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.

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Date Sort ascending	Respondents
Dec. 29, 2014	Robert C. Weaver, Jr. Esq. Release No. 34-73949 File Number: 3-16268
Dec. 23, 2014	Securities Industry and Financial Markets Association (Order Denying Consolidation Motions) Release No. 34-73922 File Number: 3-15350, 3-15351, 3-15773, 3-16006
Dec. 19, 2014	Myriad Interactive Media, Inc. (Order Requesting Additional Written Submissions) Release No. 34-73897 File Number: 3-16317
Dec. 19, 2014	Accredited Business Consolidators Corp., et al. (Order Requesting Additional Briefs) Release No. 34-73900 File Number: 3-15993
Dec. 19, 2014	Immunotech Laboratories, Inc. (Order Requesting Additional Written Submissions) Release No. 34-73899 File Number: 3-16321
Dec. 19, 2014	Bravo Enterprises, Ltd. and Jacyln Cruz (Order Requesting Additional Written Submissions) Release No. 34-73898 File Number: 3-16292
Dec. 17, 2014	Electronic Transaction Clearing, Inc., et al. (Order Scheduling Briefs) Release No. 34-73867 File Number: 3-16285
Dec. 16, 2014	Global Green, Inc., Nutritional Health Institute Laboratories, LLC and Dr. Mehran Ghazvini (Order Dismissing Petition for Termination of Suspension of Trading Securities) Release No. 34-73855 File Number: 3-16211
Dec. 16, 2014	21St Century Telesis II, Inc., et al. (Order Dismissing Proceedings with Respect to Icon Public Ltd. Co.) Release No. 34-73854 File Number: 3-16208
Dec. 15, 2014	John P. Flannery and James D. Hopkins (Opinion of the Commission) Release No. 33-9689, 34-73840, IA-3981, IC-31374 File Number: 3-14081
Dec. 11, 2014	Steven Robert Tomlinson (Opinion of the Commission) Release No. 34-73825 File Number: 3-15824
Dec. 11, 2014	John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, and George R. Jarkesy and Jr. (Order Granting Review and Scheduling Briefs) Release No. 33-9688 File Number: 3-15255
Dec. 10, 2014	Bering Strait Securities, Inc. (Order Scheduling Briefs) Release No. 34-73811 File Number: 3-16262
Dec. 9, 2014	Anthony A. Grey (Order Scheduling Briefs) Release No. 34-73799 File Number: 3-16230
Dec. 5, 2014	S.W. Hatfield, CPA and Scott W. Hatfield, CPA (Opinion of the Commission) Release No. 34-73763, AAER-3602 File Number: 3-15012
Dec. 4, 2014	Gerald J. Lodovico (Order Granting Motion to Dismiss Application for Review) Release No. 34-73748 File Number: 3-16131
Dec. 3, 2014	WD Clearing, LLC, et al. (Extension Order) Release No. 34-73723 File Number: 3-16209
Dec. 2, 2014	Alfred P. Reeves III (Order Scheduling Briefs) Release No. 34-73721 File Number: 3-16264
Nov. 26, 2014	Michael S. Steinberg (Order Granting Petition for Review and Scheduling Briefs) Release No. 34-73700 File Number: 3-15925
Nov. 26, 2014	Thomas D. Melvin, CPA (Order Granting Petition for Review and Scheduling Briefs) Release No. 34-73699 File Number: 3-15659
Nov. 26, 2014	Electronic Transaction Clearing, Inc. (Order Granting Stay) Release No. 34-73698 File Number: 3-16285
Nov. 21, 2014	Mitchell T. Toland (for Review of Action Taken by FINRA) Release No. 34-73664 File Number: 3-15794
Nov. 19, 2014	Siming Yang (Order Granting Motion to Amend Order Instituting Proceedings) Release No. 34-73637, IA-3970 File Number: 3-15928
Nov. 18, 2014	Mark Feathers (Order Summarily Affirming Initial Decision in Part and Imposing Remedial Sanctions) Release No. 34-73634 File Number: 3-15755
Nov. 6, 2014	Smartheat Inc. (Opinion of the Commission) Release No. 34-73555 File Number: 3-15508
Oct. 29, 2014	Toby G. Scammell (Opinion of the Commission) Release No. IA-3961 File Number: 3-15271
Oct. 23, 2014	Accredited Business Consolidators Corp. (Order Dismissing Notice of Intention to Petition for Review) Release No. 34-73420 File Number: 3-16100
Oct. 16, 2014	North Woodward Financial Corp. and Douglas A. Troszak (Order Denying Motion to Consolidate) Release No. 34-73380 File Number: 3-15990
Oct. 16, 2014	John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr. (Order Denying Interlocutory Review with Respect to Respondents' Motion for Order Directing Alternative Procedure for Filing, Service and Publication of Initial Decision) Release No. 33-9664, 34-73375, IA-3951, IC-31289 File Number: 3-15255
Oct. 7, 2014	J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan (Order Granting Petition for Review and Scheduling Briefs) Release No. 34-73312 File Number: 3-15446
Sept. 26, 2014	North Woodward Financial Corp. and Douglas Troszak (Extension Order) Release No. 34-73228 File Number: 3-15990
Sept. 23, 2014	Blair C. Mielke and Frederick W. Shultz (Order Scheduling Briefs) Release No. 34-73198 File Number: 3-16022
Sept. 19, 2014	Caryl Trewyn Lenahan (For Review of Disciplinary Action Taken by FINRA) Release No. 34-73146 File Number: 3-15833
Sept. 16, 2014	John Joseph Plunkett (For Review of Disciplinary Action Taken by Finra) Release No. 34-73124 File Number: 3-14810
Sept. 5, 2014	Julieann Palmer Martin (Order Extending Deadline for Filing Initial Decision) Release No. 33-9641, 34-73015, IC-31242, IC-31241 File Number: 3-15613
Sept. 5, 2014	Larry C. Grossman and Gregory J. Adams (Order Extending Deadline for Filing Initial Decision) Release No. 33-9640, 34-73014, IA-3911, IC-31241 File Number: 3-15617
Sept. 4, 2014	John J. Aesoph, CPA, and Darren M. Bennett, CPA (Order Granting Petitions for Review and Scheduling Briefs) Release No. 34-72997, AAER-3581 File Number: 3-15168
Sept. 4, 2014	Daniel J. Gallagher (Order Granting Extension to File Petition for Review) Release No. 33-9639 File Number: 3-14630
Sept. 3, 2014	North Woodward Financial Corp., and Douglas A. Troszak (Order Scheduling Briefs) Release No. 34-72975 File Number: 3-15990
Sept. 3, 2014	Daniel Imperato (Order Granting Petition for Review and Scheduling Briefs) Release No. 34-72974 File Number: 3-15628
Sept. 2, 2014	Montford and Company, Inc., et al. (Order Dismissing Motion for Stay for Lack of Jurisdiction) Release No. IA-3908 File Number: 3-14536
Sept. 2, 2014	Michael Nicholas Romano (Order Scheduling Briefs) Release No. 34-72953 File Number: 3-15978
Aug. 21, 2014	Jay T. Comeaux (Order Remanding for Further Proceedings) Release No. 33-9633, 34-72896, IA-3902, IC-31220 File Number: 3-15002
Aug. 21, 2014	Harding Advisory LLC and Wing F. Chau (Order Granting Extension) Release No. 33-9632, IA-3901, IC-31219 File Number: 3-15574
Aug. 13, 2014	John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC; Jarkesy, George R., Jr.; John Thomas Financial, Inc.; Belesis, Anastasios "Tommy" (Order Extending Deadline for Filing Initial Decision) Release No. 33-9631, 34-72841, IA-3897, IC-31211 File Number: 3-15255
Aug. 12, 2014	North Woodward Financial Corp. and Douglas A. Troszak (Order Denying Stay) Release No. 34-72828 File Number: 3-15990
Aug. 11, 2014	Timbervest, LLC, Joel Barth Shapiro, Walter William Anthony Boden, III, Donald David Zell, Jr., and Gordon Jones II (Order Extending Deadline for Filing Initial Decision) Release No. IA-3892, IC-31202 File Number: 3-15519
Aug. 7, 2014	Donald J. Anthony, Jr. et al. (Order Granting Extension) Release No. 33-9628, 34-72788, IA-3890, IC-31200 File Number: 3-15514
Aug. 4, 2014	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 Leave to the ZLCA to File an Amicus Brief) Release No. 34-72753, AAER-3574 File Number: 3-15116
July 22, 2014	ZPR Investment Management, Inc., and Max E. Zavanelli (Order Granting Petition for Review and Scheduling Briefs) Release No. IA-3878 File Number: 3-15263
July 18, 2014	Caryl Trewyn Lenahan (Extension Order) Release No. 34-72644 File Number: 3-15833
July 17, 2014	James M. Schneider, CPA (Order Denying Motion Or, in the Alternative, Application for Modification of Commission Order Imposing Remedial Sanctions) Release No. 34-72639, AAER-3568 File Number: 3-14171
July 10, 2014	Mark Feathers (Order Granting Petition for Review and Scheduling Briefs) Release No. 34-72592 File Number: 3-15755
July 8, 2014	Michael Pino (Order Scheduling Briefs) Release No. 34-72563 File Number: 3-15935
July 2, 2014	Denise M. Olson (Order Denying Request for Oral Argument) Release No. 34-72528 File Number: 3-15916
July 2, 2014	William M. Dratel and the Dratel Group, Inc. (Extension Order) Release No. 34-72524 File Number: 3-15869
July 2, 2014	J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan (Order Granting Extension) Release No. 33-9609, 34-72527, IA-3870, IC-31147 File Number: 3-15446
June 26, 2014	Nicholas S. Savva and Hunter Scott Financial, LLC c/o Michael Schwartzberg, Esq. (Opinion of the Commission) Release No. 34-72485 File Number: 3-15017
June 25, 2014	Denise M. Olson (Order Scheduling Briefs) Release No. 34-72474 File Number: 3-15916
June 23, 2014	Mohammed Riad and Kevin Timothy Swanson (Order Granting Extension to File Brief in Support of Petition for Review) Release No. 34-72449, IA-3861, IC-31094 File Number: 3-15141
June 20, 2014	Donald L. Koch and Koch Asset Management, LLC (Partial Stay Order) Release No. 34-72443, IA-3860, IC-31091 File Number: 3-14355
June 19, 2014	Brian Williamson, Esq. (Order Denying Motion to Lift Temporary Suspension and Directing Hearing) Release No. 34-72435 File Number: 3-15851
June 18, 2014	Joseph P. Doxey and William J. Daniel (Order Granting Petition for Review and Scheduling Briefs) Release No. 33-9602, 34-72428 File Number: 3-15619
June 10, 2014	Mohammed Riad and Kevin Timothy Swanson (Order Granting Petition for Review and Scheduling Briefs) Release No. 34-72360, IA-3851, IC-31076 File Number: 3-15141
June 9, 2014	Gordon Brent Pierce (Order Granting Motion for Stay) Release No. 33-9598, 34-72354 File Number: 3-13927
June 4, 2014	ZPR Investment Management, Inc. and Max Zavanelli (Order Granting Extension to File Petition for Review) Release No. IA-3844, IC-31072 File Number: 3-15263
June 2, 2014	The Dratel Group, Inc. and William M. Dratel (Order Denying Stay and Scheduling Briefs) Release No. 34-72293 File Number: 3-15869
May 30, 2014	Anthony Chiasson (Order Granting Petition for Review and Scheduling Briefs) Release No. IA-3841 File Number: 3-15580
May 23, 2014	Blair Alexander West (Extension Order) Release No. 34-72248 File Number: 3-15811
May 21, 2014	Diego F. Hernandez, et al. (Order Dismissing Proceedings) Release No. 33-9590, 34-72210, IA-3838, IC-31056 File Number: 3-15518
May 16, 2014	Securities Industry and Financial Markets Association (Order Establishing Procedures and Referring Applications for Review to Administrative Law Judge for Additional Proceedings) Release No. 34-72182 File Number: 3-15350, 3-15351
May 16, 2014	Donald L. Koch and Koch Asset Management, LLC (Opinion of the Commission) Release No. 34-72179, IA-3836, IC-31047 File Number: 3-14355
May 15, 2014	Gordon Brent Pierce (Order Denying Motion for Reconsideration) Release No. 33-9584, 34-72174 File Number: 3-13927
May 9, 2014	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 Leave to Adduce Additional Evidence and Granting the Petitions for Review) Release No. 34-72140, AAER-3553 File Number: 3-15116
May 9, 2014	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 Denying the Division's Motion to Strike the Notice of Withdrawal of Appearance and Setting a Briefing Schedule) Release No. 34-72134, AAER-3552 File Number: 3-15116
May 8, 2014	Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC (Order Denying Motion for Permission to File Late Petition for Review) Release No. 33-9583, 34-72133, IA-3832, IC-31041 File Number: 3-15024
May 6, 2014	Positron Corporation (Order Scheduling Briefs) Release No. 34-72108 File Number: 3-15837
May 2, 2014	Montford and Company, Inc., d/b/a Montford Associates, and Ernest V. Montford, Sr. (Opinion of the Commission) Release No. IA-3829 File Number: 3-14536
May 2, 2014	Steven R. Tomlinson (Order Scheduling Briefs) Release No. 34-72090 File Number: 3-15824
May 2, 2014	David Mura (Order Remanding Case for Further Proceedings) Release No. 34-72080 File Number: 3-15045
May 2, 2014	La Paz Mining Corp., et al. (Stop Order) Release No. 33-9582 File Number: 3-15715
May 1, 2014	mPhase Technologies, Inc. (Order Denying Request for Oral Argument) Release No. 34-72076 File Number: 3-15130
April 30, 2014	John P. Flannery and James D. Hopkins (Order Scheduling Oral Argument) Release No. 33-9580, 34-72059, IA-3827, IC-31036 File Number: 3-14081
April 28, 2014	Mitchell T. Toland (Extension Order) Release No. 34-72035 File Number: 3-15794
April 25, 2014	Joseph Contorinis (Order Granting Motion for Summary Affirmance of Initial Decision) Release No. 34-72031, IA-3824 File Number: 3-15308
April 18, 2014	Robert D. Tucker (Order Dismissing Review Application) Release No. 34-71972 File Number: 3-15735
April 17, 2014	Gregory Evan Goldstein (Opinion of the Commission) Release No. 34-71970 File Number: 3-15183
April 10, 2014	Ricky D. Mullins (Order Granting Motion to Dismiss Application for Review) Release No. 34-71926 File Number: 3-15769
April 9, 2014	Gary David Rowcliffe (Order Granting Request to Withdraw Application and Dismissing Review Proceeding) Release No. 34-71921 File Number: 3-15817
April 9, 2014	Lawrence Maxwell Mccoy (Notice That Initial Decision Has Become Final) Release No. 34-71922, IA-3816 File Number: 3-15538
April 4, 2014	Mitchell T. Toland c/o Brad S. Maistrow Release No. 34-71875 File Number: 3-15794
April 4, 2014	Absolute Potential, Inc. (f/k/a Absolute Waste Services, Inc.) (Opinion of the Commission) Release No. 34-71866 File Number: 3-14587
April 3, 2014	Timothy M. McGinn (Notice That Initial Decision Has Become Final) Release No. 34-71865, IA-3809 File Number: 3-15461
March 31, 2014	S.W. Hatfield, CPA and Scott W. Hatfield, CPA Release No. 34-71833, AAER-3547 File Number: 3-15012
March 27, 2014	Michael R. Pelosi (Opinion) Release No. IA-3805, IC-30997 File Number: 3-14194
March 20, 2014	Thomas D. Melvin, CPA (Order Denying Petition to Lift Temporary Suspension and Directing Hearing) Release No. 34-71761, AAER-3543 File Number: 3-15659
March 14, 2014	Harding Advisory LLC and Wing F. Chau (Order Denying Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines) Release No. 33-9561, IA-3796, IC-30892 File Number: 3-15574
March 13, 2014	Multri-Precision, LLC (Order Dismissing Administrative Proceedings) Release No. 33-9560 File Number: 3-15658
March 12, 2014	John Moraitis (Notice That Initial Decision Has Become Final) Release No. 34-71707 File Number: 3-15510
March 12, 2014	Mitchell H. Fillet (Extension Order) Release No. 34-71706 File Number: 3-15601

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