Commission Opinions and Adjudicatory Orders

The Commission recently amended its Rules of Practice to include new electronic filing requirements.

The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

Opinions and Adjudicatory Orders RSS Feed
Date Respondents
Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; And Perella Weinberg Partners Capital Management LP (Order Requesting Additional Briefing)
Release No. 34-102766, IA-6870
File Number: 3-21769
China Energy Technology Corp., Ltd. (Order Regarding Service)
Release No. 34-102763
File Number: 3-22233
Gregory Lemelson (Order Denying Respondent's Petition for Interlocutory Review and Motion to Stay)
Release No. IA-6869
File Number: 3-20828
Silver Leaf Partners, LLC (Order Granting Stay)
Release No. 34-102738
File Number: 3-19896
Charles Scott Burford (Order Extending Time to Issue Decision)
Release No. 34-102731
File Number: 3-21915
Daniels Corporate Advisory Company, Inc. (Order Directing Status Report)
Release No. 34-102719
File Number: 3-22015
Western Magnesium Corp. (Order Directing Status Report)
Release No. 34-102718
File Number: 3-21870
The Northgate Nobles Greenhouseabe Foreign Grantor Trust (Order Directing Submission from the Division of Enforcement)
Release No. 34-102700
File Number: 3-20917
Michael James Ferguson Jr. Foreign Private Trust (Order Requesting Additional Briefing and Materials from the Parties)
Release No. 34-102699
File Number: 3-21000
Dominic O'Dierno (Order Directing Additional Briefs)
Release No. 34-102695
File Number: 3-15123
Todd Stuart Breitling (Order Denying Motion to Appoint Counsel, Discharging Order to Show Cause, Directing Submission by the Division of Enforcement, and Directing Prehearing Conference)
Release No. 34-102694
File Number: 3-21951
Jonathan Mimun (a/k/a Jonathan "Yoni" MaymonJonathan Mimun (a/k/a Jonathan "Yoni" Maymon, et al. (Order Regarding Service)
Release No. 34-102693
File Number: 3-22390
Alpine Securities Corporation (Order Extending Time to Issue Decision)
Release No. 34-102692
File Number: 3-20238
Minim, Inc. (Order Granting Extension of Time)
Release No. 34-102691
File Number: 3-22276
Titan Securities and Brad C. Brooks (Order Extending Time to Issue Decision)
Release No. 34-102686
File Number: 3-20387
Robert Christopher Arnold (Order Extending Time to Issue Decision)
Release No. 34-102687
File Number: 3-21818
Joseph Sturniolo (Order Extending Time to Issue Decision)
Release No. 34-102688
File Number: 3-21503
Michael Scott Barrows and Eric John Ludovico (Order Dismissing Proceedings)
Release No. 34-102689
File Number: 3-22347
Joseph Andrew Paul (Order Granting Extension of Time)
Release No. 34-102684
File Number: 3-21963
Suzanne Marie Capellini (Order Granting Motion for Extension of Time and to Exceed Word Limitation)
Release No. 34-102664
File Number: 3-22284
Ruless Pierre a/k/a Rules Pierre (Opinion of the Commission)
Release No. IA-6863
File Number: 3-21064
Harvey Electronics, Inc. (Order Requesting Supplementation of the Record)
Release No. 34-102655
File Number: 3-22059
Redstar Partners, Inc. (Opinion of the Commission)
Release No. 34-102612
File Number: 3-22296
Ibrahim Almagarby (Order Directing Status Report from the Division of Enforcement)
Release No. 34-102614
File Number: 3-20622
Striker Oil and Gas, Inc. (Opinion of the Commission)
Release No. 34-102611
File Number: 3-22266
TolerRx, Inc. (Opinion of the Commission)
Release No. 34-102610
File Number: 3-22292
New Asia Partners China Corp. (Opinion of the Commission)
Release No. 34-102572
File Number: 3-22298
H3 Enterprises, Inc. (f/k/a Uptown Restaurant Group, Inc.) (Opinion of the Commission)
Release No. 34-102567
File Number: 3-22302
Purthanol Resources Limited (Opinion of the Commission)
Release No. 34-102563
File Number: 3-22261
Pharmamatrix Acquisition Corp. (Opinion of the Commission)
Release No. 34-102562
File Number: 3-22299
Amanasu Techno Holdings Corp. (Opinion of the Commission)
Release No. 34-102561
File Number: 3-22287
GeneThera, Inc. (Opinion of the Commission)
Release No. 34-102549
File Number: 3-22241
MusclePharm Corporation (Opinion of the Commission)
Release No. 34-102547
File Number: 3-22257
Lek Securities Corporation (Order Extending Time to Issue Decision)
Release No. 34-102557
File Number: 3-20808
Clickstream Corporation (Opinion of the Commission)
Release No. 34-102545
File Number: 3-22240
Charrette De Cafe, Corp. (Opinion of the Commission)
Release No. 34-102544
File Number: 3-22042
Cannagistics, Inc. (Opinion of the Commission)
Release No. 34-102543
File Number: 3-22232
Silver Leaf Partners, LLC (Opinion of the Commission)
Release No. 34-102538
File Number: 3-19896
Lek Securities Corporation (Opinion of the Commission)
Release No. 34-102533
File Number: 3-16424
American CryptoFED DAO LLC (Order Extending Time to Issue Decision)
Release No. 33-11365
File Number: 3-21243
Jeffrey Alan Horn (Opinion of the Commission)
Release No. 34-102505
File Number: 3-21822
Wood (Arthur W.) Company, Inc. (Order Dismissing Proceedings)
Release No. 34-102501
File Number: 3-22326
Minim, Inc. (Order Granting Stay and Setting Briefing Schedule)
Release No. 34-102482
File Number: 3-22276
Mark J. Boucher (Order Granting Extension of Time in Which to Answer)
Release No. 34-102472, IA-6859
File Number: 3-22286
MJ Harvest Inc. (Opinion of the Commission)
Release No. 34-102455
File Number: 3-22319
Suzanne Marie Capellini (Order Granting Motion to Exceed Word Limitation)
Release No. 34-102453
File Number: 3-22284
Innovative Energy Solutions, Inc. (Order to Show Cause)
Release No. 34-102432
File Number: 3-22318
Adam Strege (Order Denying Motion to Consolidate, Denying Motion to Stay the Issuance of a Briefing Schedule, and Scheduling Briefs)
Release No. 34-102435
File Number: 3-22397
Choice Advisors, LLC and Matthias O'Meara (Second Order Extending Briefing Schedule Dates)
Release No. 34-102411
File Number: 3-22250
William Blair & Company, L.L.C. and William Blair Investment Management, LLC (Order Granting Extension of Time)
Release No. 34-102418
File Number: 3-21764
Invesco Distributors, Inc. and Invesco Advisers, Inc. (Order Granting Extension of Time)
Release No. 34-102421, IA-6854
File Number: 3-22165
Rystar Communications Ltd. (Order to Show Cause)
Release No. 34-102415
File Number: 3-22297
Adam Strege (Order Denying Motion for Reconsideration)
Release No. 34-102412
File Number: 3-21880
Daniel Thomas Broyles (Order Discharging Order to Show Cause and Directing Prehearing Conference)
Release No. 34-102403
File Number: 3-21206
Joseph Andrew Paul (Order Directing Additional Briefing and Materials)
Release No. 34-102406, IA-6852
File Number: 3-21963
Nicholas J. Genovese (Order Granting Motion for Extension of Time)
Release No. IA-6851
File Number: 3-19733
Arch Leasing Corp Trust (Order Granting Extension to Supplement the Record)
Release No. 34-102383
File Number: 3-22016
Brian Bartlett Amoah and Elbert "Al" Elliott (Order to Show Cause)
Release No. 34-102382
File Number: 3-21726
Vania May Bell (Order Granting an Extension of Time to Respond to Motion for Entry of Default)
Release No. IA-6849
File Number: 3-21525
G.G.S. Plastic Engineering Inc. (Order to Show Cause)
Release No. 34-102364
File Number: 3-22304
Golden Goliath Resources Ltd. (Order to Show Cause)
Release No. 34-102363
File Number: 3-22301
Digatrade Financial Corp (Order to Show Cause)
Release No. 34-102362
File Number: 3-22315
Rystar Communications Ltd. (Order Regarding Service)
Release No. 34-102361
File Number: 3-22297
Truist Securities, Inc., Truist Investment Services, Inc. and Truist Advisory Services, Inc. (Order Granting Extension of Time)
Release No. 34-102352, IA-6844
File Number: 3-22000
Robert W. Baird & Co. Incorporated (Order Granting Extension of Time)
Release No. 34-102351, IA-6843
File Number: 3-21768
Piper Sandler & Co. (Order Granting Extension of Time)
Release No. 34-102349, IA-6841
File Number: 3-21994
Apex Clearing Corporation (Order Granting Extension of Time)
Release No. 34-102347
File Number: 3-21998
Choice Advisors, LLC and O'Meara, Matthias (Order Extending Briefing Schedule Dates)
Release No. 34-102345
File Number: 3-22250
Oppenheimer & Co. Inc. (Order Granting Extension of Time)
Release No. 34-102346
File Number: 3-21852
LPL Financial LLC (Order Granting Extension of Time)
Release No. 34-102348, IA-6840
File Number: 3-22006
Raymond James & Associates, Inc. (Order Granting Extension of Time)
Release No. 34-102350, IA-6842
File Number: 3-22002
Key Investment Services, LLC and KeyBanc Capital Markets Inc. (Order Granting Extension of Time)
Release No. 34-102354, IA-6846
File Number: 3-21849
Osaic Services, Inc., and Osaic Wealth, Inc. (Order Granting Extension of Time)
Release No. 34-102355, IA-6847
File Number: 3-21997
Hilltop Securities Inc. (Order Granting Extension of Time)
Release No. 34-102353, IA-6845
File Number: 3-21993
Sino American Oil Co. (Order Discharging Order to Show Cause, Granting Leave to File Amended Answer, and Denying Motion for Stay)
Release No. 34-102334
File Number: 3-22294
OS Support, Inc. (Order to Show Cause)
Release No. 34-102333
File Number: 3-22246
Michael Scott Barrows and Eric John Ludovico (Order Extending Briefing Schedule)
Release No. 34-102335
File Number: 3-22347
ARtelligence Holdings, Inc. (fka Tautachrome, Inc.) (Order Regarding Prehearing Conference)
Release No. 34-102320
File Number: 3-22231
Sharing Economy International Inc. (Order Regarding Prehearing Conference)
Release No. 34-102319
File Number: 3-22248
Sunwin Stevia International, Inc. (Order Discharging Order to Show Cause and Setting Prehearing Conference Deadlines)
Release No. 34-102316
File Number: 3-22290
Brook Church-Koegel (Order Discharging Order to Show Cause and Granting Extension of Time to File Answer)
Release No. 34-102315
File Number: 3-21972
David H. Goldman (Order Discharging Order to Show Cause and Granting Extension of Time to File Answer)
Release No. 34-102314
File Number: 3-21974
Rajarengan Rajaratnam (a/k/a Rengan) (Order Granting Extension of Time)
Release No. IA-6839
File Number: 3-16245
Nicole J. Walker (Order Discharging Order to Show Cause and Granting Extension of Time to File Answer)
Release No. 34-102311
File Number: 3-21973
David M. Anthony (Order Denying Motion for Summary Disposition and Setting Proceeding for Hearing Before an Administrative Law Judge)
Release No. IA-6835
File Number: 3-22308
Epic Capital Wealth Advisors, LLC (Order Denying Motion For Summary Disposition and Setting Proceeding For Expedited Hearing Before an Administrative Law Judge)
Release No. IA-6834
File Number: 3-22307
Adam Strege (Order Scheduling Briefs)
Release No. 34-102263
File Number: 3-22365
Robert Lewis Carver, a/k/a Donald Howard (Order Dismissing Proceeding)
Release No. 34-102252
File Number: 3-20653
William Joseph Kielczewski (Order Extending Time to Issue Decision)
Release No. 34-102249
File Number: 3-20636
Epic Capital Wealth Advisors, LLC (Order Extending Date for Resolution of This Proceeding Pursuant to Parties' Agreement)
Release No. IA-6831
File Number: 3-22307
Michael Trofimoff (Order to Show Cause)
Release No. 34-102216
File Number: 3-22146
Arch Leasing Corp Trust (Order Granting Extension to Supplement the Record)
Release No. 34-102214
File Number: 3-22016
Sangui Biotech International, Inc. (Order to Show Cause)
Release No. 34-102205
File Number: 3-22313
Lek Securities Corporation (Order Requiring Supplementation of the Record)
Release No. 34-102199
File Number: 3-20808
PRN Corp (Order To Show Cause)
Release No. 34-102197
File Number: 3-22320
International Fast Food Corporation (Order to Show Cause)
Release No. 34-102198
File Number: 3-22234
Community Medical Transport, Inc. (Opinion of the Commission)
Release No. 34-102187
File Number: 3-22058
Navitas International Corp. (Opinion of the Commission)
Release No. 34-102181
File Number: 3-22067
Commerce Group Corp. /WI/ (Opinion of the Commission)
Release No. 34-102180
File Number: 3-22057
Empire Global Gaming, Inc. (Opinion of the Commission)
Release No. 34-102178
File Number: 3-22049
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