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.

Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Respondents
Third Quarter
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)