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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 

Additional Archives

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

Modified: 08/08/2013