ADDENDUM TO 

DIVISION OF ENFORCEMENT PRESS RELEASE

FISCAL YEAR 2021

A listing of the actions referenced in the table above is provided in the last section of this document.

FISCAL YEAR 2021 ENFORCEMENT CASES

LISTED BY PROGRAM AREA

Case 

Name

Type of 

Action

Release 

No.

Date 

Filed

BROKER-DEALER

In the Matter of Alejandro Cortes Follow-on Admin. Proc. 34-90069 10/01/20

In the Matter of Gary S. Wykle, a/k/a Gary S. Wyckel Follow-on Admin. Proc. 34-90090 10/05/20

In the Matter of Anthony Goldstein Follow-on Admin. Proc. 34-90097 10/06/20

In the Matter of Andrew Dale Ledbetter, Esq. Follow-on Admin. Proc. 34-90238 & 10/21/20

34-90239

In the Matter of Christian J. Baquerizo Follow-on Admin. Proc. 34-90237 10/21/20

In the Matter of Kevin Cardenas Follow-on Admin. Proc. 34-90236 10/21/20

SEC v. Alex Duain Forester, et al. Civil LR-24952 10/26/20

In the Matter of Alan D. Seidel Follow-on Admin. Proc. 34-90295 10/30/20

In the Matter of Conrad A. Coggeshall Follow-on Admin. Proc. 34-90358 11/05/20

In the Matter of Salvatore Ciccone Follow-on Admin. Proc. 34-90370 11/06/20

SEC v. Hughe Duwayne Graham, et al. Civil LR-24958 11/06/20

In the Matter of Joshua Stephens-Anselm Follow-on Admin. Proc. 34-90374 11/09/20

In the Matter of Benjamin F. Edwards & Company, Inc. Stand-alone Admin. Proc. 34-90413 11/13/20

In the Matter of American Portfolios Financial Services, Inc., et al. Stand-alone Admin. Proc. 34-90411 11/13/20

In the Matter of Rajesh Taneja Follow-on Admin. Proc. 34-90564 12/04/20

In the Matter of Ravi Iyer Stand-alone Admin. Proc. 34-90628 12/10/20

SEC v. Karina Chairez Civil LR-24986 12/15/20

In the Matter of Robinhood Financial, LLC Stand-alone Admin. Proc. 33-10906 12/17/20

In the Matter of Roger E. Dobrovodsky Follow-on Admin. Proc. 34-90724 12/18/20

In the Matter of Robert Todd Seth Follow-on Admin. Proc. 34-90725 12/18/20

In the Matter of John G. Wright, Jr. Stand-alone Admin. Proc. 34-90727 12/18/20

In the Matter of Cormark Securities, Inc. Stand-alone Admin. Proc. 34-90740 12/21/20

In the Matter of ITG Canada Corp., n/k/a Virtu ITG Canada Corp. Stand-alone Admin. Proc. 34-90741 12/21/20

SEC v. Global Investment Strategy UK, Ltd., et al. Civil LR-24996 12/22/20

In the Matter of Larry Louis Matyas Follow-on Admin. Proc. 34-90813 12/29/20

In the Matter of Christopher J. Ashby Follow-on Admin. Proc. 34-90844 01/04/21

In the Matter of Scott W. Beynon Follow-on Admin. Proc. 34-90845 01/04/21

In the Matter of Jordan S. Nelson Follow-on Admin. Proc. 34-90843 01/04/21

In the Matter of Kerry L. Hoffman Follow-on Admin. Proc. 34-90902 01/11/21

In the Matter of Thomas J. Robbins Follow-on Admin. Proc. 34-90920 01/14/21

In the Matter of Daniel J. Merriman Follow-on Admin. Proc. 34-90921 01/14/21

In the Matter of Richard Portillo, et al. Follow-on Admin. Proc. 34-90950 01/19/21

In the Matter of Anthony Todd Johnson Follow-on Admin. Proc. 34-91020 01/29/21

In the Matter of Green Bud Initiatives, LLC Follow-on Admin. Proc. 34-91022 01/29/21

In the Matter of Jeremy Johnson Follow-on Admin. Proc. 34-91021 01/29/21

In the Matter of Amogh Karney Follow-on Admin. Proc. 34-91026 02/01/21

In the Matter of Lightspeed Trading, LLC Stand-alone Admin. Proc. 33-10924 02/02/21

In the Matter of Anthony Killarney Follow-on Admin. Proc. 34-91099 02/10/21

In the Matter of David Correia Follow-on Admin. Proc. 34-91140 02/17/21

In the Matter of Craig A. Zabala Follow-on Admin. Proc. 34-91201 02/24/21

In the Matter of Allan L. Lundervold Follow-on Admin. Proc. 34-91209 02/25/21

In the Matter of Ross McLellan Follow-on Admin. Proc. 34-91243 03/02/21

In the Matter of Kevin Graetz Follow-on Admin. Proc. 34-91246 03/03/21

In the Matter of Jocelyn Murphy Follow-on Admin. Proc. 34-91270 03/05/21

In the Matter of Minish "Joe" Hede Follow-on Admin. Proc. 34-91289 03/10/21

In the Matter of Glen A. Stewart Follow-on Admin. Proc. 34-91304 03/11/21
In the Matter of Michael Sean Murphy Follow-on Admin. Proc. 34-91310 03/12/21

In the Matter of Ivan Ramos Follow-on Admin. Proc. 34-91346 03/18/21

SEC v. Mintbroker International, Ltd., f/k/a Swiss America Securities 

Ltd. and d/b/a Suretrader, et al.

Civil LR-25058 03/22/21

In the Matter of Andrew L. White Follow-on Admin. Proc. 34-91392 03/23/21

In the Matter of Chris A. Dantin Follow-on Admin. Proc. 34-91404 03/24/21

In the Matter of Christopher D. Dantin Follow-on Admin. Proc. 34-91405 03/24/21

In the Matter of John Alexander van Arem Follow-on Admin. Proc. 34-91511 04/08/21

In the Matter of Christopher Lee Hibbard Follow-on Admin. Proc. 34-91591 04/16/21

In the Matter of Jaime M. Westenbarger Follow-on Admin. Proc. 34-91613 04/19/21

In the Matter of Kenneth Ciapala Follow-on Admin. Proc. 34-91739 05/03/21

In the Matter of Bradley J. Tennison Follow-on Admin. Proc. 34-91749 05/04/21

In the Matter of Stephen J. Byrne Follow-on Admin. Proc. 34-91811 05/10/21

In the Matter of Gregory P. Herlean Follow-on Admin. Proc. 34-91814 05/10/21

In the Matter of GWFS Equities, Inc. Stand-alone Admin. Proc. 34-91853 05/12/21

In the Matter of Clinton Maurice Tucker, II Follow-on Admin. Proc. 34-91888 05/13/21

In the Matter of Seth A. Leyton Follow-on Admin. Proc. 34-91924 05/18/21

In the Matter of Gil Beserglik, et al. Follow-on Admin. Proc. 34-91938 05/19/21

SEC v. BTIG, LLC Civil LR-25092 05/19/21

In the Matter of Emil Botvinnik Follow-on Admin. Proc. 34-91974 05/21/21

In the Matter of Stephen Michael Thompson Follow-on Admin. Proc. 34-92066 05/28/21

In the Matter of Anthony Nicolosi, f/k/a Anthony Peluso Follow-on Admin. Proc. 34-92187 06/16/21

In the Matter of Guggenheim Securities, LLC Stand-alone Admin. Proc. 34-92237 06/23/21

In the Matter of Neovest, Inc. Stand-alone Admin. Proc. 34-92285 06/29/21

In the Matter of DeAndre P. Sears Follow-on Admin. Proc. 34-92309 07/01/21

In the Matter of Frederick M. Stow Follow-on Admin. Proc. 34-92397 07/13/21

In the Matter of David Aaron Rockwell Follow-on Admin. Proc. 34-92423 07/15/21

In the Matter of John Clifford Park Follow-on Admin. Proc. 34-92427 07/16/21

In the Matter of Paul Hanson Follow-on Admin. Proc. 34-92462 07/21/21

In the Matter of Executive Financial Services, Inc. Follow-on Admin. Proc. 34-92463 07/21/21

In the Matter of Miguel Holguin Stand-alone Admin. Proc. 34-92457 07/21/21

In the Matter of Birkelbach & Co. Stand-alone Admin. Proc. 34-92489 07/26/21

In the Matter of Capital Portfolio Management, Inc. Stand-alone Admin. Proc. 34-92490 07/26/21

In the Matter of Greentree Investment Services, Inc. Stand-alone Admin. Proc. 34-92488 07/26/21

In the Matter of Tradier Brokerage, Inc. Stand-alone Admin. Proc. 34-92486 07/26/21

In the Matter of ST Invest, LLC d/b/a Trade App Stand-alone Admin. Proc. 34-92485 07/26/21

In the Matter of Bill Parker Agency Stand-alone Admin. Proc. 34-92487 07/26/21

In the Matter of Shaun Greenwald, CPA Follow-on Admin. Proc. 34-92510 & 07/28/21

34-92447

SEC v. Lupo Securities, LLC, f/k/a Alphagen Securities, LLC Civil LR-25152 07/29/21

In the Matter of Herbert J. Sims & Co, Inc. Stand-alone Admin. Proc. 33-10959 07/30/21

In the Matter of Integral Financial, LLC, et al. Stand-alone Admin. Proc. 33-10958 07/30/21

In the Matter of Erik Christian Jones Follow-on Admin. Proc. 34-92642 08/11/21

In the Matter of Murchinson, Ltd., et al. Stand-alone Admin. Proc. 34-92684 08/17/21

In the Matter of Alpine Securities Corporation Follow-on Admin. Proc. 34-92775 08/26/21

In the Matter of Alexander Goldschmidt Follow-on Admin. Proc. 34-92817 08/30/21

In the Matter of Michael Vax Follow-on Admin. Proc. 34-92819 08/30/21

In the Matter of Michael A. Bressman Follow-on Admin. Proc. 34-92875 09/02/21

SEC v. Eliseo Acosta Civil LR-25205 09/13/21

In the Matter of Coda Markets, Inc., et al. Stand-alone Admin. Proc. 33-10985 09/20/21

In the Matter of Revere Securities, LLC, et al. Stand-alone Admin. Proc. 34-93065 09/20/21

In the Matter of Kevin Drost Follow-on Admin. Proc. 34-93085 09/21/21

In the Matter of Brian Koslow Follow-on Admin. Proc. 34-93087 09/21/21

In the Matter of David Waltzer Follow-on Admin. Proc. 34-93086 09/21/21

In the Matter of Mark Thomas Johnson Follow-on Admin. Proc. 34-93084 09/21/21

In the Matter of Michael E. Noble Follow-on Admin. Proc. 34-93116 09/23/21

In the Matter of Ivan Acevedo Follow-on Admin. Proc. 34-93123 09/24/21
In the Matter of Jonah Engler, a/k/a/ Jonah Engler-Silberman Follow-on Admin. Proc. 34-93126 09/24/21

SEC v. Carebourn Capital, L.P., et al. Civil LR-25223 09/24/21

In the Matter of Tradition Securities and Derivatives, LLC Stand-alone Admin. Proc. 34-93154 09/28/21

In the Matter of John Howley Stand-alone Admin. Proc. 34-93146 09/28/21

In the Matter of Dane R. Roseman Follow-on Admin. Proc. 34-93170 09/29/21

In the Matter of Chad Thomas Mackland Follow-on Admin. Proc. 34-93220 09/30/21

In the Matter of Spar Street Follow-on Admin. Proc. 34-93207 09/30/21

In the Matter of LPL Financial, LLC Stand-alone Admin. Proc. 33-10992 09/30/21

SEC v. Keith A. Wakefield Civil LR-25239 09/30/21

DELINQUENT FILINGS

In the Matter of Dougherty's Pharmacy, Inc. Stand-alone Admin. Proc. 34-90493 11/23/20

In the Matter of All Grade Mining, Inc. Stand-alone Admin. Proc. 34-91129 02/16/21

In the Matter of Long Blockchain Corp. Stand-alone Admin. Proc. 34-91174 02/19/21

In the Matter of Apotheca Biosciences, Inc. Stand-alone Admin. Proc. 34-91796 05/07/21

In the Matter of BioHemp International, Inc. Stand-alone Admin. Proc. 34-91800 05/07/21

In the Matter of Alphacom Holdings, Inc. Stand-alone Admin. Proc. 34-91819 05/10/21

In the Matter of Ameritek Ventures, Inc. Stand-alone Admin. Proc. 34-91822 05/10/21

In the Matter of Cerebain Biotech Corp. Stand-alone Admin. Proc. 34-91826 05/10/21

In the Matter of China Soar Information Technology, Inc. Stand-alone Admin. Proc. 34-91828 05/10/21

In the Matter of FlatWorld Acquisition Corp. Stand-alone Admin. Proc. 34-91842 05/11/21

In the Matter of Freestone Resources, Inc. Stand-alone Admin. Proc. 34-91846 05/11/21

In the Matter of Gala Pharmaceutical, Inc. Stand-alone Admin. Proc. 34-91848 05/11/21

In the Matter of MJ Biotech, Inc., f/k/a Michael James Enterprises, Inc. Stand-alone Admin. Proc. 34-91850 05/11/21

In the Matter of Aedan Financial Corporation Stand-alone Admin. Proc. 34-91855 05/12/21

In the Matter of AirXpanders, Inc. Stand-alone Admin. Proc. 34-91856 05/12/21

In the Matter of Moregain Pictures, Inc. Stand-alone Admin. Proc. 34-91879 05/12/21

In the Matter of Pledge Petroleum Corp. Stand-alone Admin. Proc. 34-91882 05/12/21

In the Matter of Quantum Materials Corp. Stand-alone Admin. Proc. 34-91867 05/12/21

In the Matter of Texas South Energy, Inc. Stand-alone Admin. Proc. 34-91869 05/12/21

In the Matter of US-China Biomedical Technology, Inc. Stand-alone Admin. Proc. 34-91889 05/13/21

In the Matter of Vilacto Bio, Inc. Stand-alone Admin. Proc. 34-91891 05/13/21

In the Matter of Spectrascience, Inc. Stand-alone Admin. Proc. 34-91899 05/17/21

In the Matter of Traqer Corp. Stand-alone Admin. Proc. 34-91907 05/17/21

In the Matter of UBI Blockchain Internet, Ltd. Stand-alone Admin. Proc. 34-91900 05/17/21

In the Matter of USA Zhimingde International Group Corp. Stand-alone Admin. Proc. 34-91911 05/17/21

In the Matter of W O Group, Inc. Stand-alone Admin. Proc. 34-91905 05/17/21

In the Matter of YBCC, Inc. Stand-alone Admin. Proc. 34-91908 05/17/21

In the Matter of Echo Therapeutics, Inc. Stand-alone Admin. Proc. 34-91928 05/18/21

In the Matter of Arias Intel Corp. Stand-alone Admin. Proc. 34-91943 05/19/21

In the Matter of AtheroNova, Inc. Stand-alone Admin. Proc. 34-91945 05/19/21

In the Matter of Boston Carriers, Inc. Stand-alone Admin. Proc. 34-91939 05/19/21

In the Matter of Chelsea Oil & Gas, Ltd. Stand-alone Admin. Proc. 34-91941 05/19/21

In the Matter of Clic Technology, Inc. Stand-alone Admin. Proc. 34-91954 05/20/21

In the Matter of Creative Waste Solutions, Inc. Stand-alone Admin. Proc. 34-91956 05/20/21

In the Matter of FreeSeas, Inc. Stand-alone Admin. Proc. 34-91970 05/21/21

In the Matter of Generation NEXT Franchise Brands, Inc. Stand-alone Admin. Proc. 34-91972 05/21/21

In the Matter of Global Capital Partners, Inc. Stand-alone Admin. Proc. 34-91987 05/24/21

In the Matter of Intelligent Cloud Resources, Inc. Stand-alone Admin. Proc. 34-91989 05/24/21

In the Matter of CathayOnline, Inc., f/k/a Lazzara Financial Asset 

Recovery, Inc.

Stand-alone Admin. Proc. 34-92010 05/25/21

In the Matter of Digital Donations Technologies, Inc. Stand-alone Admin. Proc. 34-92008 05/25/21

In the Matter of Galea Life Sciences, Inc. Stand-alone Admin. Proc. 34-91998 05/25/21

In the Matter of Gemini Equipment Partners Income Fund IV, LP Stand-alone Admin. Proc. 34-91999 05/25/21

In the Matter of Gemini Equipment Partners Income Fund V Stand-alone Admin. Proc. 34-91995 05/25/21

In the Matter of Gemini Equipment Partners Income Fund VI, LP Stand-alone Admin. Proc. 34-91996 05/25/21
In the Matter of Jin Wan Hong International Holdings, Ltd. Stand-alone Admin. Proc. 34-92004 05/25/21

In the Matter of Morris Business Development Co. Stand-alone Admin. Proc. 34-92006 05/25/21

In the Matter of Gemini Equipment Partners Income Fund X Stand-alone Admin. Proc. 34-92025 05/26/21

In the Matter of General Builders Corp. Stand-alone Admin. Proc. 34-92026 05/26/21

In the Matter of Gemini Equipment Partners Income Fund VIII, LP Stand-alone Admin. Proc. 34-92039 05/27/21

In the Matter of Gemini Equipment Partners Income Fund IX, LP Stand-alone Admin. Proc. 34-92041 05/27/21

In the Matter of General Energy Resources & Technology Corp. Stand-alone Admin. Proc. 34-92062 05/27/21

In the Matter of Glacier Holdings, Inc., n/k/a StyleMaster, Inc. Stand-alone Admin. Proc. 34-92063 05/27/21

In the Matter of International Technology Enterprises, Ltd. Stand-alone Admin. Proc. 34-92045 05/27/21

In the Matter of Mediterranean Minerals Corp. Stand-alone Admin. Proc. 34-92046 05/27/21

In the Matter of Rich Pharmaceuticals, Inc. Stand-alone Admin. Proc. 34-92047 05/27/21

In the Matter of Rystar Communications, Ltd. Stand-alone Admin. Proc. 34-92042 05/27/21

In the Matter of Spongetech Delivery Systems, Inc. Stand-alone Admin. Proc. 34-92043 05/27/21

In the Matter of XSport Global, Inc. Stand-alone Admin. Proc. 34-92049 05/27/21

In the Matter of Immune Pharmaceuticals, Inc. Stand-alone Admin. Proc. 34-92056 05/27/21

In the Matter of Globesat Holding Corp. Stand-alone Admin. Proc. 34-92083 06/01/21

In the Matter of Golden Goliath Resources, Ltd. Stand-alone Admin. Proc. 34-92084 06/01/21

In the Matter of OrangeHook, Inc. Stand-alone Admin. Proc. 34-92471 07/22/21

In the Matter of ATI Nationwide Holding Corp. Stand-alone Admin. Proc. 34-92740 08/24/21

In the Matter of ChineseInvestors.com, Inc. Stand-alone Admin. Proc. 34-92742 08/24/21

In the Matter of Empire Post Media Stand-alone Admin. Proc. 34-92744 08/24/21

In the Matter of EV Charging USA, Inc. Stand-alone Admin. Proc. 34-92746 08/24/21

In the Matter of GeoPetro Resources Co. Stand-alone Admin. Proc. 34-92762 08/25/21

In the Matter of Giggles N' Hugs, Inc. Stand-alone Admin. Proc. 34-92764 08/25/21

In the Matter of Sunburst Acquisitions V, Inc. Stand-alone Admin. Proc. 34-92757 08/25/21

In the Matter of Triton Emission Solutions, Inc. Stand-alone Admin. Proc. 34-92759 08/25/21

In the Matter of United Cannabis Corporation Stand-alone Admin. Proc. 34-92771 08/26/21

In the Matter of Wari, Inc. Stand-alone Admin. Proc. 34-92773 08/26/21

In the Matter of AI Document Services, Inc. Stand-alone Admin. Proc. 34-92776 08/27/21

In the Matter of Blue Eagle Lithium, Inc. Stand-alone Admin. Proc. 34-92791 08/27/21

In the Matter of CBA Florida, Inc., f/k/a Cord Blood of America, Inc. Stand-alone Admin. Proc. 34-92794 08/27/21

In the Matter of Dragon Jade International Limited Stand-alone Admin. Proc. 34-92813 08/30/21

In the Matter of Grand Perfecta, Inc. Stand-alone Admin. Proc. 34-92811 08/30/21

In the Matter of Pura Naturals, Inc. Stand-alone Admin. Proc. 34-92815 08/30/21

In the Matter of Emarine Global, Inc. Stand-alone Admin. Proc. 34-92831 08/31/21

In the Matter of Jade Global Holdings, Inc., f/k/a Media Analytics 

Corporation

Stand-alone Admin. Proc. 34-92832 08/31/21

In the Matter of Prime Global Capital Group Incorporated Stand-alone Admin. Proc. 34-92823 08/31/21

In the Matter of Theron Resource Group Stand-alone Admin. Proc. 34-92821 08/31/21

In the Matter of Advanced BioEnergy, LLC Stand-alone Admin. Proc. 34-92836 09/01/21

In the Matter of Amazing Energy Oil and Gas, Co. Stand-alone Admin. Proc. 34-92850 09/01/21

In the Matter of American Retail Group, Inc. Stand-alone Admin. Proc. 34-92838 09/01/21

In the Matter of IronClad Encryption Corporation Stand-alone Admin. Proc. 34-92842 09/01/21

In the Matter of Nostalgia Family Brands, Inc. Stand-alone Admin. Proc. 34-92843 09/01/21

In the Matter of NVCN Corporation Stand-alone Admin. Proc. 34-92862 09/02/21

In the Matter of Sylios Corp. Stand-alone Admin. Proc. 34-92855 09/02/21

In the Matter of Infinity Distribution, Inc. Stand-alone Admin. Proc. 34-92857 09/02/21

In the Matter of ViVi Holdings, Inc. Stand-alone Admin. Proc. 34-92858 09/02/21

In the Matter of Elite Performance Holding Corp. Stand-alone Admin. Proc. 34-92927 09/09/21

In the Matter of Eventure Interactive, Inc. Stand-alone Admin. Proc. 34-92928 09/09/21

In the Matter of Aeon Global Health Corp. Stand-alone Admin. Proc. 34-92947 09/13/21

In the Matter of ALCO Stores, Inc. Stand-alone Admin. Proc. 34-92953 09/13/21

In the Matter of ARC Group, Inc. Stand-alone Admin. Proc. 34-92949 09/13/21

In the Matter of Arista Financial Corp. Stand-alone Admin. Proc. 34-92956 09/13/21

In the Matter of BlackRidge Technology International, Inc. Stand-alone Admin. Proc. 34-92957 09/13/21

In the Matter of Bnet Media Group, Inc. Stand-alone Admin. Proc. 34-92961 09/13/21

In the Matter of Brightlane Corp. Stand-alone Admin. Proc. 34-92979 09/14/21
In the Matter of Calmare Therapeutics Incorporated Stand-alone Admin. Proc. 34-92977 09/14/21

In the Matter of Citadel Exploration, Inc. Stand-alone Admin. Proc. 34-93008 09/15/21

In the Matter of Consumer Capital Group, Inc. Stand-alone Admin. Proc. 34-93006 09/15/21

In the Matter of GelTech Solutions, Inc. Stand-alone Admin. Proc. 34-92995 09/15/21

In the Matter of Incoming, Inc. Stand-alone Admin. Proc. 34-92997 09/15/21

In the Matter of Intelligent Highway Solutions, Inc. Stand-alone Admin. Proc. 34-92991 09/15/21

In the Matter of LevelBlox, Inc. Stand-alone Admin. Proc. 34-92993 09/15/21

In the Matter of Medifirst Solutions, Inc. Stand-alone Admin. Proc. 34-93028 09/16/21

In the Matter of MyDx, Inc. Stand-alone Admin. Proc. 34-93031 09/16/21

In the Matter of Ngen Technologies Holdings Corp. Stand-alone Admin. Proc. 34-93038 09/16/21

In the Matter of Online Disruptive Technologies, Inc. Stand-alone Admin. Proc. 34-93040 09/16/21

In the Matter of Enterprise IV Corporation Stand-alone Admin. Proc. 34-93058 09/20/21

In the Matter of Real Goods Solar, Inc. Stand-alone Admin. Proc. 34-93077 09/20/21

In the Matter of Skye Life Ventures, Ltd. Stand-alone Admin. Proc. 34-93079 09/20/21

In the Matter of Sports Field Holdings, Inc. Stand-alone Admin. Proc. 34-93060 09/20/21

In the Matter of Stealth Technologies, Inc. Stand-alone Admin. Proc. 34-93063 09/20/21

In the Matter of HEPI Pharmaceuticals, Inc. Stand-alone Admin. Proc. 34-93080 09/21/21

In the Matter of Vista International Technologies, Inc. Stand-alone Admin. Proc. 34-93096 09/21/21

In the Matter of WorldNet, Inc. of Nevada Stand-alone Admin. Proc. 34-93081 09/21/21

In the Matter of Yus International Group, Ltd. Stand-alone Admin. Proc. 34-93099 09/21/21

FOREIGN CORRUPT PRACTICES ACT

In the Matter of J&F Investimentos, S.A., et al. Stand-alone Admin. Proc. 34-90170 10/14/20

In the Matter of The Goldman Sachs Group, Inc. Stand-alone Admin. Proc. 34-90243 10/22/20

In the Matter of Deutsche Bank AG Stand-alone Admin. Proc. 34-90875 01/08/21

In the Matter of Amec Foster Wheeler Limited Stand-alone Admin. Proc. 34-92259 06/25/21

In the Matter of WPP plc Stand-alone Admin. Proc. 34-93117 09/24/21

INSIDER TRADING

In the Matter of Michael J. Pires Stand-alone Admin. Proc. 34-90360 11/05/20

SEC v. Douglas A. Roth Civil LR-24961 11/05/20

SEC v. Michael Sullivan Civil LR-24967 11/20/20

SEC v. Christopher Clark, et al. Civil LR-24982 12/11/20

SEC v. Jason Peltz Civil LR-24998 12/22/20

SEC v. Mark J. Ahn Civil LR-25024 02/05/21

SEC v. Mohammed A. Bari Civil LR-25099 05/26/21

SEC v. Chad Calice, et al. Civil 2021-94 06/07/21

In the Matter of David G. Martin Stand-alone Admin. Proc. 34-92156 06/11/21

SEC v. Nathaniel Brown, et al. Civil LR-25123 06/15/21

In the Matter of Mounir N. Gad Stand-alone Admin. Proc. 34-92305 06/30/21

In the Matter of Nathan E. Guido Stand-alone Admin. Proc. 34-92306 06/30/21

SEC v. Sean Wygovsky Civil 2021-118 07/02/21

SEC v. Eric J. Watson, et al. Civil 2021-121 07/09/21

In the Matter of Alan L. Alexander Stand-alone Admin. Proc. 34-92474 07/23/21

In the Matter of Tan V. Kha Stand-alone Admin. Proc. 34-92475 07/23/21

SEC v. Leonard R. Barr Civil LR-25159 08/06/21

In the Matter of Zorayr Mikael Manukyan-Zakaryan Stand-alone Admin. Proc. 34-92624 08/10/21

SEC v. Matthew Panuwat Civil LR-25170 08/17/21

SEC v. Denise Grevas Civil LR-25174 08/18/21

SEC v. Sung Mo Jun, et al. Civil LR-25180 08/18/21

In the Matter of Scott Chasin, et al. Stand-alone Admin. Proc. 34-92810 08/30/21

In the Matter of Beth Mueller Stand-alone Admin. Proc. 34-92801 08/30/21

SEC v. Cavco Industries, Inc., et al. Civil LR-25196 09/02/21

SEC v. Robert Scott Parkhurst Civil LR-25196 09/02/21
SEC v. Dayakar R. Mallu Civil 2021-181 09/17/21

SEC v. Sergei Polevikov, et al. Civil 2021-186 09/23/21

SEC v. Jose Luis Casero Sanchez, et al. Civil 2021-203 09/29/21

INVESTMENT ADVISERS / INVESTMENT COMPANIES

In the Matter of Phillip Timothy Howard, Esq. Follow-on Admin. Proc. 34-90550 10/05/20

In the Matter of Paul Horton Smith, Sr. Follow-on Admin. Proc. IA-5618 10/22/20

In the Matter of EDG Management Company, LLC Stand-alone Admin. Proc. IA-5617 10/22/20

In the Matter of Mohammed Ali Rashid Follow-on Admin. Proc. IA-5620 10/26/20

In the Matter of Capitol Securities Management, Inc. Stand-alone Admin. Proc. 34-90361 11/05/20

SEC v. Christopher W. Burns, et al. Civil LR-24963 11/12/20

In the Matter of Securities America Advisors, Inc. Stand-alone Admin. Proc. IA-5627 11/13/20

In the Matter of Royal Alliance Associates, Inc. Stand-alone Admin. Proc. IA-5629 11/13/20

In the Matter of Summit Financial Group, Inc. Stand-alone Admin. Proc. IA-5626 11/13/20

In the Matter of Craig Rumbaugh Follow-on Admin. Proc. 34-90508 11/24/20

SEC v. Eugenio Garcia Jimenez, Jr. Civil LR-24975 12/01/20

SEC v. Raquel Moura Borges, et al. Civil LR-25209 12/01/20

In the Matter of Parfait Mutimura Follow-on Admin. Proc. 34-90566 12/04/20

In the Matter of BancWest Investment Services, Inc. Stand-alone Admin. Proc. 34-90585 12/07/20

In the Matter of BlueCrest Capital Management Limited Stand-alone Admin. Proc. 33-10896 12/08/20

In the Matter of ICE Data Pricing & Reference Data, LLC Stand-alone Admin. Proc. IA-5643 12/09/20

SEC v. CapWealth Advisors, LLC, et al. Civil LR-24985 12/11/20

In the Matter of Robert J. Lindner Follow-on Admin. Proc. IA-5647 12/14/20

SEC v. TH Wealth Management, LLC, et al. Civil LR-24990 12/18/20

In the Matter of Munish Sood Follow-on Admin. Proc. 34-90751 12/21/20

In the Matter of Voya Financial Advisors, Inc. Stand-alone Admin. Proc. 34-90745 12/21/20

SEC v. Charles Samel Civil LR-24993 12/21/20

In the Matter of Mustafa Abdel Wadood Stand-alone Admin. Proc. 33-10912 12/22/20

In the Matter of Pruco Securities, LLC Stand-alone Admin. Proc. 34-90790 12/23/20

In the Matter of Barry F. Connell Follow-on Admin. Proc. 34-90848 01/05/21

In the Matter of Michelle Morton Follow-on Admin. Proc. IA-5663 01/06/21

In the Matter of Advanced Practice Advisors, LLC, et al. Stand-alone Admin. Proc. IA-5670 01/14/21

SEC v. Michael Sztrom, et al. Civil LR-25010 01/15/21

SEC v. Jacob C. Glick Civil LR-25011 01/15/21

In the Matter of Reginald Buddy Ringgold, III, a/k/a Rasool Abdul 

Rahim El

Follow-on Admin. Proc. IA-5671 01/21/21

In the Matter of Daniel Investments Associates, LLC, et al. Stand-alone Admin. Proc. IA-5675 01/29/21

In the Matter of David Hu Follow-on Admin. Proc. 34-91059 02/04/21

In the Matter of Mathew Martoma Follow-on Admin. Proc. IA-5679 02/04/21

SEC v. GPB Capital Holdings, LLC, et al. Civil 2021-24 02/04/21

In the Matter of Rosedale Asset Management, LLC, f/k/a Princeton 

Advisory Wealth Management, LLC

Stand-alone Admin. Proc. IA-5680 02/05/21

SEC v. Isaiah L. Goodman Civil LR-25026 02/08/21

In the Matter of Derek Payne Burcham Follow-on Admin. Proc. IA-5683 02/11/21

In the Matter of Winslow, Evans & Crocker, Inc. Stand-alone Admin. Proc. 34-91118 02/12/21

In the Matter of Gregory Moats Sampson Follow-on Admin. Proc. IA-5694 03/02/21

SEC v. George Heckler Civil LR-25047 03/09/21

SEC v. Paul W. Haarman, et al. Civil LR-25051 03/11/21

In the Matter of Isaiah L. Goodman Follow-on Admin. Proc. IA-5700 03/22/21

In the Matter of World Tree Financial, LLC Follow-on Admin. Proc. 34-91379 03/22/21

In the Matter of Wesley Kyle Perkins Follow-on Admin. Proc. 34-91378 03/22/21

In the Matter of Troy E. Marchand Stand-alone Admin. Proc. 33-10937 03/24/21

In the Matter of Scott T. Wolfrum Stand-alone Admin. Proc. 34-91401 03/24/21

In the Matter of Tyler C. Sadek Stand-alone Admin. Proc. IA-5707 03/24/21

SEC v. Douglas E. Elstun Civil LR-25061 03/29/21

In the Matter of E*Hedge Securities, Inc., f/k/a E*Hedge Inc., et al. Follow-on Admin. Proc. IA-5713 04/05/21
In the Matter of Don Warner Reinhard Follow-on Admin. Proc. IA-5715 04/08/21

SEC v. Martin Silver Civil LR-25070 04/13/21

In the Matter of Mason Investment Advisory Services, Inc. Stand-alone Admin. Proc. IA-5719 04/15/21

In the Matter of Martin Silver, CPA Follow-on Admin. Proc. IA-5723 04/19/21

In the Matter of Dean Mustaphalli Follow-on Admin. Proc. IA-5724 04/19/21

SEC v. Andrew T. Franzone, et al. Civil LR-25081 04/23/21

In the Matter of Hai Khoa Dang Follow-on Admin. Proc. IA-5731 05/05/21

In the Matter of Peter J. DeCaprio Stand-alone Admin. Proc. IA-5732 05/10/21

SEC v. Knight Nguyen Investments, et al. Civil LR-25089 05/13/21

In the Matter of George Heckler Follow-on Admin. Proc. IA-5737 05/24/21

In the Matter of Roy Y. Gagaza Follow-on Admin. Proc. 34-91993 05/25/21

In the Matter of Arjuna Ariathurai Stand-alone Admin. Proc. 33-10945 05/27/21

SEC v. Anthony Caine, et al. Civil LR-25101 05/27/21

SEC v. James K. Couture Civil LR-25104 06/01/21

In the Matter of Centaurus Financial, Inc. Stand-alone Admin. Proc. 34-92095 06/02/21

In the Matter of Emperor Investments, Inc. Stand-alone Admin. Proc. IA-5745 06/03/21

In the Matter of Gurprit Chandhoke, et al. Stand-alone Admin. Proc. 34-92114 06/04/21

In the Matter of Michelle E. MacDonald Stand-alone Admin. Proc. IA- 5747 06/04/21

In the Matter of Verus Capital Partners, LLC Stand-alone Admin. Proc. IA-5748 06/07/21

In the Matter of Bingqing Yang Follow-on Admin. Proc. IA-5749 06/11/21

In the Matter of Feltl Advisors, LLC Stand-alone Admin. Proc. IA-5750 06/11/21

SEC v. Ramiro Jose Sugranes, et al. Civil LR-25119 06/11/21

In the Matter of Intervest International, Inc., et al. Stand-alone Admin. Proc. 34-92166 06/14/21

In the Matter of Crown Capital Securities, L.P. Stand-alone Admin. Proc. 34-92258 06/24/21

SEC v. Gregory David Paris, et al. Civil LR-25126 06/28/21

SEC v. John Robert Jones, Jr. Civil LR-25125 06/28/21

SEC v. SkiHawk Capital Partners, LLC, et al. Civil LR-25128 06/29/21

In the Matter of Securities America Advisors, Inc. Stand-alone Admin. Proc. IA-5762 06/30/21

In the Matter of Raj Rajaratnam Follow-on Admin. Proc. IA-5764 07/02/21

In the Matter of Michael Barry Carter Follow-on Admin. Proc. 34-92324 07/02/21

In the Matter of St. Germain Investment Management, Inc. Stand-alone Admin. Proc. IA-5767 07/08/21

In the Matter of Kestra Advisory Services, LLC Stand-alone Admin. Proc. IA-5770 07/09/21

In the Matter of Kestra Private Wealth Services, LLC Stand-alone Admin. Proc. IA-5771 07/09/21

In the Matter of TIAA-CREF Individual & Institutional Services, LLC Stand-alone Admin. Proc. 33-10954 07/13/21

In the Matter of Cascade Investment Group, Inc. Stand-alone Admin. Proc. 34-92390 07/14/21

In the Matter of UBS Financial Services, Inc. Stand-alone Admin. Proc. IA-5781 07/19/21

In the Matter of Suneet Singal Follow-on Admin. Proc. IA-5783 07/21/21

In the Matter of The Cavanaugh Group, Inc. Stand-alone Admin. Proc. IA-5804 07/26/21

In the Matter of Canton Hathaway, LLC Stand-alone Admin. Proc. IA-5788 07/26/21

In the Matter of John A. Bysko Associates Stand-alone Admin. Proc. IA-5787 07/26/21

In the Matter of Medallion Wealth Advisors, LLC Stand-alone Admin. Proc. IA-5789 07/26/21

In the Matter of Altschuler, James Stephen (d/b/a Altschuler Financial 

Services)

Stand-alone Admin. Proc. IA-5786 07/26/21

In the Matter of Minot DeBlois Advisors, LLC Stand-alone Admin. Proc. IA-5790 07/26/21

In the Matter of Madden Funds Management, Ltd. Stand-alone Admin. Proc. IA-5792 07/26/21

In the Matter of Quantitative Asset Management, LLC Stand-alone Admin. Proc. IA-5793 07/26/21

In the Matter of Summit Financial Advisors, Inc. Stand-alone Admin. Proc. IA-5794 07/26/21

In the Matter of Embree Financial Group, Inc. Stand-alone Admin. Proc. IA-5791 07/26/21

In the Matter of Paratus Financial, Inc. Stand-alone Admin. Proc. IA-5795 07/26/21

In the Matter of Harold Davidson & Associates, Inc. Stand-alone Admin. Proc. IA-5797 07/26/21

In the Matter of Castle Wealth Planning, LLC Stand-alone Admin. Proc. IA-5796 07/26/21

In the Matter of Eastside Financial Advisors, LLC Stand-alone Admin. Proc. IA-5800 07/26/21

In the Matter of Cohen Klingenstein, LLC Stand-alone Admin. Proc. IA-5798 07/26/21

In the Matter of Dynamic Trading Management, LLC Stand-alone Admin. Proc. IA-5799 07/26/21

In the Matter of Sauberan & Company, LLC Stand-alone Admin. Proc. IA-5801 07/26/21

In the Matter of Mighty Oak Strong America Investment Company Stand-alone Admin. Proc. IA-5802 07/26/21

In the Matter of O'Brien Greene & Co., Inc. Stand-alone Admin. Proc. IA-5803 07/26/21
In the Matter of Westbourne Investments, Inc. Stand-alone Admin. Proc. IA-5805 07/26/21

In the Matter of Carmel Capital Management, LLC Stand-alone Admin. Proc. IA-5806 07/26/21

SEC v. Michael V. Shustek, et al. Civil LR-25154 07/29/21

In the Matter of Coburn & Meredith, Inc. Stand-alone Admin. Proc. 34-92526 07/30/21

In the Matter of First Heartland Consultants, Inc. Stand-alone Admin. Proc. IA-5812 08/02/21

In the Matter of Douglas Michael Hodge Follow-on Admin. Proc. 34-92554 08/03/21

In the Matter of USA Financial Securities Corporation Stand-alone Admin. Proc. 34-92553 08/03/21

In the Matter of Kimberly D. Butler, et al. Stand-alone Admin. Proc. 33-10962 08/06/21

SEC v. Evarist C. Amah Civil LR-25162 08/09/21

In the Matter of Edgar M. Radjabli Follow-on Admin. Proc. IA-5819 08/12/21

In the Matter of David P. Ortiz Follow-on Admin. Proc. 34-92674 08/13/21

In the Matter of ISC Advisors, Inc. Stand-alone Admin. Proc. IA-5820 08/13/21

In the Matter of Matthew O. Clason Follow-on Admin. Proc. 34-92688 08/17/21

SEC v. Fusion Analytics Investment Partners, LLC, et al. Civil LR-25173 08/17/21

In the Matter of SoFi Wealth, LLC Stand-alone Admin. Proc. IA-5826 08/19/21

SEC v. Robert J. Mueller, et al. Civil LR-25179 08/20/21

In the Matter of Northwest Advisors, Inc. Stand-alone Admin. Proc. IA-5830 08/24/21

In the Matter of Charles Samel Follow-on Admin. Proc. IA-5831 08/25/21

In the Matter of Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole 

Advisors, Inc.

Stand-alone Admin. Proc. IA-5832 08/25/21

SEC v. Guillaume David Boccara Civil LR-25187 08/26/21

In the Matter of Educators Financial Services, Inc. Stand-alone Admin. Proc. IA-5836 08/27/21

In the Matter of Cantella & Co., Inc. Stand-alone Admin. Proc. 34-92809 08/30/21

In the Matter of Roger E. Dobrovodsky Stand-alone Admin. Proc. 33-10970 08/30/21

In the Matter of KMS Financial Services, Inc. Stand-alone Admin. Proc. 34-92807 08/30/21

In the Matter of Cetera Advisor Networks, LLC, et al. Stand-alone Admin. Proc. 34-92800 08/30/21

In the Matter of Cambridge Investment Research, Inc., et al. Stand-alone Admin. Proc. 34-92806 08/30/21

In the Matter of McDonald Partners, LLC Stand-alone Admin. Proc. 33-10973 08/31/21

SEC v. Tellone Management Group, Inc., et al. Civil LR-25189 08/31/21

In the Matter of Direct Lending Investments, LLC Follow-on Admin. Proc. IA-5846 09/03/21

In the Matter of Frontier Wealth Management, LLC, et al. Stand-alone Admin. Proc. 33-10978 09/03/21

In the Matter of David Wagner Follow-on Admin. Proc. IA-5851 09/07/21

In the Matter of Douglas E. Elstun Follow-on Admin. Proc. IA-5850 09/07/21

In the Matter of Horter Investment Management, LLC, et al. Stand-alone Admin. Proc. IA-5853 09/08/21

In the Matter of Paradigm Wealth Advisory, LLC Stand-alone Admin. Proc. IA-5852 09/08/21

In the Matter of Diastole Wealth Management, Inc., et al. Stand-alone Admin. Proc. IA-5855 09/10/21

In the Matter of MML Investors Services, LLC Stand-alone Admin. Proc. 34-92935 09/10/21

In the Matter of Rothschild Investment Corporation Stand-alone Admin. Proc. 34-92951 09/13/21

In the Matter of JW Korth & Company, L.P., et al. Stand-alone Admin. Proc. 34-92945 09/13/21

In the Matter of Berthel Fisher & Company Financial Services, Inc. Stand-alone Admin. Proc. 34-93033 09/16/21

In the Matter of BFC Planning, Inc. Stand-alone Admin. Proc. IA-5863 09/16/21

In the Matter of Regal Investment Advisors, LLC, et al. Stand-alone Admin. Proc. 34-93035 09/16/21

In the Matter of Daniel B. Kamensky, Esq. Follow-on Admin. Proc. IA-5869 & 09/21/21

34-93090

SEC v. Michael F. Shillin Civil LR-25218 09/23/21

SEC v. Buttonwood Financial Group, LLC, et al. Civil LR-25222 09/23/21

In the Matter of Cowen Prime Advisors, LLC Stand-alone Admin. Proc. IA-5874 09/27/21

In the Matter of Soteira Capital, LLC, et al. Stand-alone Admin. Proc. IA-5877 09/28/21

SEC v. Naseem Mohammed Salamah Civil LR-25233 09/28/21

In the Matter of Naseem Mohammed Salamah Follow-on Admin. Proc. IA-5884 09/30/21

In the Matter of Richard Vu Nguyen Follow-on Admin. Proc. IA-5882 09/30/21

In the Matter of Redwood Wealth Management, LLC, et al. Stand-alone Admin. Proc. IA-5880 09/30/21

In the Matter of Robert D. Press Stand-alone Admin. Proc. 33-10991 09/30/21

In the Matter of Donna M. Silverman Stand-alone Admin. Proc. 33-10990 09/30/21

SEC v. Richard James Roberts, et al. Civil LR-25238 09/30/21

SEC v. Ron K. Harrison, et al. Civil LR-25241 09/30/21
ISSUER REPORTING / AUDITING & ACCOUNTING

In the Matter of Nicholas Tornello, CPA Follow-on Admin. Proc. 34-90089 10/05/20

SEC v. SAExploration Holdings, Inc., et al. Civil LR-24943 10/08/20

In the Matter of James DePalma, CPA Follow-on Admin. Proc. 34-90166 10/14/20

In the Matter of Daniel O'Neal Follow-on Admin. Proc. 34-90167 10/14/20

In the Matter of Allen Garner Follow-on Admin. Proc. 34-90168 10/14/20

In the Matter of Andeavor, LLC Stand-alone Admin. Proc. 34-90208 10/15/20

In the Matter of Cory Adam Leshner Follow-on Admin. Proc. 34-90268 10/23/20

In the Matter of Steven L. Henning, CPA Follow-on Admin. Proc. 34-90281 10/29/20

In the Matter of Frank G. Mueller Follow-on Admin. Proc. 34-90369 11/06/20

In the Matter of John G. Stumpf Stand-alone Admin. Proc. 33-10887 11/13/20

SEC v. Carrie L. Tolstedt Civil LR-24964 11/13/20

In the Matter of The Cheesecake Factory Incorporated Stand-alone Admin. Proc. 34-90565 12/04/20

In the Matter of Covia Holdings Corp., et al. Stand-alone Admin. Proc. 33-10897 12/08/20

In the Matter of General Electric Company Stand-alone Admin. Proc. 33-10899 12/09/20

In the Matter of Mark E. Watson, III Stand-alone Admin. Proc. 34-90630 12/10/20

SEC v. Sequential Brands Group, Inc. Civil LR-24981 12/11/20

In the Matter of Belden, Inc., et al. Stand-alone Admin. Proc. 33-10903 12/14/20

In the Matter of Dentsply Sirona, Inc. Stand-alone Admin. Proc. 34-90681 12/16/20

SEC v. Luckin Coffee, Inc. Civil LR-24987 12/16/20

In the Matter of Laksha Bohra Follow-on Admin. Proc. 34-90696 12/17/20

In the Matter of Mancera, S.C., et al. Stand-alone Admin. Proc. 34-90699 12/17/20

In the Matter of Apex Global Brands, Inc., f/k/a Cherokee, Inc. Stand-alone Admin. Proc. 33-10907 12/17/20

In the Matter of Jason Boling, CPA Stand-alone Admin. Proc. 34-90716 12/17/20

In the Matter of India Globalization Capital, Inc., et al. Stand-alone Admin. Proc. 33-10908 12/21/20

In the Matter of Joseph Jackson, et al. Stand-alone Admin. Proc. 33-10925 02/02/21

In the Matter of Edward T. Kelly, CPA Follow-on Admin. Proc. 34-91131 02/16/21

In the Matter of Christopher L. Stanley, CPA Stand-alone Admin. Proc. 34-91185 02/23/21

In the Matter of Jennifer M. Stewart, CPA Stand-alone Admin. Proc. 34-91186 02/23/21

In the Matter of Gulfport Energy Corporation Stand-alone Admin. Proc. 34-91196 02/24/21

In the Matter of Michael G. Moore Stand-alone Admin. Proc. 33-10930 02/24/21

SEC v. AT&T, Inc., et al. Civil LR-25045 03/05/21

In the Matter of Christopher E. Knauth, CPA Stand-alone Admin. Proc. 34-91475 04/05/21

In the Matter of Fortem Resources, Inc. Stand-alone Admin. Proc. 34-91715 04/29/21

In the Matter of TruTankless, Inc. Stand-alone Admin. Proc. 34-91716 04/29/21

In the Matter of ShiftPixy, Inc. Stand-alone Admin. Proc. 34-91717 04/29/21

In the Matter of Rokk3r, Inc. Stand-alone Admin. Proc. 34-91721 04/29/21

In the Matter of Daniels Corporate Advisory Company, Inc. Stand-alone Admin. Proc. 34-91722 04/29/21

In the Matter of HQDA Elderly Life Network, Corp. Stand-alone Admin. Proc. 34-91723 04/29/21

In the Matter of Asta Funding, Inc. Stand-alone Admin. Proc. 34-91718 04/29/21

In the Matter of Igen Networks Corp. Stand-alone Admin. Proc. 34-91719 04/29/21

In the Matter of Under Armour, Inc. Stand-alone Admin. Proc. 33-10940 05/03/21

SEC v. Harmel S. Rayat, et al. Civil LR-25102 05/28/21

In the Matter of First American Financial Corporation Stand-alone Admin. Proc. 34-92176 06/14/21

In the Matter of Paul L. Chancey, Jr. CPA Stand-alone Admin. Proc. 34-92378 07/13/21

In the Matter of Stockman Kast Ryan & Co, LLP, et al. Stand-alone Admin. Proc. 34-92382 07/13/21

In the Matter of Momentus, Inc., et al. Stand-alone Admin. Proc. 33-10955 07/13/21

SEC v. Mikhail Kokorich Civil 2021-124 07/13/21

SEC v. Michael Palleschi, et al. Civil LR-25141 07/15/21

In the Matter of Tandy Leather Factory, Inc., et al. Stand-alone Admin. Proc. 34-92455 07/21/21

In the Matter of Brent Whiteley, Esq. Follow-on Admin. Proc. 34-92505 07/26/21

In the Matter of Michael Mortimer Follow-on Admin. Proc. 34-92507 07/26/21

In the Matter of Steven A. Splain, CPA Follow-on Admin. Proc. 34-92503 07/26/21

SEC v. Trevor R. Milton Civil 2021-141 07/29/21

In the Matter of Paycom Software, Inc. Stand-alone Admin. Proc. 34-92527 07/30/21
In the Matter of Ernst & Young, LLP, et al. Stand-alone Admin. Proc. 34-92540 08/02/21

In the Matter of William G. Stiehl, CPA Stand-alone Admin. Proc. 34-92539 08/02/21

SEC v. Live Ventures Incorporated, et al. Civil LR-25155 08/02/21

In the Matter of National Beverage Corp. Stand-alone Admin. Proc. 34-92560 08/04/21

In the Matter of Gary S. Klein Stand-alone Admin. Proc. 34-92611 08/09/21

In the Matter of Pearson plc Stand-alone Admin. Proc. 33-10963 08/16/21

In the Matter of Healthcare Services Group, Inc., et al. Stand-alone Admin. Proc. 33-10967 08/24/21

In the Matter of Jonathan Brett Woodard Follow-on Admin. Proc. 34-92835 09/01/21

In the Matter of Pareteum Corporation Stand-alone Admin. Proc. 33-10975 09/02/21

In the Matter of The Kraft Heinz Co., et al. Stand-alone Admin. Proc. 33-10977 09/03/21

SEC v. Klaus Hofmann Civil LR-25195 09/03/21

In the Matter of Leonard R. Barr Follow-on Admin. Proc. 34-92944 09/13/21

In the Matter of Carlos Javier Moctezuma Velasco Follow-on Admin. Proc. 34-93135 09/27/21

In the Matter of Ramón Lafarga Bátiz Follow-on Admin. Proc. 34-93137 09/27/21

In the Matter of Noe Corrales Reyes Follow-on Admin. Proc. 34-93136 09/27/21

In the Matter of Ravindranathan Raghunathan, CPA, et al. Stand-alone Admin. Proc. 34-93133 09/27/21

MARKET MANIPULATION

SEC v. John McAfee, et al. Civil LR-24941 10/05/20

SEC v. Jillian Sidoti Civil LR-24949 10/19/20

In the Matter of Mustafa David Sayid, Esq. Follow-on Admin. Proc. 34-90258 10/22/20

In the Matter of Norman T. Reynolds, Esq. Follow-on Admin. Proc. 34-90259 10/22/20

SEC v. Amir Bruno Elmaani, a/k/a Bruno Block Civil LR-24980 12/09/20

In the Matter of Ronald Phillips, Esq. Follow-on Admin. Proc. 34-90715 12/17/20

SEC v. Barton S. Ross Civil LR-24989 12/18/20

SEC v. Arrayit Corporation, et al. Civil LR-25029 02/11/21

SEC v. Bruce Schoengood, et al. Civil LR-25034 02/23/21

SEC v. Andrew L. Fassari Civil LR-25052 03/02/21

SEC v. Airborne Wireless Network, et al. Civil LR-25043 03/02/21

SEC v. Nicholas Kabylafkas Civil LR-25048 03/11/21

SEC v. Ubong Uboh, a/k/a Nedi Shupo, Frank Goldman, and Jonathan 

Goldman, et al.

Civil LR-25075 04/15/21

In the Matter of Amit Tandon, Esq. Follow-on Admin. Proc. 34-91628 04/22/21

SEC v. Wellness Matrix Group, Inc., et al. Civil LR-25114 06/11/21

SEC v. Edgar M. Radjabli, et al. Civil LR-25115 06/11/21

SEC v. Mark A. Miller Civil LR-25118 06/18/21

SEC v. Marlon Muller Civil LR-25143 07/14/21

SEC v. Charlie Abujudeh Civil LR-25147 07/22/21

SEC v. Luis Jimenez Carrillo, et al. Civil LR-25161 08/04/21

SEC v. Frederick L. Sharp, et al. Civil LR-25164 08/05/21

SEC v. Ahmad Haris Tajyar, et al. Civil LR-25167 08/13/21

SEC v. GPL Ventures, LLC, et al. Civil LR-25169 08/13/21

In the Matter of Peter Dichiara Follow-on Admin. Proc. 34-93101 09/21/21

In the Matter of Helikon Investments, Ltd. Stand-alone Admin. Proc. 34-93091 09/21/21

SEC v. Timothy Page, et al. Civil LR-25227 09/23/21

SEC v. Daniel Cattlin, et al. Civil LR-25227 09/23/21

In the Matter of Xuepeng Xie Stand-alone Admin. Proc. 33-10989 09/27/21

SEC v. Suyun Gu, et al. Civil LR-25224 09/27/21

In the Matter of Adam Heimann, et al. Stand-alone Admin. Proc. 33-10994 09/30/21

SEC v. Mark J. Melnick Civil 2021-206 09/30/21

MISCELLANEOUS

SEC v. Abhi Batra, a/k/a Abhimanyu Batra Civil LR-25012 01/15/21

SEC v. James Roland Jones Civil 2021-51 03/18/21
In the Matter of S&P Dow Jones Indices, LLC Stand-alone Admin. Proc. 33-10943 05/17/21

In the Matter of Elaine A. Dowling, Esq. Stand-alone Admin. Proc. 34-92293 06/29/21

In the Matter of Harold P. Gewerter, Esq. Stand-alone Admin. Proc. 34-92292 06/29/21

SEC v. Apostolos Trovias Civil 2021-122 07/09/21

In the Matter of App Annie, Inc., et al. Stand-alone Admin. Proc. 34-92975 09/14/21

NATL REC STAT RATING ORG (NRSRO)

SEC v. Morningstar Credit Ratings, LLC Civil LR-25030 02/16/21

In the Matter of DBRS, Inc. Stand-alone Admin. Proc. 34-92952 09/13/21

PUBLIC FINANCE ABUSE

In the Matter of First Midstate, Inc., et al. Stand-alone Admin. Proc. 34-90783 12/22/20

In the Matter of Hilltop Securities, Inc., et al. Stand-alone Admin. Proc. 34-92370 07/09/21

In the Matter of Crews & Associates, Inc. Stand-alone Admin. Proc. 34-92768 08/26/21

In the Matter of Rush F. Harding, III Stand-alone Admin. Proc. 34-92769 08/26/21

In the Matter of Anthony A. Falsetta Stand-alone Admin. Proc. 33-10972 08/31/21

In the Matter of Sweetwater Union High School District Stand-alone Admin. Proc. 33-10981 09/16/21

SEC v. Karen Marie Michel Civil LR-25215 09/16/21

In the Matter of RBC Capital Markets, LLC Stand-alone Admin. Proc. 34-93042 09/17/21

In the Matter of Kenneth G. Friedrich Stand-alone Admin. Proc. 34-93043 09/17/21

In the Matter of Jaime L. Durando Stand-alone Admin. Proc. 34-93044 09/17/21

SEC v. Choice Advisors, LLC, et al. Civil LR-25220 09/22/21

In the Matter of Paula Permenter Stand-alone Admin. Proc. 34-93105 09/23/21

SECURITIES OFFERING

SEC v. Alexander S. Rowland Civil LR-24944 10/13/20

In the Matter of Tradenet Capital Markets, Ltd. d/b/a Tradenet Stand-alone Admin. Proc. 33-10878 10/23/20

SEC v. Terrence Chalk, a/k/a "Dr. Terrence Cash", et al. Civil LR-24954 11/03/20

SEC v. Benja Incorporated, et al. Civil LR-24968 11/23/20

SEC v. Brothers Investment Group International, Inc., n/k/a Brothers 

International Group Inc., et al.

Civil LR-24970 11/24/20

SEC v. Mark Alan Lisser, a/k/a Mark Alan a/k/a Mark Allen Civil LR-24972 12/01/20

SEC v. Richard J. Rubin, et al. Civil LR-24973 12/02/20

SEC v. J. Jeremy Barbera, et al. Civil LR-24978 12/09/20

SEC v. Roger E. Dobrovodsky Civil LR-24983 12/14/20

SEC v. Robert Todd Seth Civil LR-24983 12/14/20

SEC v. Matthew L. Walker Civil LR-24983 12/14/20

SEC v. Keith Berman, et al. Civil 2020-327 12/17/20

In the Matter of ShipChain, Inc. Stand-alone Admin. Proc. 33-10909 12/21/20

SEC v. CapSource, Inc., et al. Civil LR-24992 12/21/20

SEC v. Michael B. Zipprich, et al. Civil LR-24992 12/21/20

SEC v. Dike Boone Nerren Civil LR-24991 12/21/20

SEC v. Siliconsage Builders, LLC, aka Silicon Sage Builders, et al. Civil 2020-329 12/21/20

SEC v. Justin Robert King, et al. Civil LR-25006 12/21/20

SEC v. Ripple Labs, Inc. et al. Civil 2020-338 12/22/20

SEC v. Stefan Qin, et al. Civil LR-24997 12/22/20

In the Matter of Lantson E. Eldred, Esq. Follow-on Admin. Proc. 34-90789 12/23/20

In the Matter of Tierion, Inc. Stand-alone Admin. Proc. 33-10914 12/23/20

SEC v. Ronnie Lee Moss, Jr., et al. Civil LR-24995 12/23/20

SEC v. Gregory Altieri Civil LR-25000 12/30/20

SEC v. William J. Bowser, et al. Civil LR-25003 12/30/20

SEC v. DeAndre P. Sears, et al. Civil LR-25002 12/31/20

SEC v. ConTXT, Inc., et al. Civil LR-25005 01/07/21
SEC v. Eric C. Malley, et al. Civil LR-25007 01/12/21

In the Matter of Wireline, Inc. Stand-alone Admin. Proc. 33-10920 01/15/21

SEC v. William Andrew Stack, Esq. Civil LR-25013 01/15/21

SEC v. Ivan Ramos Civil LR-25016 01/26/21

SEC v. Vuuzle Media Corp., et al. Civil LR-25017 01/27/21

SEC v. Viktor Gjonaj Civil LR-25018 01/28/21

SEC v. Kristijan Krstic, a/k/a Felix Logan, et al. Civil LR-25020 02/01/21

SEC v. Lev Parnas, et al. Civil LR-25023 02/04/21

SEC v. Stephen Scott Moleski, et al. Civil LR-25025 02/05/21

In the Matter of Zachary Brooke Roberts, Esq. Follow-on Admin. Proc. 34-91134 02/16/21

SEC v. Joseph Cimino Civil LR-25031 02/17/21

SEC v. Coinseed, Inc., et al. Civil LR-25032 02/17/21

SEC v. Glen A. Stewart Civil LR-25036 02/24/21

SEC v. EarthSource Minerals International, LLC, et al. Civil LR-25040 03/01/21

SEC v. Renew Forestry Group, LLC, et al. Civil LR-25041 03/01/21

SEC v. Chatfield PCS, Ltd., et al. Civil LR-25055 03/03/21

SEC v. Shawn C. Cutting, et al. Civil LR-25046 03/05/21

SEC v. Craig C. Garrick, Jr. Civil LR-25044 03/05/21

SEC v. Shamoon Omer Rafiq, a/k/a Shamoon Rafiq, Omer Rafiq, and 

Omar Rafiq

Civil LR-25049 03/12/21

In the Matter of Ettro Capital Management Corp., et al. Stand-alone Admin. Proc. 33-10932 03/15/21

SEC v. Christopher D. Dantin, et al. Civil LR-25053 03/17/21

SEC v. David P. Ortiz Civil LR-25053 03/17/21

SEC v. Andrew L. White Civil LR-25053 03/17/21

SEC v. Seth P. Levine Civil LR-25054 03/18/21

SEC v. Jessica Richman, et al. Civil LR-25056 03/18/21

SEC v. John W. Fisher Civil LR-25057 03/22/21

SEC v. Jason P. Wootten, et al. Civil LR-25059 03/22/21

SEC v. LBRY, Inc. Civil LR-25060 03/29/21

SEC v. George S. Blankenbaker, et al. Civil LR-25063 03/31/21

SEC v. Richard J. Randolph, III Civil LR-25064 04/01/21

SEC v. Zachary J. Horwitz, et al. Civil LR-25067 04/05/21

SEC v. Richard Dale Sterritt, Jr., a/k/a Richard Richman, et al. Civil 2021-61 04/14/21

SEC v. Spot Tech House, Ltd., f/k/a Spot Option, Ltd., et al. Civil LR-25073 04/16/21

SEC v. Harbor City Capital Corp., et al. Civil LR-25082 04/20/21

SEC v. Sheng-Wen Cheng Civil LR-25076 04/20/21

SEC v. Corbyn W. Jones, Esq. Civil LR-25079 04/22/21

SEC v. Peter R. Quartararo, et al. Civil LR-25083 04/27/21

SEC v. Rahsaan King, et al. Civil LR-25085 04/29/21

SEC v. Richard Randall Civil LR-25086 04/30/21

In the Matter of Seth P. Levine, Esq. Follow-on Admin. Proc. 34-91772 05/05/21

In the Matter of Maxwell Drever Stand-alone Admin. Proc. 33-10941 05/05/21

In the Matter of Corbyn W. Jones, Esq. Follow-on Admin. Proc. 34-91795 05/07/21

SEC v. Roy Y. Gagaza Civil LR-25091 05/17/21

SEC v. The Premier Healthcare Solution, LLC, et al. Civil LR-25094 05/19/21

SEC v. LFS Funding Limited Partnership, et al. Civil LR-25093 05/20/21

SEC v. The Legacy Group, Inc., et al. Civil LR-25097 05/24/21

SEC v. Trevon Brown, et al. Civil 2021-90 05/28/21

SEC v. Kevin T. Carney, et al. Civil LR-25107 06/01/21

SEC v. The Estate of Kenneth J. Casey Civil LR- 25106 06/02/21

SEC v. Property Income Investors, LLC, et al. Civil LR-25109A 06/07/21

SEC v. Thomas Nicholas Salzano Civil LR-25108 06/07/21

SEC v. Cell>Point, LLC, et al. Civil LR-25113 06/10/21

SEC v. Robert Joseph Armijo, et al. Civil LR-25116 06/14/21

SEC v. Ali Asif Hamid, et al. Civil LR-25117 06/15/21

SEC v. Ofer Abarbanel, et al. Civil 2021-107 06/21/21

In the Matter of Loci, Inc., et al. Stand-alone Admin. Proc. 33-10950 06/22/21
SEC v. Joseph Geromini Civil LR-25120 06/23/21

In the Matter of Gateway One Lending & Finance, LLC Stand-alone Admin. Proc. 33-10951 06/24/21

SEC v. Princeton Alternative Funding, LLC, et al. Civil LR-25124 06/24/21

In the Matter of Andrea S. Trout, Esq. Follow-on Admin. Proc. 34-92273 06/28/21

In the Matter of Howard Davner Stand-alone Admin. Proc. 33-10952 06/29/21

SEC v. Matthew J. Skinner, et al. Civil LR-25127 06/29/21

In the Matter of Reuben Robert Goldman, et al. Stand-alone Admin. Proc. 33-10953 06/30/21

SEC v. Lambert Vander Tuig, et al. Civil LR-25134 07/02/21

SEC v. Parallax Health Sciences, Inc., et al. Civil LR-25137 07/07/21

SEC v. Profit Connect Wealth Services, Inc., et al. Civil LR-25144 07/08/21

SEC v. Jonathan Mimun, a/k/a Jonathan Maymon, et al. Civil LR-25140 07/12/21

SEC v. Shimon Rosenfeld , Esq. Civil LR-25139 07/12/21

In the Matter of Blotics Ltd. f/d/b/a Coinschedule, Ltd. Stand-alone Admin. Proc. 33-10956 07/14/21

SEC v. Jefferey A. Gordon, et al. Civil LR-25142 07/15/21

SEC v. Outdoor Capital Partners, LLC, et al. Civil LR-25148 07/19/21

SEC v. Aron Govil Civil 2021-132 07/19/21

SEC v. Rahulkumar "Rahul" M. Patel Civil LR-25146 07/21/21

SEC v. Mine Shaft Brewing, LLC, et al. Civil LR-25149 07/27/21

SEC v. Joshua Louis Rupp Civil 2021-140 07/28/21

SEC v. Edward L. Wooten, et al. Civil LR-25153 07/30/21

In the Matter of Wendan Bao, et al. Stand-alone Admin. Proc. 33-10960 08/04/21

SEC v. Uulala, Inc., et al. Civil LR-25157 08/04/21

In the Matter of Blockchain Credit Partners d/b/a DeFi Money Market, 

et al.

Stand-alone Admin. Proc. 33-10961 08/06/21

SEC v. Martin Adrian Ruiz, et al. Civil LR-25165 08/06/21

SEC v. MJ Capital Funding, LLC, et al. Civil LR-25168 08/09/21

SEC v. Blessing K. Egbon Civil LR-25163 08/10/21

SEC v. The Movie Studio, Inc., et al. Civil LR-25166 08/13/21

SEC v. Battery Private, Inc., et al. Civil LR-25171 08/13/21

SEC v. Arthur Hall, et al. Civil LR-25172 08/17/21

In the Matter of William Scott Lawler, Esq. Follow-on Admin. Proc. 34-92707 08/18/21

SEC v. Medsis International, Inc., et al. Civil LR-25176 08/19/21

SEC v. John J. Woods, et al. Civil LR-25181 08/20/21

SEC v. Carl Jensen, et al. Civil LR-25183 08/24/21

SEC v. Manish Lachwani Civil LR-25182 08/25/21

SEC v. William B. McHenry, Jr., et al. Civil LR-25184 08/26/21

SEC v. Jason Dodd Bullard, et al. Civil LR-25194 08/27/21

In the Matter of Michael P. Egan Stand-alone Admin. Proc. 33-10971 08/30/21

In the Matter of Michael R. Arbuckle Stand-alone Admin. Proc. 33-10969 08/30/21

SEC v. Howard S. Kleyman Civil None 08/30/21

SEC v. Dawson L. Davenport, et al. Civil LR-25193 08/31/21

SEC v. Bitconnect, et al. Civil 2021-172 09/01/21

In the Matter of George L. Divel, III Stand-alone Admin. Proc. 33-10974 09/02/21

SEC v. Frederick Bauman Civil LR-25199 09/08/21

SEC v. Rivetz Corp., et al. Civil LR-25198 09/08/21

SEC v. ProSky, Inc., et al. Civil LR-25203 09/10/21

In the Matter of GTV Media Group, Inc., et al. Stand-alone Admin. Proc. 33-10979 09/13/21

SEC v. SHE Beverage Company, Inc. Civil LR-25206 09/14/21

In the Matter of Charles Parkinson Lloyd Stand-alone Admin. Proc. 33-10980 09/15/21

SEC v. Simon Piers Thurlow, et al. Civil LR-25207 09/15/21

SEC v. Robert Samuel Shumake, Jr., et al. Civil LR-25210 09/20/21

SEC v. Leena Jaitley d/b/a Managed Options Trading and Options by 

Pros, et al. 

Civil LR-25211 09/20/21

In the Matter of Frederick Bauman, Esq. Follow-on Admin. Proc. 34-93089 09/21/21

SEC v. Back to Green Mining, LLC, et al. Civil LR-25214 09/21/21

SEC v. Frantz Simeon, et al. Civil LR-25216 09/22/21

SEC v. James R. Collins, et al. Civil LR-25219 09/23/21
SEC v. Biogenic, Inc., et al. Civil LR-25217 09/23/21

In the Matter of Resolute Capital Partners LTD, LLC, et al. Stand-alone Admin. Proc. 33-10987 09/24/21

SEC v. Star Chain, Inc., et al. Civil LR-25225 09/24/21

SEC v. Sky Group USA, LLC, et al. Civil LR-25234 09/27/21

SEC v. VerdeGroup Investment Partners, Inc., et al. Civil LR-25228 09/27/21

SEC v. Richard Xia, a/k/a Yi Xia, et al. Civil LR-25230 09/27/21

SEC v. C3 International, Inc., et al. Civil LR-25231 09/28/21

SEC v. Jaeson Birnbaum Civil LR-25232 09/28/21

SEC v. Gregory A. Ciccone, et al. Civil LR-25236 09/29/21

In the Matter of Victoria Chan, Esq. Follow-on Admin. Proc. 34-93202 09/30/21

SEC v. Mark Allan Plummer, et al. Civil LR-25235 09/30/21

SEC v. Punch TV Studios, Inc., et al. Civil LR-25237 09/30/21

SRO / EXCHANGE

In the Matter of Poloniex, LLC Stand-alone Admin. Proc. 34-92607 08/09/21

TRANSFER AGENT

In the Matter of OTR, Inc. Stand-alone Admin. Proc. 34-90828 12/30/20

SEC v. Michael James Ferguson Jr. Foreign Private Trust, et al. Civil LR-25229 09/27/21