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.

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Administrative Proceedings Table

Respondents
Date: Respondents:
Efren Norberto Quiroz Gardea
Release No. 34-100019
File Number: 3-21922
Date: Respondents:
Luis Ricardo Quiroz Gardea
Release No. 34-100018
File Number: 3-21921
Date: Respondents:
Mark Korb, CA
Release No. 34-100007, AAER-4498
File Number: 3-21920
Date: Respondents:
William E. Miller
Release No. IA-6594
File Number: 3-21919
Date: Respondents:
LM Global Investments LLC, d/b/a Fratarcangeli Wealth Management and Jeffrey M. Fratarcangeli
Release No. IA-6593
See Also: Administrative Summary
File Number: 3-21918
Date: Respondents:
Mark Borden
Release No. 34-99985
File Number: 3-21917
Date: Respondents:
FCA US LLC and Fiat Chrysler Automobiles N.V.
Release No. 34-99967
File Number: 3-19541
Date: Respondents:
Scott Lindell
Release No. IA-6591
File Number: 3-21916
Date: Respondents:
Centaurus Financial, Inc., Ricky A. Mantei and Atul Makharia
Release No. 34-99966
See Also: Proposed Distribution of Plan
File Number: 3-21295
Date: Respondents:
Exchange Traded Managers Group LLC, et al.
Release No. 34-99958
File Number: 3-21542
Date: Respondents:
Wayzata Investment Partners LLC
Release No. IA-6590
See Also: Administrative Summary
File Number: 3-21914
Date: Respondents:
Luis F. Serrano
Release No. 34-99953
File Number: 3-21913
Date: Respondents:
Julio Eduardo Taffinder
Release No. 34-99952
File Number: 3-21907
Date: Respondents:
Hayden F. Greene
Release No. 34-99948
File Number: 3-21908
Date: Respondents:
Petroteq Energy, Inc.; Aleksandr Blyumkin
Release No. 33-11281, 34-99947
File Number: 3-20898
Date: Respondents:
Bradesco Global Advisors Inc.
Release No. IA-6589
File Number: 3-21912
Date: Respondents:
Credicorp Capital Advisors LLC
Release No. IA-6588
File Number: 3-21911
Date: Respondents:
Monex Asset Management, Inc.
Release No. IA-6587
File Number: 3-21910
Date: Respondents:
InSight Securities, Inc.
Release No. IA-6586
File Number: 3-21909
Date: Respondents:
Gea Sphere, LLC
Release No. IA-6585, IC-35170
File Number: 3-21906
Date: Respondents:
Scott T. Wolfrum and Tyler C. Sadek
Release No. 34-99945
See Also: Plan of Distribution
File Number: 3-20252, 3-20253
Date: Respondents:
Laurence I. Balter d/b/a Oracle Investment Research
Release No. 34-99944
File Number: 3-17614
Date: Respondents:
Sparkster, Ltd. and Sajjad Daya
Release No. 34-99942
File Number: 3-21103
Date: Respondents:
MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA
Release No. 34-99941
File Number: 3-17956
Date: Respondents:
MBG Holdings, Inc. (f/k/a American Metals Recovery and Recycling, Inc.)
Release No. 34-99936
File Number: 3-21877
Date: Respondents:
American CryoStem Corporation
Release No. 34-99933
File Number: 3-21863
Date: Respondents:
Gil Friedman
Release No. 34-99930, AAER-4497
File Number: 3-21905
Date: Respondents:
Joseph Young
Release No. 34-99928
File Number: 3-21904
Date: Respondents:
Michael Sapraicone
Release No. 34-99927
File Number: 3-21903
Date: Respondents:
Anthony Manna
Release No. 34-99926
File Number: 3-21902
Date: Respondents:
Miller Energy Resources, Inc., et al.
Release No. 34-99904
See Also: Plan of Distribution
File Number: 3-16729
Date: Respondents:
Ronald M. Heineman
Release No. 34-99903
File Number: 3-21901
Date: Respondents:
Brooge Energy Limited, Nicolaas Lammert Paardenkooper and Lina Saheb
Release No. 34-99901
File Number: 3-21816
Date: Respondents:
Claire P. Shaughnessy
Release No. 34-99900
File Number: 3-21836
Date: Respondents:
Eagle Bancorp, Inc.
Release No. 34-99899
See Also: Plan of Distribution
File Number: 3-20963
Date: Respondents:
Raymond Allan Fine and David Taylor
Release No. 34-99898
File Number: 3-20087, 3-20088
Date: Respondents:
Fieldman Rolapp & Associates, Inc. and Anna Sarabian
Release No. 34-99897
File Number: 3-21717
Date: Respondents:
Senvest Management, LLC
Release No. IA-6581
File Number: 3-21900
Date: Respondents:
Salomon Whitney LLC
Release No. 34-99896
See Also: Order Instituting Proceedings
File Number: 3-21762
Date: Respondents:
Chatham Asset Management, LLC and Anthony Melchiorre
Release No. 34-99895
File Number: 3-21355
Date: Respondents:
Thomas Brenner
Release No. 34-99894, IA-6580
File Number: 3-21899
Date: Respondents:
Aon Investments USA Inc. Fka Aon Hewitt Investment Consulting, Inc.
Release No. 34-99886
File Number: 3-21837
Date: Respondents:
David P. Grzan
Release No. 34-99882
File Number: 3-21898
Date: Respondents:
Ellen McCarthy
Release No. 34-99832
See Also: Administrative Summary
File Number: 3-21897
Date: Respondents:
Unikrn, Inc.
Release No. 34-99779
See Also: Amended Proposed Distribution Plan
File Number: 3-20003
Date: Respondents:
Imran Parekh
Release No. 34-99764
File Number: 3-21896
Date: Respondents:
VOSB Acquisition Corp. I
Release No. 34-99756
File Number: 3-21868
Date: Respondents:
Global Predictions, Inc.
Release No. IA-6574
File Number: 3-21895
Date: Respondents:
Delphia (USA) Inc.
Release No. IA-6573
File Number: 3-21894
Date: Respondents:
Geluk Capital Management Ltd. and Douglas Gerald Fathers
Release No. 34-99720
See Also: Proposed Distribution Plan
Comments Due:

30 days from date of this Notice
Submit Comments on: Notice of Proposed Plan of Distribution and Opportunity for Comment
File Number: 3-20906
Date: Respondents:
Daniel Investments Associates, LLC and Gregory D. Van Wyk
Release No. 34-99711
File Number: 3-20211
Date: Respondents:
Skechers U.S.A., Inc.
Release No. 34-99693
File Number: 3-21893
Date: Respondents:
Momentus, Inc., et al.
Release No. 34-99688
See Also: Plan of Distribution
File Number: 3-20393
Date: Respondents:
3D/L Capital Management, LLC
Release No. IA-6568
See Also: Adminsitrative Summary
File Number: 3-21892
Date: Respondents:
ShapeShift AG
Release No. 34-99676
See Also: Administrative Summary
File Number: 3-21891
Date: Respondents:
Gene Biotherapeutics, Inc. (f/k/a Taxus Cardium Pharmaceuticals Group, Inc.)
Release No. 34-99675
File Number: 3-21890
Date: Respondents:
Fovea Jewelry Holdings Ltd.
Release No. 34-99674
File Number: 3-21889
Date: Respondents:
Fearless Films, Inc.
Release No. 34-99673
File Number: 3-21888
Date: Respondents:
ESP Resources, Inc. (n/k/a Great Tang Bid Technology, Inc.)
Release No. 34-99672
File Number: 3-21887
Date: Respondents:
Hemant Agrawal
Release No. 34-99666
File Number: 3-21886
Date: Respondents:
Discovery Energy Corp.
Release No. 34-99661
File Number: 3-21885
Date: Respondents:
Colambda Technologies, Inc. (f/k/a New Century Resources Corporation)
Release No. 34-99660
File Number: 3-21884
Date: Respondents:
Louis Peter Goff
Release No. 34-99659, IA-6565
File Number: 3-21883
Date: Respondents:
Aryeh Goldstein
Release No. 34-99656
File Number: 3-21882
Date: Respondents:
HG Vora Capital Management, LLC
Release No. 34-99651
File Number: 3-21881
Date: Respondents:
MBG Holdings, Inc. (f/k/a American Metals Recovery and Recycling, Inc.)
Release No. 34-99648
File Number: 3-21877
Date: Respondents:
nDivision Inc.
Release No. 34-99649
File Number: 3-21878
Date: Respondents:
Edith Pardo Mehler, Esq.
Release No. 34-99650
File Number: 3-21879
Date: Respondents:
Clark Schaefer Hackett & Co.
Release No. 34-99638, AAER-4491
File Number: 3-21876
Date: Respondents:
Lordstown Motors Corp.
Release No. 33-11274, 34-99637, AAER-4490
File Number: 3-21875
Date: Respondents:
Global Wholehealth Partners Corporation
Release No. 34-99631
File Number: 3-21873
Date: Respondents:
Green Hygienics Holdings, Inc.
Release No. 34-99632
File Number: 3-21874
Date: Respondents:
HQDA Elderly Life Network Corp.
Release No. 34-99629
File Number: 3-21871
Date: Respondents:
Ionix Technology, Inc.
Release No. 34-99630
File Number: 3-21872
Date: Respondents:
Western Magnesium Corp.
Release No. 34-99628
File Number: 3-21870
Date: Respondents:
WedoTalk Inc.
Release No. 34-99627
File Number: 3-21869
Date: Respondents:
VOSB Acquisition Corp. I
Release No. 34-99626
File Number: 3-21868
Date: Respondents:
Newell Brands Inc. and Michael B. Polk
Release No. 34-99618
File Number: 3-21766
Date: Respondents:
Fluor Corporation, Jon Eric Best, James F. Brittain, Robin K. Chopra, CA, Bradley R. Scott, Kent N. Smith
Release No. 34-99617
File Number: 3-21610, 3-21612, 3-21613, 3-21614, 3-21615, 3-21616
Date: Respondents:
Edge Data Solutions, Inc.
Release No. 34-99616
File Number: 3-21867
Date: Respondents:
Ecco Auto World Corporation
Release No. 34-99615
File Number: 3-21866
Date: Respondents:
Cang Bao Tian Xia International Art Trade Center, Inc.
Release No. 34-99612
File Number: 3-21865
Date: Respondents:
Applied Minerals, Inc.
Release No. 34-99611
File Number: 3-21864
Date: Respondents:
American CryoStem Corporation
Release No. 34-99608
File Number: 3-21863
Date: Respondents:
ACCPAC International, Inc. (n/k/a Sage Software, Inc.)
Release No. 34-99607
File Number: 3-21862
Date: Respondents:
Dale Jay Engelhardt
Release No. 34-99605
File Number: 3-21861
Date: Respondents:
Centaurus Financial, Inc., Ricky A. Mantei and Atul Makharia
Release No. 34-99590
File Number: 3-21295
Date: Respondents:
Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb
Release No. 34-99589
File Number: 3-21816
Date: Respondents:
Maxwell Technologies, Inc., et al.
Release No. 34-99587
File Number: 3-18408
Date: Respondents:
Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
Release No. 34-99586
File Number: 3-11987
Date: Respondents:
UBS Financial Services Inc.
Release No. 34-99579
File Number: 3-20401
Date: Respondents:
Contrarian Capital Management, L.L.C.
Release No. 34-99578
See Also: Administrative Summary
File Number: 3-21860
Date: Respondents:
Christian Fernandez
Release No. 33-11271
See Also: Administrative Summary
File Number: 3-21858
Date: Respondents:
Andrew M. Komarow
Release No. 34-99560, IA-6561
File Number: 3-21859
Date: Respondents:
TIAA-CREF Individual & Institutional Services, LLC
Release No. 34-99549, IA-6559
File Number: 3-21856
Date: Respondents:
Van Eck Associates Corporation
Release No. IC-35132, IA-6560
File Number: 3-21857
Date: Respondents:
Rafael Vargas
Release No. IA-6558
File Number: 3-21855
Date: Respondents:
Credit Suisse Securities (USA) LLC and Sanford Michael Katz
Release No. 34-99541
File Number: 3-17899, 3-17900
Date: Respondents:
Poloniex, LLC
Release No. 34-99517
File Number: 3-20455
Date: Respondents:
Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies, Inc.,; J. Michael Pearson; Howard B. Schiller; and Tanya R. Carro, CPA
Release No. 34-99516
File Number: 3-19899, 3-19900, 3-19901, 3-19902
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