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.

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Additional Archives

Release No. Date Respondents
Third Quarter
34-81665 Sep. 20, 2017 Kenneth J. Kolquist (Order Directing the Filing of Briefs)
34-81661 Sep. 19, 2017 Thaddeus J. North (Order Denying Motion for a Stay as Moot)
34-81653 Sep. 19, 2017 Merrimac Corporate Securities, Inc. and Robert G. Nash (Extension Order)
34-81604 Sep. 13, 2017 6D Global Technologies, Inc. (Opinion of the Commission)
34-81562 Sep. 8, 2017 Robert J. Escobio (Order Scheduling Briefs)
34-81561 Sep. 8, 2017 Kimberly Springsteen-Abbott (Order Scheduling Briefs)
34-81560 Sep. 8, 2017 Paul E. Taboada (Order Scheduling Briefs)
33-10409 Aug. 31, 2017 Larry C. Grossman
Other Release Nos.: 34-81517, IA-4761, IC-32807
34-81507 Aug. 30, 2017 Merrimac Corporate Securities, Inc. and Robert G. Nash (Order Scheduling Briefs)
34-81441 Aug. 18, 2017 Spring Hill Capital Markets, et al. (Order Scheduling Oral Argument)
33-10400 Aug. 14, 2017 Go EZ Corporation, Arc Lifestyle Group Inc. and Nova Smart Solutions Inc. (Notice That Initial Decision Has Become Final)
34-81384 Aug. 11, 2017 John Jantzen (Order Scheduling Briefs)
34-81379 Aug. 10, 2017 Wilson Chung (Order Scheduling Briefs)
34-81355 Aug. 8, 2017 David K. Mallett (Order Granting Motion to Withdraw Application for Review)
34-81349 Aug. 8, 2017 Michelle L. Helterbran Cochran, CPA (Order Scheduling Briefs)
Other Release No.: AAER-3887
33-10398 Aug. 4, 2017 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr. (Order Cancelling Oral Argument)
Other Release Nos.: 34-81317, IA-4738, IC-32775
34-81280 Aug. 1, 2017 Robert G. Nash (Extension Order)
IA-4735 Jul. 28, 2017 Lynn Tilton; Patriarch Partners, et al. (Order Denying Motion to Stay Administrative Proceeding)
Other Release No.: IC-32765, AAER-3885
34-81253 Jul. 28, 2017 Advanced Life Sciences Holdings, Inc. (Opinion of the Commission)
34-81190 Jul. 24, 2017 McBarron Capital LLC (Order Requesting Additional Written Submission)
IA-4732 Jul. 20, 2017 Paul Edward "Ed" Lloyd, Jr. (Order Rescheduling Oral Argument)
34-81168 Jul. 18, 2017 Jason B. Smith (Notice That Initial Decision Has Become Final)
33-10389 Jul. 13, 2017 Joseph C. Ruggieri (Order Dismissing Proceedings)
Other Release No.: 34-81143
34-81135 Jul. 13, 2017 ABN AMRO Clearing Chicago LLC
(Order Granting Extensions)
Second Quarter
33-10383 Jun. 30, 2017 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr. (Order Scheduling Oral Argument)
Other Release Nos.: 34-81066, IA-4723, IC-32720
IA-4722 Jun. 30, 2017 Paul Edward Lloyd, Jr. (Order Scheduling Oral Argument)
33-10382 Jun. 30, 2017 Frank Chiappone, et al. (Order Scheduling Oral Argument)
Other Release Nos.: 34-81059, IC-32719
33-10375 Jun. 28, 2017 Bennett Group Financial Services, LLC and Dawn J. Bennett (Stay Order)
Other Release Nos.: 34-81043, IA-4720, IC-32715
33-10374 Jun. 28, 2017 James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Extension Order)
Other Release Nos.: 34-81041, IA-4719, IC-32714
33-10373 Jun. 20, 2017 Diane Dalmy, Esq. (Stay Notice)
33-10372 Jun. 20, 2017 James E. Cohen and Joseph A. Corazzi (Stay Notice)
Other Release No.: 34-80987
34-80983 Jun. 20, 2017 ABN AMRO Clearing Chicago LLC (Order Requesting Briefs)
34-80979 Jun. 20, 2017 Michael R. Turner (Corrected Extension Order)
33-10370 Jun. 15, 2017 James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Order Granting Leave to Adduce Additional Evidence)
Other Release Nos.: 34-80945, IA-4715, IC-32681
34-80931 Jun. 14, 2017 Paul Leon White, II (Order Granting Motion to Extend Time to Re-File Brief; Denying Reconsideration Request; and Denying Motion for Leave to Make Future Extension Motion)
Other Release No.: IA-4714
34-80899 Jun. 9, 2017 Louis Ottimo for Review of Disciplinary Action Taken by Financial Industry Regulatory Authority
34-80898 Jun. 9, 2017 S. Brent Farhang, CPA for Review of Disciplinary Action Taken by Public Company Accounting Oversight Board
34-80897 Jun. 9, 2017 Michael R. Turner for Review of Disciplinary Action Taken by Financial Industry Regulatory Authority (Formerly NASD)
34-80874 Jun. 7, 2017 Sunshine Capital, Inc. and Jimmy Wayne Anderson (Order Requesting Additional Written Submissions)
34-80773 May 25, 2017 Brian C. Rose (Notice That Initial Decision Has Become Final)
34-80743 May 22, 2017 Paul Leon White, II (Extension Order)
Other Release No.: IA-4709
33-10365 May 22, 2017 In re: Pending Administrative Proceedings (Order)
Other Release No.: 34-80741, IA-4708, IC-32643
34-80705 May 16, 2017 Sharemaster (Order Denying Stay)
34-80682 May 15, 2017 S. Brent Farhang (Order Scheduling Briefs)
34-80681 May 15, 2017 Ahmed Gadelkareem (Order Scheduling Briefs)
34-80680 May 15, 2017 Louis Ottimo (Order Scheduling Briefs)
34-80679 May 15, 2017 Thaddeus J. North (Order Scheduling Briefs)
34-80678 May 15, 2017 David Adam Elgart (Order Scheduling Briefs)
34-80663 May 11, 2017 Christopher M. Gibson (Order Granting Motion to Strike and Modifying Briefing Schedule)
Other Release Nos.: IA-4706, IC-32633
34-80662 May 11, 2017 McBarron Capital LLC (Order to Show Cause Why Proceeding Should Be Reopened)
34-80635 May 9, 2017 Kalid Morgan Jones (Opinion of the Commission)
33-10354 May 8, 2017 James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Order Granting Petitions for Review and Scheduling Briefs)
Other Release Nos.: 34-80627, IA-4703, IC-32629
33-10353 May 5, 2017 Middlebury Securities, LLC and Gregory Osborn (Notice that Initial Decision Has Become Final)
Other Release Nos.: 34-80618, IC-32627
34-80599 May 4, 2017 Bruce M. Zipper (Order Granting Motion to Withdraw Application for Review)
34-80586 May 3, 2017 Ahmed Gadelkareem (Order Denying Stay)
33-10351 Apr. 25, 2017 Bennett Group Financial Services, LLC and Dawn J. Bennett (Order Denying Respondents' Motion for Leave to File Supplemental Brief)
Other Release Nos.: 34-80526, IA-4692, IC-32612
34-80509 Apr. 21, 2017 Christopher M. Gibson (Order Denying Motion to Stay Administrative Proceeding)
Other Release Nos.: IA-4690, IC-32610
34-80508 Apr. 21, 2017 Christopher M. Gibson (Order Granting Extension of Time)
Other Release Nos.: IA-4689, IC-32609
34-80499 Apr. 20, 2017 McBarron Capital LLC (Order Dismissing Review Proceeding)
34-80490 Apr. 19, 2017 Thaddeus J. North (Order Denying Stay as Moot)
34-80471 Apr. 17, 2017 Sharemaster (Order Scheduling Briefs On Remand)
34-80403 Apr. 7, 2017 Kabani & Company, Inc., et al. (Partial Stay Order)
First Quarter
34-80360 Mar. 31, 2017 Kimberly Springsteen-Abbott (Opinion of the Commission)
33-10331 Mar. 30, 2017 Bennett Group Financial Services, LLC and Dawn J. Bennett (Opinion of the Commission)
Other Release Nos.: 34-80347, IA-4676, IC-32586
34-80340 Mar. 29, 2017 KCD Financial Inc. (Opinion of the Commission)
33-10330 Mar. 29, 2017 Harding Advisory LLC and Wing F. Chau (Partial Stay Order)
Other Release Nos.: IA-4674, IC-32583
34-80322 Mar. 28, 2017 Keith D. Geary (Opinion of the Commission)
34-80314 Mar. 27, 2017 Bernard G. McGee (Opinion of the Commission)
34-80312 Mar. 24, 2017 Jonathan Roth Ellis (Opinion of the Commission)
33-10328 Mar. 24, 2017 Joseph J. Fox (Opinion of the Commission)
Other Release No.: 34-80308
33-10326 Mar. 24, 2017 Timothy S. Dembski (Opinion of the Commission)
Other Release Nos.: 34-80306, IA-4671, IC-32575
34-80287 Mar. 21, 2017 Wanda L. Gilmer (Order Granting Motion to Withdraw Application for Review)
34-80250 Mar. 15, 2017 Paul Leon White, II (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: IA-4667
34-80201 Mar. 10, 2017 Kabani & Company, Inc., et al. (Opinion of the Commission)
IA-4658 Mar. 6, 2017 James Michael Murray (Order Dismissing Review Proceeding and Notice of Finality)
34-80165 Mar. 6, 2017 Andrew Scott Jensen (Order Granting Motion to Withdraw Application for Review)
34-80164 Mar. 6, 2017 Interactive Brokers LLC and Interactive Brokers Corp. (Opinion of the Commission)
34-80163 Mar. 6, 2017 Christopher M. Gibson (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: IA-4657, IC-32521
34-80137 Mar. 1, 2017 Wanda L. Gilmer (Order Scheduling Briefs)
34-80135 Mar. 1, 2017 David B. Tysk (Opinion of the Commission)
34-80129 Mar. 1, 2017 Shreyans Desai (Opinion of the Commission)
Other Release No.: IA-4656
33-10318 Feb. 28, 2017 Bioelectronics Corp., et al. (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-80126
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 (Corrected 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)