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Commission Opinions and Adjudicatory Orders Archive: 2012
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 |
| 34-68506 |
Dec. 20, 2012 |
AMS Homecare, Inc. (Order Remanding Proceeding to Administrative Law Judge)
|
| 34-68505 |
Dec. 20, 2012 |
Asensio & Company, Inc.
|
| 34-68462 |
Dec. 18, 2012 |
Kenneth E. Mahaffy, Jr.
Other Release Nos.: IA-3517
|
| 33-9376 |
Dec. 18, 2012 |
Michael Bresner, et al.
Other Release Nos.: 34-68464, IA-3518, IC-30307
|
| 34-68431 |
Dec. 13, 2012 |
Wendy McNeeley, CPA
Other Release No.: AAER-3427
|
| IA-3513 |
Dec. 13, 2012 |
John W. Lawton
See also: Commissioner Gallagher Concurring in Part and Dissenting in Part
|
| 34-68379 |
Dec. 6, 2012 |
Aegis Assessments, Inc., et al. (Order Dismissing Proceeding with Respect to Bioauthorize Holdings, Inc.)
|
| 34-68348 |
Dec. 4, 2012 |
Lisa B. Premo
Other Release Nos.: IA-3510, IC-30289
|
| 34-68277 |
Nov. 20, 2012 |
Richard L. Goble
|
| 34-68214 |
Nov. 13, 2012 |
Jilaine H. Bauer, Esq.
|
| 34-68210 |
Nov. 09, 2012 |
Robert D. Tucker
|
| 34-68078 |
Oct. 22, 2012 |
AMS Homecare, Inc.
|
| 34-68072 |
Oct. 18, 2012 |
One Voice Technologies, Inc., et al. (Order Dismissing Proceeding with Respect to Respondent Pine Valley Mining Corp.)
|
| 34-68046 |
Oct. 12, 2012 |
Hedge Fund Capital Partners, LLC and Howard G. Jahre (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
|
| 34-68014 |
Oct. 9, 2012 |
Justin William Keener
|
| Third Quarter |
| 34-67930 |
Sep. 26, 2012 |
Mitchell Segal, Esq.
|
| 34-67900 |
Sep. 20, 2012 |
Michael C. Pattison, CPA (Opinion)
Other Release No.: AAER-3407
|
| 34-67795 |
Sep. 6, 2012 |
Gregg Becker (Order Vacating Bars)
|
| 34-67687 |
Aug. 17, 2012 |
HydroGenetics, Inc. (Order Dismissing Proceeding)
|
| 34-67604 |
Aug. 6, 2012 |
GDT Tek, Inc. (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
|
| 34-67503 |
Jul. 25, 2012 |
Jmar Technologies, Inc., et al. (Order Dismissing Proceeding With Respect to Respondents Legalopinion.com (n/k/a Drayton Richdale Corp.) and Kolorfusion International, Inc.)
|
| IA-3438 |
Jul. 25, 2012 |
Evelyn Litwok (Order Dismissing Proceeding)
|
| 33-9334 |
Jul. 11, 2012 |
Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Directing Additional Briefing)
Other Release No.: 34-67397
|
| Second Quarter |
| 34-67313 |
Jun. 29, 2012 |
Citizens Capital Corp.
|
| 34-67312 |
Jun. 29, 2012 |
Calais Resources Inc.
|
| 34-67104 |
Jun. 4, 2012 |
Amstem Corporation, et al., Balsam Ventures, Inc. (Order Dismissing Proceeding)
|
| 34-67089 |
May 31, 2012 |
Harrison Hatzis (Order Granting Request to Withdraw Application and Dismissing Review
Proceeding)
|
| 34-66842 |
Apr. 20, 2012 |
Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski (Opinion)
|
| 33-9311 |
Apr. 5, 2012 |
Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Order Denying Collins's Motion for Reconsideration of Civil Penalties)
|
| First Quarter |
| 33-9307 |
Mar. 30, 2012 |
John P. Flannery and James D. Hopkins (Order Denying Motions for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs)
Other Release Nos.: 34-66695, IA-3387, IC-30023
|
| 33-9304 |
Mar. 29, 2012 |
Eric David Wanger and Wanger Investment Management, Inc. (Order Denying Petition for Interlocutory Review)
Other Release Nos.: 34-66618, IA-3386, IC-30013
|
| 34-66618 |
Mar. 19, 2012 |
Martin Derrick Jenkins (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
|
| 34-66611 |
Mar. 15, 2012 |
International Power Group, Ltd. (Opinion)
|
| 34-66549 |
Mar. 9, 2012 |
James Lee Goldberg (Opinion)
|
| 34-66530 |
Mar. 7, 2012 |
Robert Hardee Quarles (Order Granting Petition to Vacate Administrative Bar Order)
|
| 33-9299 |
Feb. 27, 2012 |
Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Opinion)
Other Release Nos.: 34-66469, IA-3376
See also: U.S. Court of Appeals Opinion
|
| 34-66467 |
Feb. 24, 2012 |
Howard Braff (Opinion)
|
| 34-66433 |
Feb. 21, 2012 |
William J. Murphy and Carl M. Birkelbach (Order Dismissing
Murphy's Application for Review)
|
| 34-66389 |
Feb. 13, 2012 |
SGI International, et al.; Shiega Resources Corp. (n/k/a African Metals Corporation) (Order Dismissing Proceeding)
|
| 34-66387 |
Feb. 13, 2012 |
Donald L. Koch and Koch Asset Management LLC (Order Granting Extension)
Other Release Nos.: IA-3370, IC-29945
|
| 34-66373 |
Feb. 10, 2012 |
John Edward Mullins and Kathleen Maria Mullins
|
| IC-29948 |
Feb. 10, 2012 |
Daxor Corporation (Order Granting Request to Withdraw Petition for Review and Notice of Finality)
|
| 34-66361 |
Feb. 8, 2012 |
Sharon Energy, Ltd., et al. (Order Dismissing Proceeding)
|
| 34-66260 |
Jan. 26, 2012 |
Paul Free, CPA (Order Denying a Stay or Postponement of Proceedings)
Other Release No.: AAER-3357
|
| 34-66200 |
Jan. 20, 2012 |
Midas Securities, LLC, and Jay S. Lee
|
| 34-66173 |
Jan. 18, 2012 |
Keath Allen Ward
|
| AAER-3354 |
Jan. 10, 2012 |
R.E. Bassie & Co. and R. Everett Bassie, C.P.A.
|
| 34-66114 |
Jan. 6, 2012 |
World Trade Financial Corp., Jason Troy Adams, Frank Edward Brickell, and Rodney Preston Michel
See also: U.S. Court of Appeals Opinion
|
| 34-66113 |
Jan. 6, 2012 |
Dante J. DiFrancesco
|
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2012.shtml
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