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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.
Second Quarter | First Quarter
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
| Release No. |
Date |
Respondents |
| Second Quarter |
| 34-69766 |
Jun. 14, 2013 |
John Joseph Plunkett (Opinion)
|
| 34-69615 |
May 21, 2013 |
ACAP Financial, Inc. and Gary Hume (Order Denying Request for Oral Argument)
|
| 33-9400 |
Apr. 30, 2013 |
optionsXpress, Inc., et al.; OX Trading, LLC, et al.
Other Release Nos.: 34-69478, IC-30498
|
| 34-69439 |
Apr. 24, 2013 |
A-Power Energy Generation Systems, Ltd.
|
| 34-69406 |
Apr. 18, 2013 |
Joseph S. Amundsen (Opinion) (Corrected)
|
| 34-69405 |
Apr. 18, 2013 |
Gilbert Torres Martinez (Order Granting Motion to Dismiss Application for Review)
|
| 34-69358 |
Apr. 10, 2013 |
Virginia K. Sourlis, Esq.
|
| 34-69312 |
Apr. 4, 2013 |
Harry W. Hunt (Order Dismissing Application for Review)
|
| 34-69263 |
Apr. 1, 2013 |
Steven Neil Barbot (Order Dismissing Application)
|
| First Quarter |
| 34-69177 |
Mar. 19, 2013 |
Eric J. Weiss
|
| 34-69034 |
Mar. 4, 2013 |
SEI Holdings, Inc. (n/k/a Stoneleigh Realty Investors, LLLP), et al. (Order Dismissing Proceeding with Respect to SEI Holdings, Inc.)
|
| 34-69020 |
Mar. 1, 2013 |
Julio C. Ceballos (Order Granting Motion to Dismiss Application for Review)
|
| 34-68981 |
Feb. 25, 2013 |
Stewart A. Merkin, Esq. (Order Denying Motion to Lift Temporary Suspension and Directing Hearing)
|
| 34-68979 |
Feb. 25, 2013 |
Far Vista Interactive Corp., et al. (Order Dismissing Proceeding with Respect to
Far Vista Interactive Corp.)
|
| 33-9386 |
Feb. 25, 2013 |
Miguel A. Ferrer and Carlos J. Ortiz (Order Granting Extension)
Other Release Nos.: 34-68978, IC-30404
|
| 34-68974 |
Feb. 25, 2013 |
Robert David Beauchene (Order Granting Motion to Amend Order Instituting Proceedings)
|
| 34-68966 |
Feb. 21, 2013 |
Andover Holdings, Inc. (a/k/a Andover Energy Holdings, Inc.) (Order
Summarily Affirming Initial Decision)
|
| 34-68904 |
Feb. 11, 2013 |
Gregory Evan Goldstein
|
| 34-68755 |
Jan. 29, 2013 |
Harry W. Hunt (Order Denying Stay)
|
| 34-68651 |
Jan. 14, 2013 |
Richard L. Goble (Order Dismissing Proceeding)
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http://www.sec.gov/litigation/opinions.shtml
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