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.

Second Quarter | First Quarter

Additional Archives

Release No. Date Respondents
Second Quarter
IA-4405 May 27, 2016 Douglas F. Whitman (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
IA-4404 May 27, 2016 John V. Johnson (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
IA-4400 May 27, 2016 Edgar R. Page and Pageone Financial Inc. (Opinion of the Commission)
Other Release No.: IC-32131
(Note: Initial Decision, Release No. ID-822)
34-77946 May 27, 2016 Enrica Cotellessa-Pitz (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Other Release No.: IA-4403
34-77945 May 27, 2016 Charles M. Raspa (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
IA-4402 May 27, 2016 John W. Lawton (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
34-77944 May 27, 2016 Charles M. Vaughn (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
IA-4398 May 26, 2016 Matthew G. Teeple (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
IA-4396 May 26, 2016 Corey Ribotsky (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
34-77936 May 26, 2016 Fabrizio D. Neves (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
34-77935 May 26, 2016 Ross Mandell (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
34-77933 May 26, 2016 Ronald Musich (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Other Release No.: IA-4397
34-77932 May 26, 2016 Michael A. Tripodi (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
34-77921 May 25, 2016 In the Matter of the Application of Michael Earl McCune For Review of Disciplinary Action Taken by FINRA (Order Granting Stay)
34-77896 May 24, 2016 The Application of Mitchell H. Fillet for Review of Action Taken by FINRA (Order Scheduling Briefs)
34-77825 May 12, 2016 James S. Tagliaferri (Order Granting Petition for Review and Scheduling Briefs)
34-77815 May 11, 2016 Striper Energy, Inc. (Order Requesting Additional Written Submissions)
33-10078 May 10, 2016 Richard D. Feldmann (Order Denying Request to Reduce Agreed Disgorgement Amount)
Other Release Nos.: 34-77803, IC-32112
33-10077 May 5, 2016 Joseph P. Doxey (Opinion)
Other Release No.: 34-77773
(Note: Initial Decision, Release No. ID-598)
34-77772 May 5, 2016 Aegis Capital, LLC, et al. (Order Denying Motion to Sever)
Other Release Nos.: IA-4382, IC-32108
33-10076 May 4, 2016 Alexandre S. Clug (Order Denying Petition to Reject Division's Cross-Petition for Review as Untimely, Granting the Division's Cross-Petition, and Setting a Briefing Schedule)
Other Release Nos.: 34-77766, IC-32104
34-77683 Apr. 21, 2016 Timothy Quintanilla, CPA (Order Denying Motion to Lift Temporary Suspension and Directing That a Hearing Be Held)
Other Release No.: AAER-3769
33-10069 Apr. 19, 2016 Russell C. Schalk, Jr. (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-77654, IC-32080
33-10067 Apr. 18, 2016 Gordon Brent Pierce (Order Denying Motion to Vacate Commission Orders)
Other Release No.: 34-77643
33-10066 Apr. 14, 2016 Equity Trust Company (Order Granting Extension)
34-77510 Apr. 4, 2016 The Application of Christopher A. Parris for Review of Action Taken by FINRA (Corrected Order Denying Stay and Scheduling Briefs)
34-77503 Apr. 1, 2016 Rani T. Jarkas (Review of Disciplinary Proceedings)
34-77502 Apr. 1, 2016 Autochina International Limited (Review of Association Action Denying Request to Process Corporate Action)
34-77501 Apr. 1, 2016 The Petition of Citadel Securities LLC, et al. (Order Directing the Filing of Briefs)
34-77500 Apr. 1, 2016 The Application of Christopher A. Parris for Review of Action Taken by FINRA (Order Denying Stay and Scheduling Briefs)
First Quarter
34-77492 Mar. 31, 2016 The Applications of William Scholander and Talman Harris for Review of Disciplinary Action Taken by FINRA (Opinion)
34-77470 Mar. 29, 2016 Stephen Grivas (Opinion of the Commission)
34-77452 Mar. 25, 2016 John Vincent Ballard (Order Dismissing Untimely Application for Review)
33-10060 Mar. 24, 2016 Bernerd E. Young (Opinion of the Commission)
Other Release Nos.: 34-77442, IA-4358, IC-32050
33-10057 Mar. 22, 2016 Alexandre S. Clug (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-77420, IC-32037
34-77414 Mar. 21, 2016 Crucible Capital Group, Inc. and Charles Moore (Order Dismissing Proceeding)
Other Release No.: IC-32034
34-77411 Mar. 21, 2016 David R. Wulf (Opinion of the Commission)
Other Release No.: IA-4356
(Note: Initial Decision, Release No. ID-824)
34-77399 Mar. 17, 2016 Arrin Corporation, et al. (Order Dismissing Petition for Review of Gundaker/Jordan American Holdings, Inc.)
34-77398 Mar. 17, 2016 The Application of Michael Albert Dipietro for Review of Disciplinary Action Taken by FINRA (Opinion)
34-77396 Mar. 17, 2016 The Application of the Dratel Group, Inc. and William M. Dratel for Review of Action Taken by FINRA (Opinion)
34-77375 Mar. 15, 2016 The Application of Michael Earl McCune for Review of Disciplinary Action Taken by FINRA (Opinion)
34-77296 Mar. 4, 2016 The Application of Kenny Akindemowo for Review of Action Taken by FINRA (Order Scheduling Briefs)
33-10048 Feb. 26, 2016 Richard D. Feldmann (Order Scheduling Briefs)
Other Release Nos.: 34-77249, IC-32008
IA-4339 Feb. 23, 2016 Sandeep Goyal (Order Vacating Bar Order)
34-77204 Feb. 22, 2016 The Application of Laurie Bebo and John Buono, CPA (Order Partially Granting Motion for a Protective Order)
33-10044 Feb. 22, 2016 Timothy S. Dembski (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-77201, IA-4336, IC-31999
33-10040 Feb. 18, 2016 Edward M. Daspin, et al. (Order Granting Extension)
Other Release No.: 34-77177
34-77163 Feb. 17, 2016 The Application of Laurie Bebo and John Buono, CPA (Order Striking Respondent's "Offer of Proof")
34-77113 Feb. 11, 2016 Gordon Brent Pierce (Order Requesting Additional Briefs)
34-77107 Feb. 10, 2016 John Vincent Ballard (Order Directing the Filing of Briefs)
33-10038 Feb. 9, 2016 Edward M. Daspin, (aka "Edward (Ed) Michael"); and Luigi Agostini (Order Denying Stay)
Other Release No.: 34-77088
34-77084 Feb. 8, 2016 The Application of Aliza A. Manzella for Review of Disciplinary Action Taken by FINRA (Order Granting Motion to Dismiss Application for Review)
33-10035 Feb. 5, 2016 Jacob Keith Cooper (Order Dismissing Untimely Petition for Review)
Other Release Nos.: 34-77068, IA-4329, IC-31985
34-77062 Feb. 4, 2016 The Application of Ramcon Financial LLC for Review of Action Taken by FINRA (Opinion of the Commission)
33-10031 Feb. 2, 2016 Timothy W. Carnahan and Cyios Corporation (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-77038
34-76934 Jan. 19, 2016 Dean Zenon Pinard (Order Vacating Municipal Advisor Bar)
Other Release No.: IA-4319
33-10005 Jan. 19, 2016 Lawrence M. Labine (Order Granting Motion for Extension)
Other Release Nos.: 34-76933, IA-4318, IC-31962
34-76913 Jan. 14, 2016 Spring Hill Capital Markets, LLC, et al. (Order Granting Petition for Review and Scheduling Briefs)
34-76834 Jan. 5, 2016 The Application of Fuad Ahmed, Success Trade Securities, Inc. for Review of Action Taken by FINRA (Order Directing Additional Briefing)