In re Charles Lloyd
Between October 2021 and September 2022, the SEC initiated over 50 enforcement actions against broker-dealers and individuals, including J.P. Morgan, Wells Fargo, and Lev Parnas, for fraud, unregistered offerings, and compliance failures, resulting in multiple standalone and follow-on administrative proceedings and civil lawsuits with no disclosed penalties in the excerpt.
The SEC filed 45 follow-on and 13 standalone administrative proceedings, along with over 30 civil lawsuits, against broker-dealers, individuals, and financial firms between October 2021 and September 2022. Notable respondents included J.P. Morgan Securities LLC, Wells Fargo Clearing Services, LLC, Lev Parnas, and TradeZero America, Inc., accused of fraud, unregistered securities offerings, and regulatory violations. While the OCR excerpt lists case names, docket numbers, and filing dates, it does not specify monetary penalties, disgorgement amounts, or admissions of guilt.
Between October 2021 and September 2022, the SEC pursued more than 50 enforcement actions targeting broker-dealers, investment advisers, and individuals for violations including fraud, unregistered securities offerings, and compliance failures. Among the respondents were major firms such as J.P. Morgan Securities LLC (three separate actions), Wells Fargo Clearing Services, LLC, UBS Financial Services Inc., and TradeZero America, Inc., alongside individuals like Lev Parnas, Robert J. Balunas, and Kimberly L. Sredich. The actions consisted of 45 follow-on administrative proceedings and 13 standalone administrative proceedings, as well as at least 10 civil lawsuits, including cases against Kenneth A. Welsh, Mario E. Rivero, and Crown Bridge Partners, LLC. The OCR excerpt provides case names, release numbers, and filing dates but omits specific allegations, monetary penalties, or admissions of wrongdoing. Enforcement efforts spanned domestic entities with no indication of foreign jurisdictional focus in the provided text. While Summary A and B mention additional firms like Goldman Sachs and Ernst & Young, these are not referenced in the OCR excerpt and thus cannot be confirmed. The data reflects a broad, sustained enforcement campaign focused on broker-dealer misconduct during the period.
Extracted insights
- $4K $3,589 <$10K
- $4K $3,588 <$10K
- $2K $2,396 <$10K
- $2K $2,395 <$10K
- person mario e. rivero
- person Robert J. Balunas
- agency Securities and Exchange Commission
- SEC filed civil action against Kenneth A. Welsh
- SEC filed civil action against Mario E. Rivero
- SEC filed civil action against Robert J. Balunas
ADDENDUM TO DIVISION OF ENFORCEMENT PRESS RELEASE FISCAL YEAR 2022 Enforcement Summary Chart for FY 2022 by Primary Classification Each action initiated has been included in only one category listed above, even though many actions may fall under more than one category. For example, the 15 Follow-On Administrative Proceedings in the category Issuer Reporting / Audit & Accounting are proceedings against accountants instituted pursuant to Rule 102(e) of the Commission's Rules of Practice. The underlying conduct in those matters may relate to other categories as well, such as Insider Trading or Securities Offering. Party counts are noted in parentheses. A listing of the actions referenced in the table above is provided in the last section of this document. Enforcement Actions Filed in Fiscal Years 2017 to 2022 Standalone Enforcement Actions is a combined count of Civil Actions and Standalone APs. Total Money Ordered (in millions) Disgorgement totals for 2020 and 2021 have been adjusted to exclude amounts ordered but waived. The currently-reported 2020 figure of $3,588 (in millions) was previously reported as $3,589 (in millions). The currently-reported 2021 figure of $2,395 (in millions) was previously reported as $2,396 (in millions). No other years were adjusted. Money Distributed to Harmed Investors (in millions) FISCAL YEAR 2022 ENFORCEMENT CASES LISTED BY PROGRAM AREAIn the Matter of Charles Smigrod In the Matter of Charles K. Topping In the Matter of Global Investment Strategy UK Ltd. In the Matter of John William Gunn In the Matter of Lynn D. Cawthorne In the Matter of Scott A. Merkelson In the Matter of Maplelane Capital LLC In the Matter of Justin Wallace Herman In the Matter of Bobby Eugene Guess In the Matter of Lev Parnas In the Matter of Peter J. Baker In the Matter of Alan H. New In the Matter of David N. Knuth In the Matter of Anthony Salandra In the Matter of Thomas F. Plaut In the Matter of Michael Staisil In the Matter of Wells Fargo Clearing Services, LLC In the Matter of TradeZero America, Inc., et al. SEC v. LG Capital Funding, LLC, et al. SEC v. Western International Securities, Inc., et al. In the Matter of Erin Verespy In the Matter of Wesley J. Evans In the Matter of Efrain Betancourt, Jr. SEC v. Richard Jonathan Eden, et al. In the Matter of TradeStation Securities, Inc. In the Matter of UBS Financial Services Inc. In the Matter of J.P. Morgan Securities LLC SEC v. Alan Z. Appelbaum In the Matter of Aegis Capital Corp. In the Matter of Paul F. Gallivan SEC v. Crown Bridge Partners, LLC, et al. In the Matter of Kevin Gillespie In the Matter of Dustin Paul Shafer SEC v. Alpine Securities Corporation, et al. In the Matter of Crown Bridge Partners, LLC In the Matter of Soheil Ahdoot In the Matter of Sepas Ahdoot In the Matter of Ross Barish In the Matter of IMC Chicago, LLC In the Matter of William B. McHenry, Jr., et al. In the Matter of Matthew J. Skinner In the Matter of Douglas Martin In the Matter of Karina Chairez In the Matter of Jonathan Dax Cooke In the Matter of Worldwide Markets, Ltd. In the Matter of TAB Networks, Inc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. 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Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin.In the Matter of Mark W. Heckele, Esq. Follow-on Admin. Proc. 34-95625 & 08/29/22 34-95626 In the Matter of Micah J. Eldred Follow-on Admin. Proc. 34-95649 08/31/22 In the Matter of Leon Vaccarelli Follow-on Admin. Proc. 34-95671 09/02/22 In the Matter of Lisa Gordon Follow-on Admin. Proc. 34-95690 09/07/22 In the Matter of Stanley B. Secor Follow-on Admin. Proc. 34-95703 09/08/22 SEC v. TBG Holdings Corporation, et al. Civil LR-25504 09/09/22 SEC v. Ted L. Romeo Civil LR-25504 09/09/22 SEC v. Frank S. Dickerson Civil LR-25504 09/09/22 SEC v. Vincent J. Caputo Civil LR-25504 09/09/22 In the Matter of Robert Lenard Booth a/k/a Trevor Nicholas Follow-on Admin. Proc. 34-95784 09/15/22 In the Matter of Damian Oster tag Follow-on Admin. Proc. 34-95788 09/15/22 In the Matter of Mark Alan Lisser Follow-on Admin. Proc. 34-95785 09/15/22 In the Matter of TBG Holdings Corporation Follow-on Admin. Proc. 34-95815 09/16/22 In the Matter of Neil B. Swartz Follow-on Admin. Proc. 34-95816 09/19/22 In the Matter of Ted L. Romeo Follow-on Admin. Proc. 34-95821 09/19/22 In the Matter of Damilare Sonoiki Follow-on Admin. Proc. 34-95824 09/19/22 In the Matter of Timothy S. Hart, CPA Follow-on Admin. Proc. 34-95835 09/20/22 In the Matter of Raymond James & Associates, Inc. Standalone Admin. Proc. 34-95875 09/22/22 In the Matter of Robert A. Vanetten Follow-on Admin. Proc. 34-95858 09/22/22 In the Matter of Raymond T. Clark Follow-on Admin. Proc. 34-95894 09/23/22 SEC v. Morningview Financial, LLC, et al. Civil LR-25520 09/23/22 In the Matter of Jose Luis Casero Sanchez Follow-on Admin. Proc. 34-95906 09/23/22 In the Matter of Alex Duain Forester Follow-on Admin. Proc. 34-95911 09/26/22 In the Matter of Michael Robert Hicks Follow-on Admin. Proc. 34-95912 09/26/22 In the Matter of Deutsche Bank Securities Inc., et al. Standalone Admin. Proc. 34-95928 09/27/22 In the Matter of Barclays Capital Inc. Standalone Admin. Proc. 34-95919 09/27/22 In the Matter of BofA Securities, Inc., et al. Standalone Admin. Proc. 34-95921 09/27/22 In the Matter of Cantor Fitzgerald & Co. Standalone Admin. Proc. 34-95927 09/27/22 In the Matter of Credit Suisse Securities (USA) LLC Standalone Admin. Proc. 34-95926 09/27/22 In the Matter of Citigroup Global Markets Inc. Standalone Admin. Proc. 34-95920 09/27/22 In the Matter of Goldman Sachs & Co. LLC Standalone Admin. Proc. 34-95922 09/27/22 In the Matter of Jefferies LLC Standalone Admin. Proc. 34-95923 09/27/22 In the Matter of Morgan Stanley & Co. LLC, et al. Standalone Admin. Proc. 34-95924 09/27/22 In the Matter of Nomura Securities International, Inc. Standalone Admin. Proc. 34-95925 09/27/22 In the Matter of UBS Financial Services, Inc., et al. Standalone Admin. Proc. 34-95929 09/27/22 In the Matter of Sean Andrew O’Neal Follow-on Admin. Proc. 34-95915 09/27/22 In the Matter of Michael Roy Raynor Follow-on Admin. Proc. 34-95916 09/27/22 In the Matter of Lee Sobel Follow-on Admin. Proc. 34-95918 09/27/22 In the Matter of Christopher Byungin Lee Follow-on Admin. Proc. 34-95914 09/27/22 In the Matter of Darcas Oliver Young Follow-on Admin. Proc. 34-95932 09/27/22 In the Matter of Joshua Louis Rupp Follow-on Admin. Proc. 34-95935 09/27/22 In the Matter of Kent R. E. Whitney Follow-on Admin. Proc. 34-95957 09/30/22 In the Matter of David Lee Parrish Follow-on Admin. Proc. 34-95956 09/30/22 In the Matter of R. Jacob Steele Standalone Admin. Proc. 34-95951 09/30/22 SEC v. Allen Mecham Civil None 09/30/22In the Matter of Joseph Boulos Follow-on Admin. Proc. 34-95960 09/30/22 In the Matter of Darrell Green Standalone Admin. Proc. 34-95962 09/30/22 DELINQUENT FILINGS In the Matter of Fortem Resources Inc. Standalone Admin. Proc. 34-94033 01/24/22 In the Matter of Apawthecary Pets USA Standalone Admin. Proc. 34-94058 01/25/22 In the Matter of AVTEAM, Inc. Standalone Admin. Proc. 34-94051 01/25/22 In the Matter of Bare Metal Standard, Inc. (a/k/a AS Capital, Inc.) Standalone Admin. Proc. 34-94060 01/25/22 In the Matter of Celexus, Inc. fka Telupay International, Inc. Standalone Admin. Proc. 34-94056 01/25/22 In the Matter of KinerjaPay Corp. Standalone Admin. Proc. 34-94063 01/26/22 In the Matter of IOTA Communications, Inc. Standalone Admin. Proc. 34-94077 01/27/22 In the Matter of ORANCO, Inc. Standalone Admin. Proc. 34-94078 01/27/22 In the Matter of Star Buffet, Inc. Standalone Admin. Proc. 34-94081 01/27/22 In the Matter of Two Rivers Water & Farming Company Standalone Admin. Proc. 34-94085 01/27/22 In the Matter of West Coast Ventures Group Corp. Standalone Admin. Proc. 34-94090 01/27/22 In the Matter of XT Energy Group, Inc. Standalone Admin. Proc. 34-94084 01/27/22 In the Matter of Petrolia Energy Corporation Standalone Admin. Proc. 34-94098 01/28/22 In the Matter of Sector 5, Inc. Standalone Admin. Proc. 34-94100 01/28/22 In the Matter of Blue State Corp. Standalone Admin. Proc. 34-94112 01/31/22 In the Matter of BlueNRGY Group Ltd. Standalone Admin. Proc. 34-94113 01/31/22 In the Matter of Gordon Biersch Brewery Restaurant Group, Inc. Standalone Admin. Proc. 34-94171 02/07/22 In the Matter of Inventergy Global, Inc. Standalone Admin. Proc. 34-94173 02/07/22 In the Matter of EnXnet, Inc. Standalone Admin. Proc. 34-94182 02/08/22 In the Matter of Global Seed Corp. Standalone Admin. Proc. 34-94183 02/08/22 In the Matter of Liberated Syndication Inc. Standalone Admin. Proc. 34-94193 02/08/22 In the Matter of Nearctic Nickel Mines, Inc. Standalone Admin. Proc. 34-94194 02/08/22 In the Matter of Price Net U.S.A., Inc. Standalone Admin. Proc. 34-94198 02/09/22 In the Matter of Qwick Media Inc. Standalone Admin. Proc. 34-94200 02/09/22 In the Matter of Zenosense, Inc. Standalone Admin. Proc. 34-94209 02/09/22 In the Matter of ZhongTai Biotechnology Pharmaceutical Group Co., Ltd. Standalone Admin. Proc. 34-94210 02/09/22 In the Matter of DBUB Group, Inc. Standalone Admin. Proc. 34-94213 02/10/22 In the Matter of Double Down Holdings, Inc. Standalone Admin. Proc. 34-94214 02/10/22 In the Matter of Omphalos, Corp. Standalone Admin. Proc. 34-94215 02/10/22 In the Matter of ParagonCoin, Limited Standalone Admin. Proc. 34-94216 02/10/22 In the Matter of ZYQC Group Holding Limited Standalone Admin. Proc. 34-94225 02/10/22 In the Matter of Parallax Health Sciences, Inc. Standalone Admin. Proc. 34-94220 02/10/22 In the Matter of Artemis Acquisition Corp. Standalone Admin. Proc. 34-94229 02/11/22 In the Matter of Bioscience Neutraceuticals, Inc. Standalone Admin. Proc. 34-94230 02/11/22 In the Matter of Capital Access Point III, Inc. Standalone Admin. Proc. 34-94235 02/11/22 In the Matter of CareClix Holdings, Inc. (f/k/a Solei Systems, Inc.) Standalone Admin. Proc. 34-94236 02/11/22 In the Matter of Talware Networx Inc. Standalone Admin. Proc. 34-94227 02/11/22 In the Matter of Validian Corp. Standalone Admin. Proc. 34-94228 02/11/22 In the Matter of CMS Asset Holdings, Inc. Standalone Admin. Proc. 34-94243 02/14/22 In the Matter of CurAegis Technologies, Inc. Standalone Admin. Proc. 34-94244 02/14/22 In the Matter of Sonant Systems, Inc. Standalone Admin. Proc. 34-94239 02/14/22 In the Matter of Symphony Acquisition Corp. Standalone Admin. Proc. 34-94240 02/14/22In the Matter of Virolab, Inc. Standalone Admin. Proc. 34-94267 02/15/22 In the Matter of Xodtec Group USA, Inc. Standalone Admin. Proc. 34-94268 02/16/22 In the Matter of Randolph Capital Group, Inc. Standalone Admin. Proc. 34-94275 02/17/22 In the Matter of Safety First Healthcare Corp. Standalone Admin. Proc. 34-94276 02/17/22 In the Matter of Global Boatworks Holdings, Inc. Standalone Admin. Proc. 34-94500 03/23/22 In the Matter of Advanezon Solutions, Inc. Standalone Admin. Proc. 34-94861 05/06/22 In the Matter of Baynon International Corp. Standalone Admin. Proc. 34-95507 08/16/22 In the Matter of Bravo Enterprises, Ltd. Standalone Admin. Proc. 34-95508 08/16/22 In the Matter of Alanco Technologies, Inc. Standalone Admin. Proc. 34-95522 08/17/22 In the Matter of ANDES 7, Inc. Standalone Admin. Proc. 34-95523 08/17/22 In the Matter of Champion Pain Care Corp., (f/k/a OICCO Acquisition I, Inc.) Standalone Admin. Proc. 34-95512 08/17/22 In the Matter of DCA Asset Management, Inc. Standalone Admin. Proc. 34-95513 08/17/22 In the Matter of Destination Maternity Corporation Standalone Admin. Proc. 34-95514 08/17/22 In the Matter of Dominion Minerals Corp. Standalone Admin. Proc. 34-95515 08/17/22 In the Matter of Eco Science Solutions, Inc. Standalone Admin. Proc. 34-95516 08/17/22 In the Matter of Findex.com, Inc. Standalone Admin. Proc. 34-95517 08/17/22 In the Matter of Halo Companies, Inc. Standalone Admin. Proc. 34-95519 08/17/22 In the Matter of IEH Corporation Standalone Admin. Proc. 34-95518 08/17/22 In the Matter of Insulcrete, Inc. Standalone Admin. Proc. 34-95535 08/18/22 In the Matter of Lescarden, Inc. Standalone Admin. Proc. 34-95536 08/18/22 In the Matter of Metwood, Inc. (aka Emerge Health International, Inc.) Standalone Admin. Proc. 34-95538 08/18/22 In the Matter of Newbridge Global Ventures, Inc. Standalone Admin. Proc. 34-95539 08/18/22 In the Matter of NMI Health, Inc. Standalone Admin. Proc. 34-95553 08/18/22 In the Matter of Northern Power Systems Corp. Standalone Admin. Proc. 34-95554 08/18/22 In the Matter of Novelon Therapeutics, Inc. Standalone Admin. Proc. 34-95542 08/18/22 In the Matter of Plantation Corp. Standalone Admin. Proc. 34-95543 08/18/22 In the Matter of Shearson American REIT, Inc. Standalone Admin. Proc. 34-95540 08/18/22 In the Matter of Tara Gold Resources Corp. Standalone Admin. Proc. 34-95541 08/18/22 In the Matter of Qornerstone, Inc. Standalone Admin. Proc. 34-95562 08/22/22 In the Matter of Santa Fe Financial Corporation Standalone Admin. Proc. 34-95563 08/22/22 In the Matter of TASA Products Limited Standalone Admin. Proc. 34-95573 08/22/22 In the Matter of The American Energy Group, Ltd. Standalone Admin. Proc. 34-95574 08/22/22 In the Matter of Union Bridge Holdings Limited Standalone Admin. Proc. 34-95564 08/22/22 In the Matter of VeriTeQ Corporation Standalone Admin. Proc. 34-95565 08/22/22 In the Matter of Vu1 Corporation Standalone Admin. Proc. 34-95566 08/22/22 In the Matter of WOD Retail Solutions, Inc. Standalone Admin. Proc. 34-95568 08/22/22 In the Matter of Taronis Technologies, Inc. (n/k/a BBHC, Inc.) Standalone Admin. Proc. 34-95640 08/31/22 In the Matter of Basic Energy Services, Inc. Standalone Admin. Proc. 34-95665 09/02/22 In the Matter of BLGI, Inc. Standalone Admin. Proc. 34-95666 09/02/22 In the Matter of FAB Universal Corp. Standalone Admin. Proc. 34-95667 09/02/22 In the Matter of Glen Rose Petroleum Corp Standalone Admin. Proc. 34-95668 09/02/22 In the Matter of Adaptive Medias, Inc. Standalone Admin. Proc. 34-95677 09/06/22 In the Matter of American Pacific Minerals Ltd. Standalone Admin. Proc. 34-95678 09/06/22 In the Matter of Corporate Resource Services, Inc. Standalone Admin. Proc. 34-95692 09/07/22 In the Matter of DirectView Holdings, Inc. Standalone Admin. Proc. 34-95693 09/07/22 In the Matter of Doers Education Asean Ltd. Standalone Admin. Proc. 34-95686 09/07/22 FOREIGN CORRUPT PRACTICES ACTIn the Matter of Tenaris S.A. Standalone Admin. Proc. 34-95030 06/02/22 In the Matter of GOL Linhas Aéreas Inteligentes S.A. Standalone Admin. Proc. 34-95800 09/15/22 In the Matter of Oracle Corporation Standalone Admin. Proc. 34-95913 09/27/22 INSIDER TRADING SEC v. Puneet Dikshit Civil 2021-230 11/10/21 SEC v. Carol E. Cohen, et al. Civil LR-25268 11/18/21 In the Matter of William E. Gericke, Esq. Standalone Admin. Proc. 34-93617 11/19/21 SEC v. Marc Demane Debih Civil LR-25274 11/30/21 SEC v. Robert C. Dobkin, et al. Civil LR-25275 12/01/21 SEC v. Usama Malik, et al. Civil 2021-249 12/02/21 SEC v. Mohammed Pithapurwala, et al. Civil LR-25285 12/03/21 SEC v. Daniel V.T. Catenacci Civil LR-25291 12/17/21 SEC v. David Schottenstein, et al. Civil LR-25302 01/06/22 SEC v. David S. Sargent, et al. Civil LR-25305 01/11/22 SEC v. David P. Forte, et al. Civil LR-25311 01/19/22 SEC v. John-Michael Havrilla Civil LR-25333 02/22/22 SEC v. Hari Prasad Sure, et al. Civil LR-25350 03/28/22 In the Matter of Lloyd D. Reed Standalone Admin. Proc. 34-94591 04/04/22 SEC v. Bernard L. Compton Civil LR-25374 04/13/22 SEC v. Carl Iberger, et al. Civil LR-25368 04/15/22 SEC v. Moshe Strugano, et al. Civil LR-25373 04/20/22 In the Matter of Balasubrahmanyaa Kuchibhotla Standalone Admin. Proc. 34-94834 05/02/22 SEC v. David Lee Stone, et al. Civil LR-25381 05/03/22 SEC v. Frank B. Glassner Civil LR-25398 05/24/22 SEC v. Hugues Pierre Joublin Civil LR-25401 05/27/22 In the Matter of Lijuan "Sandra" Hao, CPA Standalone Admin. Proc. 34-95076 06/09/22 SEC v. David Roda, et al. Civil LR-25422 06/13/22 In the Matter of Sidney A. Spector, MD, PhD Standalone Admin. Proc. 33-11078 06/27/22 SEC v. Daniel J. Moscatiello Civil LR-25431 06/29/22 SEC v. Doron A. Tavlin, et al. Civil LR-25439 07/06/22 In the Matter of Hugh Lee Sweeney Standalone Admin. Proc. 33-11079 07/07/22 SEC v. George W. Haywood Civil LR-25440 07/07/22 SEC v. Ishan Wahi, et al. Civil 2022-127 07/21/22 SEC v. Brijesh Goel, et al. Civil LR-25449 07/25/22 SEC v. Stephen E. Buyer, et al. Civil LR-25448 07/25/22 SEC v. Amit Bhardwaj, et al. Civil LR-25450 07/25/22 SEC v. Seth Markin, et al. Civil LR-25451 07/25/22 SEC v. Mark Klein, et al. Civil LR-25458 07/28/22 SEC v. Ann M. Dishinger, et al. Civil LR-25470 08/15/22 SEC v. Nicholas Daniel Civil LR-25473 08/17/22 SEC v. Todd C. Doucette Civil LR-25498 09/06/22 SEC v. John P. Mendes, et al. Civil LR-25512 09/20/22 SEC v. Michael Weiss Civil LR-25516 09/21/22 In the Matter of Sheng Fu, et al. Standalone Admin. Proc. 33-11104 09/21/22 SEC v. Harpreet Saini, et al. Civil LR-25548 09/30/22 INVESTMENT ADVISERS / INVESTMENT COMPANIESSEC v. Arthur S. Hoffman In the Matter of Ameritas Advisory Services, LLC SEC v. Marguerite Cassandra Toroian, et al. SEC v. Cambridge Investment Research Advisors, Inc., et al. In the Matter of Sivendran Vettivetpillai In the Matter of Mark Alan Bourgeois In the Matter of City National Rochdale, LLC In the Matter of Alumni Ventures Group, LLC, et al. In the Matter of Stefan Qin In the Matter of Scott Allen Fries In the Matter of Laurence G. Allen In the Matter of Goldstone Financial Group, LLC, et al. In the Matter of Spruce Investment Advisors, LLC SEC v. Dow Rockwell LLC, et al. In the Matter of Elliot Smertling SEC v. Shawn E. Good In the Matter of Gregory Lemelson In the Matter of John D. Ellis, Jr. In the Matter of ARS Capital Advisors, Inc. In the Matter of HighPoint Advisor Group, LLC In the Matter of Wealth Plus, Inc. In the Matter of Alexandra H. Cock SEC v. Synergy Settlement Services, Inc., et al. In the Matter of True Link Financial Advisors, LLC, et al. SEC v. Mark Marchi In the Matter of Boveda Asset Management, Inc. In the Matter of George Kenneth Witherspoon, Jr. In the Matter of Perini Capital, LLC, et al. In the Matter of Robert Charles High, II In the Matter of Steven F. Muntin In the Matter of Allianz Global Investors U.S. LLC SEC v. Gregoire P. Tournant, et al. In the Matter of Stephen G. Bond-Nelson In the Matter of Trevor L. Taylor SEC v. Andrew M. Middlebrooks, et al. In the Matter of First Republic Investment Management, Inc. In the Matter of BNY Mellon Investment Adviser, Inc. In the Matter of Virtua Capital Management, LLC, et al. In the Matter of RiverSource Distributors, Inc. SEC v. Cornerstone Acquisition & Management LLC, et al. SEC v. Martin A. Sumichrast In the Matter of Madison Avenue Securities, LLC In the Matter of Richard G. Duncan SEC v. Jennifer Campbell In the Matter of AlphaCentric Advisors LLC In the Matter of Garrison Point Capital, LLC Civil Standalone Admin. Proc. Civil Civil Standalone Admin. Proc. Standalone Admin. Proc. Standalone Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. 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Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. ProcIn the Matter of Kahn Brothers Advisors, LLC, et al. In the Matter of Kathryn Jane Meredith, d/b/a KM Advisory Services In the Matter of John Paul Harnish, d/b/a KM Advisory Services In the Matter of Adirondack Financial Services Corp. In the Matter of Trust Advisory Group, Ltd. SEC v. A.G. Morgan Financial Advisors, LLC, et al. In the Matter of Charles Schwab & Co., Inc., et al. In the Matter of Energy Capital Partners Management, LP SEC v. Loral L. Langemeier, et al. In the Matter of Geluk Capital Management Ltd., et al. In the Matter of German Nino In the Matter of David Lee Bonuccelli In the Matter of UBS Financial Services Inc. In the Matter of Hamilton Investment Counsel, LLC, et al. In the Matter of Corona Associates Capital Management, LLC, et al. SEC v. Eric S. Hollifield In the Matter of Richard Gearhart In the Matter of George McKown In the Matter of James M. Davis In the Matter of Private Advisor Group, LLC In the Matter of Mesirov Financial Investment Management, Inc. In the Matter of Christopher W. Burns In the Matter of Donald S. Laguardia, Jr. In the Matter of Deccan Value Investors LP, et al. In the Matter of Michelle Maccio In the Matter of Richard Keith Robertson In the Matter of IFP Advisors, LLC In the Matter of Angel Oak Capital Advisors, LLC, et al. In the Matter of Sergei Polevikov SEC v. Christopher R. Bentley, et al. In the Matter of Gregory Blotnick, et al. In the Matter of Virginia Himmelsteib King In the Matter of Swapnil J. Rege In the Matter of Kovack Advisors, Inc. SEC v. Gregory E. Lindberg, et al. SEC v. Lee A. Bressler SEC v. Ramas Capital Management, LLC, et al. In the Matter of Energy Innovation Capital Management, LLC In the Matter of Aventura Capital Management, LLC In the Matter of Perceptive Advisors LLC In the Matter of Benjamin Bin Chow In the Matter of NPA Asset Management, LLC In the Matter of Charles Pratt & Company, LLC In the Matter of Ridgeview Asset Management Partners, LLC In the Matter of Lend Academy Investments, LLC In the Matter of Polaris Equity Management, Inc. Standalone Admin. Proc. 34-95045 06/06/22 Standalone Admin. Proc. 34-95046 06/06/22 Standalone Admin. Proc. 34-95047 06/06/22 Standalone Admin. Proc. IA-6041 06/06/22 Standalone Admin. Proc. IA-6046 06/07/22 Civil LR-25418 06/09/22 Standalone Admin. Proc. 34-95087 06/13/22 Standalone Admin. Proc. IA-6049 06/14/22 Civil LR-25425 06/15/22 Standalone Admin. Proc. 33-11077 06/24/22 Follow-on Admin. Proc. 34-95160 06/27/22 Follow-on Admin. Proc. IA-6059 06/27/22 Standalone Admin. Proc. 34-95168 06/29/22 Standalone Admin. Proc. 34-95189 06/30/22 Standalone Admin. Proc. IA-6062 06/30/22 Civil LR-25435 06/30/22 Follow-on Admin. Proc. IA-6064 07/07/22 Follow-on Admin. Proc. IA-6063 07/07/22 Follow-on Admin. Proc. 34-95212 07/07/22 Standalone Admin. Proc. IA-6069 07/21/22 Standalone Admin. Proc. 34-95351 07/22/22 Follow-on Admin. Proc. IA-6072 07/25/22 Follow-on Admin. Proc. IA-6078 08/01/22 Standalone Admin. Proc. IA-6079 08/03/22 Follow-on Admin. Proc. IA-6081 08/09/22 Standalone Admin. Proc. 34-95462 08/10/22 Standalone Admin. Proc. IA-6086 08/10/22 Standalone Admin. Proc. 33-11090 08/10/22 Follow-on Admin. Proc. IA-6087 08/11/22 Civil LR-25472 08/16/22 Standalone Admin. Proc. 33-11091 08/16/22 Follow-on Admin. Proc. IA-6095 08/23/22 Follow-on Admin. Proc. IA-6097 08/25/22 Standalone Admin. Proc. IA-6098 08/26/22 Civil LR-25491 08/30/22 Civil LR-25488 08/30/22 Civil LR-25494 09/01/22 Standalone Admin. Proc. IA-6104 09/02/22 Standalone Admin. Proc. IA-6103 09/06/22 Standalone Admin. Proc. 34-95673 09/06/22 Follow-on Admin. Proc. IA-6109 09/08/22 Standalone Admin. Proc. IA-6110 09/08/22 Standalone Admin. Proc. IA-6107 09/08/22 Standalone Admin. Proc. IA-6117 09/09/22 Standalone Admin. Proc. IA-6118 09/09/22 Standalone Admin. Proc. IA-6115 09/09/22 In the Matter of Garrison Investment Group LP In the Matter of Titan Fund Management, LLC In the Matter of BiscayneAmericas Advisers L.L.C. In the Matter of QVR, LLC In the Matter of Steward Capital Management, Inc. In the Matter of Janus Henderson Investors US LLC In the Matter of Christopher R. Bentley In the Matter of Hudson Advisors L.P., et al. SEC v. Marc J. Frankel SEC v. Scott Adam Brander In the Matter of SparkLabs Global Ventures Management, LLC, et al. In the Matter of Ruless Pierre a/k/a Rules Pierre In the Matter of Buckman Advisory Group, LLC, et al. In the Matter of Arthur S. Hoffman In the Matter of Martin A. Ruiz In the Matter of Grenda Group, LLC In the Matter of Gregory M. Grenda In the Matter of Waddell & Reed, LLC In the Matter of Scott Adam Brander In the Matter of Arcadia Wealth Management, Inc. SEC v. David Sheldon Wells In the Matter of Corbin L. Lambert In the Matter of Toews Corporation In the Matter of Morgan Stanley Smith Barney LLC In the Matter of Timothy Allcott In the Matter of Eugenio Garcia Jimenez, Jr. In the Matter of Ron K. Harrison In the Matter of Jacob C. Glick In the Matter of Elbert L. Hardiman, Jr. In the Matter of Wave Equity Partners LLC In the Matter of Lee A. Bressler In the Matter of Richard M. Crabtree In the Matter of James Patrick O’Connell In the Matter of Randall H. Fields In the Matter of Donald J. Kellen SEC v. Jared D. Eakes, et al. In the Matter of Anilesh Ahuja SEC v. Bradley A. Goodbred In the Matter of Sean Wygovsky SEC v. Scott Lindell ISSUER REPORTING / AUDITING & ACCOUNTING In the Matter of the Registration Statement of Life Science Holdings, Inc. In the Matter of Amyris, Inc. In the Matter of United States Commodity Funds LLC, et al. In the Matter of Douglas A. RothIn the Matter of William Wright, CPA In the Matter of ProPetro Holding Corp., et al. In the Matter of Shannon D. Doyle, CPA SEC v. American Renal Associates Holdings, Inc., et al. In the Matter of Scott D. Clark, CPA In the Matter of Philip S. Hurak, Esq. In the Matter of Adam D. Bering, Esq. In the Matter of Alan C. Greenwell, CPA In the Matter of WEX Inc. In the Matter of Nikola Corporation SEC v. Medallion Financial Corp., et al. In the Matter of Vicent C. Petrescu, aka Vincent Petrescu, CPA In the Matter of Leaf Group Ltd. In the Matter of Nathaniel Brown In the Matter of Baxter International Inc. In the Matter of Jeffrey Schaible In the Matter of Scott Bohaboy In the Matter of Paul M. Godfrey, Jr. In the Matter of Halpern & Associates, LLC, et al. In the Matter of Mark Loman, CPA SEC v. Fernando Passos In the Matter of Rollins, Inc., et al. In the Matter of Bernard L. Compton In the Matter of Carl Iberger SEC v. Vale S.A. In the Matter of Medley Management Inc., et al. In the Matter of Eric A. Alexander, CPA In the Matter of NVIDIA Corporation In the Matter of Douglas A. Richardson, CPA In the Matter of the Registration Statement of Digi Outdoor Media, Inc. SEC v. iFresh, Inc., et al. SEC v. Anthony Sirotka SEC v. Karen Rosenberger, et al. In the Matter of Synchronoss Technologies, Inc. In the Matter of Daniel Ives In the Matter of Clayton "Charlie" Thomas In the Matter of Marc Bandini In the Matter of John Murdock In the Matter of Ronald Prague, Esq. In the Matter of Stephen G. Waldis In the Matter of CohnReznick LLP In the Matter of Stephen M. Wyss, CPA, et al. SEC v. United Health Products, Inc., et al. In the Matter of Steven C. Avis, CPA, et al. In the Matter of Petroteq Energy, Inc., et al. SEC v. Mark Korb MARKET MANIPULATION MISCELLANEOUS SECURITIES OFFERING In the Matter of Cody C. Biggs SEC v. David J.C. Bolton SEC v. HeadSpin, Inc. In the Matter of Seyed Taher Kameli, Esq. In the Matter of Michael M. Krill, Esq. SEC v. Robert Lenard Booth, et al. In the Matter of Blockfi Lending LLC SEC v. Andrew T.E. Coldicutt SEC v. Joseph Orazio DeGregorio SEC v. David W. Schamens SEC v. John Barksdale, et al. SEC v. S-Ray Incorporated, et al. In the Matter of DF Growth REIT II, LLC SEC v. Manuel A. Romero In the Matter of Hanze Asia Growth A SEC v. David J. Bunevacz, et al. SEC v. MCC International Corp. (d/b/a Mining Capital Coin Corp.), et al. SEC v. Julie A. Minuskin, et al. SEC v. Eric A. Alexander SEC v. Scott A. Merkelson SEC v. Matthew Wade Beasley, et al. SEC v. Joseph Salvatore DeVito (a/k/a Salvatore DeVito), et al. SEC v. Kay X. Yang, et al. In the Matter of The Legal Funding Group of Georgia, LLC, et al. SEC v. American Equities, Inc., et al. SEC v. Block Bits Capital, LLC, et al. SEC v. David B. Mata SEC v. Steven Chiang a/k/a Cyrus Kong, et al. SEC v. Derek J. Slattery, et al. SEC v. TKO Farms, Inc., et al. SEC v. StraightPath Venture Partners LLC, et al. SEC v. Wynn A.D. Charlebois, et al. SEC v. Marc S. Schessel, et al. SEC v. Michael Mooney, et al. SEC v. Boron Capital, LLC, et al. SEC v. Hollis P. Day, Jr. SEC v. Shlomo Nir, et al. SEC v. Empires Consulting Corp., (dba "EmpiresX"), et al. SEC v. William Glen Baker, et al. SEC v. Justin R. Kimbrough, et al. In the Matter of John W. Pauciulo, Esq. SEC v. Manuel Alvis SEC v. Joseph Boulos SEC v. Carlos Pingarron SEC v. Carlos Sorondo In the Matter of Equitable Financial Life Insurance Company SRO / EXCHANGE In the Matter of Fixed Income Clearing Corporation TRANSFER AGENT
ADDENDUM TO DIVISION OF ENFORCEMENT PRESS RELEASE FISCAL YEAR 2022 Enforcement Summary Chart for FY 2022 by Primary Classification Each action initiated has been included in only one category listed above, even though many actions may fall under more than one category. For example, the 15 Follow-On Administrative Proceedings in the category Issuer Reporting / Audit & Accounting are proceedings against accountants instituted pursuant to Rule 102(e) of the Commission's Rules of Practice. The underlying conduct in those matters may relate to other categories as well, such as Insider Trading or Securities Offering. Party counts are noted in parentheses. A listing of the actions referenced in the table above is provided in the last section of this document. Enforcement Actions Filed in Fiscal Years 2017 to 2022 Standalone Enforcement Actions is a combined count of Civil Actions and Standalone APs. Total Money Ordered (in millions) Disgorgement totals for 2020 and 2021 have been adjusted to exclude amounts ordered but waived. The currently-reported 2020 figure of $3,588 (in millions) was previously reported as $3,589 (in millions). The currently-reported 2021 figure of $2,395 (in millions) was previously reported as $2,396 (in millions). No other years were adjusted. Money Distributed to Harmed Investors (in millions) FISCAL YEAR 2022 ENFORCEMENT CASES LISTED BY PROGRAM AREAIn the Matter of Charles Smigrod In the Matter of Charles K. Topping In the Matter of Global Investment Strategy UK Ltd. In the Matter of John William Gunn In the Matter of Lynn D. Cawthorne In the Matter of Scott A. Merkelson In the Matter of Maplelane Capital LLC In the Matter of Justin Wallace Herman In the Matter of Bobby Eugene Guess In the Matter of Lev Parnas In the Matter of Peter J. Baker In the Matter of Alan H. New In the Matter of David N. Knuth In the Matter of Anthony Salandra In the Matter of Thomas F. Plaut In the Matter of Michael Staisil In the Matter of Wells Fargo Clearing Services, LLC In the Matter of TradeZero America, Inc., et al. SEC v. LG Capital Funding, LLC, et al. SEC v. Western International Securities, Inc., et al. In the Matter of Erin Verespy In the Matter of Wesley J. Evans In the Matter of Efrain Betancourt, Jr. SEC v. Richard Jonathan Eden, et al. In the Matter of TradeStation Securities, Inc. In the Matter of UBS Financial Services Inc. In the Matter of J.P. Morgan Securities LLC SEC v. Alan Z. Appelbaum In the Matter of Aegis Capital Corp. In the Matter of Paul F. Gallivan SEC v. Crown Bridge Partners, LLC, et al. In the Matter of Kevin Gillespie In the Matter of Dustin Paul Shafer SEC v. Alpine Securities Corporation, et al. In the Matter of Crown Bridge Partners, LLC In the Matter of Soheil Ahdoot In the Matter of Sepas Ahdoot In the Matter of Ross Barish In the Matter of IMC Chicago, LLC In the Matter of William B. McHenry, Jr., et al. In the Matter of Matthew J. Skinner In the Matter of Douglas Martin In the Matter of Karina Chairez In the Matter of Jonathan Dax Cooke In the Matter of Worldwide Markets, Ltd. In the Matter of TAB Networks, Inc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. 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Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin.In the Matter of Mark W. Heckele, Esq. Follow-on Admin. Proc. 34-95625 & 08/29/22 34-95626 In the Matter of Micah J. Eldred Follow-on Admin. Proc. 34-95649 08/31/22 In the Matter of Leon Vaccarelli Follow-on Admin. Proc. 34-95671 09/02/22 In the Matter of Lisa Gordon Follow-on Admin. Proc. 34-95690 09/07/22 In the Matter of Stanley B. Secor Follow-on Admin. Proc. 34-95703 09/08/22 SEC v. TBG Holdings Corporation, et al. Civil LR-25504 09/09/22 SEC v. Ted L. Romeo Civil LR-25504 09/09/22 SEC v. Frank S. Dickerson Civil LR-25504 09/09/22 SEC v. Vincent J. Caputo Civil LR-25504 09/09/22 In the Matter of Robert Lenard Booth a/k/a Trevor Nicholas Follow-on Admin. Proc. 34-95784 09/15/22 In the Matter of Damian Oster tag Follow-on Admin. Proc. 34-95788 09/15/22 In the Matter of Mark Alan Lisser Follow-on Admin. Proc. 34-95785 09/15/22 In the Matter of TBG Holdings Corporation Follow-on Admin. Proc. 34-95815 09/16/22 In the Matter of Neil B. Swartz Follow-on Admin. Proc. 34-95816 09/19/22 In the Matter of Ted L. Romeo Follow-on Admin. Proc. 34-95821 09/19/22 In the Matter of Damilare Sonoiki Follow-on Admin. Proc. 34-95824 09/19/22 In the Matter of Timothy S. Hart, CPA Follow-on Admin. Proc. 34-95835 09/20/22 In the Matter of Raymond James & Associates, Inc. Standalone Admin. Proc. 34-95875 09/22/22 In the Matter of Robert A. Vanetten Follow-on Admin. Proc. 34-95858 09/22/22 In the Matter of Raymond T. Clark Follow-on Admin. Proc. 34-95894 09/23/22 SEC v. Morningview Financial, LLC, et al. Civil LR-25520 09/23/22 In the Matter of Jose Luis Casero Sanchez Follow-on Admin. Proc. 34-95906 09/23/22 In the Matter of Alex Duain Forester Follow-on Admin. Proc. 34-95911 09/26/22 In the Matter of Michael Robert Hicks Follow-on Admin. Proc. 34-95912 09/26/22 In the Matter of Deutsche Bank Securities Inc., et al. Standalone Admin. Proc. 34-95928 09/27/22 In the Matter of Barclays Capital Inc. Standalone Admin. Proc. 34-95919 09/27/22 In the Matter of BofA Securities, Inc., et al. Standalone Admin. Proc. 34-95921 09/27/22 In the Matter of Cantor Fitzgerald & Co. Standalone Admin. Proc. 34-95927 09/27/22 In the Matter of Credit Suisse Securities (USA) LLC Standalone Admin. Proc. 34-95926 09/27/22 In the Matter of Citigroup Global Markets Inc. Standalone Admin. Proc. 34-95920 09/27/22 In the Matter of Goldman Sachs & Co. LLC Standalone Admin. Proc. 34-95922 09/27/22 In the Matter of Jefferies LLC Standalone Admin. Proc. 34-95923 09/27/22 In the Matter of Morgan Stanley & Co. LLC, et al. Standalone Admin. Proc. 34-95924 09/27/22 In the Matter of Nomura Securities International, Inc. Standalone Admin. Proc. 34-95925 09/27/22 In the Matter of UBS Financial Services, Inc., et al. Standalone Admin. Proc. 34-95929 09/27/22 In the Matter of Sean Andrew O’Neal Follow-on Admin. Proc. 34-95915 09/27/22 In the Matter of Michael Roy Raynor Follow-on Admin. Proc. 34-95916 09/27/22 In the Matter of Lee Sobel Follow-on Admin. Proc. 34-95918 09/27/22 In the Matter of Christopher Byungin Lee Follow-on Admin. Proc. 34-95914 09/27/22 In the Matter of Darcas Oliver Young Follow-on Admin. Proc. 34-95932 09/27/22 In the Matter of Joshua Louis Rupp Follow-on Admin. Proc. 34-95935 09/27/22 In the Matter of Kent R. E. Whitney Follow-on Admin. Proc. 34-95957 09/30/22 In the Matter of David Lee Parrish Follow-on Admin. Proc. 34-95956 09/30/22 In the Matter of R. Jacob Steele Standalone Admin. Proc. 34-95951 09/30/22 SEC v. Allen Mecham Civil None 09/30/22In the Matter of Joseph Boulos Follow-on Admin. Proc. 34-95960 09/30/22 In the Matter of Darrell Green Standalone Admin. Proc. 34-95962 09/30/22 DELINQUENT FILINGS In the Matter of Fortem Resources Inc. Standalone Admin. Proc. 34-94033 01/24/22 In the Matter of Apawthecary Pets USA Standalone Admin. Proc. 34-94058 01/25/22 In the Matter of AVTEAM, Inc. Standalone Admin. Proc. 34-94051 01/25/22 In the Matter of Bare Metal Standard, Inc. (a/k/a AS Capital, Inc.) Standalone Admin. Proc. 34-94060 01/25/22 In the Matter of Celexus, Inc. fka Telupay International, Inc. Standalone Admin. Proc. 34-94056 01/25/22 In the Matter of KinerjaPay Corp. Standalone Admin. Proc. 34-94063 01/26/22 In the Matter of IOTA Communications, Inc. Standalone Admin. Proc. 34-94077 01/27/22 In the Matter of ORANCO, Inc. Standalone Admin. Proc. 34-94078 01/27/22 In the Matter of Star Buffet, Inc. Standalone Admin. Proc. 34-94081 01/27/22 In the Matter of Two Rivers Water & Farming Company Standalone Admin. Proc. 34-94085 01/27/22 In the Matter of West Coast Ventures Group Corp. Standalone Admin. Proc. 34-94090 01/27/22 In the Matter of XT Energy Group, Inc. Standalone Admin. Proc. 34-94084 01/27/22 In the Matter of Petrolia Energy Corporation Standalone Admin. Proc. 34-94098 01/28/22 In the Matter of Sector 5, Inc. Standalone Admin. Proc. 34-94100 01/28/22 In the Matter of Blue State Corp. Standalone Admin. Proc. 34-94112 01/31/22 In the Matter of BlueNRGY Group Ltd. Standalone Admin. Proc. 34-94113 01/31/22 In the Matter of Gordon Biersch Brewery Restaurant Group, Inc. Standalone Admin. Proc. 34-94171 02/07/22 In the Matter of Inventergy Global, Inc. Standalone Admin. Proc. 34-94173 02/07/22 In the Matter of EnXnet, Inc. Standalone Admin. Proc. 34-94182 02/08/22 In the Matter of Global Seed Corp. Standalone Admin. Proc. 34-94183 02/08/22 In the Matter of Liberated Syndication Inc. Standalone Admin. Proc. 34-94193 02/08/22 In the Matter of Nearctic Nickel Mines, Inc. Standalone Admin. Proc. 34-94194 02/08/22 In the Matter of Price Net U.S.A., Inc. Standalone Admin. Proc. 34-94198 02/09/22 In the Matter of Qwick Media Inc. Standalone Admin. Proc. 34-94200 02/09/22 In the Matter of Zenosense, Inc. Standalone Admin. Proc. 34-94209 02/09/22 In the Matter of ZhongTai Biotechnology Pharmaceutical Group Co., Ltd. Standalone Admin. Proc. 34-94210 02/09/22 In the Matter of DBUB Group, Inc. Standalone Admin. Proc. 34-94213 02/10/22 In the Matter of Double Down Holdings, Inc. Standalone Admin. Proc. 34-94214 02/10/22 In the Matter of Omphalos, Corp. Standalone Admin. Proc. 34-94215 02/10/22 In the Matter of ParagonCoin, Limited Standalone Admin. Proc. 34-94216 02/10/22 In the Matter of ZYQC Group Holding Limited Standalone Admin. Proc. 34-94225 02/10/22 In the Matter of Parallax Health Sciences, Inc. Standalone Admin. Proc. 34-94220 02/10/22 In the Matter of Artemis Acquisition Corp. Standalone Admin. Proc. 34-94229 02/11/22 In the Matter of Bioscience Neutraceuticals, Inc. Standalone Admin. Proc. 34-94230 02/11/22 In the Matter of Capital Access Point III, Inc. Standalone Admin. Proc. 34-94235 02/11/22 In the Matter of CareClix Holdings, Inc. (f/k/a Solei Systems, Inc.) Standalone Admin. Proc. 34-94236 02/11/22 In the Matter of Talware Networx Inc. Standalone Admin. Proc. 34-94227 02/11/22 In the Matter of Validian Corp. Standalone Admin. Proc. 34-94228 02/11/22 In the Matter of CMS Asset Holdings, Inc. Standalone Admin. Proc. 34-94243 02/14/22 In the Matter of CurAegis Technologies, Inc. Standalone Admin. Proc. 34-94244 02/14/22 In the Matter of Sonant Systems, Inc. Standalone Admin. Proc. 34-94239 02/14/22 In the Matter of Symphony Acquisition Corp. Standalone Admin. Proc. 34-94240 02/14/22In the Matter of Virolab, Inc. Standalone Admin. Proc. 34-94267 02/15/22 In the Matter of Xodtec Group USA, Inc. Standalone Admin. Proc. 34-94268 02/16/22 In the Matter of Randolph Capital Group, Inc. Standalone Admin. Proc. 34-94275 02/17/22 In the Matter of Safety First Healthcare Corp. Standalone Admin. Proc. 34-94276 02/17/22 In the Matter of Global Boatworks Holdings, Inc. Standalone Admin. Proc. 34-94500 03/23/22 In the Matter of Advanezon Solutions, Inc. Standalone Admin. Proc. 34-94861 05/06/22 In the Matter of Baynon International Corp. Standalone Admin. Proc. 34-95507 08/16/22 In the Matter of Bravo Enterprises, Ltd. Standalone Admin. Proc. 34-95508 08/16/22 In the Matter of Alanco Technologies, Inc. Standalone Admin. Proc. 34-95522 08/17/22 In the Matter of ANDES 7, Inc. Standalone Admin. Proc. 34-95523 08/17/22 In the Matter of Champion Pain Care Corp., (f/k/a OICCO Acquisition I, Inc.) Standalone Admin. Proc. 34-95512 08/17/22 In the Matter of DCA Asset Management, Inc. Standalone Admin. Proc. 34-95513 08/17/22 In the Matter of Destination Maternity Corporation Standalone Admin. Proc. 34-95514 08/17/22 In the Matter of Dominion Minerals Corp. Standalone Admin. Proc. 34-95515 08/17/22 In the Matter of Eco Science Solutions, Inc. Standalone Admin. Proc. 34-95516 08/17/22 In the Matter of Findex.com, Inc. Standalone Admin. Proc. 34-95517 08/17/22 In the Matter of Halo Companies, Inc. Standalone Admin. Proc. 34-95519 08/17/22 In the Matter of IEH Corporation Standalone Admin. Proc. 34-95518 08/17/22 In the Matter of Insulcrete, Inc. Standalone Admin. Proc. 34-95535 08/18/22 In the Matter of Lescarden, Inc. Standalone Admin. Proc. 34-95536 08/18/22 In the Matter of Metwood, Inc. (aka Emerge Health International, Inc.) Standalone Admin. Proc. 34-95538 08/18/22 In the Matter of Newbridge Global Ventures, Inc. Standalone Admin. Proc. 34-95539 08/18/22 In the Matter of NMI Health, Inc. Standalone Admin. Proc. 34-95553 08/18/22 In the Matter of Northern Power Systems Corp. Standalone Admin. Proc. 34-95554 08/18/22 In the Matter of Novelon Therapeutics, Inc. Standalone Admin. Proc. 34-95542 08/18/22 In the Matter of Plantation Corp. Standalone Admin. Proc. 34-95543 08/18/22 In the Matter of Shearson American REIT, Inc. Standalone Admin. Proc. 34-95540 08/18/22 In the Matter of Tara Gold Resources Corp. Standalone Admin. Proc. 34-95541 08/18/22 In the Matter of Qornerstone, Inc. Standalone Admin. Proc. 34-95562 08/22/22 In the Matter of Santa Fe Financial Corporation Standalone Admin. Proc. 34-95563 08/22/22 In the Matter of TASA Products Limited Standalone Admin. Proc. 34-95573 08/22/22 In the Matter of The American Energy Group, Ltd. Standalone Admin. Proc. 34-95574 08/22/22 In the Matter of Union Bridge Holdings Limited Standalone Admin. Proc. 34-95564 08/22/22 In the Matter of VeriTeQ Corporation Standalone Admin. Proc. 34-95565 08/22/22 In the Matter of Vu1 Corporation Standalone Admin. Proc. 34-95566 08/22/22 In the Matter of WOD Retail Solutions, Inc. Standalone Admin. Proc. 34-95568 08/22/22 In the Matter of Taronis Technologies, Inc. (n/k/a BBHC, Inc.) Standalone Admin. Proc. 34-95640 08/31/22 In the Matter of Basic Energy Services, Inc. Standalone Admin. Proc. 34-95665 09/02/22 In the Matter of BLGI, Inc. Standalone Admin. Proc. 34-95666 09/02/22 In the Matter of FAB Universal Corp. Standalone Admin. Proc. 34-95667 09/02/22 In the Matter of Glen Rose Petroleum Corp Standalone Admin. Proc. 34-95668 09/02/22 In the Matter of Adaptive Medias, Inc. Standalone Admin. Proc. 34-95677 09/06/22 In the Matter of American Pacific Minerals Ltd. Standalone Admin. Proc. 34-95678 09/06/22 In the Matter of Corporate Resource Services, Inc. Standalone Admin. Proc. 34-95692 09/07/22 In the Matter of DirectView Holdings, Inc. Standalone Admin. Proc. 34-95693 09/07/22 In the Matter of Doers Education Asean Ltd. Standalone Admin. Proc. 34-95686 09/07/22 FOREIGN CORRUPT PRACTICES ACTIn the Matter of Tenaris S.A. Standalone Admin. Proc. 34-95030 06/02/22 In the Matter of GOL Linhas Aéreas Inteligentes S.A. Standalone Admin. Proc. 34-95800 09/15/22 In the Matter of Oracle Corporation Standalone Admin. Proc. 34-95913 09/27/22 INSIDER TRADING SEC v. Puneet Dikshit Civil 2021-230 11/10/21 SEC v. Carol E. Cohen, et al. Civil LR-25268 11/18/21 In the Matter of William E. Gericke, Esq. Standalone Admin. Proc. 34-93617 11/19/21 SEC v. Marc Demane Debih Civil LR-25274 11/30/21 SEC v. Robert C. Dobkin, et al. Civil LR-25275 12/01/21 SEC v. Usama Malik, et al. Civil 2021-249 12/02/21 SEC v. Mohammed Pithapurwala, et al. Civil LR-25285 12/03/21 SEC v. Daniel V.T. Catenacci Civil LR-25291 12/17/21 SEC v. David Schottenstein, et al. Civil LR-25302 01/06/22 SEC v. David S. Sargent, et al. Civil LR-25305 01/11/22 SEC v. David P. Forte, et al. Civil LR-25311 01/19/22 SEC v. John-Michael Havrilla Civil LR-25333 02/22/22 SEC v. Hari Prasad Sure, et al. Civil LR-25350 03/28/22 In the Matter of Lloyd D. Reed Standalone Admin. Proc. 34-94591 04/04/22 SEC v. Bernard L. Compton Civil LR-25374 04/13/22 SEC v. Carl Iberger, et al. Civil LR-25368 04/15/22 SEC v. Moshe Strugano, et al. Civil LR-25373 04/20/22 In the Matter of Balasubrahmanyaa Kuchibhotla Standalone Admin. Proc. 34-94834 05/02/22 SEC v. David Lee Stone, et al. Civil LR-25381 05/03/22 SEC v. Frank B. Glassner Civil LR-25398 05/24/22 SEC v. Hugues Pierre Joublin Civil LR-25401 05/27/22 In the Matter of Lijuan "Sandra" Hao, CPA Standalone Admin. Proc. 34-95076 06/09/22 SEC v. David Roda, et al. Civil LR-25422 06/13/22 In the Matter of Sidney A. Spector, MD, PhD Standalone Admin. Proc. 33-11078 06/27/22 SEC v. Daniel J. Moscatiello Civil LR-25431 06/29/22 SEC v. Doron A. Tavlin, et al. Civil LR-25439 07/06/22 In the Matter of Hugh Lee Sweeney Standalone Admin. Proc. 33-11079 07/07/22 SEC v. George W. Haywood Civil LR-25440 07/07/22 SEC v. Ishan Wahi, et al. Civil 2022-127 07/21/22 SEC v. Brijesh Goel, et al. Civil LR-25449 07/25/22 SEC v. Stephen E. Buyer, et al. Civil LR-25448 07/25/22 SEC v. Amit Bhardwaj, et al. Civil LR-25450 07/25/22 SEC v. Seth Markin, et al. Civil LR-25451 07/25/22 SEC v. Mark Klein, et al. Civil LR-25458 07/28/22 SEC v. Ann M. Dishinger, et al. Civil LR-25470 08/15/22 SEC v. Nicholas Daniel Civil LR-25473 08/17/22 SEC v. Todd C. Doucette Civil LR-25498 09/06/22 SEC v. John P. Mendes, et al. Civil LR-25512 09/20/22 SEC v. Michael Weiss Civil LR-25516 09/21/22 In the Matter of Sheng Fu, et al. Standalone Admin. Proc. 33-11104 09/21/22 SEC v. Harpreet Saini, et al. Civil LR-25548 09/30/22 INVESTMENT ADVISERS / INVESTMENT COMPANIESSEC v. Arthur S. Hoffman In the Matter of Ameritas Advisory Services, LLC SEC v. Marguerite Cassandra Toroian, et al. SEC v. Cambridge Investment Research Advisors, Inc., et al. In the Matter of Sivendran Vettivetpillai In the Matter of Mark Alan Bourgeois In the Matter of City National Rochdale, LLC In the Matter of Alumni Ventures Group, LLC, et al. In the Matter of Stefan Qin In the Matter of Scott Allen Fries In the Matter of Laurence G. Allen In the Matter of Goldstone Financial Group, LLC, et al. In the Matter of Spruce Investment Advisors, LLC SEC v. Dow Rockwell LLC, et al. In the Matter of Elliot Smertling SEC v. Shawn E. Good In the Matter of Gregory Lemelson In the Matter of John D. Ellis, Jr. In the Matter of ARS Capital Advisors, Inc. In the Matter of HighPoint Advisor Group, LLC In the Matter of Wealth Plus, Inc. In the Matter of Alexandra H. Cock SEC v. Synergy Settlement Services, Inc., et al. In the Matter of True Link Financial Advisors, LLC, et al. SEC v. Mark Marchi In the Matter of Boveda Asset Management, Inc. In the Matter of George Kenneth Witherspoon, Jr. In the Matter of Perini Capital, LLC, et al. In the Matter of Robert Charles High, II In the Matter of Steven F. Muntin In the Matter of Allianz Global Investors U.S. LLC SEC v. Gregoire P. Tournant, et al. In the Matter of Stephen G. Bond-Nelson In the Matter of Trevor L. Taylor SEC v. Andrew M. Middlebrooks, et al. In the Matter of First Republic Investment Management, Inc. In the Matter of BNY Mellon Investment Adviser, Inc. In the Matter of Virtua Capital Management, LLC, et al. In the Matter of RiverSource Distributors, Inc. SEC v. Cornerstone Acquisition & Management LLC, et al. SEC v. Martin A. Sumichrast In the Matter of Madison Avenue Securities, LLC In the Matter of Richard G. Duncan SEC v. Jennifer Campbell In the Matter of AlphaCentric Advisors LLC In the Matter of Garrison Point Capital, LLC Civil Standalone Admin. Proc. Civil Civil Standalone Admin. Proc. Standalone Admin. Proc. Standalone Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. 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Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. 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Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. Proc. Follow-on Admin. ProcIn the Matter of Kahn Brothers Advisors, LLC, et al. In the Matter of Kathryn Jane Meredith, d/b/a KM Advisory Services In the Matter of John Paul Harnish, d/b/a KM Advisory Services In the Matter of Adirondack Financial Services Corp. In the Matter of Trust Advisory Group, Ltd. SEC v. A.G. Morgan Financial Advisors, LLC, et al. In the Matter of Charles Schwab & Co., Inc., et al. In the Matter of Energy Capital Partners Management, LP SEC v. Loral L. Langemeier, et al. In the Matter of Geluk Capital Management Ltd., et al. In the Matter of German Nino In the Matter of David Lee Bonuccelli In the Matter of UBS Financial Services Inc. In the Matter of Hamilton Investment Counsel, LLC, et al. In the Matter of Corona Associates Capital Management, LLC, et al. SEC v. Eric S. Hollifield In the Matter of Richard Gearhart In the Matter of George McKown In the Matter of James M. Davis In the Matter of Private Advisor Group, LLC In the Matter of Mesirov Financial Investment Management, Inc. In the Matter of Christopher W. Burns In the Matter of Donald S. Laguardia, Jr. In the Matter of Deccan Value Investors LP, et al. In the Matter of Michelle Maccio In the Matter of Richard Keith Robertson In the Matter of IFP Advisors, LLC In the Matter of Angel Oak Capital Advisors, LLC, et al. In the Matter of Sergei Polevikov SEC v. Christopher R. Bentley, et al. In the Matter of Gregory Blotnick, et al. In the Matter of Virginia Himmelsteib King In the Matter of Swapnil J. Rege In the Matter of Kovack Advisors, Inc. SEC v. Gregory E. Lindberg, et al. SEC v. Lee A. Bressler SEC v. Ramas Capital Management, LLC, et al. In the Matter of Energy Innovation Capital Management, LLC In the Matter of Aventura Capital Management, LLC In the Matter of Perceptive Advisors LLC In the Matter of Benjamin Bin Chow In the Matter of NPA Asset Management, LLC In the Matter of Charles Pratt & Company, LLC In the Matter of Ridgeview Asset Management Partners, LLC In the Matter of Lend Academy Investments, LLC In the Matter of Polaris Equity Management, Inc. Standalone Admin. Proc. 34-95045 06/06/22 Standalone Admin. Proc. 34-95046 06/06/22 Standalone Admin. Proc. 34-95047 06/06/22 Standalone Admin. Proc. IA-6041 06/06/22 Standalone Admin. Proc. IA-6046 06/07/22 Civil LR-25418 06/09/22 Standalone Admin. Proc. 34-95087 06/13/22 Standalone Admin. Proc. IA-6049 06/14/22 Civil LR-25425 06/15/22 Standalone Admin. Proc. 33-11077 06/24/22 Follow-on Admin. Proc. 34-95160 06/27/22 Follow-on Admin. Proc. IA-6059 06/27/22 Standalone Admin. Proc. 34-95168 06/29/22 Standalone Admin. Proc. 34-95189 06/30/22 Standalone Admin. Proc. IA-6062 06/30/22 Civil LR-25435 06/30/22 Follow-on Admin. Proc. IA-6064 07/07/22 Follow-on Admin. Proc. IA-6063 07/07/22 Follow-on Admin. Proc. 34-95212 07/07/22 Standalone Admin. Proc. IA-6069 07/21/22 Standalone Admin. Proc. 34-95351 07/22/22 Follow-on Admin. Proc. IA-6072 07/25/22 Follow-on Admin. Proc. IA-6078 08/01/22 Standalone Admin. Proc. IA-6079 08/03/22 Follow-on Admin. Proc. IA-6081 08/09/22 Standalone Admin. Proc. 34-95462 08/10/22 Standalone Admin. Proc. IA-6086 08/10/22 Standalone Admin. Proc. 33-11090 08/10/22 Follow-on Admin. Proc. IA-6087 08/11/22 Civil LR-25472 08/16/22 Standalone Admin. Proc. 33-11091 08/16/22 Follow-on Admin. Proc. IA-6095 08/23/22 Follow-on Admin. Proc. IA-6097 08/25/22 Standalone Admin. Proc. IA-6098 08/26/22 Civil LR-25491 08/30/22 Civil LR-25488 08/30/22 Civil LR-25494 09/01/22 Standalone Admin. Proc. IA-6104 09/02/22 Standalone Admin. Proc. IA-6103 09/06/22 Standalone Admin. Proc. 34-95673 09/06/22 Follow-on Admin. Proc. IA-6109 09/08/22 Standalone Admin. Proc. IA-6110 09/08/22 Standalone Admin. Proc. IA-6107 09/08/22 Standalone Admin. Proc. IA-6117 09/09/22 Standalone Admin. Proc. IA-6118 09/09/22 Standalone Admin. Proc. IA-6115 09/09/22 In the Matter of Garrison Investment Group LP In the Matter of Titan Fund Management, LLC In the Matter of BiscayneAmericas Advisers L.L.C. In the Matter of QVR, LLC In the Matter of Steward Capital Management, Inc. In the Matter of Janus Henderson Investors US LLC In the Matter of Christopher R. Bentley In the Matter of Hudson Advisors L.P., et al. SEC v. Marc J. Frankel SEC v. Scott Adam Brander In the Matter of SparkLabs Global Ventures Management, LLC, et al. 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