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Commission Opinions and Adjudicatory Orders
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.
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Additional Archives
2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
| Release No. |
Date |
Respondents |
| Fourth Quarter |
| 34-68046 |
Oct. 12, 2012 |
Hedge Fund Capital Partners, LLC and Howard G. Jahre (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
|
| 34-68014 |
Oct. 9, 2012 |
Justin William Keener
|
| Third Quarter |
| 34-67930 |
Sep. 26, 2012 |
Mitchell Segal, Esq.
|
| 34-67900 |
Sep. 20, 2012 |
Michael C. Pattison, CPA (Opinion)
Other Release No.: AAER-3407
|
| 34-67795 |
Sep. 6, 2012 |
Gregg Becker (Order Vacating Bars)
|
| 34-67687 |
Aug. 17, 2012 |
HydroGenetics, Inc. (Order Dismissing Proceeding)
|
| 34-67604 |
Aug. 6, 2012 |
GDT Tek, Inc. (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
|
| 34-67503 |
Jul. 25, 2012 |
Jmar Technologies, Inc., et al. (Order Dismissing Proceeding With Respect to Respondents Legalopinion.com (n/k/a Drayton Richdale Corp.) and Kolorfusion International, Inc.)
|
| IA-3438 |
Jul. 25, 2012 |
Evelyn Litwok (Order Dismissing Proceeding)
|
| 33-9334 |
Jul. 11, 2012 |
Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Directing Additional Briefing)
Other Release No.: 34-67397
|
| Second Quarter |
| 34-67313 |
Jun. 29, 2012 |
Citizens Capital Corp.
|
| 34-67312 |
Jun. 29, 2012 |
Calais Resources Inc.
|
| 34-67104 |
Jun. 4, 2012 |
Amstem Corporation, et al., Balsam Ventures, Inc. (Order Dismissing Proceeding)
|
| 34-67089 |
May 31, 2012 |
Harrison Hatzis (Order Granting Request to Withdraw Application and Dismissing Review
Proceeding)
|
| 34-66842 |
Apr. 20, 2012 |
Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski (Opinion)
|
| 33-9311 |
Apr. 5, 2012 |
Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Order Denying Collins's Motion for Reconsideration of Civil Penalties)
|
| First Quarter |
| 33-9307 |
Mar. 30, 2012 |
John P. Flannery and James D. Hopkins (Order Denying Motions for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs)
Other Release Nos.: 34-66695, IA-3387, IC-30023
|
| 33-9304 |
Mar. 29, 2012 |
Eric David Wanger and Wanger Investment Management, Inc. (Order Denying Petition for Interlocutory Review)
Other Release Nos.: 34-66618, IA-3386, IC-30013
|
| 34-66618 |
Mar. 19, 2012 |
Martin Derrick Jenkins (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
|
| 34-66611 |
Mar. 15, 2012 |
International Power Group, Ltd. (Opinion)
|
| 34-66549 |
Mar. 9, 2012 |
James Lee Goldberg (Opinion)
|
| 34-66530 |
Mar. 7, 2012 |
Robert Hardee Quarles (Order Granting Petition to Vacate Administrative Bar Order)
|
| 33-9299 |
Feb. 27, 2012 |
Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Opinion)
Other Release Nos.: 34-66469, IA-3376
|
| 34-66467 |
Feb. 24, 2012 |
Howard Braff (Opinion)
|
| 34-66433 |
Feb. 21, 2012 |
William J. Murphy and Carl M. Birkelbach (Order Dismissing
Murphy's Application for Review)
|
| 34-66389 |
Feb. 13, 2012 |
SGI International, et al.; Shiega Resources Corp. (n/k/a African Metals Corporation) (Order Dismissing Proceeding)
|
| 34-66387 |
Feb. 13, 2012 |
Donald L. Koch and Koch Asset Management LLC (Order Granting Extension)
Other Release Nos.: IA-3370, IC-29945
|
| 34-66373 |
Feb. 10, 2012 |
John Edward Mullins and Kathleen Maria Mullins
|
| IC-29948 |
Feb. 10, 2012 |
Daxor Corporation (Order Granting Request to Withdraw Petition for Review and Notice of Finality)
|
| 34-66361 |
Feb. 8, 2012 |
Sharon Energy, Ltd., et al. (Order Dismissing Proceeding)
|
| 34-66260 |
Jan. 26, 2012 |
Paul Free, CPA (Order Denying a Stay or Postponement of Proceedings)
Other Release No.: AAER-3357
|
| 34-66200 |
Jan. 20, 2012 |
Midas Securities, LLC, and Jay S. Lee
|
| 34-66173 |
Jan. 18, 2012 |
Keath Allen Ward
|
| AAER-3354 |
Jan. 10, 2012 |
R.E. Bassie & Co. and R. Everett Bassie, C.P.A.
|
| 34-66114 |
Jan. 6, 2012 |
World Trade Financial Corp., Jason Troy Adams, Frank Edward Brickell, and Rodney Preston Michel
|
| 34-66113 |
Jan. 6, 2012 |
Dante J. DiFrancesco
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http://www.sec.gov/litigation/opinions.shtml
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