Administrative Proceedings

The Commission issued an order in pending Administrative Proceedings to encourage parties to file and serve documents electronically.

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

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SEC Administrative Proceedings RSS Feed

Release No.	Date	Respondents
Fourth Quarter
34-90716	Dec. 17, 2020	Jason Boling, CPA See also: Administrative Summary
33-10907	Dec. 17, 2020	Apex Global Brands Inc. and FKA Cherokee Inc. Other Release Nos.: 34-90714, AAER-4199 See also: Administrative Summary
34-90715	Dec. 17, 2020	Ronald Phillips, Esq.
34-90700	Dec. 17, 2020	Unikrn, Inc.
34-90699	Dec. 17, 2020	Mancera, et al. Other Release No.: AAER-4198 See also: Administrative Summary
34-90696	Dec. 17, 2020	Laksha Bohra Other Release No.: AAER-4197
34-90692	Dec. 16, 2020	Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
33-10906	Dec. 17, 2020	Robinhood Financial, LLC Other Release No.: 34-90694
34-90681	Dec. 16, 2020	Dentsply Sirona Inc. See also: Administrative Summary
33-10903	Dec. 14, 2020	Belden Inc. and Dennis Wiser, CPA Other Release Nos.: 34-90664, AAER-4196 See also: Administrative Summary
IA-5647	Dec. 14, 2020	Robert J. Lindner
34-90630	Dec. 10, 2020	Mark E. Watson III Other Release No.: AAER-4195 See also: Administrative Summary
34-90628	Dec. 10, 2020	Ravi Iyer Other Release No.: IC-34135
34-90625	Dec. 10, 2020	Bethany Liou and Golden California Regional Center, LLC See also: Distribution Plan (Corrected)
33-10899	Dec. 9, 2020	General Electric Company Other Release Nos.: 34-90620, AAER-4194
IA-5643	Dec. 9, 2020	ICE Data Pricing & Reference Data, LLC
33-10897	Dec. 8, 2020	Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLC Other Release No.: 34-90598 See also: Administrative Summary
33-10896	Dec. 8, 2020	BlueCrest Capital Management Limited Other Release No.: IA-5642
34-90585	Dec. 7, 2020	Bancwest Investment Services, Inc. Other Release No.: IA-5640 See also: Administrative Summary
34-90576	Dec. 7, 2020	Fiat Chrysler Automobiles N.V.
34-90566	Dec. 4, 2020	Parfait Mutimura Other Release No.: IA-5639
34-90564	Dec. 4, 2020	Rajesh Taneja
34-90565	Dec. 4, 2020	The Cheesecake Factory Incorporated
34-90545	Dec. 1, 2020	BitClave PTE, Ltd.
34-90508	Nov. 24, 2020	Craig Rumbaugh Other Release No.: IA-5634
34-90493	Nov. 23, 2020	Dougherty's Pharmacy, Inc.
34-90491	Nov. 23, 2020	Genesis Financial, Inc.
34-90489	Nov. 23, 2020	Zenergy Brands, Inc.
34-90487	Nov. 23, 2020	Computer Sciences Corporation, et al.
34-90483	Nov. 23, 2020	Fortress Investment Management, LLC, William M. Malloy, III See also: Distribution Plan
34-90465	Nov. 20, 2020	Petroleo Brasileiro and S.A. - Petrobras
34-90453	Nov. 18, 2020	Barclays Capital Inc.
34-90451	Nov. 18, 2020	VCAP Securities, LLC and Brett Thomas Graham
34-90436	Nov. 16, 2020	Nexus Enterprise Solutions, Inc. and N-Viro International Corporation
34-90413	Nov. 13, 2020	Benjamin F. Edwards & Company, Inc. Other Release No.: IA-5630
IA-5629	Nov. 13, 2020	Royal Alliance Associates, Inc.
34-90411	Nov. 13, 2020	American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. Other Release No.: IA-5628
IA-5627	Nov. 13, 2020	Securities America Advisors, Inc.
IA-5626	Nov. 13, 2020	Summit Financial Group, Inc.
33-10887	Nov. 13, 2020	John G. Stumpf
34-90377	Nov. 9, 2020	Progreen US, Inc.
34-90374	Nov. 9, 2020	Joshua Stephens-Anselm
34-90373	Nov. 6, 2020	Super Micro Computer, Inc.
34-90370	Nov. 6, 2020	Salvatore Ciccone
34-90369	Nov. 6, 2020	Frank G. Mueller Other Release No.: AAER-4193
34-90361	Nov. 5, 2020	Capitol Securities Management, Inc. Other Release No.: IA-5625
34-90360	Nov. 5, 2020	Michael J. Pires
34-90358	Nov. 5, 2020	Conrad A. Coggeshall Other Release No.: IA-5623
34-90349	Nov. 5, 2020	David F. Bandimere
34-90348	Nov. 5, 2020	Kroll Bond Rating Agency, LLC
34-90347	Nov. 5, 2020	Logitech International, S.A. Michael Doktorczyk and Sherralyn Bolles, CPA
34-90345	Nov. 4, 2020	Escondido Innovations, Inc.
34-90325	Nov. 3, 2020	Atlas Resources Series 33-2013 L.P.
34-90313	Nov. 2, 2020	Super Micro Computer, Inc. and Howard Hideshima
34-90295	Oct. 30, 2020	Alan D. Seidel
34-90285	Oct. 29, 2020	Bethany Liou and Golden California Regional Center, LLC
34-90281	Oct. 29, 2020	Steven L. Henning, CPA Other Release No.: AAER-4192
IA-5621	Oct. 26, 2020	An Application Filed Under Rule 193 of the Commission's Rules of Practice and Section 203(f) of the Investment Advisers Act On Behalf of Eric D. Wanger for Consent to Associate with Burling Acquisition Group, LLC
IA-5620	Oct. 26, 2020	Mohammed Ali Rashid
34-90268	Oct. 23, 2020	Cory Adam Leshner
33-10878	Oct. 23, 2020	Tradenet Capital Markets Ltd. d/b/a Tradenet
34-90254	Oct. 22, 2020	Vortex Blockchain Technologies Inc.
34-90259	Oct. 22, 2020	Norman T. Reynolds, Esq.
34-90258	Oct. 22, 2020	Mustafa David Sayid, Esq.
IA-5618	Oct. 22, 2020	Paul Horton Smith, Sr.
IA-5617	Oct. 22, 2020	EDG Management Company, LLC See also: Administrative Summary
34-90243	Oct. 22, 2020	The Goldman Sachs Group, Inc. Other Release No.: AAER-4191 *See Also:* Press Release No. 2020-265
34-90239	Oct. 21, 2020	Andrew Dale Ledbetter, Esq.
34-90238	Oct. 21, 2020	Andrew Dale Ledbetter, Esq.
34-90237	Oct. 21, 2020	Christian J. Baquerizo
34-90236	Oct. 21, 2020	Kevin Cardenas
34-90221	Oct. 19, 2020	Big Time Holdings, Inc.
34-90199	Oct. 15, 2020	Consorteum Holdings, Inc. and Coates International Ltd.
34-90208	Oct. 15, 2020	Andeavor LLC Other Release No.: AAER-4190
34-90188	Oct. 15, 2020	Bankrate, Inc. and Hyunjin Lerner, CPA See also: Distribution Plan
34-90187	Oct. 15, 2020	MVP Manager LLC
34-90175	Oct. 14, 2020	Token Communities Ltd.
34-90170	Oct. 14, 2020	J&F Investimentos, S.A., JBS, S.A., Joesley Batista, Wesley Batista Other Release No.: AAER-4189
34-90168	Oct. 14, 2020	Allen Garner Other Release No.: AAER-4188
34-90167	Oct. 14, 2020	Daniel O'Neal Other Release No.: AAER-4187
34-90166	Oct. 14, 2020	James DePalma, CPA Other Release No.: AAER-4186
34-90149	Oct. 9, 2020	Vitro Diagnostics, Inc.
33-10872	Oct. 8, 2020	Francis V. Lorenzo Other Release No.: 34-90110
34-90097	Oct. 6, 2020	Anthony Goldstein
34-90095	Oct. 6, 2020	Wells Fargo & Company
34-90090	Oct. 5, 2020	Gary S. Wykle a/k/a Gary S. Wyckel
34-90089	Oct. 5, 2020	Nicholas Tornello, CPA Other Release No.: AAER-4184
34-90550	Oct. 5, 2020	Phillip Timothy Howard, Esq. Other Release No.: IA-5605
34-90069	Oct. 1, 2020	Alejandro Cortes
Third Quarter
34-90061	Sep. 30, 2020	Meredith A. Simmons, Esq. Other Release Nos.: IA-5603, IC-34038 See also: Administrative Summary
33-10869	Sep. 30, 2020	Great Plains Trust Company, Inc. Other Release No.: IC-34037 See also: Administrative Summary
33-10868	Sep. 30, 2020	HP Inc. Other Release Nos.: 34-90060, AAER-4183
34-90052	Sep. 30, 2020	Hilton Worldwide Holdings Inc. Other Release No.: AAER-4182
34-90053	Sep. 30, 2020	Gerald Allan Eaton Other Release No.: IA-5600
34-90056	Sep. 30, 2020	Benjamin Durant, III Other Release No.: IA-5601
IA-5599	Sep. 30, 2020	Transamerica Asset Management, Inc. Other Release No.: IC-34035 See also: Administrative Summary
34-90051	Sep. 30, 2020	Milton J. Dosal, Jr.
33-10867	Sep. 30, 2020	BGC Partners, Inc. Other Release Nos.: 34-90050, AAER-4181 See also: Administrative Summary
33-10865	Sep. 30, 2020	Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc. See also: Administrative Summary
34-90047	Sep. 29, 2020	Vitro Diagnostics, Inc.
34-90046	Sep. 30, 2020	Morgan Stanley & Co. LLC
34-90041	Sep. 29, 2020	Players Network, Inc.
33-10863	Sep. 29, 2020	Michael Schneider, CPA Other Release Nos.: 34-90045, AAER-4180
33-10862	Sep. 29, 2020	Stephen Harrison Other Release Nos.: 34-90044, AAER-4179
33-10861	Sep. 29, 2020	Andrew Rooke Other Release Nos.: 34-90043, AAER-4178
33-10860	Sep. 29, 2020	Manitex International, Inc. Other Release Nos.: 34-90042, AAER-4177
34-90040	Sep. 29, 2020	Jeffrey Stebbins
34-90038	Sep. 29, 2020	Kroll Bond Rating Agency, LLC
34-90037	Sep. 29, 2020	Kroll Bond Rating Agency, LLC
34-90036	Sep. 29, 2020	Kroll Bond Rating Agency, LLC
IA-5598	Sep. 29, 2020	David C. Coggins
33-10858	Sep. 29, 2020	J.P. Morgan Securities LLC Other Release No.: 34-90035
34-90032	Sep. 28, 2020	Benjamin Mekawy
34-90031	Sep. 28, 2020	Fiat Chrysler Automobiles N.V.
34-90030	Sep. 28, 2020	Casimer Anthony Polanchek
34-90029	Sep. 28, 2020	Brian Buckley
34-90025	Sep. 28, 2020	Kanako Matsumoto, CPA Other Release No.: AAER-4176
33-10857	Sep. 28, 2020	Scott Eugene Bachman Other Release No.: 34-90028 See also: Administrative Summary
33-10856	Sep. 28, 2020	David Taylor Other Release No.: 34-90027 See also: Administrative Summary
33-10855	Sep. 28, 2020	Raymond Allan Fine Other Release No.: 34-90026 See also: Administrative Summary
IA-5597	Sep. 28, 2020	Gary Edward Haynes
33-10854	Sep. 28, 2020	Interface, Inc., et al. Other Release Nos.: 34-90018, AAER-4175
34-90017	Sep. 28, 2020	Fulton Financial Corporation Other Release No.: AAER-4174
34-90016	Sep. 25, 2020	Rachelle A. Thatcher
34-90015	Sep. 25, 2020	Christopher D. Bachinski
34-90014	Sep. 25, 2020	Creative Financial Designs, Inc. Other Release No.: IA-5596 See also: Administrative Summary
34-90013	Sep. 25, 2020	Dana J. Bradley
34-90012	Sep. 25, 2020	Big Time Holdings, Inc.
34-90011	Sep. 25, 2020	HK Apollo Motors Corporation
34-90010	Sep. 25, 2020	Lam D. Ha, CPA Other Release No.: AAER-4173 See also: Administrative Summary
34-90008	Sep. 25, 2020	James L. Thompson, CPA Other Release No.: AAER-4172 See also: Administrative Summary
34-90009	Sep. 25, 2020	Marlin S. Hershey
34-90006	Sep. 25, 2020	Leonardo Cornide and Jorge Falcon
34-90004	Sep. 25, 2020	Hancock Whitney Investment Services, Inc. Other Release No.: IA-5595 See also: Administrative Summary
34-90003	Sep. 25, 2020	Aeon Global Health Corp. Other Release No.: AAER-4171 See also: Administrative Summary
IA-5594	Sep. 25, 2020	Sabra Capital Partners, LLC and Zvi Rhine Other Release No.: IC-34028 See also: Administrative Summary
34-90002	Sep. 25, 2020	Funding the Gap, LLC and Irene P. Carroll See also: Administrative Summary
33-10853	Sep. 25, 2020	SoluTech, Inc. and Nathan Pitruzzello Other Release No.: 34-89999 See also: Administrative Summary
34-89997	Sep. 25, 2020	Precigen, Inc. (f/k/a Intrexon Corporation)
34-89992	Sep. 24, 2020	I-Wellness Marketing Group Inc.
34-89990	Sep. 24, 2020	Spring Pharmaceutical Group, Inc.
34-89988	Sep. 24, 2020	ID Perfumes, Inc.
34-89986	Sep. 24, 2020	DLD Group, Inc.
34-89985	Sep. 24, 2020	Custom Protection Services, Inc. (f/k/a PowerChannel, Inc.)
34-89981	Sep. 24, 2020	LegacyXChange, Inc.
IA-5593	Sep. 24, 2020	Finser International Corporation and Andrew H. Jacobus
33-10852	Sep. 24, 2020	Platinum Wealth Partners, Inc. and David L. Potter Other Release Nos.: IC-34027, IA-5592
34-89984	Sep. 24, 2020	Power Solutions International, Inc. Other Release No.: AAER-4169
34-89983	Sep. 24, 2020	James Vincent Marino Other Release No.: IA-5591
34-89980	Sep. 24, 2020	Emmanuel Kouyoumdjian a/k/a "Manny K"
34-89979	Sep. 24, 2020	Morgan Wilshire Securities, Inc. See also: Administrative Summary
33-10851	Sep. 24, 2020	Steven Rosen Other Release No.: IA-5590 See also: Administrative Summary
33-10850	Sep. 24, 2020	Bayerische Motoren Werke Aktiengesellschaft, BMW of North America, LLC and BMW US Capital, LLC
33-10849	Sep. 24, 2020	Michael Vernon Other Release No.: IA-5589 See also: Administrative Summary
34-89978	Sep. 24, 2020	HS3 Technologies, Inc.
33-10848	Sep. 23, 2020	Alan J. Kau Other Release No.: 34-89977 See also: Administrative Summary
33-10847	Sep. 23, 2020	Daniel C. Masters Other Release No.: 34-89976 See also: Administrative Summary
34-89975	Sep. 23, 2020	Jonestrading Institutional Services LLC See also: Administrative Summary
34-89966	Sep. 23, 2020	LHI Acquisition Corporation
34-89965	Sep. 23, 2020	TSLC I, Inc.
34-89959	Sep. 22, 2020	Vortex Blockchain Technologies Inc.
34-89957	Sep. 22, 2020	Core Lithium Corp.
34-89955	Sep. 22, 2020	International Leaders Capital Corporation
34-89953	Sep. 22, 2020	Genesis Financial, Inc.
34-89947	Sep. 22, 2020	Credit Suisse Securities (USA) LLC Other Release No.: IA-5587 See also: Administrative Summary
34-89961	Sep. 22, 2020	Eliseo Sampayo Other Release No.: IA-5588 See also: Administrative Summary
34-89951	Sep. 22, 2020	Stratabase
34-89950	Sep. 22, 2020	Travco, Inc.
34-89945	Sep. 21, 2020	Progreen US, Inc.
34-89943	Sep. 21, 2020	Integral Technologies, Inc.
34-89940	Sep. 21, 2020	Zenergy Brands, Inc.
34-89938	Sep. 21, 2020	HK eBus Corporation
34-89934	Sep. 21, 2020	A La Carte Charts Corp., Iron Sands Corp. and TOPAW, Inc.
34-89933	Sep. 21, 2020	Agora Holdings, Inc.
IA-5586	Sep. 21, 2020	Palmer Square Capital Management LLC Other Release No.: IC-34017 See also: Administrative Summary
34-89936	Sep. 21, 2020	Steven L. Jenkins, CPA Other Release No.: AAER-4168 See also: Administrative Summary
34-89935	Sep. 21, 2020	RCI Hospitality Holdings, Inc., Eric S. Langan and Phillip K. Marshall, CPA See also: Administrative Summary
IA-5585	Sep. 18, 2020	Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited See also: Administrative Summary
IA-5584	Sep. 18, 2020	Keyport Venture Advisors LLC, et al. See also: Administrative Summary
33-10844	Sep. 18, 2020	Loyal Source Market Services, et al.
33-10843	Sep. 18, 2020	Crest Radius, et al.
34-89922	Sep. 18, 2020	Tri Clean Enterprises Inc.
34-89921	Sep. 18, 2020	Ihealthcare, Inc.
34-89919	Sep. 18, 2020	The Miix Group, Incorporated
34-89918	Sep. 18, 2020	Perkins Oil & Gas, Inc.
34-89917	Sep. 18, 2020	Energy Conversion Services, Inc.
34-89916	Sep. 18, 2020	V3 Semiconductor, Inc.
34-89910	Sep. 17, 2020	The General Chemical Group Inc.
34-89908	Sep. 17, 2020	Players Network, Inc.
34-89906	Sep. 17, 2020	Ezy Cloud Holding, Inc.
34-89904	Sep. 17, 2020	Epoxy, Inc.
34-89914	Sep. 17, 2020	WCAS Management Corporation See also: Administrative Summary
IA-5583	Sep. 17, 2020	Steven Fitzgerald Brown
IA-5582	Sep. 17, 2020	Gilder Gagnon Howe & Co. LLC and Bonnie M. Haupt Other Release No.: IC-34014
34-89903	Sep. 17, 2020	Navian Capital Securities LLC and Robert P. Jenkins See also: Administrative Summary
34-89900	Sep. 17, 2020	Coordinated Capital Securities, Inc. Other Release No.: IA-5581 See also: Administrative Summary
34-89894	Sep. 16, 2020	ExeLED Holdings Inc.
34-89892	Sep. 16, 2020	Vape Holdings, Inc.
34-89887	Sep. 16, 2020	Smartag International, Inc.
34-89896	Sep. 16, 2020	David F. Bandimere
34-89890	Sep. 16, 2020	Source Media Inc.
34-89889	Sep. 16, 2020	Worldtek Corp. (f/k/a Lundell Technologies, Inc.)
34-89885	Sep. 16, 2020	Kenneth A. Stromsland
34-89882	Sep. 15, 2020	Steri-Oss, Inc.
34-89881	Sep. 15, 2020	Samdrew VII, Inc.
34-89873	Sep. 15, 2020	Alan Fraade
34-89872	Sep. 15, 2020	Frederick Mintz
33-10841	Sep. 15, 2020	Unikrn, Inc.
34-89861	Sep. 14, 2020	Henry Seth Brock, CPA Other Release No.: AAER-4167
IA-5580	Sep. 14, 2020	John Geraci
34-89853	Sep. 14, 2020	Quest Entertainment Corp.
34-89852	Sep. 14, 2020	Peaksoft Multinet Corp.
34-89851	Sep. 14, 2020	Life Critical Care Corporation
33-10839	Sep. 14, 2020	William W. Welsh Other Release Nos.: 34-89856, IC-34009 See also: Administrative Summary
33-10838	Sep. 14, 2020	Thomas Vigorito Other Release Nos.: 34-89855, IC-34008 See also: Administrative Summary
33-10837	Sep. 14, 2020	Roosevelt & Cross, Inc. Other Release No.: 34-89854 See also: Administrative Summary
34-89857	Sep. 14, 2020	Emin Cohen
34-89848	Sep. 11, 2020	William D. King, CPA Other Release Nos.: IA-5579, IC-34007 See also: Administrative Summary
33-10836	Sep. 11, 2020	Clifford Harris, Jr.
34-89843	Sep. 11, 2020	Steven D. Rodemer Other Release No.: IA-5577
34-89842	Sep. 11, 2020	Samdrew IX, Inc.
34-89841	Sep. 11, 2020	Royale Globe Holding Inc.
34-89840	Sep. 11, 2020	Reach Genetics, Inc.
34-89839	Sep. 11, 2020	Franklin Hill Acquisition Corporation
34-89838	Sep. 11, 2020	Escondido Innovations, Inc.
34-89837	Sep. 11, 2020	Clontech Laboratories, Inc. n/k/a Takara Bio USA, Inc.
34-89829	Sep. 11, 2020	Dominic Tropiano
34-89827	Sep. 10, 2020	American Blockchain Biochar Corporation
34-89821	Sep. 10, 2020	IHO-Agro International, Inc. n/k/a Grandwon Corp.
34-89816	Sep. 10, 2020	Craig P. Moyes See also: Administrative Summary
34-89815	Sep. 10, 2020	American Gene Engineer Corp.
34-89814	Sep. 10, 2020	Armada Enterprises, LP n/k/a BIM Homes, Inc.
34-89813	Sep. 10, 2020	Steven M Sexton
34-89812	Sep. 10, 2020	Gulf Biomedical Corporation n/k/a Southern Star Energy Corporation
34-89811	Sep. 10, 2020	GRG, Inc. n/k/a EFT Holdings, Inc.
34-89810	Sep. 10, 2020	G.I. Joe's, Inc.
34-89808	Sep. 10, 2020	Benaiah Holdings Group, Inc.
34-89807	Sep. 10, 2020	Awareness for Teens, Inc.
34-89806	Sep. 10, 2020	Atlas Resources Series 33-2013 L.P.
34-89805	Sep. 10, 2020	Krystal Industries, Inc.
34-89804	Sep. 10, 2020	Hollywood Entertainment Edu Holdings, Inc.
34-89803	Sep. 10, 2020	HD View 360, Inc.
IA-5576	Sep. 10, 2020	Graham, Bordelon and Golson & Gilbert, Inc.
IA-5575	Sep. 10, 2020	Dionne Van Zyl
34-89791	Sep. 9, 2020	AFH Acquisition IX, Inc.
34-89785	Sep. 8, 2020	Alexander S. Gould
IA-5574	Sep. 8, 2020	Alexander S. Gould Other Release No.: IC-34004 See also: Administrative Summary
IA-5573	Sep. 4, 2020	SQN Capital Management, LLC Other Release No.: AAER-4166 See also: Administrative Summary
34-89770	Sep. 4, 2020	Vereit, Inc.
34-89762	Sep. 3, 2020	Token Communities Ltd.
34-89761	Sep. 3, 2020	Cür Media, Inc., Crednology Holding Corporation (n/k/a Corptech Holding, Inc.)
IA-5571	Sep. 3, 2020	Signature Financial Services, Ltd. See also: Administrative Summary
33-10833	Sep. 3, 2020	Covalent Collective, Inc. See also: Administrative Summary
33-10832	Sep. 3, 2020	National Financial Services LLC Other Release Nos.: 34-89756, IA-5569 See also: Administrative Summary
33-10831	Sep. 3, 2020	FuelCell Energy, Inc. See also: Administrative Summary
IA-5570	Sep. 3, 2020	Vladislav Khalupsky
34-89758	Sep. 3, 2020	Wilmington Trust Corporation See also: Final Distribution Plan and Exhibits
34-89757	Sep. 3, 2020	Yue Li See also: Administrative Summary
34-89744	Sep. 2, 2020	Rorine International Holding Corporation
34-89742	Sep. 2, 2020	Unifunds Limited
34-89738	Sep. 2, 2020	Anton Senderov and Lior Barbazara
34-89755	Sep. 2, 2020	Bethany Liou and Golden California Regional Center, LLC See also: Proposed Distribution Plan Comments received are available for this plan. Submit Comments on 3-19597
34-89728	Sep. 1, 2020	Green Technology Solutions, Inc.
34-89726	Sep. 1, 2020	US VR Global.Com Inc.
34-89720	Sep. 1, 2020	Sean R. Stewart Other Release No.: IA-5567
34-89716	Aug. 31, 2020	Oncolix, Inc.
34-89714	Aug. 31, 2020	Northsight Capital Inc.
34-89711	Aug. 28, 2020	Bankrate, Inc. See also: Proposed Plan of Distribution *Comments due:* 30 days from date of this Notice Submit Comments on 3-16786
34-89708	Aug. 28, 2020	VEREIT, Inc.
34-89704	Aug. 28, 2020	Herbalife Nutrition Ltd. Other Release No.: AAER-4165
34-89702	Aug. 27, 2020	Grandbanc, Inc.
34-89701	Aug. 27, 2020	Affiliated Food Stores, Inc.
34-89698	Aug. 27, 2020	Terra Telecommunications Corp.
34-89697	Aug. 27, 2020	American Blockchain Biochar Corporation
34-89696	Aug. 27, 2020	Weedclub, Inc.
34-89695	Aug. 27, 2020	ERBA Diagnostics, Inc. and Eternity Healthcare, Inc.
34-89690	Aug. 27, 2020	Inventabiotech Inc.
34-89688	Aug. 27, 2020	ICTV Brands Inc.
34-89699	Aug. 27, 2020	Richard Barone
33-10828	Aug. 27, 2020	Christopher Barone Other Release Nos.: 34-89700, IC-33997
IA-5566	Aug. 27, 2020	Aldo Marchena
34-89687	Aug. 27, 2020	Vstock Transfer LLC See also: Administrative Summary
34-89681	Aug. 26, 2020	Forevergreen Worldwide Corporation
34-89680	Aug. 26, 2020	Spindle, Inc.
34-89677	Aug. 26, 2020	BorgWarner Inc. Other Release No.: AAER-4164
34-89665	Aug. 25, 2020	All Marketing Solutions, Inc.
34-89660	Aug. 25, 2020	Agora Holdings, Inc.
34-89658	Aug. 25, 2020	Charles Liang Other Release No.: AAER-4163
34-89657	Aug. 25, 2020	Howard Hideshima Other Release No.: AAER-4162
33-10822	Aug. 25, 2020	Super Micro Computer, Inc. Other Release Nos.: 34-89656, AAER-4161
34-89650	Aug. 25, 2020	Billion Holding Inc.
34-89649	Aug. 25, 2020	Celebiddy, Inc.
34-89648	Aug. 25, 2020	MC Informatics
34-89647	Aug. 24, 2020	Dale Tenhulzen
34-89644	Aug. 24, 2020	Digiliti Money Group, Inc.
34-89642	Aug. 24, 2020	THT Heat Transfer Technology, Inc.
IA-5564	Aug. 24, 2020	Patrick Morgan Schiro
34-89641	Aug. 21, 2020	Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
34-89637	Aug. 21, 2020	Consorteum Holdings, Inc. and Coates International Ltd.
34-89629	Aug. 21, 2020	Steven Pagartanis
34-89625	Aug. 20, 2020	Stephen Douglas Pizzuti Other Release No.: IA-5563
34-89624	Aug. 20, 2020	NPB Financial Group, LLC Other Release No.: IA-5562 See also: Administrative Summary
34-89588	Aug. 17, 2020	Devere USA, Inc. See also: Modified Plan of Distribution
34-89568	Aug. 14, 2020	Milan K. Patel, Esq.
34-89552	Aug. 13, 2020	Brian Dee Matlock, CPA Other Release No.: AAER-4159 See also: Administrative Summary
33-10818	Aug. 13, 2020	Garrett Gaylor Other Release No.: 34-89553 See also: Administrative Summary
IA-5560	Aug. 13, 2020	SCF Investment Advisors, Inc.
33-10817	Aug. 13, 2020	Kelvin Boon, LLC and Rajesh Pavithran Other Release No.: 34-89548
34-89529	Aug. 12, 2020	HypGen, Inc. and Lifestyle Medical Network, Inc.
34-89521	Aug. 11, 2020	Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel
34-89524	Aug. 11, 2020	Joshua Turney
34-89523	Aug. 11, 2020	Hector Perez
34-89522	Aug. 11, 2020	Barbara Desiderio
34-89517	Aug. 10, 2020	Nicholas Mejia Scrivener See also: Administrative Summary
34-89510	Aug. 10, 2020	Interactive Brokers LLC See also: Administrative Summary
IA-5558	Aug. 7, 2020	Rialto Capital Management, LLC
34-89501	Aug. 6, 2020	Wells Fargo & Company See also: Proposed Distribution Plan Comments received are available for this plan. Submit Comments on 3-19704
34-89489	Aug. 6, 2020	World Acceptance Corporation Other Release No.: AAER-4158
33-10816	Aug. 5, 2020	Scott M. Dittman, CPA Other Release No.: AAER-4157
34-89481	Aug. 5, 2020	WBI Investments, Inc. and Millington Securities, Inc. Other Release No.: IA-5557
34-89477	Aug. 5, 2020	Randolph Acquisitions, Inc.
34-89475	Aug. 4, 2020	Tommy Shek, CPA Other Release No.: AAER-4156
33-10812	Jul. 31, 2020	Tanya R. Carro, CPA Other Release Nos.: 34-89445, AAER-4155
33-10811	Jul. 31, 2020	Howard B. Schiller Other Release No.: 34-89444
33-10810	Jul. 31, 2020	J. Michael Pearson Other Release Nos.: 34-89443, AAER-4154
33-10809	Jul. 31, 2020	Valeant Pharmaceuticals International, Inc. and n/k/a Bausch Health Companies Inc. Other Release Nos.: 34-89442, AAER-4153
IA-5555	Jul. 31, 2020	Birinyi Associates, Inc. See also: Administrative Summary
34-89429	Jul. 30, 2020	Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc.
34-89407	Jul. 28, 2020	VALIC Financial Advisors, Inc. Other Release No.: IA-5551
34-89405	Jul. 28, 2020	VALIC Financial Advisors, Inc. Other Release No.: IA-5550
34-89404	Jul. 27, 2020	Celadon Financial Group LLC See also: Administrative Summary
34-89390	Jul. 23, 2020	Leonardo Cornide and Jorge Falcon
34-89383	Jul. 23, 2020	Morgan Stanley Smith Barney LLC
33-10806	Jul. 22, 2020	Carlos Renato Cano Other Release Nos.: 34-89380, IA-5548, IC-33944 See also: Administrative Summary
33-10805	Jul. 22, 2020	IRTH Communications, LLC and Andrew Haag See also: Administrative Summary
34-89352	Jul. 21, 2020	Edmond Leung See also: Administrative Summary
34-89350	Jul. 21, 2020	Joseph Zhang See also: Administrative Summary
34-89348	Jul. 20, 2020	UBS Financial Services Inc.
34-89347	Jul. 20, 2020	John J. Marvin Other Release No.: IA-5546
34-89346	Jul. 20, 2020	William S. Costas Other Release No.: IA-5545
34-89345	Jul. 20, 2020	Merlyn Curt Geisler
34-89336	Jul. 17, 2020	Jack Alan Abramoff
34-89333	Jul. 16, 2020	Weatherford International PLC, et al.
34-89332	Jul. 16, 2020	Robert Russel Tweed Other Release No.: IA-5542
IA-5543	Jul. 16, 2020	First Western Capital Management Company See also: Administrative Summary
IA-5541	Jul. 16, 2020	Dionne Van Zyl
34-89326	Jul. 15, 2020	Paul J. Konigsberg Other Release No.: AAER-4152
33-10802	Jul. 14, 2020	Abetterfinancialplan.Com, LLC, d/b/a a Better Financial Plan and Dean J. Vagnozzi Other Release No.: 34-89318 See also: Administrative Summary
IA-5540	Jul. 14, 2020	Temenos Advisory, Inc.
34-89314	Jul. 14, 2020	George L. Taylor Other Release No.: IA-5539
34-89300	Jul. 13, 2020	World Moto, Inc.
34-89298	Jul. 13, 2020	Wonhe High-Tech International, Inc.
34-89295	Jul. 13, 2020	Ultimate Products Corporation, et al.
34-89294	Jul. 13, 2020	Hidden Forest Acquisition Corp. and Global 2.0 Corporation
33-10801	Jul. 13, 2020	Plutus Financial Inc. d/b/a Abra and Plutus Technologies Philippines Corp. Other Release No.: 34-89296
34-89287	Jul. 10, 2020	Wilmington Trust Corporation See also: Distribution Plan Comments received are available for this proposed plan.
34-89278	Jul. 9, 2020	Sky Resort International Limited and Median Group, Inc. (f/k/a China Media Group Corporation)
34-89276	Jul. 9, 2020	Trans-Pacific Aerospace Company and Inc. and Vertical Computer Systems, Inc.
34-89284	Jul. 9, 2020	EliteSoft Global Inc. and Capital Access Point 1, Inc.
34-89283	Jul. 9, 2020	Aspen Marine Group Inc. and Biocircuits Corporation
34-89280	Jul. 9, 2020	Synthonics Technologies, Inc.
IA-5536	Jul. 9, 2020	Benjamin Alderson
IA-5535	Jul. 9, 2020	BNB Wealth Management, LLC
34-89253	Jul. 8, 2020	Spotlight Innovation Inc. and Tempus Applied Solutions Holdings, Inc.
34-89251	Jul. 8, 2020	Sirrus Corp. and Sinorama Corporation
34-89249	Jul. 8, 2020	Yong (Michael) Chen
34-89245	Jul. 7, 2020	Protalex, Inc. and Provision Holding, Inc.
34-89243	Jul. 7, 2020	Cür Media, Inc. and Crednology Holding Corporation (n/k/a Corptech Holding, Inc.)
34-89231	Jul. 6, 2020	Notis Global, Inc. and Nexus Biopharma, Inc.
34-89229	Jul. 6, 2020	Hypgen, Inc. and Lifestyle Medical Network, Inc.
34-89223	Jul. 6, 2020	Orthofix International N.V.
34-89221	Jul. 6, 2020	Ralph C. Greaves, Esq.
IA-5531	Jul. 2, 2020	Franklin Advisers and Inc. and Franklin Templeton Investments Corp. Other Release No.: IC-33919 See also: Administrative Summary
33-10797	Jul. 2, 2020	Michael D. Tannen Other Release Nos.: 34-89215, IC-33918 See also: Administrative Summary
34-89214	Jul. 2, 2020	Alexion Pharmaceuticals, Inc. Other Release Nos.: AAER-4151
34-89210	Jul. 1, 2020	Gilla, Inc. and Evergreen-Agra Global Investments, Inc.
34-89208	Jul. 1, 2020	ERBA Diagnostics, Inc. and Eternity Healthcare, Inc.
IA-5530	Jul. 1, 2020	Neil Burkholz
33-10796	Jul. 1, 2020	David Rumsey See also: Administrative Summary
Second Quarter
34-89204	Jun. 30, 2020	Eos Petro, Inc. and eFleets Corporation
34-89201	Jun. 30, 2020	Morgan Stanley, Co. LLC; Morgan Stanley Abs Capital I Inc; and Morgan Stanley Mortgage Capital Holdings LLC See also: Distribution Plan
34-89200	Jun. 30, 2020	Apex Fund Services (Us), Inc.
34-89198	Jun. 30, 2020	Cyclone Power Technologies, Inc. and Ecolocap Solutions, Inc.
IA-5529	Jun. 30, 2020	Frank Bianco
34-89195	Jun. 30, 2020	UBS Financial Services Inc. of Puerto Rico
33-10795	Jun. 30, 2020	Potamus Trading LLC and Eric J. Pritchett Other Release Nos.: 34-89190, IC-33915 See also: Administrative Summary
33-10794	Jun. 30, 2020	Michelle Dipp Other Release Nos.: 34-89187 See also: Administrative Summary
34-89183	Jun. 29, 2020	Consorteum Holdings, Inc. and Coates International Ltd.
34-89181	Jun. 29, 2020	Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc.
34-89178	Jun. 29, 2020	Dandan Wu
34-89177	Jun. 29, 2020	BNP Paribas Securities Corp. See also: Administrative Summary
34-89171	Jun. 29, 2020	John Christopher Polit Other Release No.: IA-5528
IA-5527	Jun. 26, 2020	Gregory Alan Smith
34-89159	Jun. 25, 2020	Dain F. Stokes Other Release No.: IA-5526
34-89149	Jun. 25, 2020	Novartis AG Other Release No.: AAER-4150
34-89144	Jun. 24, 2020	Michael Douglas Billings and Mdb Group, LLC
34-89143	Jun. 24, 2020	SG Americas Securities, LLC
34-89139	Jun. 24, 2020	Todd H. Lahr, Esq.
33-10793	Jun. 23, 2020	Vereit, Inc. Other Release Nos.: 34-89133, AAER-4149 See also: Administrative Summary
34-89135	Jun. 23, 2020	Trinity Capital Corporation
34-89113	Jun. 22, 2020	BKS Advisors LLC
34-89112	Jun. 22, 2020	Visium Asset Management, LP
34-89111	Jun. 22, 2020	Matthew Ledvina, Esq.
34-89096	Jun. 18, 2020	Harbour Investments, Inc.
34-89094	Jun. 18, 2020	Diane J. Harrison, Esq.
IA-5524	Jun. 17, 2020	Sultan S. Issa
34-89078	Jun. 16, 2020	Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr. Other Release Nos.: IA-5523, IC-33895 See also: Administrative Summary
IA-5522	Jun. 16, 2020	Richard T. Diver
IA-5520	Jun. 12, 2020	Louis Navellier and Navellier & Associates, Inc.
34-89044	Jun. 11, 2020	ChatAND, Inc., DTS8 Coffee Company, Ltd. and Greenfield Farms Food, Inc.
34-89023	Jun. 5, 2020	Jana Faith Kiena, CPA Other Release No.: AAER-4147 See also: Administrative Summary
IA-5519	Jun. 5, 2020	Douglas Leighton
34-89025	Jun. 5, 2020	Jeremy A. Licht d/b/a JL Capital Management
34-89024	Jun. 5, 2020	Fifth Street Management, LLC
34-89021	Jun. 5, 2020	Tamara Steele Other Release No.: IA-5516
34-89013	Jun. 4, 2020	Train and Babcock Advisors LLC
34-89009	Jun. 4, 2020	Argo Group International Holdings, Ltd. Other Release No.: AAER-4146
34-88998	Jun. 3, 2020	Christopher D. Larson (CPA) Other Release No.: AAER-4145
33-10789	Jun. 2, 2020	William Vescio Other Release Nos.: 34-88996, IA-5515 See also: Administrative Summary
34-88991	Jun. 2, 2020	Todd A. Esh Other Release No.: IA-5514
34-88976	Jun. 1, 2020	U.S. Bancorp Investments, Inc. Other Release No.: IA-5513
IA-5512	May 29, 2020	Oxbow Advisors, LLC
34-88969	May 28, 2020	Morgan Stanley Smith Barney LLC
33-10788	May 28, 2020	BitClave PTE Ltd.
34-88965	May 28, 2020	Gibraltar Global Securities, Inc.
34-88964	May 28, 2020	Fieldstone Financial Management Group, LLC and Kristofor R. Behn
34-88963	May 28, 2020	Focus Media Holding Limited and Jason Jiang
IA-5511	May 27, 2020	Syed Arham Arbab
34-88962	May 27, 2020	Warren A. Davis
34-88951	May 26, 2020	Robert C. Weaver, Jr., Esq.
IA-5510	May 26, 2020	Ares Management LLC
34-88941	May 26, 2020	William Andrew Hightower Other Release No.: IA-5509
34-88937	May 22, 2020	Robert Gilbert
34-88936	May 22, 2020	Paul Ewer
34-88935	May 22, 2020	American Realty Funds Corporation
IA-5508	May 22, 2020	TSP Capital Management Group, LLC Other Release No.: AAER-4144 See also: Administrative Summary
34-88931	May 21, 2020	Nicholas Fleming aka "Nick Franklin"
34-88921	May 21, 2020	Wells Fargo & Company
34-88920	May 21, 2020	Visium Asset Management, LP
34-88919	May 21, 2020	Devere USA, Inc.
34-88897	May 18, 2020	John Donovan, CPA Other Release No.: AAER-4143
34-88896	May 18, 2020	Michael Bellach, CPA Other Release No.: AAER-4142
34-88895	May 18, 2020	Timothy Daly, CPA Other Release No.: AAER-4141
34-88880	May 15, 2020	Morningstar Credit Ratings, LLC
34-88865	May 14, 2020	Ronald D. Swanson Aka Ronald D. Swanson-Cerna
34-88862	May 13, 2020	Sergey Pustelnik a/k/a Serge Pustelnik
34-88864	May 13, 2020	1Globe Capital, LLC and Jiaqiang "Chiang" Li See also: Administrative Summary
IA-5502	May 12, 2020	Travis Laska
IA-5501	May 12, 2020	Stacy L. Beane
IA-5500	May 12, 2020	Justin N. Deckert
34-88860	May 12, 2020	Wallace Byers
34-88856	May 12, 2020	Morgan Stanley Smith Barney LLC Other Release No.: IA-5499
34-88855	May 11, 2020	Diane Kaylor
34-88849	May 11, 2020	Equinox Fund Management, LLC
34-88847	May 11, 2020	Mergenet Medical, Inc., et al.
34-88848	May 11, 2020	Lawrence E. Hagedorn Other Release No.: IA-5498
33-10783	May 6, 2020	Bloomberg Tradebook LLC Other Release No.: 34-88830
IA-5497	May 5, 2020	Barry R. Bekkedam
34-88808	May 5, 2020	Jeffery A. Curran, CA Other Release No.: AAER-4138
34-88804	May 4, 2020	Pennant Management, Inc.
34-88797	May 1, 2020	Wendy Lieberman Kirkland, et al. Other Release Nos.: IA-5494, IC-33860
34-88791	May 1, 2020	Todd H. Takeyasu, CA Other Release No.: AAER-4134
33-10779	Apr. 30, 2020	American Bondholders Foundation, LLC and Jonna Bianco
33-10778	Apr. 30, 2020	Wei Duan Other Release No.: 34-88781 See also: Administrative Summary
IA-5491	Apr. 30, 2020	Everest Capital LLC and Marko Dimitrijevic See also: Administrative Summary
34-88784	Apr. 30, 2020	Jerry E. Orellana Other Release No.: IA-5492 See also: Administrative Summary
34-88780	Apr. 30, 2020	Portfolio Advisors Alliance, Inc.
IA-5490	Apr. 30, 2020	Monsoon Capital, LLC and Gautam Prakash Other Release No.: IC-33858 See also: Administrative Summary
34-88779	Apr. 30, 2020	Wilmington Trust Corporation
34-88777	Apr. 30, 2020	Leonardo Cornide and Jorge Falcon
34-88773	Apr. 29, 2020	Lee C. Schlesinger
34-88763	Apr. 28, 2020	William M. Aisenberg, CPA (Corrected) Other Release No.: AAER-4132
34-88762	Apr. 28, 2020	Ross, Sinclaire & Associates, LLC and Murray Sinclaire, Jr.
IA-5489	Apr. 28, 2020	Semper Capital Management, L.P. Other Release No.: IC-33856 See also: Administrative Summary
34-88751	Apr. 27, 2020	Anthony C. Ciccone
34-88747	Apr. 24, 2020	Jeffrey G. Klein
34-88739	Apr. 24, 2020	PLS, CPA, et al. (Corrected) Other Release No.: AAER-4131 See also: Administrative Summary
33-10777	Apr. 24, 2020	RBC Capital Markets LLC Other Release Nos.: 34-88745, IA-5487 See also: Administrative Summary
34-88744	Apr. 24, 2020	Biltmore International Corporation See also: Administrative Summary
34-88733	Apr. 23, 2020	Great Basin Scientific, Inc.
34-88732	Apr. 23, 2020	Stephen Douglas Pizzuti Other Release No.: IA-5486
34-88731	Apr. 22, 2020	Elliot R. Berman, CPA Other Release No.: AAER-4130
IA-5485	Apr. 22, 2020	Monomoy Capital Management, L.P. See also: Administrative Summary
IA-5484	Apr. 22, 2020	N. Scott Gillis, CPA Other Release No.: AAER-4126
IA-5483	Apr. 22, 2020	Brian A. Oliver
IA-5482	Apr. 22, 2020	Robert J. Jesenik
34-88724	Apr. 22, 2020	Brian M. Storms Other Release No.: AAER-4129
34-88723	Apr. 22, 2020	Kenneth D. Shifrin, CPA Other Release No.: AAER-4128
33-10775	Apr. 22, 2020	Brian L. Ferdinand Other Release Nos.: 34-88720, AAER-4127
34-88695	Apr. 20, 2020	Axiom Corp., et al.
IA-5480	Apr. 17, 2020	Eagle Strategies LLC
IA-5479	Apr. 17, 2020	Merrill Lynch, Pierce and Fenner & Smith, Incorporated
IA-5478	Apr. 17, 2020	Old Ironsides Energy, LLC, See also: Administrative Summary
IA-5477	Apr. 17, 2020	Cozad Asset Management, Inc.
34-88686	Apr. 17, 2020	Brian Robert Sodi, CPA Other Release No.: AAER-4125
34-88680	Apr. 17, 2020	James Arthur Young III Other Release No.: IA-5481
34-88679	Apr. 17, 2020	Eni S.p.A. Other Release No.: AAER-4124 See also: Administrative Summary
34-88662	Apr. 16, 2020	Boenning & Scattergood, Inc., Craig Burdulis and Brian Gillespie
34-88659	Apr. 16, 2020	Miranda Suen, CPA Other Release No.: AAER-4123
34-88653	Apr. 15, 2020	Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP Other Release No.: AAER-4122
34-88652	Apr. 15, 2020	Anthony Vassallo
34-88651	Apr. 15, 2020	Sergio Ramirez
34-88650	Apr. 15, 2020	Ronald Hardy
34-88635	Apr. 14, 2020	Attis Industries, Inc.
34-88597	Apr. 8, 2020	Fortress Investment Management, LLC, and William M. Malloy, III
34-88588	Apr. 8, 2020	Fortress Investment Management, LLC, and William M. Malloy, III
34-88598	Apr. 8, 2020	Sica Wealth Management, LLC and Jeffrey C. Sica
IA-5474	Apr. 7, 2020	Geoffrey J. Thompson
34-88567	Apr. 6, 2020	Cantor Fitzgerald & Co.
34-88544	Apr. 2, 2020	Cybrdi, Inc.
IA-5471	Apr. 1, 2020	Adam Matthew Root
First Quarter
34-88529	Mar. 31, 2020	Donald J. Fowler
34-88510	Mar. 30, 2020	Augustine Capital Management, et al.
34-88506	Mar. 27, 2020	Bryan Cohen
34-88498	Mar. 27, 2020	Benjamin Kirkland
34-88489	Mar. 26, 2020	Endless Charge, Inc.
34-88480	Mar. 26, 2020	PositiveID Corporation
34-88463	Mar. 24, 2020	Anthony B. Brandel and M.Y. Consultants, Inc.
IA-5468	Mar. 24, 2020	Nicholas J. Genovese
34-88454	Mar. 23, 2020	EZTD Inc.
34-88453	Mar. 23, 2020	Wells Fargo & Company
34-88452	Mar. 23, 2020	Devere USA, Inc. See also: Distribution Plan Comments received are available for this proposed plan.
34-88442	Mar. 20, 2020	Bethany Liou and Golden California Regional Center, LLC
34-88432	Mar. 20, 2020	Ronald Emma, CPA Other Release No.: AAER-4120
34-88430	Mar. 19, 2020	Magnachip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
34-88423	Mar. 19, 2020	Gerald C. Parker
34-88395	Mar. 16, 2020	Wilmington Trust Corporation
34-88388	Mar. 16, 2020	Marcus Boggs Other Release No.: IA-5465
34-88387	Mar. 16, 2020	HSBC Securities (USA) Inc. Other Release No.: IA-5464 See also: Administrative Summary
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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