The Sec Secretary

Administrative Proceedings

  • William Wright, CPA

    Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions

    Nov 12, 2021 | 16:12 EST

  • Douglas A. Roth

    Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice

    Nov 10, 2021 | 13:48 EST

  • American Cryptofed DAO LLC

    Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934

    Nov 10, 2021 | 10:34 EST

  • Tommy Shek, CPA

    Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Independent Accountant

    Nov 09, 2021 | 15:17 EST

  • Pura Naturals, Inc.

    Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934

    Nov 09, 2021 | 09:30 EST

  • United States Commodity Funds LLC and United States Oil Fund, LP

    Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

    Nov 08, 2021 | 16:30 EST

  • Ryan Maasen

    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

    Nov 05, 2021 | 16:06 EST

  • BlueCrest Capital Management Limited

    Notice of Proposed Plan of Distribution and Opportunity for Comment

    Nov 02, 2021 | 18:30 EST

  • S&P Dow Jones Indices LLC

    Order Appointing Fund Administrator and Setting Administrator's Bond Amount

    Nov 02, 2021 | 17:10 EST

  • Elaine A. Dowling, Esq.

    Order Making Findings, and Imposing Remedial Sanctions Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e)(1)(Ii) of the Commission's Rules of Practice

    Nov 02, 2021 | 15:59 EST

  • Michael Margiotta

    Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

    Nov 02, 2021 | 15:59 EST

  • Online Disruptive Technologies, Inc.

    Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934

    Nov 02, 2021 | 09:30 EST

  • Keith A. Wakefield

    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

    Nov 01, 2021 | 17:49 EST

  • John Robert Jones, Jr.

    Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

    Nov 01, 2021 | 17:00 EST

  • Jaeson Birnbaum, Esq.

    Order Instituting Administrative Proceedings Pursuant to Rule Jaeson Birnbaum, Esq., Practice, Making Findings, and Imposing Remedial Sanctions

    Nov 01, 2021 | 16:23 EST

  • Rich Pharmaceuticals, Inc.

    Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Rich Pharmaceuticals, Inc.

    Nov 01, 2021 | 09:30 EST

  • Fixed Income Clearing Corporation

    Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 19(h) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

    Oct 29, 2021 | 08:30 EST

  • Howard S. Kleyman

    Order Instituting Administrative Proceedings Pursuant to Rule Howard S. Kleyman, Practice, Making Findings, and Imposing Remedial Sanctions

    Oct 28, 2021 | 16:55 EST

  • ATI Nationwide Holding Corp.

    Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Ati Nationwide Holding Corp.

    Oct 28, 2021 | 16:34 EST

  • Lexion Capital Management LP

    Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

    Oct 28, 2021 | 10:22 EST

  • David F. Bandimere

    Order Approving Plan of Distribution

    Oct 26, 2021 | 10:41 EST

  • Jason B. Rhodes

    Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

    Oct 22, 2021 | 11:01 EST

  • Disciplined Capital Management LLC

    Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

    Oct 20, 2021 | 11:29 EST

  • Sylios Corp.

    Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Sylios Corp.

    Oct 20, 2021 | 09:30 EST

  • Intelligent Highway Solutions, Inc.

    Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934

    Oct 20, 2021 | 09:30 EST

  • Credit Suisse Group AG

    Order Instituting Cease-And- Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

    Oct 19, 2021 | 13:00 EST

  • VTB Capital plc

    Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order

    Oct 19, 2021 | 13:00 EST

  • Securities America Advisors, Inc.

    Order Appointing Tax Administrator

    Oct 18, 2021 | 16:10 EST

  • Securities America Advisors, Inc.

    Extension Order

    Oct 18, 2021 | 16:10 EST

  • Life Science Holdings, Inc.

    Order Fixing Time and Place of Public Hearings and Instituting Administrative Proceedings Pursuant to Section 8(d) of the Securities Act of 1933

    Oct 15, 2021 | 17:04 EST

  • Amyris, Inc.

    Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order

    Oct 15, 2021 | 17:00 EST

  • Clifton Curtis Sneed, Jr.

    Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing

    Oct 15, 2021 | 14:12 EST

  • Kimberly L. Sredich

    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

    Oct 15, 2021 | 14:12 EST

  • OrangeHook, Inc.

    Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934

    Oct 15, 2021 | 09:30 EST

  • William D. King, CPA

    Order Appointing Tax Administrator

    Oct 14, 2021 | 15:57 EST

  • William D. King, CPA

    Extension Order

    Oct 14, 2021 | 15:57 EST

  • Laurence I. Balter d/b/a Oracle Investment Research

    Second Extension Order

    Oct 14, 2021 | 13:00 EST

  • Scott Eugene Bachman

    Order Appointing Tax Administrator

    Oct 14, 2021 | 10:20 EST

  • GTV Media Group, Inc., Saraca Media Group, Inc. and Voice of Guo Media, Inc.

    Order Appointing Tax Administrator

    Oct 14, 2021 | 10:20 EST

  • Ibrahim Almagarby

    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing

    Oct 13, 2021 | 17:01 EST

  • Robert J. Balunas

    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

    Oct 13, 2021 | 16:34 EST

  • FlatWorld Acquisition Corp.

    Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934

    Oct 13, 2021 | 09:30 EST

  • GeoPetro Resources Co.

    Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934

    Oct 05, 2021 | 09:30 EST

  • Chad Thomas Mackland

    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

    Sep 30, 2021 | 16:10 EST

  • Naseem Mohammed Salamah

    Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

    Sep 30, 2021 | 15:48 EST

  • Richard Vu Nguyen

    Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing

    Sep 30, 2021 | 15:27 EST

  • Adam Heimann, et al.

    Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

    Sep 30, 2021 | 15:27 EST

  • LPL Financial LLC

    Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

    Sep 30, 2021 | 15:27 EST

  • Spar Street

    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing

    Sep 30, 2021 | 13:35 EST

  • Victoria Chan, Esq.

    Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice

    Sep 30, 2021 | 11:00 EST

  • Redwood Wealth Management, LLC and Benjamin Lincoln

    Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

    Sep 30, 2021 | 09:48 EST

  • Robert D. Press

    Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

    Sep 30, 2021 | 09:29 EST

  • Donna M. Silverman

    Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

    Sep 30, 2021 | 09:29 EST

  • Soteira Capital, LLC; Derek Charles Clark; and Laura Santos

    Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders

    Sep 29, 2021 | 11:33 EST

  • Dane R. Roseman

    Order Instituting Administrative Proceedings Against Dane R. Roseman Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

    Sep 29, 2021 | 11:33 EST

  • ARC Group, Inc.

    Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934

    Sep 29, 2021 | 09:30 EST

  • Tradition Securities and Derivatives, LLC

    Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

    Sep 28, 2021 | 15:38 EST

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