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.

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Respondents
Fourth Quarter
34-84615 Nov. 16, 2018 Cynthia C. Reinhart, CPA (Order Extending Time to Issue Decision)
34-84597 Nov. 14, 2018 TMR Bayhead Securities LLC (Order Scheduling Briefs)
34-84552 Nov. 7, 2018 American Locker Group, Inc., Intreorg Systems, Inc. and Pegasi Energy Resources Corp. (Scheduling Order)
34-84551 Nov. 7, 2018 Avant Diagnostics, Inc., et al. (Stay Order)
34-84550 Nov. 7, 2018 Colorstars Group, et al. (Scheduling Order)
34-84530 Nov. 2, 2018 Egan-Jones Ratings Company (Order Dismissing Proceedings)
34-84529 Nov. 2, 2018 Merrimac Corporate Securities, Inc., and Robert G. Nash (Order Extending Time to Issue Decision)
34-84513 Oct. 31, 2018 Richard Allen Riemer, Jr. (Opinion of the Commission)
34-84500 Oct. 29, 2018 Thaddeus J. North (Opinion of the Commission)
34-84499 Oct. 29, 2018 Thaddeus J. North (Order Extending Time to Issue Decision)
34-84469 Oct. 22, 2018 Allan Michael Roth (Order)
34-84455 Oct. 19, 2018 Scottsdale Capital Advisors Corporation, et al. (Order Granting Request to Exceed Word Limit)
34-84447 Oct. 17, 2018 United Development Funding III, L.P., et al. (Order Granting Extension)
34-84433 Oct. 16, 2018 Securities Industry and Financial Markets Association and Bloomberg L.P. (Order)
34-84432 Oct. 16, 2018 Securities Industry, Financial Markets Association for Review of Action Taken by NYSE Arca, Inc. and Nasdaq Stock Market LLC (Opinion of the Commission)
34-84335 Oct. 1, 2018 Richard Allen Riemer, Jr. (Order Extending Time to Issue Decision)
34-84334 Oct. 1, 2018 Bruce Zipper (Opinion of the Commission)
34-84324 Oct. 1, 2018 Bruce M. Zipper (Order Denying Request for Reconsideration)
Third Quarter
34-84322 Sep. 28, 2018 Thaddeus J. North (Order Extending Time to Issue Decision)
34-84321 Sep. 28, 2018 Gabriel Block and First Standard Financial Company, LLC (Order Dismissing Application for Review)
34-84254 Sep. 21, 2018 Scottsdale Capital Advisors Corporation, et al. (Order Granting Motion for Extension of Time and to Submit Separate Briefs)
34-84165 Sep. 17, 2018 Gregory Acosta (Order Scheduling Briefs)
34-84159 Sep. 17, 2018 Mark Steven Berg (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-84157 Sep. 17, 2018 James R. Holdman (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Orgnaization Bars)
Other Release No.: IA-5028
34-84156 Sep. 17, 2018 Benjamin R. Daniels (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-84155 Sep. 17, 2018 Stephen M. Strauss (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-84154 Sep. 17, 2018 Charles M. Vaughn (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-84153 Sep. 17, 2018 Charles Mark Hall (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-84152 Sep. 17, 2018 Scott D. Farah (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-84151 Sep. 17, 2018 Fabrizio Neves (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-84150 Sep. 17, 2018 Behrooz Sarafraz (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-84149 Sep. 17, 2018 Enrica Cotellessa-Pitz (Order Vacating Municpal Securities Dealer and Transfer Agent Bars)
Other Release No.: IA-5024
34-84148 Sep. 17, 2018 David Gengler (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-84146 Sep. 17, 2018 Paul T. Mannion, Jr. and Andrew S. Reckles (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release Nos.: IA-5023, IC-33232
34-84145 Sep. 17, 2018 Phillip Dennis Murphy (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release No.: IA-5022
34-84144 Sep. 17, 2018 Nova Dean Pack, Esq. (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
33-10549 Sep. 17, 2018 Wing F. Chau (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
Other Release Nos.: IA-5032, IC-33236
33-10548 Sep. 17, 2018 Terry M. Deru (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release Nos.: 34-84158, IA-5031, IC-33235
33-10547 Sep. 17, 2018 David R. Smith (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release Nos.: 34-84147, IC-33233
IA-5030 Sep. 17, 2018 Evan Andrew Zarefsky (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
IA-5029 Sep. 17, 2018 Anthony Scolaro (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
IA-5027 Sep. 17, 2018 Matthew G. Teeple (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Tranfer Agent Bars)
IA-5026 Sep. 17, 2018 James E. Putman (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
IA-5025 Sep. 17, 2018 Walter J. Clarke (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IC-33234
IA-5021 Sep. 17, 2018 Karl Motey (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
IA-5020 Sep. 17, 2018 Daniel Moshe Naeh (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-84139 Sep. 14, 2018 Charles M. Raspa (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-84138 Sep. 14, 2018 Jose Luis Luna (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars)
34-84137 Sep. 14, 2018 Brian Scott Zwerner (Order Vacating Municipal Securities Dealer, Municipal Advisor, Tranfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5017
34-84136 Sep. 14, 2018 Charles C. Slowey, Jr. (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-84135 Sep. 14, 2018 Frank R. Peperno (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5016
34-84134 Sep. 14, 2018 Matthew Crisp (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release Nos.: IA-5015, IC-33231
34-84133 Sep. 14, 2018 John J. Bravata and Antonio M. Bravata (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5014
34-84132 Sep. 14, 2018 Matthew Adam Rothman (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5013
34-84129 Sep. 14, 2018 Jay L. Lebouef (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
34-84128 Sep. 14, 2018 Edward L. Maggiacomo, Jr. (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release Nos.: IA-5011, IC-33229
IA-5019 Sep. 14, 2018 Douglas F. Whitman (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
IA-5018 Sep. 14, 2018 I. Joseph Massoud (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
IA-5012 Sep. 14, 2018 Frances M. Guggino a/k/a Frances Favata (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IC-33230
34-84106 Sep. 12, 2018 Brett Thomas Graham (Order Denying Request to Modify Settlement Order)
Other Release Nos.: IA-5005, IC-33225
34-84056 Sep. 7, 2018 Timothy Charles Sullivan (Order Scheduling Briefs and Extending the Briefing Schedule)
34-83995 Aug. 29, 2018 Thaddeus J. North (Order Extending Time to Issue Decision)
34-83994 Aug. 29, 2018 William Burk Rosenthal (Order Scheduling Briefs and Extending the Briefing Schedule)
34-83961 Aug. 27, 2018 Scottsdale Capital Advisors Corporation, et al. (Order Scheduling Briefs)
34-83917 Aug. 23, 2018 William Burk Rosenthal (Extension Order)
33-10536 Aug. 22, 2018 Pending Administrative Proceedings (Order)
Other Release Nos.: 34-83907, IA-4993, IC-33211
34-83849 Aug. 15, 2018 ABN AMRO Clearing Chicago LLC (Opinion of the Commission)
34-83827 Aug. 10, 2018 Egan-Jones Ratings Company (Order Granting One-Week Extension of Time)
34-83783 Aug. 6, 2018 Scottsdale Capital Advisors Corporation, et al. (Order Granting Stay)
34-83778 Aug. 3, 2018 Tim Sullivan (Extension Order)
34-83776 Aug. 3, 2018 Metatron, Inc. (Order Scheduling Briefs)
34-83755 Jul. 31, 2018 Securities Industry and Financial Markets Association and Bloomberg L.P. (Order Granting Motion for Stay, Consolidating Proceedings, and Scheduling Briefs)
34-83741 Jul. 30, 2018 Thaddeus J. North (Order Extending Time to Issue Decision)
34-83736 Jul. 27, 2018 Newport Coast Securities, Inc. (Order Scheduling Briefs)
34-83734 Jul. 27, 2018 Windsor Street Capital, L.P. (f/k/a Meyers Associates and L.P.) (Order Granting Motion to Withdraw Application for Review)
34-83719 Jul. 26, 2018 Commonwealth Capital Securities Corp. (Order Scheduling Briefs)
34-83711 Jul. 25, 2018 Christine D. Memet (Opinion of the Commission)
34-83710 Jul. 25, 2018 Patrick H. Dowd (Opinion of the Commission)
34-83698 Jul. 24, 2018 Mike Nanto (Order Scheduling Briefs)
33-10522 Jul. 20, 2018 Pending Administrative Proceedings (Order)
Other Release Nos.: 34-83675, IA-4974, IC-33164
34-83671 Jul. 19, 2018 Securities Industry and Financial Markets Association (Order)
34-83664 Jul. 18, 2018 Allen Holeman (Order Scheduling Briefs)
34-83659 Jul. 17, 2018 Mark E. Laccetti, CPA (Order Vacating Disciplinary Action and Cancelling Sanction)
34-83658 Jul. 17, 2018 Constantine Gus Cristo (Order Scheduling Briefs)
34-83648 Jul. 16, 2018 ABN AMRO Clearing Chicago LLC (Order Extending Time to Issue Decision)
Second Quarter
34-83573 Jun. 29, 2018 Bradley C. Williams (Order Granting Motion to Withdraw Application for Review)
34-83555 Jun. 28, 2018 Louis Ottimo (Opinion of the Commission)
34-83549 Jun. 28, 2018 Thaddeus J. North (Order Extending Time to Issue Decision)
34-83528 Jun. 27, 2018 Gabriel Block and First Standard Financial Company, LLC (Order Granting Extension of Time)
IA-4948 Jun. 26, 2018 Paul Edward "Ed" Lloyd, Jr. (Order Cancelling Oral Argument)
33-10512 Jun. 26, 2018 James E. Cohen and Joseph A. Corazzi (Order Cancelling Oral Argument)
Other Release No.: 34-83523
34-83501 Jun. 22, 2018 Robert J. Escobio (Opinion of the Commission)
33-10510 Jun. 21, 2018 In re: Pending Administrative Proceedings (Order)
Other Release NoS.: 34-83495; IA-4946; IC-33135
34-83494 Jun. 21, 2018 S. Brent Farhang, CPA (Opinion of the Commission)
IA-4945 Jun. 20, 2018 Paul Edward "Ed" Lloyd, Jr. (Order Rescheduling Oral Argument)
33-10509 Jun. 20, 2018 James E. Cohen and Joseph A. Corazzi (Order Scheduling Oral Argument)
Other Release No.: 34-83481
34-83480 Jun. 20, 2018 Windsor Street Capital, L.P. (f/k/a Meyers Associates and L.P.) (Order Scheduling Briefs)
33-10508 Jun. 19, 2018 BioElectronics Corp., et al. (Order Granting Respondents' Request to File Reply Brief to Response Brief)
Other Release No.: 34-83468
33-10502 May 31, 2018 Frank H. Chiappone, et al. (Order Granting Requests to File Supplemental Response Brief of 6,000 Words and to File Reply Briefs to Supplemental Response Brief)
Other Release Nos.: 34-83353, IA-4918, IC-33111
34-83340 May 29, 2018 Windsor Street Capital, L.P. (Order Denying Stay)
34-83338 May 29, 2018 Thaddeus J. North (Order Extending Time to Issue Decision)
34-83231 May 14, 2018 Gabriel Block and First Standard Financial Company, LLC (Order Scheduling Briefs)
33-10493 May 7, 2018 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Supplemental Briefing Order)
Other Release No.: 34-83183
34-83182 May 7, 2018 Efuel EFN Corp. (Order Requesting Additional Written Submissions)
34-83150 May 1, 2018 Laurie Bebo (Supplemental Briefing Order)
34-83139 May 1, 2018 Dakota Securities International, Inc. (Order Extending Briefing Schedule)
34-83138 Apr. 30, 2018 Sharemaster (Opinion of the Commission)
34-83127 Apr. 27, 2018 Thaddeus J. North (Order Extending Time to Issue Decision)
33-10490 Apr. 27, 2018 BioElectronics Corp., et al. (Supplemental Briefing Order)
Other Release No.: 34-83124
34-83106 Apr. 25, 2018 Aegis Capital, LLC, et al. (Order Dismissing Proceedings)
Other Release Nos.: IA-4897, IC-33086
33-10484 Apr. 20, 2018 Paul Edward "Ed" Lloyd, Jr. (Supplemental Briefing Order)
Other Release Nos.: 34-83086, IA-4893, IC-33074
33-10483 Apr. 20, 2018 Frank H. Chiappone, et al. (Supplemental Briefing Order)
Other Release Nos.: 34-83076, IA-4891, IC-33073
IA-4887 Apr. 17, 2018 Saving2Retire, LLC and Marian P. Young (Order Granting Petition for Review and Scheduling Briefs)
33-10479 Apr. 10, 2018 James E. Cohen and Joseph A. Corazzi (Supplemental Briefing Order)
Other Release No.: 34-83029
34-83024 Apr. 10, 2018 Bradley C. Williams (Extension Order)
33-10477 Apr. 5, 2018 Diane Dalmy, Esq. (Supplemental Briefing Order)
34-82981 Apr. 2, 2018 Lek Securities Corporation (Opinion of the Commission)
34-82980 Apr. 2, 2018 Dakota Securities International, Inc. (Order Scheduling Briefs)
First Quarter
IA-4872 Mar. 30, 2018 ZPR Investment Management, Inc. (Order Imposing Civil Money Penalty)
34-82970 Mar. 30, 2018 Paul E. Taboada (Order Dismissing Application for Review)
34-82966 Mar. 29, 2018 Maher F. Kara (Order Vacating Collateral Bars)
33-10473 Mar. 29, 2018 Larry C. Grossman (Order in Response to Remand)
Other Release Nos.: 34-82967, IA-4871, IC-33062
34-82962 Mar. 28, 2018 Thaddeus J. North (Order Extending Time to Issue Decision)
34-82886 Mar. 15, 2018 John M.E. Saad (Extension Order)
34-82879 Mar. 14, 2018 Ahmed Gadelkareem (Opinion of the Commission)
34-82878 Mar. 14, 2018 Meyers Associates, et al. (Order Scheduling Briefs)
33-10468 Mar. 8, 2018 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Denying Motion for Reconsidertion)
Other Release No.: 34-82836
34-82797 Mar. 1, 2018 Lek Securities Corporation (Order Extending Time to Issue Decision)
34-82778 Feb. 26, 2018 Keith Patrick Sequeira (Order Scheduling Briefs)
34-82777 Feb. 26, 2018 Meyers Associates, L.P. (n/k/a Windsor Street Capital and L.P.) (Order Scheduling Briefs)
33-10460 Feb. 21, 2018 Francis V. Lorenzo (Order Denying Stay)
Other Release No.: 34-82755
34-82696 Feb. 12, 2018 Securities Industry and Financial Markets Association for Review of Actions Taken by Self-Regulatory Organizations (Supplemental Briefing Order)
34-82685 Feb. 9, 2018 Bloomberg L.P. (Amended Extension Order)
34-82682 Feb. 9, 2018 Bloomberg L.P. (Extension Order)
33-10457 Feb. 8, 2018 Timothy W. Carnahan and Cyios Corporation (Supplemental Briefing Order)
Other Release No.: 34-82667
34-82633 Feb. 5, 2018 Bruce Zipper (Order Denying Second Motion for Stay)
34-82606 Jan. 30, 2018 Lek Securities Corporation (Order Extending Time to Issue Decision)
34-82555 Jan. 19, 2018 Sunshine Capital, Inc. and Jimmy Wayne Anderson (Order Dismissing Petition to Terminate Trading Suspension)
34-82551 Jan. 19, 2018 Helpeo, Inc. (Order Dismissing Petition to Terminate Trading Suspension)
34-82526 Jan. 17, 2018 Bruce Zipper (Extension Order)
34-82500 Jan. 12, 2018 John M.E. Saad (Extension Order)
34-82486 Jan. 11, 2018 Bruce M. Zipper (Order Requesting Additional Written Submissions)