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
34-88038 Jan. 24, 2020 Thomas Christophe Prentice (Order Severing Briefs)
34-88032 Jan. 24, 2020 Consolidated Arbitration Applications (Order Severing Proceedings)
34-88027 Jan. 23, 2020 Blair Edwards Olsen (Order Scheduling Briefs)
33-10746 Jan. 21, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88011, IA-5435, IC-33749
34-88010 Jan. 21, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88006 Jan. 17, 2020 TMR Bayhead Securities, LLC (Opinion of the Commission)
34-88001 Jan. 16, 2020 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: AAER-4114
33-10744 Jan. 15, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-87977; IC-33747
IA-5433 Jan. 14, 2020 Mark J. Moskowitz (Order)
33-10743 Jan. 10, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-87944
IA-5430 Jan. 9, 2020 Patrick L. O'Connor (Order Regarding Service)
34-87920 Jan. 9, 2020 Carol J. Wayland (Order Regarding Service)
34-87913 Jan. 8, 2020 Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision)
IA-5425 Jan. 7, 2020 Randall S. Goulding (Extension Order)
34-87898 Jan. 6, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-87888 Jan. 3, 2020 Roman Sledziejowski (Order Regarding Service)
34-87887 Jan. 3, 2020 Treehouse Real Estate Investment Trust (Order Requesting Additional Briefs)