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Commission Opinions and Adjudicatory Orders
Archive 2009

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
34-61234 Dec. 23, 2009 Chris G. Gunderson, Esq.
33-9088A Dec. 15, 2009 Gregory O. Trautman
Other Release No.: 34-61167A
34-61162 Dec. 14, 2009 Kevin Hall, CPA and Rosemary Meyer, CPA
Other Release No.: AAER-3080
33-9085 Dec. 11, 2009 Guy P. Riordan
Other Release No.: 34-61153
See also:  Court of Appeals Opinion
34-61135 Dec. 10, 2009 Kirlin Securities, Inc. Anthony Kirincic and Andrew Israel
34-61134 Dec. 10, 2009 James Gerard O'Callaghan
34-61120 Dec. 7, 2009 Scott Mathis
34-61039A Nov. 20, 2009 Joseph John VanCook
34-60937 Nov. 4, 2009 Kevin M. Glodek
See also:  Court of Appeals Opinion
33-9076 Oct. 23, 2009 Rodney R. Schoemann
See also:  Court of Appeals Opinion
34-60772 Oct. 2, 2009 Fannie Mae Securities Litigation (Order Denying Petition for Review)
Third Quarter
33-9068 Sep. 29, 2009 Thomas C. Bridge, James D. Edge and Jeffrey K. Robles
Other Release No.: 34-60736
IA-2926 Sep. 17, 2009 Martin A. Armstrong
See also:  Court of Appeals Opinion
34-60506 Aug. 14, 2009 Andrew P. Gonchar and Polyvios T. Polyviou
See also:  Court of Appeals Opinion
34-60505 Aug. 14, 2009 North Woodward Financial Corp. and Douglas A. Troszak
34-60361 Jul. 22, 2009 Gregory W. Gray, Jr.
34-60346 Jul. 20, 2009 Kevin Hall, CPA and Rosemary Meyer, CPA
Other Release No.: AAER-3017
34-60328 Jul. 17, 2009 Timothy H. Emerson, Jr.
IA-2901 Jul. 16, 2009 Mitchell M. Maynard and Dorice A. Maynard (Order Denying Motion for Reconsideration)
See also:  Opinion: Rel. No. IA-2875
Second Quarter
34-60180 Jun. 26, 2009 Husky Trading LLC, Eugene O'Brien, Michael Inemer, and Stephen Floirendo
34-60000 May 29, 2009 Maria T. Giesige
Other Release No.: IA-2886
IA-2875 May 15, 2009 Mitchell M. Maynard and Dorice A. Maynard
See also:  Reconsideration Order
34-59927 May 14, 2009 Boston Options Exchange Group, LLC (Order Dismissing Application for Review)
34-59874 May 6, 2009 William D. Shovers (Order Denying Motion to Lift Temporary Suspension and Directing Hearing)
34-59729 Apr. 8, 2009 Scott B. Gann
Other Release No.: IA-2684
See also:  Court of Appeals Per Curiam Order
First Quarter
34-59577 Mar. 13, 2009 Richard B. Feinberg
34-59550 Mar. 10, 2009 Joseph John VanCook (Order Denying Request for Extension of Time, Postponement, or Adjournment)
Other Release No.: IC-28644
34-59476 Feb. 27, 2009 Markland Technologies, Inc.
34-59404 Feb. 13, 2009 Luis Miguel Cespedes
34-59403 Feb. 13, 2009 Gary M. Kornman
Other Release No.: IA-2840
See also:  Court of Appeals Opinion
34-59328 Jan. 30, 2009 Scott Epstein
34-59326 Jan. 30, 2009 Michael Stegawski
34-59325 Jan. 30, 2009 CMG Institutional Trading, LLC and Shawn D. Baldwin
34-59268 Jan. 21, 2009 Nature's Sunshine Products, Inc.
34-59223 Jan. 9, 2009 Thomas W. Heath, III
See also:  Court of Appeals Opinion

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2009.shtml

Modified: 05/02/2012