Dec. 3, 2020 | Alpine Securities Corporation National Securities Clearing Corporation (Order Extending Time to Issue Decision) |
| IA-5637 | Dec. 2, 2020 | Kimm C. Hannan (Order) |
| IA-5636 | Dec. 2, 2020 | Mohammed Ali Rashid (Order Granting an Extension of Time) |
| 34-90548 | Dec. 2, 2020 | Enumeral Biomedical Holdings, Inc., International Cigar Holdings, Inc. and Lepora Holdings, Inc. (Order to Show Cause) |
| 34-90540 | Dec. 1, 2020 | Fantastic Financial Corporation, et al. (Order to Show Cause) |
| 34-90539 | Dec. 1, 2020 | Briarwood Holdings Group, Inc., Heyu Leisure Holidays Corporation and TJ Roasters Inc. (Order to Show Cause) |
| 34-90538 | Dec. 1, 2020 | Veris Gold Corp. (Order to Show Cause) |
| 34-90533 | Nov. 30, 2020 | Competitive Companies, Inc., Unilava Corporation and Uplift Nutrition, Inc. (Order to Show Cause as to Competitive Companies, Inc. and Unilava Corporation) |
| 34-90532 | Nov. 30, 2020 | A La Carte Charts Corp., Iron Sands Corp. and Topaw, Inc. (Order to Show Cause as to a La Carte Charts Corp. and Iron Sands Corp.) |
| 34-90531 | Nov. 30, 2020 | SiVault Systems, Inc., SVC Financial Services Inc. and the Heritage Organization, Inc. (Order to Show Cause) |
| 34-90521 | Nov. 25, 2020 | Integral Technologies, Inc. (Order) |
| 34-90520 | Nov. 25, 2020 | China Gerui Advanced Materials Group Limited (Order to Show Cause) |
| 34-90518 | Nov. 25, 2020 | Changing Technologies, Inc. (Order to Show Cause) |
| 34-90515 | Nov. 24, 2020 | China Ginseng Holdings, Inc., Hongli Clean Energy Technologies Corp. and Tianyin Pharmaceuticals Co., Inc. (Opinion of the Commission as to Hongli Clean Energy Technologies Corp.) |
| 34-90514 | Nov. 24, 2020 | Avant Diagnostics, Inc., et al. (Opinion of the Commission as to WORDLOGIC Corp.) |
| 34-90511 | Nov. 24, 2020 | Thomas Christophe Prentice (Order Extending Time to Issue Decision) |
| 34-90511 | Nov. 24, 2020 | Thomas Christophe Prentice (Order Extending Time to Issue Decision) |
| 34-90517 | Nov. 24, 2020 | ERHC Energy, Inc. and IDDriven Inc. (Order Denying Motion for Ruling On the Pleadings) |
| 34-90516 | Nov. 24, 2020 | Swissinso Holding, Inc., SYDYS Corporation and UnifiedOnline, Inc. (Order Dismissing Proceeding) |
| 34-90500 | Nov. 24, 2020 | Tryon Alpha, Inc. and Tundra Resources, Inc. (Order to Show Cause) |
| 34-90499 | Nov. 24, 2020 | Sea Breeze Power Corp. and 1701 Productions, Inc. (Order to Show Cause as to 1701 Productions, Inc.) |
| 34-90497 | Nov. 24, 2020 | R-Tec Holding, Inc., RTR, Inc. and Scapple Inc. (Order to Show Cause) |
| 34-90496 | Nov. 24, 2020 | Ezagoo Inc. (Order to Show Cause) |
| 34-90488 | Nov. 23, 2020 | Michael Joseph Clarke (Order Scheduling Briefs) |
| 34-90486 | Nov. 23, 2020 | Hawk Street Acquisition Corp. and Mobad Service Corporation (Order to Show Cause) |
| 34-90485 | Nov. 23, 2020 | EMTA Corp. a/k/a Wiltex A, Fuzzy Logic Software Corp. a/k/a China Global Solar Corporation Limited and Granite Futures Fund Limited Partnership (Order to Show Cause) |
| 34-90484 | Nov. 23, 2020 | Fact Corporation and Tandy Brands Accessories, Inc. (Order to Show Cause) |
| 34-90480 | Nov. 23, 2020 | Presidion Corporation (Order to Show Cause) |
| 34-90479 | Nov. 23, 2020 | Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision) |
| 34-90477 | Nov. 20, 2020 | Maurice Acriche (Extension Order) |
| 34-90476 | Nov. 20, 2020 | Gopi Krishna Vungarala (Opinion of the Commission) |
| 34-90475 | Nov. 20, 2020 | Donald Anthony Wojnowski (Extension Order) |
| 34-90474 | Nov. 20, 2020 | Timothy Vanderver (Extension Order) |
| 34-90472 | Nov. 20, 2020 | Mark Morrow (Opinion of the Commission) |
| 34-90471 | Nov. 20, 2020 | China Longyi Group International Holdings Ltd., Leo Motors, Inc. and LNPR Group, Inc. (Order to Show Cause) |
| 34-90470 | Nov. 20, 2020 | Cirque Energy, Inc. and Millennium Healthcare Inc. (Order to Show Cause) |
| 34-90469 | Nov. 20, 2020 | Shenzhen-Zhongrong Morgan Investment Holding Group Co., Ltd. and Solar Wind Energy Tower, Inc. (Order to Show Cause) |
| 34-90467 | Nov. 20, 2020 | Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision) |
| 34-90463 | Nov. 19, 2020 | American Retirement Villas Properties and MCY.com, Inc. (Order to Show Cause) |
| 34-90462 | Nov. 19, 2020 | Physician Healthcare Plan of New Jersey, Inc., Teda Technologies International, Inc. and Ucellit.Com, Inc. (Order to Show Cause) |
| 34-90461 | Nov. 19, 2020 | New Environmental Solutions Inc. (Order to Show Cause) |
| 34-90446 | Nov. 18, 2020 | Billion Holding Inc. (Order Regarding Service) |
| 34-90456 | Nov. 18, 2020 | William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision) |
| 34-90452 | Nov. 18, 2020 | Aurum, Inc. and Ecosphere Technologies, Inc. (Order to Show Cause as to Ecosphere Technologies, Inc.) |
| 34-90448 | Nov. 18, 2020 | Innocom Technology Holdings, Inc., the Pulse Beverage Corporation and Ystrategies Corp. (Order to Show Cause) |
| 34-90447 | Nov. 18, 2020 | Gyrotron Technology, Inc. and Nation Energy Inc. (Order to Show Cause) |
| 34-90445 | Nov. 17, 2020 | Ultimate Products Corporation, et al. (Opinion of the Commission) |
| 34-90438 | Nov. 17, 2020 | Emmanuel Kouyoumdjian a/k/a "Manny K" (Order Regarding Prehearing Conference) |
| 34-90435 | Nov. 16, 2020 | Treehouse Real Estate Investment Trust for Review of Action Taken by Nyse (Order Extending Time to Issue Decision) |
| 34-90426 | Nov. 13, 2020 | Samdrew IV, Inc. and Southland Health Services, Inc. (Opinion of the Commission) |
| 34-90425 | Nov. 13, 2020 | Spire Corporation and the Staffing Group, Ltd. (Opinion of the Commission) |
| 34-90424 | Nov. 13, 2020 | Stirling Acquisition Corporation and Thinkengine Networks, Inc. (Opinion of the Commission) |
| 33-10888 | Nov. 13, 2020 | James A. Winkelmann Sr. and Blue Ocean Portfolios, LLC (Order Extending Time to Issue Decision)
Other Release Nos.: 34-90417, IA-5631, IC-34093 |
| 34-90399 | Nov. 12, 2020 | NWT Uranium Corp. (Opinion of the Commission) |
| 34-90398 | Nov. 12, 2020 | Oakridge Holdings, Inc, et al. (Opinion of the Commission) |
| 34-90397 | Nov. 12, 2020 | Monarch America, Inc. and VW Win Century, Inc. (Opinion of the Commission) |
| 34-90401 | Nov. 12, 2020 | Saul Daniel Suster (Opinion of the Commission) |
| 34-90388 | Nov. 10, 2020 | Richard J. Herber (Order Denying Stay) |
| 33-10886 | Nov. 9, 2020 | Alexandre S. Clug, et al. (Opinion of the Commission)
Other Release Nos.: 34-90385, IC-34089 |
| 34-90380 | Nov. 9, 2020 | Mark Feathers (Order Granting Petition for Review and Scheduling Briefs) |
| 34-90375 | Nov. 9, 2020 | Integral Technologies, Inc. (Order Regarding the Prehearing Conference) |
| 34-90362 | Nov. 5, 2020 | Consolidated Arbitration Applications Financial Industry Regulatory Authority (Extension Order) |
| 34-90353 | Nov. 5, 2020 | J.W. Korth & Company, LP (Order Extending Time to Issue Decision) |
| 34-90343 | Nov. 4, 2020 | Allan Michael Roth (Opinion of the Commission) |
| 34-90342 | Nov. 4, 2020 | Performance Capital Management, LLC and Silicon Mountain Holdings, Inc. (Order to Show Cause) |
| 34-90341 | Nov. 4, 2020 | Oceanus Acquisition Corp., Pinkbrick Holdings Inc. and Puravita Corporation. (Order to Show Cause) |
| 34-90337 | Nov. 4, 2020 | Dynamic Enviro Inc. and United Restaurant Group International, Inc. (Order to Show Cause) |
| 34-90336 | Nov. 4, 2020 | Green Endeavors, Inc. and Sputnik Enterprises, Inc. (Order to Show Cause as to Sputnik Enterprises, Inc.) |
| 34-90321 | Nov. 3, 2020 | Universal Detection Technology and Vincompass Corp. (Order to Show Cause) |
| 34-90320 | Nov. 3, 2020 | Tn-K Energy Group Inc. and Total Sports Media, Inc. (Order to Show Cause) |
| 34-90318 | Nov. 3, 2020 | Nexus Enterprise Solutions, Inc. and N-Viro International Corporation (Order to Show Cause) |
| 34-90316 | Nov. 3, 2020 | Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision) |
| 34-90304 | Nov. 2, 2020 | Emmanuel Kouyoumdjian a/k/a "Manny K," (Protective Order) |
| 34-90303 | Nov. 2, 2020 | Activecare, et al. (Order to Show Cause) |
| 34-90306 | Nov. 2, 2020 | Atna Resources, Ltd. and Orckit Communications Ltd. (Order to Show Cause) |
| 34-90305 | Nov. 2, 2020 | Atlas Technology International, Inc., Centenary International Corporation and Dynacq Healthcare, Inc. (Order to Show Cause as to Atlas Technology International, Inc. and Centenary International Corporation) |
| 34-90304 | Nov. 2, 2020 | Emmanuel Kouyoumdjian a/k/a "Manny K" (Protective Order) |
| 34-90301 | Nov. 2, 2020 | Erhc Energy, Inc. and Iddriven, Inc. (Order to Show Cause as to Iddriven, Inc.) |
| 34-90298 | Oct. 30, 2020 | Comarco, Inc. and Eco-Shift Power Corp. (Order to Show Cause) |
| 34-90291 | Oct. 30, 2020 | Hengyi International Industries Group, Inc., Jacobs Financial Group, Inc. and Ranger Gold Corp. (Order to Show Cause as to Hengyi International Industries Group, Inc.) |
| 34-90287 | Oct. 30, 2020 | Medical Safetec, Inc., et al. (Order to Show Cause) |
| 34-90294 | Oct. 30, 2020 | Black Stallion Oil & Gas, Inc. n/k/a Arize Therapeutics, Inc. and Cannabis Science, Inc. (Order to Show Cause as to Black Stallion Oil & Gas, Inc. n/k/a Arize Therapeutics, Inc.) |
| 34-90293 | Oct. 30, 2020 | Tongli Pharmaceuticals (USA), Inc. and Vansen Pharma, Inc. (Order to Show Cause) |
| 33-10883 | Oct. 29, 2020 | Cliffe R. Bodden (Order Dismissing Additional Proceedings)
Other Release No.: 34-90283 |
| 33-10882 | Oct. 29, 2020 | Microcap Mangagement LLC; Bayside Realty Holdings LLC; and Meadpoint Venture Partners, LLC (Order Dismissing Additional Proceedings)
Other Release No.: 34-90282 |
| 33-10881 | Oct. 29, 2020 | Fusion Pharm, Inc. (Order Dismissing Additional Proceedings)
Other Release No.: 34-90280 |
| 33-10880 | Oct. 26, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-90273, IC-34073 |
| 34-90272 | Oct. 26, 2020 | Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision) |
| 33-10879 | Oct. 26, 2020 | Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Denying Motion for Extension of Time)
Other Release No.: 34-90271 |
| IA-5619 | Oct. 26, 2020 | Barton W. Stuck (Order to Show Cause and Denying Motion for Extension of Time) |
| 34-90269 | Oct. 26, 2020 | Eric S. Smith (Extension Order) |
| 34-90252 | Oct. 22, 2020 | Abn Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Order Extending Time to Issue Decision) |
| 34-90249 | Oct. 22, 2020 | Bradley C. Reifler (Order Extending Time to Issue Decision) |
| 34-90234 | Oct. 21, 2020 | Ultimate Products Corporation, et al. (Order to Show Cause) |
| 34-90225 | Oct. 20, 2020 | Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision) |
| 34-90224 | Oct. 20, 2020 | Gopi Krishna Vungarala (Order Extending Time to Issue Decision) |
| 34-90222 | Oct. 19, 2020 | William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision) |
| 34-90220 | Oct. 19, 2020 | Sean R. Stewart (Scheduling Order)
Other Release No.: IA-5616 |
| IA-5615 | Oct. 16, 2020 | Saving2Retire, LLC and Marian P. Young (Order Extending Time to Issue Decision) |
| 34-90215 | Oct. 16, 2020 | Shawn K. Dicken (Order Requesting Additional Materials) |
| 34-90214 | Oct. 16, 2020 | Africa Growth Corporation and Gold Dynamics Corp. (Order to Show Cause) |
| IA-5614 | Oct. 16, 2020 | Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies (Order to Show Cause) |
| 34-90200 | Oct. 15, 2020 | Equitec Proprietary Markets, LLC and Chicago Board Options Exchange, Inc. (Corrected Order Extending Time to Issue Decision) |
| 34-90194 | Oct. 15, 2020 | Briarwood Holdings Group, Inc., Heyu Leisure Holidays Corporation and TJ Roasters Inc. (Order Regarding Service) |
| 33-10875 | Oct. 15, 2020 | Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Extending Time to File Reply Brief)
Other Release No.: 34-90198 |
| 34-90192 | Oct. 15, 2020 | Fantastic Financial Corporation, et al. (Order Regarding Service) |
| 34-90190 | Oct. 15, 2020 | Veris Gold Corp. (Order Regarding Service) |
| 34-90172 | Oct. 14, 2020 | Advanced Voice Technologies, Inc., American Pharmaceutical Company and Apollo Eye Group, Inc. (Order to Show Cause) |
| 34-90171 | Oct. 14, 2020 | Aztech International Ltd., Bev-Tyme, Inc. and Concord Energy Incorporated (Order to Show Cause) |
| 34-90162 | Oct. 13, 2020 | Calhoun Asset Management, LLC and Krista Lynn Ward a/k/a Krista Lynn Karnezis (Extension Order) |
| 34-90152 | Oct. 9, 2020 | Quantumsphere, Inc. and Shenzhen Yidian Double Way of Innovation Culture Media Corp. (Order to Show Cause as to Shenzhen Yidian Double Way of Innovation Culture Media Corp.) |
| 34-90150 | Oct. 9, 2020 | John Christopher Polit (Order Granting an Extension of Time)
Other Release No.: IA-5611 |
| 34-90148 | Oct. 9, 2020 | Crescent Airways Corp., Electronic Manufacturing Services Group Inc. and M&M Financial Corp. (Order to Show Cause) |
| 33-10874 | Oct. 9, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-90143, IC-34048 |
| 34-90109 | Oct. 8, 2020 | Nicholi Mandracken (Order to Show Cause) |
| 34-90108 | Oct. 7, 2020 | LD Holdings, et al. (Order to Show Cause) |
| 34-90106 | Oct. 7, 2020 | Adama Technologies Corp.; GeoBio Energy, Inc.; and Powerdyne International, Inc. (Order to Show Cause) |
| 34-90107 | Oct. 7, 2020 | Bakken Resources, Inc.; Ireland Inc.; and Worlds Mall, Inc. (Order to Show Cause) |
| 34-90105 | Oct. 7, 2020 | Diadexus, et al. (Order to Show Cause) |
| IA-5608 | Oct. 6, 2020 | Barton W. Stuck (Order Denying Motion for Extension of Time) |
| IA-5606 | Oct. 6, 2020 | The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision) |
| 34-90098 | Oct. 6, 2020 | Sean Kelly (Order Regarding Service)
Other Release No.: IA-5609 |
| 34-90094 | Oct. 6, 2020 | David B. Tysk (Order Extending Time to Issue Decision) |
| 34-90087 | Oct. 5, 2020 | Securities Industry, Financial Markets Association and Bloomberg L.P.(Order Granting Requests to Withdraw Applications for Review and Dismissing Review Proceedings) |
| 33-10870 | Oct. 2, 2020 | Calhoun Asset Management, LLC and Krista Lynn Ward a/k/a Krista Lynn Karnezis (Order Scheduling Briefs)
Other Release Nos.: 34-90078, IA-5604, IC-34042 |
| 34-90064 | Oct. 1, 2020 | Donald Anthony Wojnowski Financial Industry Regulatory Authority (Extension Order) |
| 34-90063 | Oct. 1, 2020 | Curtis Richard Edmark (Extension Order) |
| Third Quarter | ||
| 34-90058 | Sep. 30, 2020 | Timothy Arthur Vanderver (Extension Order) |
| 34-90055 | Sep. 30, 2020 | Maurice James Ariche (Extension Order) |
| 33-10859 | Sep. 29, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-90039, IC-34032 |
| 34-89937 | Sep. 21, 2020 | Sergey Pustelnik a/k/a Serge Pustelnik (Order Suspending Briefing Schedule) |
| 34-89932 | Sep. 21, 2020 | Consolidated Arbitration Applications Financial Industry Regulatory Authority (Extension Order) |
| 34-89930 | Sep. 21, 2020 | Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision) |
| 34-89928 | Sep. 21, 2020 | Gopi Krishna Vungarala (Order Extending Time to Issue Decision) |
| 34-89923 | Sep. 18, 2020 | William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision) |
| 34-89876 | Sep. 15, 2020 | David Howard Welch (a/k/a David Howard Bryant) (Order Granting Extension of Time) |
| 34-89866 | Sep. 14, 2020 | China Tongzilian Group Share Limited, Inc. (Opinion of the Commission) |
| 34-89864 | Sep. 14, 2020 | China Xingbang Industry Group Inc. and Kingsmen Capital Group, Ltd. (Opinion of the Commission as to China Xingbang Industry Group Inc.) |
| 34-89863 | Sep. 14, 2020 | Greenwood Hall, Inc., PMX Communities, Inc. and SurePure, Inc. (Opinion of the Commission as to Greenwood Hall, Inc.) |
| 34-89859 | Sep. 14, 2020 | Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision) |
| 33-10840 | Sep. 14, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89858, IC-34010 |
| 34-89849 | Sep. 11, 2020 | IMC Holdings, Inc., Microphase Corporation and Wintahenderson International, Inc. (Opinion of the Commission as to Imc Holdings, Inc., and Wintahenderson International, Inc.) |
| 34-89847 | Sep. 11, 2020 | Golden Rush, Inc., Legall Holdings, Inc. and My Healthy Access, Inc. (Opinion of the Commission as to Legall Holdings, Inc., and My Healthy Access, Inc.) |
| 34-89846 | Sep. 11, 2020 | Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Opinion of the Commission as to Healthway Shopping Network and Unity Global Holdings Ltd.) |
| 34-89845 | Sep. 11, 2020 | Pacific Telcom, Inc., et al. (Opinion of the Commission) |
| 34-89844 | Sep. 11, 2020 | John Christopher Polit (Order Granting an Extension of Time)
Other Release No.: IA-5578 |
| 34-89802 | Sep. 9, 2020 | Greenhouse Solutions, Inc. and Latitude 360, Inc. (Opinion of the Commission) |
| 34-89801 | Sep. 9, 2020 | Oriental Magic Soup, Inc., et al. (Opinion of the Commission as to Oriental Magic Soup, Inc., and You Han Data Tech Co Ltd.) |
| 34-89800 | Sep. 9, 2020 | Medisun Precision Medicine, Ltd., Next Graphite, Inc. and Omni Shrimp, Inc. (Opinion of the Commission as to Medisun Precision Medicine, Ltd., and Omni Shrimp, Inc.) |
| 33-10834 | Sep. 4, 2020 | John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy, Jr. (Opinion of the Commission)
Other Release Nos.: 34-89775, IA-5572, IC-34003 |
| 34-89772 | Sep. 4, 2020 | Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision) |
| 34-89740 | Sep. 2, 2020 | Daniel Paul Motherway (Order Scheduling Briefs) |
| 34-89735 | Sep. 1, 2020 | MaryJane Group, Inc., Omega Commercial Finance Corp. and Redpoint Bio Corp. (Opinion of the Commission as to Omega Commercial Finance Corp.) |
| 34-89734 | Sep. 1, 2020 | Silver Leaf Partners, LLC (Order Scheduling Briefs) |
| 34-89733 | Sep. 1, 2020 | Robert L. Bryant III (Order Scheduling Briefs) |
| 34-89709 | Aug. 28, 2020 | Rising Biosciences, Inc. (Order Requesting Additional Written Submissions) |
| 34-89706 | Aug. 28, 2020 | Lord Global Corp. (Order Requesting Additional Written Submissions) |
| 34-89685 | Aug. 26, 2020 | Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Opinion of the Commission) |
| 33-10827 | Aug. 26, 2020 | Canso Enterprises, Ltd.; Privoz; Universal Movers Corp.; Lorilay Corp.; Formous Corp.; and Lion Print Corp. (Order Dismissing Consolidated Proceeding) |
| 34-89676 | Aug. 26, 2020 | ABN Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Order Extending Time to Issue Decision) |
| 34-89675 | Aug. 26, 2020 | Ciralight Global, et al. (Order Dismissing Proceeding) |
| 34-89674 | Aug. 26, 2020 | Fred F. Liebau, Jr. (Extension Order) |
| 34-89672 | Aug. 26, 2020 | Axesstel, Inc. (Order Dismissing Proceeding) |
| 34-89634 | Aug. 21, 2020 | Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision) |
| 34-89630 | Aug. 21, 2020 | Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Extending Time to Issue Decision) |
| 34-89628 | Aug. 20, 2020 | Sweetwater Investing, Inc. and Thunor International, Inc. (Opinion of the Commission) |
| 34-89626 | Aug. 20, 2020 | Ceetop Inc. n/k/a S.Q. Hydrogen Power, Inc., China Internet Café Holdings Group, Inc. and Starlight Supply Chain Management Company (Opinion of the Commission) |
| 34-89620 | Aug. 19, 2020 | Fighton Succession Corporation and Grand Enterprises, Inc. (Opinion of the Commission) |
| 34-89619 | Aug. 19, 2020 | Rolling Pin Kitchen Emporium, Inc. and Speed of Thought, Inc. (Opinion of the Commission) |
| 34-89617 | Aug. 19, 2020 | The Consolidated Arbitration Applications (Order Consolidating Appeals) |
| 34-89613 | Aug. 19, 2020 | Curtis Richard Edmark (Order Scheduling Briefs) |
| 34-89611 | Aug. 19, 2020 | Timothy Arthur Vanderver III (Order Requesting Additional Written Submissions) |
| 34-89612 | Aug. 19, 2020 | Maurice James Acriche (Order Scheduling Briefs) |
| 34-89610 | Aug. 19, 2020 | Donald Anthony Wojnowski (Order Requesting Additional Written Submissions) |
| 34-89609 | Aug. 19, 2020 | Gopi Krishna Vungarala (Order Extending Time to Issue Decision) |
| 34-89606 | Aug. 18, 2020 | BCI Holding Inc., Bulova Technologies Group, Inc. and Omni Bio Pharmaceutical, Inc. (Opinion of the Commission) |
| 34-89604 | Aug. 18, 2020 | BHTC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Opinion of the Commission as to BHTC X, Inc.) |
| 34-89602 | Aug. 18, 2020 | Potomac Capital Markets LLC (Extension Order) |
| 34-89601 | Aug. 18, 2020 | LD Holdings, et al. (Order Regarding Service) |
| 34-89600 | Aug. 18, 2020 | Fred F. Liebau, Jr. (Order Scheduling Briefs) |
| 34-89599 | Aug. 18, 2020 | Diadexus, et al. (Order Regarding Service) |
| 34-89598 | Aug. 18, 2020 | Bakken Resources, Inc.; Ireland Inc.; and Worlds Mall, Inc. (Order Regarding Service) |
| 34-89595 | Aug. 18, 2020 | Adama Technologies Corp.; Geobio Energy, Inc.; and Powerdyne International, Inc. (Order Regarding Service) |
| 34-89573 | Aug. 17, 2020 | Aramex International Limited (Opinion of the Commission) |
| 34-89572 | Aug. 17, 2020 | ASN Satellites, Inc., et al. (Opinion of the Commission as to ASN Satellites, Inc., Caleminder Inc., and Hyperfeed Technologies, Inc.) |
| 34-89589 | Aug. 17, 2020 | Trans-Pacific Aerospace Company, Inc. and Vertical Computer Systems, Inc. (Order Granting Leave to File Statement of Views) |
| 34-89571 | Aug. 14, 2020 | Aroga Holding Corp., Global Sources Limited and United States Properties, Inc. (Opinion of the Commission) |
| 34-89570 | Aug. 14, 2020 | Alife Corporation, et al. (Opinion of the Commission) |
| 34-89569 | Aug. 14, 2020 | Gold Lakes Corp. and Novagen Ingenium Inc. (Order to Show Cause) |
| 34-89567 | Aug. 14, 2020 | Spire Corporation and the Staffing Group, Ltd. (Order to Show Cause) |
| 34-89566 | Aug. 14, 2020 | Samdrew IV, Inc. and Southland Health Services, Inc. (Order to Show Cause) |
| 34-89565 | Aug. 14, 2020 | Stirling Acquisition Corporation and Thinkengine Networks, Inc. (Order to Show Cause) |
| 34-89561 | Aug. 14, 2020 | NWT Uranium Corp. (Order to Show Cause) |
| 34-89559 | Aug. 14, 2020 | Oakridge Holdings, Inc, et al. (Order to Show Cause) |
| 34-89557 | Aug. 14, 2020 | Monarch America, Inc. and VW Win Century, Inc. (Order to Show Cause) |
| 33-10820 | Aug. 14, 2020 | James A. Winkelmann Sr. and Blue Ocean Portfolios, LLC (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89556, IA-5561, IC-33971 |
| 33-10819 | Aug. 14, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89555, IC-33970 |
| 34-89546 | Aug. 13, 2020 | American Rare Earths, et al. (Opinion of the Commission as to American Rare Earths and Materials, Corp. and Spendsmart Networks, Inc.) |
| 34-89544 | Aug. 13, 2020 | Artisanal Brands, Inc. and Daleco Resources Corporation (Opinion of the Commission as to Daleco Resources Corporation) |
| 34-89538 | Aug. 12, 2020 | Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Extending Time to Issue Decision) |
| 34-89535 | Aug. 12, 2020 | United Development Funding III, LP, United Development Funding IV and United Development Funding Income Fund V (Opinion of the Commission) |
| 34-89533 | Aug. 12, 2020 | Agritech Worldwide, Inc., Consolidated Gems, Inc. and Dominovas Energy Corporation (Opinion of the Commission as to Agritech Worldwide, Inc. and Dominovas Energy Corporation) |
| 34-89526 | Aug. 12, 2020 | Shawn K. Dicken (Order Requesting Additional Briefing) |
| 34-89508 | Aug. 7, 2020 | David Howard Welch (a/k/a David Howard Bryant) (Order to Show Cause) |
| 34-89506 | Aug. 7, 2020 | J.W. Korth & Company, LP (Order Extending Time to Issue Decision) |
| IA-5559 | Aug. 7, 2020 | The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision) |
| 34-89505 | Aug. 7, 2020 | David B. Tysk (Order Extending Time to Issue Decision) |
| 34-89504 | Aug. 7, 2020 | Securities Industry, Financial Markets Association and Bloomberg L.P. (Order Vacating Prior Order and Requesting Additional Briefs) |
| 34-89503 | Aug. 7, 2020 | Securities Industry and Financial Markets Association (Order Dismissing Proceedings) |
| 34-89495 | Aug. 6, 2020 | The Consolidated Arbitration Applications for Review of Action Taken By FINRA (Order Finding Jurisdiction) |
| 34-89493 | Aug. 6, 2020 | Fidelity Transfer Services, Inc. and Ruben Sanchez (Order to Show Cause)
Other Release No.: IC-33966 |
| 34-89492 | Aug. 6, 2020 | Sergey Pustelnik a/k/a Serge Pustelnik (Initial Scheduling Order) |
| 34-89487 | Aug. 5, 2020 | Axiom Corp., et al. (Opinion of the Commission as to Axiom Corp.) |
| 34-89486 | Aug. 5, 2020 | Arabella Exploration, Inc., Scivanta Medical Corp. and Westmountain Distressed Debt, Inc. (Opinion of the Commission as to Arabella Exploration, Inc.) |
| 33-10815 | Aug. 5, 2020 | John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89479, IA-5556, IC-33964 |
| 34-89474 | Aug. 4, 2020 | American Business Services, Inc., Iris Biotechnologies, Inc. and Soul & Vibe Interactive Inc. (Opinion of the Commission as to American Business Services, Inc. and Soul & Vibe Interactive Inc.) |
| 34-89473 | Aug. 4, 2020 | Electronic Cigarettes International Group, Ltd., Seaniemac International, Ltd. and Ziwira, Inc. (Opinion of the Commission) |
| 34-89463 | Aug. 3, 2020 | Blackcraft Cult, Inc. and Unified Signal, Inc. (Order to Show Cause as to Blackcraft Cult, Inc.) |
| 33-10813 | Aug. 3, 2020 | Edward M. Daspin a/k/a "Edward (Ed) Michael" (Order Denying Request for Documents) Other Release No.: 34-89448 |
| 34-89430 | Jul. 30, 2020 | Stephen D. Pizzuti (Scheduling Order)
Other Release No.: IA-5554 |
| 34-89428 | Jul. 29, 2020 | Fred F. Liebau, Jr. (Extension Order) |
| IA-5553 | Jul. 28, 2020 | Barton W. Stuck (Order Granting an Extension of Time) |
| 34-89414 | Jul. 28, 2020 | Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision) |
| 34-89406 | Jul. 27, 2020 | Objective Equity, LLC (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding) |
| 34-89396 | Jul. 24, 2020 | Cornerworld Corp. and DMH International, Inc. (Opinion of the Commission) |
| 34-89395 | Jul. 24, 2020 | MMRglobal, Inc., Silver Hill Mines, Inc. and Sterling Group Ventures, Inc. (Opinion of the Commission as to Mmrglobal, Inc., and Silver Hill Mines, Inc.) |
| 34-89385 | Jul. 23, 2020 | Chatand, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc. (Opinion of the Commission as to Chatand, Inc.) |
| 34-89384 | Jul. 23, 2020 | House of Bods Fitness, Inc., Reef Oil & Gas Income & Development Fund III LP and Techlabs, Inc. (Opinion of the Commission) |
| 34-89375 | Jul. 22, 2020 | Bioshaft Water Technology, Inc., Meemee Media Inc. and Zeecol International, Inc. (Opinion of the Commission) |
| 34-89373 | Jul. 22, 2020 | Hybrid Coating Technologies, Inc., Infrastructure Developments Corp. and Oro East Mining, Inc. (Opinion of the Commission as to Hybrid Coating Technologies, Inc., and Infrastructure Developments Corp.) |
| 34-89377 | Jul. 22, 2020 | Spotlight Innovation, Inc. and Tempus Applied Solutions Holdings, Inc. (Order Granting an Extension of Time) |
| 34-89374 | Jul. 22, 2020 | Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order Denying Motion for Ruling On the Pleadings) |
| 34-89364 | Jul. 21, 2020 | Mariposa Health, Inc. and STL Marketing Group, Inc. (Opinion of the Commission) |
| 34-89362 | Jul. 21, 2020 | Bingo Nation, Inc., Sino-American Net Media Corp. and Wussler Worldwide Media Co. (Opinion of the Commission) |
| 34-89371 | Jul. 21, 2020 | Gopi Krishna Vungarala (Order Extending Time to Issue Decision) |
| 34-89365 | Jul. 21, 2020 | Brendan D. Feitelberg (Opinion of the Commission) |
| 34-89349 | Jul. 20, 2020 | Fred F. Liebau, Jr. (Order Directing Additional Submissions) |
| 34-89340 | Jul. 20, 2020 | William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision) |
| IA-5544 | Jul. 17, 2020 | Barton W. Stuck (Order Granting an Extension of Time) |
| 34-89337 | Jul. 17, 2020 | Equitec Proprietary Markets, LLC (Order Extending Time to Issue Decision) |
| 33-10803 | Jul. 15, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89327, IC-33928 |
| IA-5538 | Jul. 14, 2020 | Travis Laska (Order Setting Briefing Schedule) |
| IA-5537 | Jul. 14, 2020 | Stacy L. Beane (Order Setting Briefing Schedule) |
| 34-89293 | Jul. 13, 2020 | Alpine Securities Corp. and Scottsdale Capital Advisors Corp. (Order Extending Time to Issue Decision) |
| 34-89288 | Jul. 10, 2020 | Mark Feathers (Extension Order) |
| 34-89266 | Jul. 9, 2020 | Brendan D. Feitelberg (Order Extending Time to Issue Decision) |
| 34-89260 | Jul. 8, 2020 | Commonwealth Capital Securities Corp. (Opinion of the Commission) |
| 34-89238 | Jul. 7, 2020 | Stephen Robert Williams (Opinion of the Commission) |
| 34-89237 | Jul. 7, 2020 | Jonathan Edward Graham (Opinion of the Commission) |
| IA-5533 | Jul. 7, 2020 | Louis Navellier and Navellier & Associates, Inc. (Order Denying Motion for an Extension of Time as Moot) |
| 34-89232 | Jul. 6, 2020 | Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision) |
| 33-10800 | Jul. 6, 2020 | John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89227, IA-5532, IC-33920 |
| 34-89226 | Jul. 6, 2020 | Donald J. Fowler (Order Denying Motion to Stay Proceeding) |
| 34-89224 | Jul. 6, 2020 | Blackcraft Cult, Inc. and Unified Signal, Inc. (Supplemental Order Regarding Service) |
| 33-10799 | Jul. 6, 2020 | Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-89222 |
| Second Quarter | ||
| 34-89179 | Jun. 29, 2020 | Alife Corporation, et al. (Order to Show Cause as to Alife Corporation) |
| 34-89161 | Jun. 25, 2020 | Jonathan Edward Graham (Order Extending Time to Issue Decision) |
| 34-89160 | Jun. 25, 2020 | Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time) |
| 34-89157 | Jun. 25, 2020 | Abn Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Order Extending Time to Issue Decision) |
| 34-89121 | Jun. 22, 2020 | Gregory Acosta (Opinion of the Commission) |
| 34-89109 | Jun. 22, 2020 | Blair Edwards Olsen (Extension Order) |
| 34-89105 | Jun. 19, 2020 | Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision) |
| 33-10792 | Jun. 19, 2020 | Edward M. Daspin and a/k/a "Edward (Ed) Michael" (in the Matter Of Edward M. Daspin, a/k/a "Edward (Ed) Michael")
Other Release No.: 34-89101 |
| 34-89099 | Jun. 18, 2020 | PLS, CPA, et al. (Order)
Other Release No.: AAER-4148 |
| 34-89098 | Jun. 18, 2020 | Stephen Robert Williams (Order Extending Time to Issue Decision) |
| 34-89097 | Jun. 18, 2020 | Susan E. Walker (Order to Show Cause) |
| 34-89095 | Jun. 18, 2020 | Mark Feathers (Order Directing the Filing of Briefs) |
| 34-89089 | Jun. 18, 2020 | Donald J. Fowler (Order Extending Time to File Opposition to Motion for Summary Disposition) |
| IA-5521 | Jun. 15, 2020 | Nicholas J. Genovese (Order Granting an Extension of Time) |
| 34-89054 | Jun. 12, 2020 | Cantone Research Inc., Anthony Cantone and Christine Cantone (Order Extending Time to Issue Decision) |
| 33-10791 | Jun. 12, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89053, IC-33891 |
| 34-89034 | Jun. 9, 2020 | Sergey Pustelnik a/k/a Serge Pustelnik (Order Granting an Extension of Time) |
| 34-89033 | Jun. 9, 2020 | Brendan D. Feitelberg (Order Extending Time to Issue Decision) |
| 34-89029 | Jun. 8, 2020 | Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision) |
| 33-10790 | Jun. 5, 2020 | John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-89022, IA-5517, IC-33890 |
| IA-5518 | Jun. 5, 2020 | The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Order Extending Time to Issue Decision) |
| 34-89006 | Jun. 4, 2020 | David B. Tysk (Order Extending Time to Issue Decision) |
| 34-89005 | Jun. 4, 2020 | Wilson-Davis & Co., Inc.; James C. Snow; and Byron B. Barkley (Extension Order) |
| 34-88977 | Jun. 1, 2020 | Louis Ottimo (Order Scheduling Briefs) |
| 34-88967 | May 28, 2020 | Jonathan Edward Graham (Order Extending Time to Issue Decision) |
| 34-88966 | May 28, 2020 | Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision) |
| 34-88953 | May 26, 2020 | Dustin Tylor Aiguier (Opinion of the Commission) |
| 33-10787 | May 26, 2020 | Edward M. Daspin, a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-88942 |
| IA-5507 | May 21, 2020 | Barton W. Stuck (Order Granting an Extension of Time) |
| 34-88926 | May 21, 2020 | Gopi Krishna Vungarala (Order Extending Time to Issue Decision) |
| 34-88922 | May 21, 2020 | Gregory Acosta (Order Extending Time to Issue Decision) |
| 34-88915 | May 20, 2020 | William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision) |
| 34-88913 | May 20, 2020 | Mark Morrow (Order to Show Cause) |
| 34-88908 | May 19, 2020 | Stephen Robert Williams (Order Extending Time to Issue Decision) |
| 34-88871 | May 14, 2020 | WPD Pharmaceuticals, Inc. and Mariusz Olejniczak (Order Requesting Additional Written Submissions) |
| 34-88879 | May 14, 2020 | Securities Industry and Financial Markets Association (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding) |
| 33-10785 | May 14, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88867, IC-33866 |
| 34-88861 | May 13, 2020 | Decision Diagnostics Corp. (Order Requesting Additional Written Submissions) |
| 34-88854 | May 11, 2020 | CNS Pharmaceuticals, Inc. and John M. Climaco (Order Requesting Additional Written Submissions) |
| 34-88853 | May 11, 2020 | Moleculin Biotech, Inc. and Walter V. Klemp (Order Requesting Additional Written Submissions) |
| 34-88851 | May 11, 2020 | PLS, CPA, et al. (Order) Other Release No.: AAER-4139 |
| 34-88841 | May 8, 2020 | Nano Magic Inc. (Order Requesting Additional Written Submissions) |
| 34-88835 | May 7, 2020 | Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision) |
| 34-88832 | May 6, 2020 | Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision) |
| 34-88831 | May 6, 2020 | Maurice James Acriche (Extension Order) |
| 34-88821 | May 6, 2020 | Donald J. Fowler (Order Granting an Extension of Time) |
| 33-10782 | May 5, 2020 | John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88811, IA-5495, IC-33861 |
| 34-88809 | May 5, 2020 | Trevor Michael Saliba and Arthur Mansourian (Order Extending Time to Issue Decision) |
| 34-88799 | May 1, 2020 | Christopher M. Gibson (Order Granting Petition for Review and Scheduling Briefs) |
| 34-88796 | May 1, 2020 | PLS, CPA, et al. (Order Regarding Service)
Other Release No.: AAER-4136 |
| 34-88750 | Apr. 27, 2020 | Securities Industry and Financial Markets Association (Order Granting Extension of Time) |
| 34-88749 | Apr. 27, 2020 | Jonathan Edward Graham (Order Extending Time to Issue Decision) |
| 34-88748 | Apr. 27, 2020 | No Borders, Inc. (Extension Order) |
| 34-88718 | Apr. 21, 2020 | Randall Goulding, Esq. |
| 34-88701 | Apr. 20, 2020 | Metatron, Inc. (Extension Order) |
| 34-88688 | Apr. 20, 2020 | Blair Edwards Olsen (Extension Order) |
| 33-10773 | Apr. 16, 2020 | Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-88661 |
| 34-88649 | Apr. 15, 2020 | No Borders, Inc. (Order Requesting Additional Written Submissions) |
| 33-10772 | Apr. 14, 2020 | Alexandre S. Clug, et al.
Other Rel. Nos.: 34-88629, IC-33838 |
| IA-5476 | Apr. 13, 2020 | Sung Kook Hwang (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 34-88624 | Apr. 13, 2020 | Dominic O'Dierno (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 34-88612 | Apr. 9, 2020 | Metatron, Inc. (Extension Order) |
| 34-88603 | Apr. 8, 2020 | Good Vibration Shoes, Inc. (Order Setting Briefing Schedule) |
| 34-88592 | Apr. 8, 2020 | Eyecity.Com, Inc. (n/k/a Carex Blockchain Platform, Inc.) (Order Granting Motion to Strike and Setting Briefing Schedule) |
| 34-88573 | Apr. 7, 2020 | Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision) |
| 34-88571 | Apr. 6, 2020 | Bruce Zipper and Dakota Securities International, Inc. (Order Extending Time to Issue Decision) |
| 33-10770 | Apr. 6, 2020 | John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88565, IA-5473, IC-33835 |
| 34-88564 | Apr. 6, 2020 | William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision) |
| 34-88548 | Apr. 3, 2020 | Newport Coast Securities, Inc. (Opinion of the Commission) |
| IA-5472 | Apr. 2, 2020 | Barton W. Stuck (Order Granting an Extension of Time) |
| First Quarter | ||
| 34-88517 | Mar. 30, 2020 | Securities Industry and Financial Markets Association (Extension Order) |
| 34-88509 | Mar. 30, 2020 | Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision) |
| 34-88508 | Mar. 30, 2020 | Jonathan Edward Graham (Order Extending Time to Issue Decision) |
| 34-88470 | Mar. 25, 2020 | Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley Financial Industry Regulatory Authority (Extension Order) |
| 34-88466 | Mar. 25, 2020 | Randall S. Goulding (Extension Order) |
| 34-88461 | Mar. 23, 2020 | Robert R. Tweed (Extension Order) |
| 34-88450 | Mar. 23, 2020 | Gopi Krishna Vungarala (Order Extending Time to Issue Decision) |
| 34-88451 | Mar. 23, 2020 | Gregory Acosta (Order Extending Time to Issue Decision) |
| 34-88429 | Mar. 19, 2020 | Metatron, Inc. (Order Requesting Additional Briefing) |
| 33-10767 | Mar. 18, 2020 | In re: Pending Administrative Proceedings (Order)
Other Rel. Nos.: 34-88415, IA-5467, IC-33820 |
| 34-88418 | Mar. 18, 2020 | Newport Coast Securities, Inc. (Order Extending Time to Issue Decision) |
| 34-88412 | Mar. 18, 2020 | Falcon Technologies, Inc. (Order Granting Request to Withdraw Application for Review and Dismissing Review Proceeding) |
| 34-88409 | Mar. 18, 2020 | Craig S. Taddonio (Extension Order) |
| 33-10766 | Mar. 16, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88396, IC-33819 |
| IA-5466 | Mar. 16, 2020 | Randall S. Goulding (Order Scheduling Briefing On Motion for Summary Disposition) |
| 34-88346 | Mar. 9, 2020 | Alpine Securities Corporation the National Securities Clearing Corporation (Order Requiring Additional Written Submissions) |
| 34-88334 | Mar. 5, 2020 | Newport Coast Securities, Inc. (Order Extending Time to Issue Decision) |
| 34-88333 | Mar. 5, 2020 | William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision) |
| 33-10764 | Mar. 5, 2020 | John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88336, IA-5459, IC-33812 |
| 34-88311 | Mar. 2, 2020 | Randall S. Goulding (Extension Order) |
| 34-88306 | Feb. 28, 2020 | Blair Edwards Olsen (Renewed Order Scheduling Briefs) |
| 34-88298 | Feb. 27, 2020 | Robert R. Tweed (Extension Order) |
| 33-10759 | Feb. 25, 2020 | Matthew R. Rossi and Sjl Capital, LLC (Order Granting Request for Protective Order)
Other Release Nos.: 34-88278, IA-5449 |
| 34-88268 | Feb. 24, 2020 | Edward Beyn Financial Industry Regulatory Authority (Extension Order) |
| 34-88252 | Feb. 20, 2020 | Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP (Order) |
| 34-88250 | Feb. 20, 2020 | Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley (Extension Order) |
| 34-88244 | Feb. 19, 2020 | Newport Coast Securities, Inc. (Order Extending Time to Issue Decision) |
| 34-88228 | Feb. 18, 2020 | Diversified Corporate Resources, Inc., NetWolves Corporation and Samdrew VIII, Inc. (Opinion of the Commission) |
| 34-88226 | Feb. 18, 2020 | American Smooth Wave Ventures, Inc. (Opinion of the Commission) |
| 34-88222 | Feb. 14, 2020 | Robert R. Tweed (Order Scheduling Briefs) |
| 33-10754 | Feb. 14, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-88224 |
| 34-88203 | Feb. 13, 2020 | Biscayne Acquisition Group Inc. and Teleplus World, Corp. (Opinion of the Commission) |
| 34-88201 | Feb. 13, 2020 | Capital Trust Holdings, Inc., Florida Gaming Corporation and Go Public, Inc. (Opinion of the Commission) |
| 34-88196 | Feb. 13, 2020 | Biolog, Inc., Bozki, Inc. and China Gewang Biotechnology, Inc. (Opinion of the Commission as to Biolog, Inc., and China Gewang Biotechnology, Inc.) |
| 34-88193 | Feb. 13, 2020 | Armco Metals Holdings, Inc., Global Future City Holding, Inc. and Traceguard Technologies, Inc. (Opinion of the Commission) |
| 34-88187 | Feb. 12, 2020 | Knowledgebroker, Inc., et al. (Opinion of the Commission) |
| 34-88185 | Feb. 12, 2020 | Enhanced Services Company, Inc. and Ingenex, Inc. (Opinion of the Commission) |
| 34-88184 | Feb. 12, 2020 | Neco Energy Corporation, Neighborhood Investment, Ltd. and New Dawn Entertainment Inc. (Opinion of the Commission) |
| 34-88183 | Feb. 12, 2020 | Equality Investments, Inc., Freedom Financial Corporation and Mustang Resources Inc. (Opinion of the Commission) |
| 34-88156 | Feb. 7, 2020 | Kimberly Springsteen-Abbott (Opinion of the Commission) |
| 34-88152 | Feb. 7, 2020 | Oriental Magic Soup, Inc., et al. (Order to Show Cause as to Oriental Magic Soup, Inc., and You Han Data Tech Co Ltd.) |
| 34-88151 | Feb. 7, 2020 | Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order to Show Cause as to Healthway Shopping Network and Unity Global Holdings Ltd.) |
| 34-88149 | Feb. 7, 2020 | Pacific Telcom, Inc., et al. (Order to Show Cause) |
| 34-88148 | Feb. 7, 2020 | Medisun Precision Medicine, Ltd., Next Graphite, Inc. and Omni Shrimp, Inc. (Order to Show Cause as to Medisun Precision Medicine, Ltd., and Omni Shrimp, Inc.) |
| 34-88147 | Feb. 7, 2020 | Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision) |
| 34-88141 | Feb. 6, 2020 | Edward Beyn and Craig S. Taddonio (Order Scheduling Supplemental Briefs) |
| 34-88138 | Feb. 6, 2020 | Matthew Rossi and SJL Capital LLC (Order Granting Petition for Review and Scheduling Briefs) |
| 34-88130 | Feb. 5, 2020 | China Tongzilian Group Share Limited, Inc. (Order to Show Cause) |
| 34-88129 | Feb. 5, 2020 | Greenhouse Solutions, Inc. and Latitude 360, Inc. (Order to Show Cause) |
| 34-88128 | Feb. 5, 2020 | IMC Holdings, Inc., Microphase Corporation and Wintahenderson International, Inc. (Order to Show Cause as to Imc Holdings, Inc., and Wintahenderson International, Inc.) |
| 34-88127 | Feb. 5, 2020 | Greenwood Hall, Inc., PMX Communities, Inc. and Surepure, Inc. (Order to Show Cause as to Greenwood Hall, Inc.) |
| 34-88126 | Feb. 5, 2020 | China Xingbang Industry Group, Inc. and Kingsmen Capital Group, Ltd. (Order to Show Cause as to China Xingbang Industry Group, Inc.) |
| 34-88125 | Feb. 5, 2020 | Golden Rush, Inc., Legall Holdings, Inc. and My Healthy Access, Inc. (Order to Show Cause as to Legall Holdings, Inc., and My Healthy Access, Inc.) |
| 34-88124 | Feb. 5, 2020 | Gopi Krishna Vungarala (Order Extending Time to Issue Decision) |
| 34-88115 | Feb. 4, 2020 | Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Order Scheduling Briefs) |
| 34-88106 | Jan. 30, 2020 | LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order) |
| 34-88099 | Jan. 30, 2020 | Anpulo Food Development, Inc., et al. (Order Dismissing Proceeding as to Delta Oil & Gas, Inc.) |
| 34-88097 | Jan. 30, 2020 | Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. (Order Dismissing Proceeding as to Cellular Concrete Technologies, Inc.) |
| 34-88095 | Jan. 30, 2020 | Alphametrix Managed Futures LLC, et al. (Order Dismissing Proceeding as to APT Motovox Group, Inc.) |
| 34-88088 | Jan. 29, 2020 | Ceetop Inc. n/k/a S.Q. Hydrogen Power, Inc., China Internet Café Holdings Group, Inc. and Starlight Supply Chain Management Company (Order to Show Cause) |
| 34-88087 | Jan. 29, 2020 | Sweetwater Investing, Inc. and Thunor International, Inc. (Order to Show Cause) |
| 34-88086 | Jan. 29, 2020 | BCI Holding Inc., Bulova Technologies Group, Inc. and Omni Bio Pharmaceutical, Inc. (Order to Show Cause) |
| 34-88084 | Jan. 29, 2020 | Aramex International Limited (Order to Show Cause) |
| 34-88085 | Jan. 29, 2020 | Aroga Holding Corp., Global Sources Limited and United States Properties, Inc. (Order to Show Cause) |
| 34-88083 | Jan. 29, 2020 | ASN Satellites, Inc., et al. (Order to Show Cause) |
| 34-88082 | Jan. 29, 2020 | Fighton Succession Corporation and Grand Enterprises, Inc. (Order to Show Cause) |
| 34-88081 | Jan. 29, 2020 | BTHC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Order to Show Cause as to BTHC X, Inc.) |
| 34-88079 | Jan. 29, 2020 | Rolling Pin Kitchen Emporium, Inc. and Speed of Thought, Inc. (Order to Show Cause) |
| 34-88074 | Jan. 29, 2020 | Aurios Inc., et al. (Order Dismissing Proceeding Against Monar International, Inc.) |
| 34-88069 | Jan. 29, 2020 | Hydrogen Future Corporation, et al. (Order Dismissing Proceeding Against Liberty Energy Corp.) |
| 34-88068 | Jan. 29, 2020 | Guardian 8 Holdings, et al. (Order Dismissing Proceeding Against Verde Science, Inc.) |
| 34-88067 | Jan. 29, 2020 | Apptigo International, Inc., et al. (Order Dismissing Proceeding Against JD International Limited) |
| IA-5438 | Jan. 28, 2020 | Patrick L. O'connor (Order Regarding Status Reports) |
| IA-5437 | Jan. 28, 2020 | Jaswant Gill (Order to Show Cause) |
| 34-88065 | Jan. 28, 2020 | KJM Securities, Inc. (Order Scheduling Briefs) |
| 34-88060 | Jan. 28, 2020 | Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision) |
| 34-88053 | Jan. 27, 2020 | KJM Securities, Inc. (Order Denying Stay) |
| 34-88038 | Jan. 24, 2020 | Thomas Christophe Prentice (Order Severing Briefs) |
| 34-88032 | Jan. 24, 2020 | Consolidated Arbitration Applications (Order Severing Proceedings) |
| 34-88027 | Jan. 23, 2020 | Blair Edwards Olsen (Order Scheduling Briefs) |
| 33-10746 | Jan. 21, 2020 | John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88011, IA-5435, IC-33749 |
| 34-88010 | Jan. 21, 2020 | Newport Coast Securities, Inc. (Order Extending Time to Issue Decision) |
| 34-88006 | Jan. 17, 2020 | TMR Bayhead Securities, LLC (Opinion of the Commission) |
| 34-88001 | Jan. 16, 2020 | Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: AAER-4114 |
| 33-10744 | Jan. 15, 2020 | Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-87977; IC-33747 |
| IA-5433 | Jan. 14, 2020 | Mark J. Moskowitz (Order) |
| 33-10743 | Jan. 10, 2020 | Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-87944 |
| IA-5430 | Jan. 9, 2020 | Patrick L. O'Connor (Order Regarding Service) |
| 34-87920 | Jan. 9, 2020 | Carol J. Wayland (Order Regarding Service) |
| 34-87913 | Jan. 8, 2020 | Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision) |
| IA-5425 | Jan. 7, 2020 | Randall S. Goulding (Extension Order) |
| 34-87898 | Jan. 6, 2020 | William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision) |
| 34-87888 | Jan. 3, 2020 | Roman Sledziejowski (Order Regarding Service) |
| 34-87887 | Jan. 3, 2020 | Treehouse Real Estate Investment Trust (Order Requesting Additional Briefs) |