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Commission Opinions and Adjudicatory Orders Archive: 2013

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
34-71205 Dec. 30, 2013 John J. Aesoph, CPA, and Darren M. Bennett, CPA (Order Granting Extension)
Other Release Nos.: AAER-3524
33-9507 Dec. 30, 2013 John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, George R. Jarkesy Jr., John Thomas Financial, Inc., and Anastasios "Tommy' Belesis (Order Extending Deadline for Filing Initial Decision)
Other Release Nos.: 34-71204, IA-3749, IC-30851
34-71100 Dec. 17, 2013 Mitchell H. Fillet (Order Scheduling Briefs)
34-71099 Dec. 17, 2013 Toby G. Scammell (Order Granting Petition for Review and Scheduling Briefs)
34-71068 Dec. 12, 2013 Peter Siris (Opinion of the Commission)
Other Release No.: IA-3736
33-9492 Dec. 6, 2013 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr.(Order Denying Petition for Interlocutory Review)
Other Release No.: 34-71021, IA-3733, IC-30820
33-9486 Nov. 25, 2013 Johnny Clifton (Order Denying Motions for Reconsideration, the Introduction of New Evidence, and a New Hearing)
Other Release No.: 34-70942
33-9479 Nov. 15, 2013 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Extension Order)
Other Release Nos.: 34-70891, IA-3717, IC-30788
34-70893 Nov. 15, 2013 Orbixa Technologies, Inc. (Order Granting Motion to Dismiss Application for Review)
34-70883 Nov. 15, 2013 Edward S. Brokaw (Opinion)
33-9478 Nov. 13, 2013 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Order Granting Interim Stay)
Other Release Nos.: 34-70869, IA-3716, IC-30784
34-70841 Nov. 8, 2013 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Order Directing Additional Briefing on Petition for Interlocutory Review)
34-70833 Nov. 7, 2013 Robert Conway and Kakit Ng (Opinion)
33-9474 Nov. 5, 2013 OptionsXpress, Inc. and Jonathan I. Feldman (Order Granting Petitions for Review and Scheduling Briefs)
Other Release Nos.: 34-70810, IC-30774
34-70803 Nov. 4, 2013 Largo Vista Group, Ltd., Montavo, Inc., OBN Holdings, Inc., PrepaYd, Inc., Ready Welder Corp., and Snowdon Resources Corp. (Order Dismissing Proceeding with Respect to PrepaYd, Inc.)
34-70800 Nov. 4, 2013 China-Biotics, Inc. (Opinion)
34-70792 Oct. 31, 2013 Absolute Potential, Inc. (fka Absolute Waste Services Inc.)(Order Scheduling Oral Argument)
34-70738 Oct. 22, 2013 S.W. Hatfield, CPA, and Scott W. Hatfield, CPA (Order Granting Petition for Review and Scheduling Briefs)
33-9469 Oct. 22, 2013 Bernerd E. Young (Order Granting Petition for Review and Scheduling Briefs)
34-70708 Oct. 17, 2013 Alchemy Ventures, Inc., Km Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. McDonald, and Douglas G. Frederick (Notice that Initial Decision Has Become Final)
34-70707 Oct. 17, 2013 SmartHeat, Inc. (Order Scheduling Briefs)
34-70706 Oct. 17, 2013 Atlantis Internet Group Corporation (Order Scheduling Briefs)
33-9466 Oct. 16, 2013 OptionsXpress, Inc., et al. (Order Granting in Part and Denying in Part the Motions to Adduce Additional Evidence Regarding the CBOE Settlement)
Other Release No.: 34-66815
33-9465 Oct. 9, 2013 Johnny Clifton (Opinion)
Other Release No.: 34-70639
34-70632 Oct. 8, 2013 John M.E. Saad (Order Remanding Proceeding to Registered Securities Association)
33-9464 Oct. 8, 2013 Jilaine H. Bauer, Esq. (Order Dismissing Proceeding)
Other Release No.: 34-70631
33-9463 Oct. 7, 2013 Michael Bresner, Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Second Extension)
Other Release Nos.: 34-70621; IA-3687; IC-30741
34-70620 Oct. 7, 2013 Atlantis Internet Group Corporation (Order Denying Stay)
34-70603 Oct. 2, 2013 BDO China Dahua CPA Co., Ltd., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants Ltd., and Pricewaterhousecoopers Zhong Tian CPAs Limited (Order Granting Second Extension)
Third Quarter
33-9449 Sep. 5, 2013 Jay T. Comeaux (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-70328, IA-3661, IC-30686
34-70318 Sep. 4, 2013 John Gardner Black and Devon Capital Management (Order Denying Petition to Set Aside Administrative Bar Order)
33-9448 Sep. 1, 2013

Daniel J. Gallagher (Order Granting Motion to Amend Order Instituting Proceedings)
Other Release Nos.: 34-70305

34-70290 Aug. 29, 2013 Sharemaster (Order Dismissing Proceedings on Remand)
33-9441 Aug. 15, 2013 Miguel A. Ferrer and Carlos J. Ortiz (Order Granting Second Motion for Extension)
Other Release Nos.: 34-70216, IC-30650
34-70149 Aug. 8, 2013 Adam Harrington a/k/a Adam Rukdeschel and Adam Harrington Ruckdeschel (Order Dismissing Review Proceeding and Notice of Finality)
34-70140 Aug. 8, 2013 Stephanie Hibler (Order Granting In Part and Denying In Part Application to Vacate Administrative Bar Order)
34-70130 Aug. 7, 2013 Ox Trading, LLC, optionsXpress, Inc., and Thomas E. Stern (Order Granting Extension)
Other Release No.: IC-30646
34-70120 Aug. 5, 2013 Anwar v. Fairfield Greenwich Limited (Order Denying Petition For Review)
34-70046 Jul. 26, 2013 ACAP Financial, Inc. and Gary Hume (Opinion)
34-70044 Jul. 26, 2013 Tzemach David Netzer Korem (Opinion)
34-69994 Jul. 16, 2013 The Hartcourt Companies, Inc., et al. (Order Dismissing Proceeding with Respect to HIV-VAC, Inc.)
33-9417 Jul. 12, 2013 Johnny Clifton (Opinion)
Other Release No.: 34-69982
IA-3628 Jul. 11, 2013 Alfred Clay Ludlum, III (Opinion)
34-69976 Jul. 11, 2013 S.W. Hatfield, C.P.A. and Scott W. Hatfield, C.P.A (Order Terminating Stay)
34-69968 Jul. 11, 2013 CleanTech Innovations, Inc. (Opinion)
34-69967 Jul. 11, 2013 Linus N. Nwaigwe (Order Vacating Bar)
34-69953 Jul. 9, 2013 Daniel Bogar, Bernard E. Young, and Jason T. Green (Order Granting Extension)
34-69939 Jul. 5, 2013 Angelica Aguilera (Order Granting Extension)
33-9413 Jul. 5, 2013 Michael Bresner, et al. (Order Granting Extension)
Other Release Nos.: 34-69940, IA-3621, IC-30591
34-69930 Jul. 3, 2013 S. W. Hatfield and Scott W. Hatfield (Opinion)
34-69923 Jul. 2, 2013 William J. Murphy and Carl M. Birkelbach (Opinion)
34-69922 Jul. 2, 2013 James M. Schneider (Order Denying Motion or in the Alternative Application to Modify Commission Order Imposing Remedial Sanction)
Other Release No.: AAER-3470
Second Quarter
34-69885 Jun. 28, 2013 LPB Capital d/b/a Family Office Group, LLC and Gary J. Pappas (Order Dismissing Proceedings)
Other Release Nos.: IA-3619, AAER-3468
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)

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2013.shtml

Modified: 04/18/2014