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
34-80108 Feb. 24, 2017 McBarron Capital LLC (Order Scheduling Briefs)
33-10308 Feb. 15, 2017 James S. Tagliaferri (Opinion of the Commission)
Other Release Nos.: 34-80047, IA-4650, IC-32480
34-79987 Feb. 8, 2017 Brett Thomas Graham (Order Scheduling Briefs)
Other Release Nos.: IA-4646, IC-32473
33-10301 Feb. 3, 2017 Brian J. Mulkeen (Order Requesting Additional Briefing)
Other Release Nos.: 34-79954, IC-32467
33-10300 Feb. 1, 2017 Walter V. Gerasimowicz (Order Requesting Additional Briefing)
Other Release Nos.: 34-79925, IA-4637, IC-32466
33-10299 Feb. 1, 2017 Eric David Wanger (Order Requesting Additional Briefing)
Other Release Nos.: 34-79926, IC-32465
33-10298 Feb. 1, 2017 Edward T. Borg (Order Requesting Additional Briefing)
Other Release Nos.: 34-79918, IC-32462
34-79924 Feb. 1, 2017 Demosthenese Dritsas (Order Requesting Additional Briefing)
34-79923 Feb. 1, 2017 Michael H. Johnson (Order Requesting Additional Briefing)
34-79922 Feb. 1, 2017 Glen Allan Galemmo (Order Requesting Additional Briefing)
Other Release No.: IA-4632
34-79921 Feb. 1, 2017 Lee Heiss (Order Requesting Additional Briefing)
Other Release No.: IC-32464
34-79920 Feb. 1, 2017 Jason Medvin (Order Requesting Additional Briefing)
Other Release No.: IC-32463
34-79919 Feb. 1, 2017 Duncan J. MacDonald III (Order Requesting Additional Briefing)
IA-4636 Feb. 1, 2017 Everett C. Miller (Order Requesting Additional Briefing)
IA-4635 Feb. 1, 2017 Russell K. Cannon (Order Requesting Additional Briefing)
IA-4634 Feb. 1, 2017 Jon Harvey Deal (Order Requesting Additional Briefing)
IA-4631 Jan. 30, 2017 George Charles Cody Price (Opinion of the Commission)
33-10296 Jan. 26, 2017 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Denying Request to Exceed Word Limit)
Other Release No.: 34-79886
34-79871 Jan. 24, 2017 The Application of Cynthia C. Reinhart, CPA for Review of Action Taken by PCAOB (Order Scheduling Briefs)
33-10287 Jan. 23, 2017 Allen M. Perres (Opinion of the Commission)
Other Release No.: 34-79858
34-79851 Jan. 19, 2017 Destina Mantar (Opinion of the Commission)
34-79842 Jan. 18, 2017 The Application of Michael David Schwartz for Review of Action Taken by FINRA (Order Scheduling Briefs)
34-79798 Jan. 13, 2017 Michael David Schwartz (Order Denying Stay)
34-79797 Jan. 13, 2017 Keith Patrick Sequeira (Order Scheduling Briefs)
34-79771 Jan. 11, 2017 The Application of Lek Securities Corporation for Review of Action Taken by FINRA (Order Scheduling Briefs)
33-10277 Jan. 6, 2017 Harding Advisory LLC and Wing F. Chau (Opinion of the Commission)
Other Release Nos.: IA-4600, IC-32415
34-79744 Jan. 5, 2017 David Richard Kerr III (Opinion of the Commission)
34-79722 Jan. 3, 2017 Behnam Halali (Opinion of the Commission)