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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.

Fourth Quarter | Third Quarter | Second Quarter | First Quarter 

Additional Archives

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 (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

Modified: 08/05/2014