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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
34-77113 Feb. 11, 2016 Gordon Brent Pierce (Order Requesting Additional Briefs)
34-77107 Feb. 10, 2016 John Vincent Ballard (Order Directing the Filing of Briefs)
33-10038 Feb. 9, 2016 Edward M. Daspin, (aka "Edward (Ed) Michael"); and Luigi Agostini (Order Denying Stay)
Other Release No.: 34-77088
34-77084 Feb. 8, 2016 The Application of Aliza A. Manzella for Review of Disciplinary Action Taken by FINRA (Order Granting Motion to Dismiss Application for Review)
33-10035 Feb. 5, 2016 Jacob Keith Cooper (Order Dismissing Untimely Petition for Review)
Other Release Nos.: 34-77068, IA-4329, IC-31985
34-77062 Feb. 4, 2016 The Application of Ramcon Financial LLC for Review of Action Taken by FINRA (Opinion of the Commission)
33-10031 Feb. 2, 2016 Timothy W. Carnahan and Cyios Corporation (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-77038
34-76934 Jan. 19, 2016 Dean Zenon Pinard (Order Vacating Municipal Advisor Bar)
Other Release No.: IA-4319
33-10005 Jan. 19, 2016 Lawrence M. Labine (Order Granting Motion for Extension)
Other Release Nos.: 34-76933, IA-4318, IC-31962
34-76913 Jan. 14, 2016 Spring Hill Capital Markets, LLC, et al. (Order Granting Petition for Review and Scheduling Briefs)
34-76834 Jan. 5, 2016 The Application of Fuad Ahmed, Success Trade Securities, Inc. for Review of Action Taken by FINRA (Order Directing Additional Briefing)

 

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

Modified: 02/11/2016