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
FirstQuarter
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)