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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
34-74176 Jan. 29, 2015 Jordan Peixoto (Order Dismissing Proceeding)
33-9716 Jan. 28, 2015 Larry C. Grossman (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-74168, IA-4010, IC-31436
34-74153 Jan. 27, 2015 DRC Ventures, Inc. (Order Dismissing Proceeding)
IA-4008 Jan. 27, 2015 Michael S. Steinberg (Order Postponing Briefing Schedule)
34-74138 Jan. 26, 2015 Marcos A. Santana (Order Granting Motion to Dismiss Application for Review)
Other Release Nos.: IA-4007, IC-31429
33-9710 Jan. 26, 2015 Donald J. Anthony, et al. (Order Granting Second Motion for Extension)
Other Release Nos.: 34-74139, IA-4007, IC-31429
IA-4003 Jan. 20, 2015 Timbervest, LLC, Joel Barth Shapiro, et al. (Order Regarding Supplemental Briefing)
Other Release No.: IC-31424
34-74101 Jan. 20, 2015 Positron Corporation (Order Denying Request for Oral Argument)
33-9703 Jan. 20, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy Jr. (Order Directing Additional Submission)
Other Release Nos.: 34-74100, IA-4002, IC-31423
34-74054 Jan. 14, 2015 Accredited Business Consolidators Corp. (Order Granting Petition for Review and Scheduling Briefs)
34-74030 Jan. 9, 2015 Blair Alexander West (Registered Securities Association - Review of Disciplinary Proceedings)
34-74015 Jan. 8, 2015 Joseph S. Amundsen (Order Denying Request for Reconsideration)
34-73983 Jan. 5, 2015 Thomas C. Gonnella (Order Granting Petitions for Review and Scheduling Briefs)

 

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

Modified: 01/29/2015