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Commission Opinions and Adjudicatory Orders
Archive 2008

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.

Fourth Quarter | Third Quarter | Second Quarter | First Quarter 

Additional Archives

Release No. Date Respondents
Fourth Quarter
34-59181 Dec. 30, 2008 Nature's Sunshine Products, Inc.
34-59141 Dec. 22, 2008 Salvatore F. Sodano (Order Reversing Initial Decision and Remanding for Further Proceedings)
See also:  Court of Appeals Opinion
34-59137 Dec. 22, 2008 Jason A. Craig
34-59125 Dec. 19, 2008 Ronald Pellegrino
34-59074 Dec. 10, 2008 Birman Managed Care, Inc. (n/k/a Alcar Chemicals Group, Inc.) (Order Granting Motion to Amend Order Instituting Proceedings)
34-59040 Dec. 2, 2008 Byron S. Rainner
Other Release No.: IA-2811
34-59034 Dec. 1, 2008 World Associates, Inc.
IA-2809 Nov. 21, 2008 Brendan E. Murray
Other Release No.: IC-28519
34-58951 Nov. 14, 2008 Alvin W. Gebhart, Jr. and Donna T. Gebhart
34-58950 Nov. 14, 2008 Howard Brett Berger
See also:  Court of Appeals Opinion
34-58917 Nov. 7, 2008 Vincent M. Uberti
34-58916 Nov. 7, 2008 James W. Browne and Kevin Calandro
34-58802 Oct. 17, 2008 Justin F. Ficken
Other Release No.: IA-2803
34-58789 Oct. 15, 2008 Victor Teicher (Order Denying Motion to Modify Bar Order)
Other Release No.: IA-2799
34-58756 Oct. 8, 2008 Joseph John VanCook (Order Granting Partial Protective Order)
Other Release No.: IC-28436
34-58737 Oct. 6, 2008 Michael Frederick Siegel
See also:  Court of Appeals Opinion
Third Quarter
34-58632 Sep. 24, 2008 Michael Sassano
34-58416 Aug. 22, 2008 Geoffrey Ortiz
33-8952 Aug. 7, 2008 Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles
Other Release Nos.: 34-58329, IC-28353
34-58230 Jul. 25, 2008 John D. Audifferen
34-58191 Jul. 18, 2008 Boston Stock Exchange, Inc., Chicago Board Options Exchange, Inc., International Securities Exchange, LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., NYSE Arca, Inc., and New York Stock Exchange, LLC (Order Dismissing Application for Review of National Market System Plans Action Pursuant to Rule 608(d) Under the Securities Exchange Act of 1934)
34-58075 Jul. 1, 2008 Wanda P. Sears
34-58074 Jul. 1, 2008 Douglas J. Toth
See also:  Court of Appeals Opinion
Second Quarter
33-8939 Jun. 30, 2008 Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to Thomas C. Bridge)
Other Release Nos.: 34-58064, IC-28326
33-8938 Jun. 30, 2008 Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to Jeffrey K. Robles)
Other Release Nos.: 34-58063, IC-28325
33-8937 Jun. 30, 2008 Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to James D. Edge)
Other Release Nos.: 34-58062, IC-28324
34-58061 Jun. 30, 2008 Telcoblue, Inc. (Order Dismissing Proceeding)
IC-28323 Jun. 30, 2008 Scott G. Monson
IA-2750 Jun. 30, 2008 Robert Radano
34-57864 May 23, 2008 Impax Laboratories, Inc.
34-57857 May 23, 2008 Schon-Ex, LLC
34-57855 May 23, 2008 Kevin Hall, CPA, and Rosemary Meyer, CPA
34-57840 May 20, 2008 James Gerard O'Callaghan
34-57839 May 20, 2008 Robert M. Ryerson (Order Granting Motion to Dismiss Petition for Review)
34-57741 Apr. 30, 2008 Nasdaq Stock Market, LLC
34-57740 Apr. 30, 2008 Matthew Brian Proman
34-57656 Apr. 11, 2008 Paz Securities, Inc. and Joseph Mizrachi
See also:  Court of Appeals Opinion
34-57655 Apr. 11, 2008 Dennis Todd Lloyd Gordon and Sterling Scott Lee
First Quarter
33-8902 Mar. 11, 2008 Gregory O. Trautman
Other Release No.: 34-57475, IA-2719, IC-28194
34-57426 Mar. 4, 2008 Robert E. Strong
33-8898 Feb. 21, 2008 Euro Capital Incorporated
34-57266 Feb. 4, 2008 Jeffrey L. Gibson
Other Release No.: IA-2700
See also:  Court of Appeals Opinion
33-8888 Jan. 31, 2008 John A. Carley, Eugene C. Geiger, Thomas A. Kaufmann, Edward H. Price, and Christopher H. Zacharias
Other Release No.: 34-57246
See also:  Court of Appeals Opinion
33-8887 Jan. 31, 2008 Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot (Order Denying Motion for Extension)
Other Release Nos.: 34-57243, IA-2699, IC-28138
34-57244 Jan. 31, 2008 Gregory M. Dearlove
Other Release No.: AAER-2779
See also:  Court of Appeals Opinion
IA-2694 Jan. 16, 2008 Warwick Capital Management, Inc. and Carl Lawrence
34-57138 Jan. 14, 2008 Wedbush Morgan Securities, Inc. (Order Dismissing Proceedings)

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2008.shtml

Modified: 10/16/2014