Commission Opinions and Adjudicatory Orders

The Commission recently amended its Rules of Practice to include new electronic filing requirements.

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.

Opinions and Adjudicatory Orders RSS Feed
Date Respondents
AMS Homecare, Inc. (Order Remanding Proceeding to Administrative Law Judge)
Release No. 34-68506
File Number: 3-14770
Asensio & Company, Inc.
Release No. 34-68505
File Number: 3-14711
Kenneth E. Mahaffy, Jr.
Release No. 34-68462, IA-3517
File Number: 3-14481
Michael Bresner, et al.
Release No. 33-9376, 34-68464, IA-3518, IC-30307
File Number: 3-15015
John W. Lawton
Release No. IA-3513
See Also: Commissioner Gallagher Concurring in Part and Dissenting in Part
File Number: 3-14162
Wendy McNeeley, CPA
Release No. 34-68431, AAER-3427
File Number: 3-13797
Aegis Assessments, Inc., et al. (Order Dismissing Proceeding with Respect to Bioauthorize Holdings, Inc.)
Release No. 34-68379
File Number: 3-14911
Lisa B. Premo
Release No. 34-68348, IA-3510, IC-30289
File Number: 3-14697
Richard L. Goble
Release No. 34-68277
File Number: 3-14390
Jilaine H. Bauer, Esq.
Release No. 34-68214
File Number: 3-15020
Robert D. Tucker
Release No. 34-68210
File Number: 3-14613
AMS Homecare, Inc.
Release No. 34-68078
File Number: 3-14770
One Voice Technologies, Inc., et al. (Order Dismissing Proceeding with Respect to Respondent Pine Valley Mining Corp.)
Release No. 34-68072
File Number: 3-14871
Hedge Fund Capital Partners, LLC and Howard G. Jahre (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
Release No. 34-68046
File Number: 3-14892
Justin William Keener
Release No. 34-68014
File Number: 3-14988
Mitchell Segal, Esq.
Release No. 34-67930
File Number: 3-14945
Michael C. Pattison, CPA (Opinion)
Release No. 34-67900, AAER-3407
Gregg Becker (Order Vacating Bars)
Release No. 34-67795
File Number: 3-11366
HydroGenetics, Inc. (Order Dismissing Proceeding)
Release No. 34-67687
File Number: 3-14864
GDT Tek, Inc. (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
Release No. 34-67604
File Number: 3-14959
Evelyn Litwok (Order Dismissing Proceeding)
Release No. IA-3438
File Number: 3-14190
Jmar Technologies, Inc., et al. (Order Dismissing Proceeding With Respect to Respondents Legalopinion.com (n/k/a Drayton Richdale Corp.) and Kolorfusion International, Inc.)
Release No. 34-67503
File Number: 3-14768
Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Directing Additional Briefing)
Release No. 33-9334, 34-67397
File Number: 3-13871
Citizens Capital Corp.
Release No. 34-67313
File Number: 3-14401
Calais Resources Inc.
Release No. 34-67312
File Number: 3-14271
Amstem Corporation, et al., Balsam Ventures, Inc. (Order Dismissing Proceeding)
Release No. 34-67104
File Number: 3-14706
Harrison Hatzis (Order Granting Request to Withdraw Application and Dismissing ReviewProceeding)
Release No. 34-67089
File Number: 3-14818
Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski (Opinion)
Release No. 34-66842
File Number: 3-14496
Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Order Denying Collins's Motion for Reconsideration of Civil Penalties)
Release No. 33-9311
File Number: 3-13532
John P. Flannery and James D. Hopkins (Order Denying Motions for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs)
Release No. 33-9307, 34-66695, IA-3387, IC-30023
File Number: 3-14081
Eric David Wanger and Wanger Investment Management, Inc. (Order Denying Petition for Interlocutory Review)
Release No. 33-9304, 34-66618, IA-3386, IC-30013
Martin Derrick Jenkins (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
Release No. 34-66618
International Power Group, Ltd. (Opinion)
Release No. 34-66611
File Number: 3-13687
James Lee Goldberg (Opinion)
Release No. 34-66549
File Number: 3-14544
Robert Hardee Quarles (Order Granting Petition to Vacate Administrative Bar Order)
Release No. 34-66530
File Number: 3-14486
Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Opinion)
Release No. 33-9299, 34-66469, IA-3376
File Number: 3-13532
Howard Braff (Opinion)
Release No. 34-66467
File Number: 3-14417
William J. Murphy and Carl M. Birkelbach (Order DismissingMurphy's Application for Review)
Release No. 34-66433
File Number: 3-14609
SGI International, et al.; Shiega Resources Corp. (n/k/a African Metals Corporation) (Order Dismissing Proceeding)
Release No. 34-66389
File Number: 3-14555
Donald L. Koch and Koch Asset Management LLC (Order Granting Extension)
Release No. 34-66387, IA-3370, IC-29945
File Number: 3-14355
Daxor Corporation (Order Granting Request to Withdraw Petition for Review and Notice of Finality)
Release No. IC-29948
File Number: 3-14055
John Edward Mullins and Kathleen Maria Mullins
Release No. 34-66373
File Number: 3-14302
Sharon Energy, Ltd., et al. (Order Dismissing Proceeding)
Release No. 34-66361
File Number: 3-14556
Paul Free, CPA (Order Denying a Stay or Postponement of Proceedings)
Release No. 34-66260, AAER-3357
File Number: 3-14629
Midas Securities, LLC, and Jay S. Lee
Release No. 34-66200
File Number: 3-14308
Keath Allen Ward
Release No. 34-66173
File Number: 3-14618
R.E. Bassie & Co. and R. Everett Bassie, C.P.A.
Release No. AAER-3354
World Trade Financial Corp., Jason Troy Adams, Frank Edward Brickell, and Rodney Preston Michel
Release No. 34-66114
See Also: U.S. Court of Appeals Opinion
File Number: 3-14307
Dante J. DiFrancesco
Release No. 34-66113
File Number: 3-14195
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