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Commission Opinions and Adjudicatory Orders Archive 2010
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
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| Release No. |
Date |
Respondents |
| Fourth Quarter |
| 34-63456 |
Dec. 7, 2010 |
Theodore W. Urban (Order Denying Motion for Summary Affirmance)
|
| 34-63453 |
Dec. 7, 2010 |
Mission Securities Corporation and Craig M. Biddick
|
| 34-63312 |
Nov. 12, 2010 |
John B. Busacca, III
See also: Court of Appeals Opinion
|
| 34-63306 |
Nov. 10, 2010 |
Steven Altman, Esq. (Corrected)
See also: Court of Appeals Opinion
|
| 34-63167 |
Oct. 22, 2010 |
Gately & Associates, LLC and James P. Gately, CPA (Order Terminating Stay)
Other Release No.: AAER-3200
|
| Third Quarter |
| 34-62968 |
Sep. 22, 2010 |
Dagong Global Credit Rating Co., Ltd.
|
| 34-62937 |
Sep. 20, 2010 |
David G. Ghysels and Kenneth E. Mahaffy, Jr.
Other Release No.: IA-3085
See also: Order Vacating Bars, Release No. 34-68462
|
| 34-62898 |
Sep. 13, 2010 |
Leslie A. Arouh
|
| 34-62894 |
Sep. 13, 2010 |
Wind Energy America Inc.
|
| 34-62891 |
Sep. 10, 2010 |
Joseph Ricupero
|
| 34-62656 |
Aug. 5, 2010 |
Gately & Associates, LLC and James P. Gately, CPA
See also: Order Denying Request for Nonpublic Hearing
|
| 34-62649 |
Aug. 4, 2010 |
BCI Telecom Holding, Inc.
|
| 34-62645 |
Aug. 4, 2010 |
Manuel P. Asensio
|
| 34-62630 |
Aug. 3, 2010 |
Theodore W. Urban
See also: Order Dismissing Proceeding, Release No. 34-66259
|
| IA-3057 |
Jul. 23, 2010 |
James C. Dawson
|
| 34-62448 |
Jul. 2, 2010 |
vFinance Investments, Inc. and Richard Campanella
|
| 34-62427 |
Jul. 1, 2010 |
Dan Rapoport
|
| Second Quarter |
| 34-62374 |
Jun. 24, 2010 |
Luis Miguel Cespedes
|
| IA-3040 |
Jun. 18, 2010 |
John Gardner Black
See also: Court of Appeals Opinion |
| 34-62324 |
Jun. 18, 2010 |
Michael Frederick Siegel
See also: Court of Appeals Opinion |
| 34-62315 |
Jun. 17, 2010 |
Manuel P. Asensio
See also: Court of Appeals Opinion
|
| 34-62257 |
Jun. 10, 2010 |
Lasersight, Inc., et al., Loehmann's, Inc. (Order Dismissing Loehmann's, Inc. From Proceeding)
|
| 34-62178 |
May 26, 2010 |
John M.E. Saad
See also: Court of Appeals Opinion
|
| 34-62055 |
May 6, 2010 |
Gregory S. Profeta
|
| 34-61967 |
Apr. 23, 2010 |
PennMont Securities and Joseph D. Carapico (Order Granting Motion to Dismiss Application for Review)
|
| 33-9118 |
Apr. 23, 2010 |
John A. Carley, Eugene C. Geiger, Thomas A. Kaufmann, Edward H. Price and Christopher H. Zacharias (Order Dismissing Fraud and Reporting Allegations)
Other Release No.: 34-61966
See also: Opinion, Release No. 33-8888 and Court of Appeals Opinion
|
| 34-61928 |
Apr. 16, 2010 |
Diane M. Keefe
Other Release Nos.: IA-3016, IC-29207
|
| IA-3015 |
Apr. 13, 2010 |
John Gardner Black and Devon Capital Management (Order Denying in Part and Granting in Part Petition to Set Aside Bar Order)
|
| First Quarter |
| 34-61791 |
Mar. 26, 2010 |
Timothy P. Pedregon, Jr.
|
| 34-61790 |
Mar. 26, 2010 |
Phillip J. Milligan
|
| 34-61561 |
Feb. 22, 2010 |
Consumers Financial Corporation
|
| 34-61541 |
Feb. 18, 2010 |
Edward J. Jakubik, Jr.
|
| 34-61506 |
Feb. 4, 2010 |
Don Warner Reinhard (Order Denying Summary Affirmance and Remanding for Additional Proceedings)
Other Release No.: IA-2984
|
| 34-61449 |
Feb. 1, 2010 |
Janet Gurley Katz
See also: Court of Appeals Opinion
|
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2010.shtml
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