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Commission Opinions and Adjudicatory Orders

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.

First Quarter 

Additional Archives

Release No. Date Respondents
First Quarter
34-74596 Mar. 27, 2015 Daniel Imperato (Opinion of the Commission Broker-Dealer Proceeding Grounds for Remedial Action Injunction)
34-74557 Mar. 20, 2015 Moshe Marc Cohen (Order Granting Petitions for Review and Scheduling Briefs)
34-74552 Mar. 20, 2015 BDO China Dahua CPA Co., Ltd., et al. (Order Granting the Division of Enforcement's Unopposed Motion to Withdraw Its Petition for Review as to Dahua CPA, Ltd. and Notice That Initial Decision Has Become Final as to Dahua CPA, Ltd.)
Other Release No.: AAER-3643
34-74532 Mar. 19, 2015 Michael Lee Mendenhall (Order Vacating Initial Decision and Remanding for Further Proceedings)
Other Release No.: IA-4051
34-74468 Mar. 10, 2015 William Scholander and Talman Harris (Order Scheduling Briefs)
34-74437 Mar. 4, 2015 William Scholander and Talman Harris (Order Denying Stay)
34-74418 Mar. 3, 2015 The Association of Ronald M. Berman with Axiom Capital Management, Inc. (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
34-74414 Mar. 3, 2015 Green Courte Real Estate Partners III, LLC (Order Directing the Filing of Briefs)
34-74361 Feb. 24, 2015 Wedbush Securities, Inc. and Edward William Wedbush (Order Scheduling Briefs)
34-74354 Feb. 23, 2015 Steven Robert Tomlinson (Order Denying Request for Reconsideration)
Other Release Nos.: IC-31468, IC-31467
33-9731 Feb. 23, 2015 Harding Advisory LLC and Wing F. Chau (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: IA-4031, IC-31468, IC-31467
33-9730 Feb. 23, 2015 Total Wealth Management, Inc., et al. (Order Granting Extension)
Other Release Nos.: 34-74353, IA-4030, IC-31467
33-9728 Feb. 20, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, and George R. Jarkesy Jr. (Order Denying Motion to Stay Administrative Proceeding)
Other Release Nos.: 34-74345, IA-4029, IC-31462
33-9727 Feb. 20, 2015 Anthony Fields, CPA d/b/a Anthony Fields & Associates and d/b/a Platinum Securities Brokers (Opinion of the Commission Broker-Dealer Proceeding Investment Adviser Proceeding Cease-and-Desist Proceeding Grounds for Remedial Action Antifraud Violations Registration Violations)
Other Release Nos.: 34-74344, IA-4028, IC-31461
34-74274 Feb. 13, 2015 Ronald M. Berman with Axiom Capital Management, Inc. (Order Scheduling Briefs)
34-74269 Feb. 13, 2015 Robert Marcus Lane and Jeffrey Griffin Lane (Registered Securities Association-Review of Disciplinary Proceedings)
34-74216 Feb. 5, 2015 Positron Corporation (Registered Securities Association - Review of Association Action Denying Request to Process Corporate Actions)
33-9722 Feb. 5, 2015 Natural Blue Resources, Inc., et al. (Order Denying Petition for Interlocutory Review)
Other Release No.: 34-74215
IA-4012 Feb. 2, 2015 Timbervest, LLC, Joel Barth Shapiro, et al. (Revised Order Regarding Supplemental Briefs)
Other Release No.: IC-31442
34-74187 Feb. 2, 2015 mPhase Technologies, Inc. (Registered Securities Association - Review of Association Action Denying Request to Process Corporate Action)
34-74176 Jan. 29, 2015 Jordan Peixoto (Order Dismissing Proceeding)
33-9716 Jan. 28, 2015 Larry C. Grossman (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-74168, IA-4010, IC-31436
34-74153 Jan. 27, 2015 DRC Ventures, Inc. (Order Dismissing Proceeding)
IA-4008 Jan. 27, 2015 Michael S. Steinberg (Order Postponing Briefing Schedule)
34-74138 Jan. 26, 2015 Marcos A. Santana (Order Granting Motion to Dismiss Application for Review)
Other Release Nos.: IA-4007, IC-31429
33-9710 Jan. 26, 2015 Donald J. Anthony, et al. (Order Granting Second Motion for Extension)
Other Release Nos.: 34-74139, IA-4007, IC-31429
IA-4003 Jan. 20, 2015 Timbervest, LLC, Joel Barth Shapiro, et al. (Order Regarding Supplemental Briefing)
Other Release No.: IC-31424
34-74101 Jan. 20, 2015 Positron Corporation (Order Denying Request for Oral Argument)
33-9703 Jan. 20, 2015 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy Jr. (Order Directing Additional Submission)
Other Release Nos.: 34-74100, IA-4002, IC-31423
34-74054 Jan. 14, 2015 Accredited Business Consolidators Corp. (Order Granting Petition for Review and Scheduling Briefs)
34-74030 Jan. 9, 2015 Blair Alexander West (Registered Securities Association - Review of Disciplinary Proceedings)
34-74015 Jan. 8, 2015 Joseph S. Amundsen (Order Denying Request for Reconsideration)
34-73983 Jan. 5, 2015 Thomas C. Gonnella (Order Granting Petitions for Review and Scheduling Briefs)

 

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

Modified: 03/27/2015