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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.

First Quarter 

Additional Archives

Release No. Date Respondents
First Quarter
34-68755 Jan. 29, 2013 Harry W. Hunt (Order Denying Stay)
34-68651 Jan. 14, 2013 Richard L. Goble (Order Dismissing Proceeding)

Modified: 01/29/2013