Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Date	Respondents
Date: Dec. 31, 2018	Respondents: Hertz Global Holdings, Inc. and the Hertz Corporation Release No. 33-10601, 34-84979, AAER-4012 See Also: Administrative Summary File Number: 3-18965
Date: Dec. 26, 2018	Respondents: Alexander C. Burns Release No. IA-5095 File Number: 3-18957
Date: Dec. 26, 2018	Respondents: Lightyear Capital LLC Release No. IA-5096 File Number: 3-18958
Date: Dec. 26, 2018	Respondents: ADT Inc. Release No. 34-84956, AAER-4009 File Number: 3-18955
Date: Dec. 26, 2018	Respondents: Nadel, Warren D. Release No. 34-84962, IA-5094 File Number: 3-17883
Date: Dec. 26, 2018	Respondents: Nutriband, Inc., Gareth Sheridan and Serguei Melnik Release No. 34-84964 File Number: 3-18956
Date: Dec. 26, 2018	Respondents: Walter John Dubiel Release No. 34-84968, IA-5097 File Number: 3-18959
Date: Dec. 26, 2018	Respondents: Jumper, John Sherman Release No. 34-84969, IA-5098 File Number: 3-18960
Date: Dec. 26, 2018	Respondents: Stephen T. Carbonella Release No. 34-84970, IA-5099 File Number: 3-18961
Date: Dec. 26, 2018	Respondents: Centrais Elétricas Brasileiras S.A. Release No. 34-84973, AAER-4010 See Also: Administrative Summary File Number: 3-18962
Date: Dec. 26, 2018	Respondents: Polycom, Inc. Release No. 34-84978, AAER-4011 See Also: Administrative Summary File Number: 3-18964
Date: Dec. 26, 2018	Respondents: New Global Energy, Inc. Release No. 34-84977 File Number: 3-18405
Date: Dec. 26, 2018	Respondents: JPMorgan Chase Bank, N.A. Release No. 33-10600 File Number: 3-18963
Date: Dec. 21, 2018	Respondents: Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, and Lawrence Randall “Randy” Hartley Release No. 34-84918 See Also: Administrative Summary File Number: 3-18952
Date: Dec. 21, 2018	Respondents: Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-84911, AAER-4005 File Number: 3-15168
Date: Dec. 21, 2018	Respondents: Aesoph, John J., CPA Bennett, Darren M., CPA Release No. 34-84912, AAER-4006 File Number: 3-15168
Date: Dec. 21, 2018	Respondents: Griffin, James P. Release No. 34-84915 File Number: 3-17848
Date: Dec. 21, 2018	Respondents: Riad, Mohammed Swanson, Kevin Timothy Release No. 34-84919, IA-5091, IC-33338 File Number: 3-15141
Date: Dec. 21, 2018	Respondents: Baccam, Patric Ken a/k/a Khanh Sengpraseuth Release No. 34-84922, IA-5092 File Number: 3-18276
Date: Dec. 21, 2018	Respondents: Timbervest, LLC Shapiro, Joel Barth Boden, Walter William Anthony, III Zell, Donald David, Jr. Jones, Gordon, II Release No. IA-5093, IC-33340 File Number: 3-15519
Date: Dec. 21, 2018	Respondents: Black Diamond Asset Management LLC Wilson, Robert Release No. IA-5088, IC-33335 File Number: 3-18099
Date: Dec. 21, 2018	Respondents: Lloyd, Paul Edward "Ed", Jr., CPA Release No. IA-5089, IC-33337 File Number: 3-16182
Date: Dec. 21, 2018	Respondents: BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan Kelly A., CPA Bedwell, Robert P., CPA Release No. 33-10594, 34-84910 File Number: 3-17104
Date: Dec. 21, 2018	Respondents: Anthony, Donald J., Jr. Chiappone, Frank H. Feldman, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C. Release No. 33-10595, 34-84913 File Number: 3-15514
Date: Dec. 21, 2018	Respondents: Crow, Michael W. Clug, Alexandre S. Aurum Mining, LLC Panam Terra, Inc. the Corsair Group, Inc. Release No. 33-10596, 34-84914, IC-33336 File Number: 3-16318
Date: Dec. 21, 2018	Respondents: Tod A. Ditommaso, Esq. Release No. 33-10597 File Number: 3-17550
Date: Dec. 21, 2018	Respondents: Natural Blue Resources, Inc. Cohen, James E. Corazzi, Joseph A Release No. 33-10598, 34-84916 File Number: 3-15974
Date: Dec. 21, 2018	Respondents: Duka, Barbara Release No. 33-10599, 34-84923, IC-33339 File Number: 3-16349
Date: Dec. 21, 2018	Respondents: Wealthfront Advisers, LLC and f/k/a Wealthfront, Inc. Release No. IA-5086 File Number: 3-18949
Date: Dec. 21, 2018	Respondents: Hedgeable, Inc. Release No. IA-5087 File Number: 3-18950
Date: Dec. 21, 2018	Respondents: Crowe Horwath LLP, Joseph C. Macina, CPA and Kevin V. Wydra, CPA Release No. 34-84920, AAER-4007 File Number: 3-18953
Date: Dec. 21, 2018	Respondents: Mitchell J. Rubin, CPA and Michael Bernstein, CPA Release No. 34-84921, AAER-4008 File Number: 3-18954
Date: Dec. 20, 2018	Respondents: Walter F. Grenda, Jr. Release No. IA-5080 See Also: Administrative Summary File Number: 3-18942
Date: Dec. 20, 2018	Respondents: Moskowitz, Mark J. Release No. IA-5081 File Number: 3-18943
Date: Dec. 20, 2018	Respondents: Sterling Global Strategies LLC Release No. IA-5085 File Number: 3-18948
Date: Dec. 20, 2018	Respondents: Golden Pig Ventures, Inc. Stoneleigh Acquisition Corp. Transcendent One Inc. (a/k/a Transcendent Inc.) Release No. 34-84878 File Number: 3-18749
Date: Dec. 20, 2018	Respondents: John T. Place Release No. 34-84885 File Number: 3-18944
Date: Dec. 20, 2018	Respondents: James S. Polese Release No. 34-84890, IA-5082 File Number: 3-18945
Date: Dec. 20, 2018	Respondents: Circle Star Energy Corp. Energy Holdings International, Inc. Release No. 34-84907 File Number: 3-18142
Date: Dec. 20, 2018	Respondents: Attitude Drinks Incorporated Core Resource Management, Inc. Maverick Minerals Corporation Panacea Global, Inc. Release No. 34-84908 File Number: 3-18079
Date: Dec. 20, 2018	Respondents: Kun De International Holdings, Inc. New Colombia Resources, Inc. Sutor Technology Group Limited Release No. 34-84909 File Number: 3-18169
Date: Dec. 20, 2018	Respondents: American Portfolios Advisors, Inc. Release No. IA-5083 File Number: 3-18946
Date: Dec. 20, 2018	Respondents: PPS Advisors, Inc and Lawrence Nicholas Passaretti Release No. IA-5084 File Number: 3-18947
Date: Dec. 19, 2018	Respondents: Central States Capital Markets, LLC Release No. 34-84851, IA-5078 See Also: Administrative Summary File Number: 3-18940
Date: Dec. 19, 2018	Respondents: Andrew F. Nicoletta, et al. Release No. 34-84876 File Number: 3-18941
Date: Dec. 18, 2018	Respondents: Chris D. Rosenthal Release No. 33-10587, 34-84841, IA-5076, IC-33328 See Also: Administrative Summary File Number: 3-18936
Date: Dec. 18, 2018	Respondents: Ancora Advisors LLC Release No. IA-5077 File Number: 3-18937
Date: Dec. 18, 2018	Respondents: Paul A. Margis Release No. 34-84849, AAER-4003 File Number: 3-18938
Date: Dec. 18, 2018	Respondents: Takeshi "Tyrone" Uonaga Release No. 34-84850, AAER-4004 File Number: 3-18939
Date: Dec. 17, 2018	Respondents: UBS Financial Services Inc. Release No. 34-84828, IA-5075 See Also: Administrative Summary File Number: 3-18931
Date: Dec. 17, 2018	Respondents: The Bank of New York Mellon Release No. 33-10586 File Number: 3-18933
Date: Dec. 17, 2018	Respondents: Santander Consumer USA Holdings Inc. Release No. 34-84829, AAER-4002 See Also: Administrative Summary File Number: 3-18932
Date: Dec. 17, 2018	Respondents: NB Alternatives Advisers LLC Release No. IA-5079 See Also: Administrative Summary File Number: 3-18935
Date: Dec. 13, 2018	Respondents: Carlos I. Uresti Release No. 34-84811 File Number: 3-18928
Date: Dec. 13, 2018	Respondents: Stanley P. Bates Release No. 34-84813 File Number: 3-18929
Date: Dec. 13, 2018	Respondents: Waddell & Reed, Inc., Waddell & Reed Investment Management Company and Waddell & Reed Services Company Release No. 34-84815 File Number: 3-12372
Date: Dec. 13, 2018	Respondents: Yucaipa Master Manager, LLC Release No. IA-5074 See Also: Administrative Summary File Number: 3-18930
Date: Dec. 12, 2018	Respondents: Kessler, Richard W. Release No. IA-5073 File Number: 3-18535
Date: Dec. 12, 2018	Respondents: Landaas & Company and Robert W. Landaas Release No. 34-84807, IA-5072 See Also: Administrative Summary File Number: 3-18926
Date: Dec. 12, 2018	Respondents: America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC and America Modern Green Residential (Houston) LLC Release No. 33-10584 File Number: 3-18927
Date: Dec. 11, 2018	Respondents: The Hain Celestial Group, Inc. Release No. 34-84781, AAER-3997 File Number: 3-18921
Date: Dec. 11, 2018	Respondents: Auscrete Corporation Release No. 34-84782, AAER-3998 File Number: 3-18922
Date: Dec. 11, 2018	Respondents: Eastgate Biotech Corporation Release No. 34-84783, AAER-3999 File Number: 3-18923
Date: Dec. 11, 2018	Respondents: Frontier Oilfield Services, Inc. Release No. 34-84784, AAER-4000 File Number: 3-18924
Date: Dec. 11, 2018	Respondents: Lotus Bio-Technology Development Corporation Release No. 34-84785, AAER-4001 File Number: 3-18925
Date: Dec. 11, 2018	Respondents: Teran, Alfred C. Release No. 34-84794, IC-33322 File Number: 3-18098
Date: Dec. 11, 2018	Respondents: Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.) Green Innovations Ltd. Red Giant Entertainment, Inc. Release No. 34-84798 File Number: 3-18480
Date: Dec. 11, 2018	Respondents: Medicus Homecare Inc. Release No. 34-84801 File Number: 3-18081
Date: Dec. 11, 2018	Respondents: Dearborn Bancorp, Inc. Greentech Mining International, Inc. Hoverink International Holdings, Inc. South West Coast Senior Living Corp. Release No. 34-84802 File Number: 3-18223
Date: Dec. 11, 2018	Respondents: AV Therapeutics, Inc. Balqon Corporation Empress Mining Inc. (f/k/a Penola, Inc.) Passport Potash, Inc. Release No. 34-84803 File Number: 3-18095
Date: Dec. 10, 2018	Respondents: MUFG Securities Americas Inc. Release No. 34-84758 File Number: 3-18914
Date: Dec. 10, 2018	Respondents: Citadel Securities LLC Release No. 34-84759 File Number: 3-18915
Date: Dec. 10, 2018	Respondents: Natixis Securities Americas LLC Release No. 34-84760 File Number: 3-18916
Date: Dec. 10, 2018	Respondents: Agria Corporation Release No. 34-84763, AAER-3996 File Number: 3-18917
Date: Dec. 10, 2018	Respondents: Lai Guanglin (Alan) Release No. 34-84764 File Number: 3-18918
Date: Dec. 10, 2018	Respondents: Hua Yang Investment Group, Inc. (a/k/a Tarheel Billboard, Inc.) Oil, TAMM and Gas Corp. Titan Oil & Gas, Inc. Release No. 34-84779 File Number: 3-18920
Date: Dec. 7, 2018	Respondents: CoinAlpha Advisors LLC Release No. 33-10582 File Number: 3-18913
Date: Dec. 6, 2018	Respondents: Taberna Capital Management, LLC, Michael Fralin and Raphael Licht Release No. 34-84725 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-16776/3-16776.htm Submit Comments on: 3-16776 File Number: 3-16776
Date: Dec. 4, 2018	Respondents: KCAP Financial, Inc. Release No. 34-84718, IC-33314, AAER-3995 See Also: Administrative Summary File Number: 3-18912
Date: Dec. 3, 2018	Respondents: Linkbrokers Derivatives LLC Release No. 34-84712 File Number: 3-16017
Date: Dec. 3, 2018	Respondents: Fifth Street Management, LLC Release No. 33-10581, 34-84713, IA-5070, IC-33312 See Also: Administrative Summary File Number: 3-18909
Date: Dec. 3, 2018	Respondents: John C. Maccoll Release No. 34-84715, IA-5071 File Number: 3-18911
Date: Nov. 30, 2018	Respondents: Ronald Wayne Nabors Release No. 34-84707, IA-5069 File Number: 3-18908
Date: Nov. 29, 2018	Respondents: Augustine Capital Management LLC (f/k/a Augustine Capital Management Inc.) Porter, John T. Duszynski, Thomas F. , CPA Release No. 34-84675 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: 3-17740 File Number: 3-17740
Date: Nov. 29, 2018	Respondents: Floyd Mayweather Jr. Release No. 33-10578 File Number: 3-18906
Date: Nov. 29, 2018	Respondents: Khaled Khaled Release No. 33-10579 File Number: 3-18907
Date: Nov. 29, 2018	Respondents: Colorstars Group Green Earth Technologies, Inc. Intellect Neurosciences, Inc. Jishanye, Inc. Release No. 34-84693 File Number: 3-18776
Date: Nov. 27, 2018	Respondents: Ricardo H. Goldman Release No. 34-84665 File Number: 3-18905
Date: Nov. 26, 2018	Respondents: Avant Diagnostics, Inc. ChitrChatr Communications, Inc. ROI Land Investments, Ltd. WORDLOGIC Corp. Release No. 34-84654 File Number: 3-18784
Date: Nov. 20, 2018	Respondents: Michael T. Gluk, CPA Release No. 34-84628 File Number: 3-18904
Date: Nov. 19, 2018	Respondents: Vantage Drilling International Release No. 34-84617, AAER-3994 See Also: Administrative Summary File Number: 3-18899
Date: Nov. 19, 2018	Respondents: Myers, Robert William, Jr. Release No. 34-84618 File Number: 3-18900
Date: Nov. 19, 2018	Respondents: Retirement Capital Strategies, Inc. Release No. IA-5065 See Also: Administrative Summary File Number: 3-18901
Date: Nov. 19, 2018	Respondents: Mark Hotton Release No. IA-5066 File Number: 3-18902
Date: Nov. 19, 2018	Respondents: eRoomSystem Technologies, Inc. Release No. 34-84625 File Number: 3-18903
Date: Nov. 16, 2018	Respondents: Paragon Coin, Inc. Release No. 33-10574 File Number: 3-18897
Date: Nov. 16, 2018	Respondents: CarrierEQ, Inc., d/b/a AirFox Release No. 33-10575 File Number: 3-18898
Date: Nov. 16, 2018	Respondents: Devere USA, Inc. Release No. 34-84607 File Number: 3-18527
Date: Nov. 16, 2018	Respondents: Visium Asset Management, LP Release No. 34-84608 File Number: 3-18473
Date: Nov. 16, 2018	Respondents: Apex Fund Services (Us), Inc. Release No. 34-84609 See Also: Amended Distribution Plan File Number: 3-17300