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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
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
| Release No. |
Date |
Respondents |
| Second Quarter |
| 34-57741 |
Apr. 30, 2008 |
Nasdaq Stock Market, LLC
|
| 34-57740 |
Apr. 30, 2008 |
Matthew Brian Proman
|
| 34-57656 |
Apr. 11, 2008 |
Paz Securities, Inc. and Joseph Mizrachi
|
| 34-57655 |
Apr. 11, 2008 |
Dennis Todd Lloyd Gordon and Sterling Scott Lee
|
| First Quarter |
| 33-8902 |
Mar. 11, 2008 |
Gregory O. Trautman
Other Release No.: 34-57475, IA-2719, IC-28194
|
| 34-57426 |
Mar. 4, 2008 |
Robert E. Strong
|
| 33-8898 |
Feb. 21, 2008 |
Euro Capital Incorporated
|
| 34-57266 |
Feb. 4, 2008 |
Jeffrey L. Gibson
Other Release No.: IA-2700
|
| 33-8888 |
Jan. 31, 2008 |
John A. Carley, Eugene C. Geiger, Thomas A. Kaufmann, Edward H. Price, and Christopher H. Zacharias
Other Release No.: 34-57146
|
| 33-8887 |
Jan. 31, 2008 |
Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot (Order Denying Motion for Extension)
Other Release Nos.: 34-57243, IA-2699, IC-28138
|
| 34-57244 |
Jan. 31, 2008 |
Gregory M. Dearlove
Other Release No.: AAER-2779
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| IA-2694 |
Jan. 16, 2008 |
Warwick Capital Management, Inc. and Carl Lawrence
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| 34-57138 |
Jan. 14, 2008 |
Wedbush Morgan Securities, Inc. (Order Dismissing Proceedings)
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http://www.sec.gov/litigation/opinions.shtml
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