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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.

Second Quarter | First Quarter 

Additional Archives

Release No. Date Respondents
Second Quarter
34-71926 Apr. 10, 2014 Ricky D. Mullins (Order Granting Motion to Dismiss Application for Review)
34-71922 Apr. 9, 2014 Lawrence Maxwell Mccoy (Notice That Initial Decision Has Become Final)
Other Release No.: IA-3816
34-71921 Apr. 9, 2014 Gary David Rowcliffe (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
34-71875 Apr. 4, 2014 Mitchell T. Toland c/o Brad S. Maistrow
34-71866 Apr. 4, 2014 Absolute Potential, Inc. (f/k/a Absolute Waste Services, Inc.) (Opinion of the Commission)
34-71865 Apr. 3, 2014 Timothy M. McGinn (Notice That Initial Decision Has Become Final)
Other Release No.: IA-3809
First Quarter
34-71833 Mar. 31, 2014 S.W. Hatfield, CPA and Scott W. Hatfield, CPA
Other Release No.: AAER-3547
IA-3805 Mar. 27, 2014 Michael R. Pelosi (Opinion)
Other Release No.: IC-30997
34-71761 Mar. 20, 2014 Thomas D. Melvin, CPA (Order Denying Petition to Lift Temporary Suspension and Directing Hearing)
Other Release No.: AAER-3543
33-9561 Mar. 14, 2014 Harding Advisory LLC and Wing F. Chau (Order Denying Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines)
Other Release Nos.: IA-3796, IC-30892
33-9560 Mar. 13, 2014 Multri-Precision, LLC (Order Dismissing Administrative Proceedings)
34-71707 Mar. 12, 2014 John Moraitis (Notice That Initial Decision Has Become Final)
34-71706 Mar. 12, 2014 Mitchell H. Fillet (Extension Order)
34-71668 Mar. 7, 2014 Ross Mandell (Order Summarily Affirming Initial Decision in Part and Imposing
Remedial Sanctions)
34-71666 Mar. 7, 2014 Gregory Bartko (Opinion)
33-9555 Mar. 7, 2014 Gordon Brent Pierce (Opinion)
Other Release No.: 34-71664
33-9553 Feb. 27, 2014 Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Opinion)
Other Release No.: 34-71632
34-71600 Feb. 21, 2014 John J. Plunkett (Order Scheduling Briefs)
34-71589A Feb. 20, 2014 Kent M. Houston (Opinion) (Corrected)
34-71584 Feb. 20, 2014 Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC (Order Granting Petitions for Review and Scheduling Briefs)
34-71577 Feb. 19, 2014 Robert D. Tucker (Order Scheduling Briefs)
34-71566 Feb. 18, 2014 Robert Marcus Lane and Jeffrey Griffin Lane (Order Scheduling Briefs)
IA-3774 Feb. 5, 2014 ZPR Investment Management, Inc. and Max E. Zavanelli (Order Granting Extension)
Other Release No.: IC-30907
34-71481 Feb. 5, 2014 Mohammed Riad and Kevin Timothy Swanson (Order Granting Extension)
Other Release Nos.: IA-3772, IC-30906
34-71432 Jan. 28, 2014 Toby G. Scammell (Order Granting Cross-Petition for Review and Extending Briefing Schedule)
33-9519 Jan. 28, 2014 John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr. (Order Denying Petition for Interlocutory Review)
Other Release Nos.: 34-71415, IA-3764, IC-30894
33-9518 Jan. 24, 2014 Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Extension to File Brief in Support of Petition for Review)
Other Release Nos.: 34-71392, IA-3761, IC-30892
34-71391 Jan. 24, 2014 Mark Steven Steckler (Order Granting Motion to Dismiss Application for Review)
33-9514 Jan. 17, 2014 optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman (Order Directing Review and Issuing Notice That Initial Decision Has Become Final as to Thomas E. Stern)
Other Release Nos.: 34-71354, IC-30886
34-71340 Jan. 17, 2014 CapWest Securities, Inc. (Opinion)
33-9512 Jan. 16, 2014 David F. Bandimere (Order Denying Motion for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs)
33-9509 Jan. 13, 2014 Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Petitions for Review and Scheduling Briefs)
34-71277 Jan. 9, 2014 Mitchell H. Fillet (Extension Order)

 

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

Modified: 04/10/2014