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Commission Opinions and Adjudicatory Orders Archive: 2011

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
34-66064 Dec. 28, 2011 Cleantech Innovations, Inc. (Order Denying Motions for Stay of Delisting and Expedited Discovery)
34-66014 Dec. 20, 2011 Kent M. Houston (Opinion)
34-65904 Dec. 6, 2011 William J. Murphy, Carl M. Birkelbach, and Birkelbach Investment Securities, Inc. (Order Granting Request to Withdraw Application and Dismissing Review Proceeding with Respect to Birkelbach Investment Securities, Inc.)
34-65863 Dec. 1, 2011 Richard A. Neaton (Order Denying Motion for Reconsideration)
IA-3311 Nov. 9, 2011 Montford and Company, Inc. d/b/a Montford Associates and Ernest V. Montford, Sr. (Order Denying Suggestion for Interlocutory Review)
IA-3307 Oct. 24, 2011 Michael R. Pelosi (Order Granting Extension)
Other Release No.: IC-29841
34-65598 Oct. 20, 2011 Richard A. Neaton
34-65581 Oct. 18, 2011 Davis Accounting Group, P.C. and Edwin R. Davis, Jr., CPA (Order Dismissing Review Application and Lifting Stay)
33-9267 Oct. 14, 2011 Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Granting Partial Protective Order)
Other Release No.: 34-65571
34-65570 Oct. 14, 2011 Sharemaster (Order Dismissing Proceedings)
34-65569 Oct. 14, 2011 Michael Picozzi III
Third Quarter
34-65347 Sep. 16, 2011 Dennis S. Kaminski
34-65345 Sep. 16, 2011 Norman Chen (Order Granting Motion to Dismiss Application for Review)
34-65267 Sep. 6, 2011 FCS Securities and Dale Edward Kleinser (Order Denying Motion for Reconsideration)
34-65261 Sep. 2, 2011 Mark S. Parnass (Order Denying in Part Petition to Vacate Administrative Bar Order)
34-65235 Aug. 31, 2011 Richard G. Cody (Order Denying Motion for Reconsideration)
34-65207 Aug. 26, 2011 Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Order Directing the Filing of Additional Briefs)
Other Release No.: IA-3264
34-65204 Aug. 26, 2011 Eric S. Butler
Other Release No.: IA-3262
34-65118 Aug. 12, 2011 Cobalis Corporation
34-65117 Aug. 11, 2011 Kent D. Sweat and Intermountain Financial Securities, Inc. (Corrected Order Denying Motion for Reconsideration)
IA-3260 Aug. 5, 2011 Robert L. Burns
Other Release No.: IC-29746
33-9239 Jul. 18, 2011 John P. Flannery and James D. Hopkins
34-64897 Jul. 18, 2011 American Stellar Energy, Inc. (n/k/a Tara Gold Resources Corp.)
See also:  Court of Appeals Opinion
34-64852 Jul. 11, 2011 FCS Securities and Dale Edward Kleinser
34-64813 Jul. 6, 2011 Cobalis Corporation
Second Quarter
34-64747 Jun. 24, 2011 American Funds Distributors, Inc.
IA-3217 Jun. 16, 2011 Sherwin Brown and Jamerica Financial, Inc.
34-64637 Jun. 9, 2011 Global Sentry Equity Transfer, Inc. (Order Amending Order Instituting Proceedings)
IC-29718 Jul. 7, 2011 Daxor Corporation
34-64565 May 27, 2011 Richard G. Cody
See also:  Court of Appeals Opinion
34-64557 May 27, 2011 World Trade Financial Corp., Jason Troy Adams, Frank Edward Brickell, and Rodney Preston Michel; Midas Securities, LLC, and Jay S. Lee (Order Denying Consolidation)
34-64489 May 13, 2011 Philip L. Spartis and Amy J. Elias
34-64486 May 13, 2011 Harry Friedman
34-64481 May 12, 2011 Gremo Investments, Inc.
34-64391 May 4, 2011 Denise Lynn Gizankis (Order Dismissing Petition for Review)
First Quarter
34-64145 Mar. 29, 2011 Thomas Preston Osborn (Order Dismissing Petition for Review)
33-9197 Mar. 22, 2011 Ronald S. Bloomfield, Robert Gorgia, Victor Labi, John Earl Martin, Sr., and Eugene Miller (Order Granting Extension)
Other Release No.: 34-64106
34-64079 Mar. 14, 2011 Robert L. Burns (Order Granting Partial Protective Order)
Other Release No.: IA-3174, IC-29599
34-64138 Mar. 1, 2011 Timothy M. Gautney, Robert A. Bellia, Jr., and Erik S. Blum (Corrected Order Granting Motion to Discontinue Proceedings Against Timothy M. Gautney Without Prejudice)
Other Release No.: IA-3181
34-63941 Feb. 22, 2011 David W. Baldt (Order Granting Extension)
Other Release Nos.: IA-3165, IC-29578
33-9189 Feb. 17, 2011 Sahas Technologies LLC (Order Dismissing Proceedings)
34-63894 Feb. 11, 2011 Thomas Preston Osborn (Order Extending Briefing Schedule)
34-63744 Jan. 20, 2011 Dan Rapoport (Order Denying Motion To Set Aside Dan Rapoport Default Order)
See also:  Court of Appeals Opinion
34-63720 Jan. 14, 2011 Don Warner Reinhard
Other Release No.: IA-3139
34-63691 Jan. 11, 2011 Sutton Resources Ltd. (Order Dismissing Proceedings)
34-63665 Jan. 6, 2011 Steven Altman, Esq. (Order Denying Motion for Reconsideration and a Stay)

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2011.shtml

Modified: 08/08/2013