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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

Release No. Date Respondents
Fourth Quarter
34-73664 Nov. 21, 2014 Mitchell T. Toland (for Review of Action Taken by FINRA)
34-73637 Nov. 19, 2014 Siming Yang (Order Granting Motion to Amend Order Instituting Proceedings)
Other Release No.: IA-3970
34-73634 Nov. 18, 2014 Mark Feathers (Order Summarily Affirming Initial Decision in Part and Imposing Remedial Sanctions)
34-73555 Nov. 6, 2014 Smartheat Inc. (Opinion of the Commission)
IA-3961 Oct. 29, 2014 Toby G. Scammell (Opinion of the Commission)
34-73420 Oct. 23, 2014 Accredited Business Consolidators Corp. (Order Dismissing Notice of Intention to Petition for Review)
34-73380 Oct. 16, 2014 North Woodward Financial Corp. and Douglas A. Troszak (Order Denying Motion to Consolidate)
33-9664 Oct. 16, 2014 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr. (Order Denying Interlocutory Review with Respect to Respondents' Motion for Order Directing Alternative Procedure for Filing, Service and Publication of Initial Decision)
Other Release Nos.: 34-73375, IA-3951, IC-31289
34-73312 Oct. 7, 2014 J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan (Order Granting Petition for Review and Scheduling Briefs)
Third Quarter
34-73228 Sep. 26, 2014 North Woodward Financial Corp. and Douglas Troszak (Extension Order)
34-73198 Sep. 23, 2014 Blair C. Mielke and Frederick W. Shultz (Order Scheduling Briefs)
34-73146 Sep. 19, 2014 Caryl Trewyn Lenahan (For Review of Disciplinary Action Taken by FINRA)
34-73124 Sep. 16, 2014 John Joseph Plunkett (For Review of Disciplinary Action Taken by Finra)
33-9641 Sep. 5, 2014 Julieann Palmer Martin (Order Extending Deadline for Filing Initial Decision)
Other Release Nos.: 34-73015, IC-31242, IC-31241
33-9640 Sep. 5, 2014 Larry C. Grossman and Gregory J. Adams (Order Extending Deadline for Filing Initial Decision)
Other Release Nos.: 34-73014, IA-3911, IC-31241
34-72997 Sep. 4, 2014 John J. Aesoph, CPA, and Darren M. Bennett, CPA (Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: AAER-3581
33-9639 Sep. 4, 2014 Daniel J. Gallagher (Order Granting Extension to File Petition for Review)
34-72975 Sep. 3, 2014 North Woodward Financial Corp., and Douglas A. Troszak (Order Scheduling Briefs)
34-72974 Sep. 3, 2014 Daniel Imperato (Order Granting Petition for Review and Scheduling Briefs)
IA-3908 Sep. 2, 2014 Montford and Company, Inc., et al. (Order Dismissing Motion for Stay for Lack of Jurisdiction)
34-72953 Sep. 2, 2014 Michael Nicholas Romano (Order Scheduling Briefs)
33-9633 Aug. 21, 2014 Jay T. Comeaux (Order Remanding for Further Proceedings)
Other Release Nos.: 34-72896, IA-3902, IC-31220
33-9632 Aug. 21, 2014 Harding Advisory LLC and Wing F. Chau (Order Granting Extension)
Other Release Nos.: IA-3901, IC-31219
33-9631 Aug. 13, 2014 John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC; Jarkesy, George R., Jr.; John Thomas Financial, Inc.; Belesis, Anastasios "Tommy" (Order Extending Deadline for Filing Initial Decision)
Other Release Nos.: 34-72841, IA-3897, IC-31211
34-72828 Aug. 12, 2014 North Woodward Financial Corp. and Douglas A. Troszak (Order Denying Stay)
IA-3892 Aug. 11, 2014 Timbervest, LLC, Joel Barth Shapiro, Walter William Anthony Boden, III, Donald David Zell, Jr., and Gordon Jones II (Order Extending Deadline for Filing Initial Decision)
Other Release Nos.: IC-31202
33-9628 Aug. 7, 2014 Donald J. Anthony, Jr. et al. (Order Granting Extension)
Other Release Nos.: 34-72788, IA-3890, IC-31200
34-72753 Aug. 4, 2014 BDO China Dahua CPA Co., Ltd., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants Ltd., and PricewaterhouseCoopers Zhong Tian CPAs Limited (Order Granting Leave to the ZLCA to File an Amicus Brief)
Other Release No.: AAER-3574
IA-3878 Jul. 22, 2014 ZPR Investment Management, Inc., and Max E. Zavanelli (Order Granting Petition for Review and Scheduling Briefs)
34-72644 Jul. 18, 2014 Caryl Trewyn Lenahan (Extension Order)
34-72639 Jul. 17, 2014 James M. Schneider, CPA (Order Denying Motion Or, in the Alternative, Application for Modification of Commission Order Imposing Remedial Sanctions)
Other Release No.: AAER-3568
34-72592 Jul. 10, 2014 Mark Feathers (Order Granting Petition for Review and Scheduling Briefs)
34-72563 Jul. 8, 2014 Michael Pino (Order Scheduling Briefs)
34-72528 Jul. 2, 2014 Denise M. Olson (Order Denying Request for Oral Argument)
34-72524 Jul. 2, 2014 William M. Dratel and the Dratel Group, Inc. (Extension Order)
33-9609 Jul. 2, 2014 J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan (Order Granting Extension)
Other Release Nos.: 34-72527, IA-3870, IC-31147
Second Quarter
34-72485 Jun. 26, 2014 Nicholas S. Savva and Hunter Scott Financial, LLC c/o Michael Schwartzberg, Esq. (Opinion of the Commission)
34-72474 Jun. 25, 2014 Denise M. Olson (Order Scheduling Briefs)
34-72449 Jun. 23, 2014 Mohammed Riad and Kevin Timothy Swanson (Order Granting Extension to File Brief in Support of Petition for Review)
Other Release Nos.: IA-3861, IC-31094
34-72443 Jun. 20, 2014 Donald L. Koch and Koch Asset Management, LLC (Partial Stay Order)
Other Release Nos.: IA-3860, IC-31091
34-72435 Jun. 19, 2014 Brian Williamson, Esq. (Order Denying Motion to Lift Temporary Suspension and Directing Hearing)
33-9602 Jun. 18, 2014 Joseph P. Doxey and William J. Daniel (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-72428
34-72360 Jun. 10, 2014 Mohammed Riad and Kevin Timothy Swanson (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: IA-3851, IC-31076
33-9598 Jun. 9, 2014 Gordon Brent Pierce (Order Granting Motion for Stay)
Other Release No.: 34-72354
IA-3844 Jun. 4, 2014 ZPR Investment Management, Inc. and Max Zavanelli (Order Granting Extension to File Petition for Review)
Other Release No.: IC-31072
34-72293 Jun. 2, 2014 The Dratel Group, Inc. and William M. Dratel (Order Denying Stay and Scheduling Briefs)
IA-3841 May 30, 2014 Anthony Chiasson (Order Granting Petition for Review and Scheduling Briefs)
34-72248 May 23, 2014 Blair Alexander West (Extension Order)
33-9590 May 21, 2014 Diego F. Hernandez, et al. (Order Dismissing Proceedings)
Other Release Nos.: 34-72210, IA-3838, IC-31056
34-72182 May 16, 2014 Securities Industry and Financial Markets Association (Order Establishing Procedures and Referring Applications for Review to Administrative Law Judge for Additional Proceedings)
34-72179 May 16, 2014 Donald L. Koch and Koch Asset Management, LLC (Opinion of the Commission)
Other Release Nos.: IA-3836, IC-31047
33-9584 May 15, 2014 Gordon Brent Pierce (Order Denying Motion for Reconsideration)
Other Release No.: 34-72174
34-72140 May 9, 2014 BDO China Dahua CPA Co., Ltd., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants Ltd., and Pricewaterhousecoopers Zhong Tian CPAs Limited (Order Granting Leave to Adduce Additional Evidence and Granting the Petitions for Review)
Other Release No.: AAER-3553
34-72134 May 9, 2014 BDO China Dahua CPA Co., Ltd., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants Ltd., and Pricewaterhousecoopers Zhong Tian CPAs Limited (Order Denying the Division's Motion to Strike the Notice of Withdrawal of Appearance and Setting a Briefing Schedule)
Other Release No.: AAER-3552
33-9583 May 8, 2014 Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC (Order Denying Motion for Permission to File Late Petition for Review)
Other Release Nos.: 34-72133, IA-3832, IC-31041
34-72108 May 6, 2014 Positron Corporation (Order Scheduling Briefs)
33-9582 May 2, 2014 La Paz Mining Corp., et al. (Stop Order)
34-72090 May 2, 2014 Steven R. Tomlinson (Order Scheduling Briefs)
IA-3829 May 2, 2014 Montford and Company, Inc., d/b/a Montford Associates, and Ernest V. Montford, Sr. (Opinion of the Commission)
34-72080 May 2, 2014 David Mura (Order Remanding Case for Further Proceedings)
34-72076 May 1, 2014 mPhase Technologies, Inc. (Order Denying Request for Oral Argument)
33-9580 Apr. 30, 2014 John P. Flannery and James D. Hopkins (Order Scheduling Oral Argument)
Other Release Nos.:  34-72059, IA-3827, IC-31036
34-72035 Apr. 28, 2014 Mitchell T. Toland (Extension Order)
34-72031 Apr. 25, 2014 Joseph Contorinis (Order Granting Motion for Summary Affirmance of Initial Decision)
Other Release No.: IA-3824
34-71972 Apr. 18, 2014 Robert D. Tucker (Order Dismissing Review Application)
34-71970 Apr. 17, 2014 Gregory Evan Goldstein (Opinion of the Commission)
34-71926 Apr. 10, 2014 Ricky D. Mullins (Order Granting Motion to Dismiss Application for Review)
34-71922 Apr. 9, 2014 Lawrence Maxwell Mccoy (Notice That Initial Decision Has Become Final)
Other Release No.: IA-3816
34-71921 Apr. 9, 2014 Gary David Rowcliffe (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
34-71875 Apr. 4, 2014 Mitchell T. Toland c/o Brad S. Maistrow
34-71866 Apr. 4, 2014 Absolute Potential, Inc. (f/k/a Absolute Waste Services, Inc.) (Opinion of the Commission)
34-71865 Apr. 3, 2014 Timothy M. McGinn (Notice That Initial Decision Has Become Final)
Other Release No.: IA-3809
First Quarter
34-71833 Mar. 31, 2014 S.W. Hatfield, CPA and Scott W. Hatfield, CPA
Other Release No.: AAER-3547
IA-3805 Mar. 27, 2014 Michael R. Pelosi (Opinion)
Other Release No.: IC-30997
34-71761 Mar. 20, 2014 Thomas D. Melvin, CPA (Order Denying Petition to Lift Temporary Suspension and Directing Hearing)
Other Release No.: AAER-3543
33-9561 Mar. 14, 2014 Harding Advisory LLC and Wing F. Chau (Order Denying Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines)
Other Release Nos.: IA-3796, IC-30892
33-9560 Mar. 13, 2014 Multri-Precision, LLC (Order Dismissing Administrative Proceedings)
34-71707 Mar. 12, 2014 John Moraitis (Notice That Initial Decision Has Become Final)
34-71706 Mar. 12, 2014 Mitchell H. Fillet (Extension Order)
34-71668 Mar. 7, 2014 Ross Mandell (Order Summarily Affirming Initial Decision in Part and Imposing
Remedial Sanctions)
34-71666 Mar. 7, 2014 Gregory Bartko (Opinion)
33-9555 Mar. 7, 2014 Gordon Brent Pierce (Opinion)
Other Release No.: 34-71664
33-9553 Feb. 27, 2014 Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Opinion)
Other Release No.: 34-71632
34-71600 Feb. 21, 2014 John J. Plunkett (Order Scheduling Briefs)
34-71589A Feb. 20, 2014 Kent M. Houston (Opinion) (Corrected)
34-71584 Feb. 20, 2014 Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC (Order Granting Petitions for Review and Scheduling Briefs)
34-71577 Feb. 19, 2014 Robert D. Tucker (Order Scheduling Briefs)
34-71566 Feb. 18, 2014 Robert Marcus Lane and Jeffrey Griffin Lane (Order Scheduling Briefs)
IA-3774 Feb. 5, 2014 ZPR Investment Management, Inc. and Max E. Zavanelli (Order Granting Extension)
Other Release No.: IC-30907
34-71481 Feb. 5, 2014 Mohammed Riad and Kevin Timothy Swanson (Order Granting Extension)
Other Release Nos.: IA-3772, IC-30906
34-71432 Jan. 28, 2014 Toby G. Scammell (Order Granting Cross-Petition for Review and Extending Briefing Schedule)
33-9519 Jan. 28, 2014 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr. (Order Denying Petition for Interlocutory Review)
Other Release Nos.: 34-71415, IA-3764, IC-30894
33-9518 Jan. 24, 2014 Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Extension to File Brief in Support of Petition for Review)
Other Release Nos.: 34-71392, IA-3761, IC-30892
34-71391 Jan. 24, 2014 Mark Steven Steckler (Order Granting Motion to Dismiss Application for Review)
33-9514 Jan. 17, 2014 optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman (Order Directing Review and Issuing Notice That Initial Decision Has Become Final as to Thomas E. Stern)
Other Release Nos.: 34-71354, IC-30886
34-71340 Jan. 17, 2014 CapWest Securities, Inc. (Opinion)
33-9512 Jan. 16, 2014 David F. Bandimere (Order Denying Motion for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs)
33-9509 Jan. 13, 2014 Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Petitions for Review and Scheduling Briefs)
34-71277 Jan. 9, 2014 Mitchell H. Fillet (Extension Order)

 

http://www.sec.gov/litigation/opinions.shtml

Modified: 11/21/2014