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Commission Opinions and Adjudicatory Orders Archive: 2011
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.
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| Release No. |
Date |
Respondents |
| Fourth Quarter |
| 34-66064 |
Dec. 28, 2011 |
Cleantech Innovations, Inc. (Order Denying Motions for Stay of Delisting and Expedited Discovery)
|
| 34-66014 |
Dec. 20, 2011 |
Kent M. Houston (Opinion)
|
| 34-65904 |
Dec. 6, 2011 |
William J. Murphy, Carl M. Birkelbach, and Birkelbach Investment Securities, Inc. (Order Granting Request to Withdraw Application and Dismissing Review Proceeding with Respect to Birkelbach Investment Securities, Inc.)
|
| 34-65863 |
Dec. 1, 2011 |
Richard A. Neaton (Order Denying Motion for Reconsideration)
|
| IA-3311 |
Nov. 9, 2011 |
Montford and Company, Inc. d/b/a Montford Associates and Ernest V. Montford, Sr. (Order Denying Suggestion for Interlocutory Review)
|
| IA-3307 |
Oct. 24, 2011 |
Michael R. Pelosi (Order Granting Extension)
Other Release No.: IC-29841
|
| 34-65598 |
Oct. 20, 2011 |
Richard A. Neaton
|
| 34-65581 |
Oct. 18, 2011 |
Davis Accounting Group, P.C. and Edwin R. Davis, Jr., CPA (Order Dismissing Review Application and Lifting Stay)
|
| 33-9267 |
Oct. 14, 2011 |
Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Granting Partial Protective Order)
Other Release No.: 34-65571
|
| 34-65570 |
Oct. 14, 2011 |
Sharemaster (Order Dismissing Proceedings)
|
| 34-65569 |
Oct. 14, 2011 |
Michael Picozzi III
|
| Third Quarter |
| 34-65347 |
Sep. 16, 2011 |
Dennis S. Kaminski
|
| 34-65345 |
Sep. 16, 2011 |
Norman Chen (Order Granting Motion to Dismiss Application for Review)
|
| 34-65267 |
Sep. 6, 2011 |
FCS Securities and Dale Edward Kleinser (Order Denying Motion for Reconsideration)
|
| 34-65261 |
Sep. 2, 2011 |
Mark S. Parnass (Order Denying in Part Petition to Vacate Administrative Bar Order)
|
| 34-65235 |
Aug. 31, 2011 |
Richard G. Cody (Order Denying Motion for Reconsideration)
|
| 34-65207 |
Aug. 26, 2011 |
Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Order Directing the Filing of Additional Briefs)
Other Release No.: IA-3264
|
| 34-65204 |
Aug. 26, 2011 |
Eric S. Butler
Other Release No.: IA-3262
|
| 34-65118 |
Aug. 12, 2011 |
Cobalis Corporation
|
| 34-65117 |
Aug. 11, 2011 |
Kent D. Sweat and Intermountain Financial Securities, Inc. (Corrected Order Denying Motion for Reconsideration)
|
| IA-3260 |
Aug. 5, 2011 |
Robert L. Burns
Other Release No.: IC-29746
|
| 33-9239 |
Jul. 18, 2011 |
John P. Flannery and James D. Hopkins
|
| 34-64897 |
Jul. 18, 2011 |
American Stellar Energy, Inc. (n/k/a Tara Gold Resources Corp.)
See also: Court of Appeals Opinion
|
| 34-64852 |
Jul. 11, 2011 |
FCS Securities and Dale Edward Kleinser
|
| 34-64813 |
Jul. 6, 2011 |
Cobalis Corporation
|
| Second Quarter |
| 34-64747 |
Jun. 24, 2011 |
American Funds Distributors, Inc.
|
| IA-3217 |
Jun. 16, 2011 |
Sherwin Brown and Jamerica Financial, Inc.
|
| 34-64637 |
Jun. 9, 2011 |
Global Sentry Equity Transfer, Inc. (Order Amending Order Instituting Proceedings)
|
| IC-29718 |
Jul. 7, 2011 |
Daxor Corporation
|
| 34-64565 |
May 27, 2011 |
Richard G. Cody
See also: Court of Appeals Opinion |
| 34-64557 |
May 27, 2011 |
World Trade Financial Corp., Jason Troy Adams, Frank Edward Brickell, and Rodney Preston Michel; Midas Securities, LLC, and Jay S. Lee (Order Denying Consolidation)
|
| 34-64489 |
May 13, 2011 |
Philip L. Spartis and Amy J. Elias
|
| 34-64486 |
May 13, 2011 |
Harry Friedman
|
| 34-64481 |
May 12, 2011 |
Gremo Investments, Inc.
|
| 34-64391 |
May 4, 2011 |
Denise Lynn Gizankis (Order Dismissing Petition for Review)
|
| First Quarter |
| 34-64145 |
Mar. 29, 2011 |
Thomas Preston Osborn (Order Dismissing Petition for Review)
|
| 33-9197 |
Mar. 22, 2011 |
Ronald S. Bloomfield, Robert Gorgia, Victor Labi, John Earl Martin, Sr., and Eugene Miller (Order Granting Extension)
Other Release No.: 34-64106
|
| 34-64079 |
Mar. 14, 2011 |
Robert L. Burns (Order Granting Partial Protective Order)
Other Release No.: IA-3174, IC-29599
|
| 34-64138 |
Mar. 1, 2011 |
Timothy M. Gautney, Robert A. Bellia, Jr., and Erik S. Blum (Corrected Order Granting Motion to Discontinue Proceedings Against Timothy M. Gautney Without Prejudice)
Other Release No.: IA-3181
|
| 34-63941 |
Feb. 22, 2011 |
David W. Baldt (Order Granting Extension)
Other Release Nos.: IA-3165, IC-29578
|
| 33-9189 |
Feb. 17, 2011 |
Sahas Technologies LLC (Order Dismissing Proceedings)
|
| 34-63894 |
Feb. 11, 2011 |
Thomas Preston Osborn (Order Extending Briefing Schedule)
|
| 34-63744 |
Jan. 20, 2011 |
Dan Rapoport (Order Denying Motion To Set Aside Dan Rapoport Default Order)
See also: Court of Appeals Opinion |
| 34-63720 |
Jan. 14, 2011 |
Don Warner Reinhard
Other Release No.: IA-3139
|
| 34-63691 |
Jan. 11, 2011 |
Sutton Resources Ltd. (Order Dismissing Proceedings)
|
| 34-63665 |
Jan. 6, 2011 |
Steven Altman, Esq. (Order Denying Motion for Reconsideration and a Stay)
|
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2011.shtml
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