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Commission Opinions and Adjudicatory Orders Archive: 2013
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 |
| 34-71205 |
Dec. 30, 2013 |
John J. Aesoph, CPA, and Darren M. Bennett, CPA
(Order Granting Extension)
Other Release Nos.: AAER-3524
|
| 33-9507 |
Dec. 30, 2013 |
John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, George R. Jarkesy Jr., John Thomas Financial, Inc., and Anastasios "Tommy' Belesis
(Order Extending Deadline for Filing Initial Decision)
Other Release Nos.: 34-71204, IA-3749, IC-30851
|
| 34-71100 |
Dec. 17, 2013 |
Mitchell H. Fillet (Order Scheduling Briefs)
|
| 34-71099 |
Dec. 17, 2013 |
Toby G. Scammell (Order Granting Petition for Review and Scheduling Briefs)
|
| 34-71068 |
Dec. 12, 2013 |
Peter Siris (Opinion of the Commission)
Other Release No.: IA-3736
See also: Court of Appeals Opinion
|
| 33-9492 |
Dec. 6, 2013 |
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr.(Order Denying Petition for Interlocutory Review)
Other Release No.: 34-71021, IA-3733, IC-30820 |
| 33-9486 |
Nov. 25, 2013 |
Johnny Clifton (Order Denying Motions for Reconsideration, the Introduction of New Evidence, and a New Hearing)
Other Release No.: 34-70942
|
| 33-9479 |
Nov. 15, 2013 |
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Extension Order)
Other Release Nos.: 34-70891, IA-3717, IC-30788
|
| 34-70893 |
Nov. 15, 2013 |
Orbixa Technologies, Inc. (Order Granting Motion to Dismiss Application for Review)
|
| 34-70883 |
Nov. 15, 2013 |
Edward S. Brokaw (Opinion)
|
| 33-9478 |
Nov. 13, 2013 |
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Order Granting Interim Stay)
Other Release Nos.: 34-70869, IA-3716, IC-30784
|
| 34-70841 |
Nov. 8, 2013 |
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Order Directing Additional Briefing on Petition for Interlocutory Review) |
| 34-70833 |
Nov. 7, 2013 |
Robert Conway and Kakit Ng (Opinion) |
| 33-9474 |
Nov. 5, 2013 |
OptionsXpress, Inc. and Jonathan I. Feldman (Order Granting Petitions for Review and Scheduling Briefs)
Other Release Nos.: 34-70810, IC-30774
|
| 34-70803 |
Nov. 4, 2013 |
Largo Vista Group, Ltd., Montavo, Inc., OBN Holdings, Inc., PrepaYd, Inc., Ready Welder Corp., and Snowdon Resources Corp. (Order Dismissing Proceeding with Respect to PrepaYd, Inc.)
|
| 34-70800 |
Nov. 4, 2013 |
China-Biotics, Inc. (Opinion) |
| 34-70792 |
Oct. 31, 2013 |
Absolute Potential, Inc. (fka Absolute Waste Services Inc.)(Order Scheduling Oral Argument) |
| 34-70738 |
Oct. 22, 2013 |
S.W. Hatfield, CPA, and Scott W. Hatfield, CPA (Order Granting Petition for Review and Scheduling Briefs) |
| 33-9469 |
Oct. 22, 2013 |
Bernerd E. Young (Order Granting Petition for Review and Scheduling Briefs) |
| 34-70708 |
Oct. 17, 2013 |
Alchemy Ventures, Inc., Km Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. McDonald, and Douglas G. Frederick (Notice that Initial Decision Has Become Final) |
| 34-70707 |
Oct. 17, 2013 |
SmartHeat, Inc. (Order Scheduling Briefs) |
| 34-70706 |
Oct. 17, 2013 |
Atlantis Internet Group Corporation (Order Scheduling Briefs) |
| 33-9466 |
Oct. 16, 2013 |
OptionsXpress, Inc., et al. (Order Granting in Part and Denying in Part the Motions to Adduce Additional Evidence Regarding the CBOE Settlement)
Other Release No.: 34-66815 |
| 33-9465 |
Oct. 9, 2013 |
Johnny Clifton (Opinion)
Other Release No.: 34-70639 |
| 34-70632 |
Oct. 8, 2013 |
John M.E. Saad (Order Remanding Proceeding to Registered Securities Association)
|
| 33-9464 |
Oct. 8, 2013 |
Jilaine H. Bauer, Esq. (Order Dismissing Proceeding)
Other Release No.: 34-70631 |
| 33-9463 |
Oct. 7, 2013 |
Michael Bresner, Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Second Extension)
Other Release Nos.: 34-70621; IA-3687; IC-30741 |
| 34-70620 |
Oct. 7, 2013 |
Atlantis Internet Group Corporation (Order Denying Stay)
|
| 34-70603 |
Oct. 2, 2013 |
BDO China Dahua CPA Co., Ltd., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants Ltd., and Pricewaterhousecoopers Zhong Tian CPAs Limited (Order Granting Second Extension)
|
| Third Quarter |
| 33-9449 |
Sep. 5, 2013 |
Jay T. Comeaux (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-70328, IA-3661, IC-30686
|
| 34-70318 |
Sep. 4, 2013 |
John Gardner Black and Devon Capital Management (Order Denying Petition to Set Aside Administrative Bar Order)
|
| 33-9448 |
Sep. 1, 2013 |
Daniel J. Gallagher (Order Granting Motion to Amend Order Instituting Proceedings)
Other Release Nos.: 34-70305 |
| 34-70290 |
Aug. 29, 2013 |
Sharemaster (Order Dismissing Proceedings on Remand)
|
| 33-9441 |
Aug. 15, 2013 |
Miguel A. Ferrer and Carlos J. Ortiz (Order Granting Second Motion for Extension)
Other Release Nos.: 34-70216, IC-30650
|
| 34-70149 |
Aug. 8, 2013 |
Adam Harrington a/k/a Adam Rukdeschel and Adam Harrington Ruckdeschel (Order Dismissing Review Proceeding and Notice of Finality)
|
| 34-70140 |
Aug. 8, 2013 |
Stephanie Hibler (Order Granting In Part and Denying In Part Application to Vacate Administrative Bar Order)
|
| 34-70130 |
Aug. 7, 2013 |
Ox Trading, LLC, optionsXpress, Inc., and Thomas E. Stern (Order Granting Extension)
Other Release No.: IC-30646
|
| 34-70120 |
Aug. 5, 2013 |
Anwar v. Fairfield Greenwich Limited (Order Denying Petition For Review)
|
| 34-70046 |
Jul. 26, 2013 |
ACAP Financial, Inc. and Gary Hume (Opinion)
|
| 34-70044 |
Jul. 26, 2013 |
Tzemach David Netzer Korem (Opinion)
|
| 34-69994 |
Jul. 16, 2013 |
The Hartcourt Companies, Inc., et al. (Order Dismissing Proceeding with Respect to HIV-VAC, Inc.)
|
| 33-9417 |
Jul. 12, 2013 |
Johnny Clifton (Opinion)
Other Release No.: 34-69982
|
| IA-3628 |
Jul. 11, 2013 |
Alfred Clay Ludlum, III (Opinion)
|
| 34-69976 |
Jul. 11, 2013 |
S.W. Hatfield, C.P.A. and Scott W. Hatfield, C.P.A (Order Terminating Stay)
|
| 34-69968 |
Jul. 11, 2013 |
CleanTech Innovations, Inc. (Opinion)
|
| 34-69967 |
Jul. 11, 2013 |
Linus N. Nwaigwe (Order Vacating Bar)
|
| 34-69953 |
Jul. 9, 2013 |
Daniel Bogar, Bernard E. Young, and Jason T. Green (Order Granting Extension)
|
| 34-69939 |
Jul. 5, 2013 |
Angelica Aguilera (Order Granting Extension)
|
| 33-9413 |
Jul. 5, 2013 |
Michael Bresner, et al. (Order Granting Extension)
Other Release Nos.: 34-69940, IA-3621, IC-30591
|
| 34-69930 |
Jul. 3, 2013 |
S. W. Hatfield and Scott W. Hatfield (Opinion)
|
| 34-69923 |
Jul. 2, 2013 |
William J. Murphy and Carl M. Birkelbach (Opinion)
See also: Court of Appeals Opinion |
| 34-69922 |
Jul. 2, 2013 |
James M. Schneider (Order Denying Motion or in the Alternative Application to Modify Commission Order Imposing Remedial Sanction)
Other Release No.: AAER-3470
|
| Second Quarter |
| 34-69885 |
Jun. 28, 2013 |
LPB Capital d/b/a Family Office Group, LLC and Gary J. Pappas (Order Dismissing Proceedings)
Other Release Nos.: IA-3619, AAER-3468
|
| 34-69766 |
Jun. 14, 2013 |
John Joseph Plunkett (Opinion)
|
| 34-69615 |
May 21, 2013 |
ACAP Financial, Inc. and Gary Hume (Order Denying Request for Oral Argument)
|
| 33-9400 |
Apr. 30, 2013 |
optionsXpress, Inc., et al.; OX Trading, LLC, et al.
Other Release Nos.: 34-69478, IC-30498
|
| 34-69439 |
Apr. 24, 2013 |
A-Power Energy Generation Systems, Ltd.
|
| 34-69406 |
Apr. 18, 2013 |
Joseph S. Amundsen (Opinion) (Corrected)
|
| 34-69405 |
Apr. 18, 2013 |
Gilbert Torres Martinez (Order Granting Motion to Dismiss Application for Review)
|
| 34-69358 |
Apr. 10, 2013 |
Virginia K. Sourlis, Esq.
|
| 34-69312 |
Apr. 4, 2013 |
Harry W. Hunt (Order Dismissing Application for Review)
|
| 34-69263 |
Apr. 1, 2013 |
Steven Neil Barbot (Order Dismissing Application)
|
| First Quarter |
| 34-69177 |
Mar. 19, 2013 |
Eric J. Weiss
|
| 34-69034 |
Mar. 4, 2013 |
SEI Holdings, Inc. (n/k/a Stoneleigh Realty Investors, LLLP), et al. (Order Dismissing Proceeding with Respect to SEI Holdings, Inc.)
|
| 34-69020 |
Mar. 1, 2013 |
Julio C. Ceballos (Order Granting Motion to Dismiss Application for Review)
|
| 34-68981 |
Feb. 25, 2013 |
Stewart A. Merkin, Esq. (Order Denying Motion to Lift Temporary Suspension and Directing Hearing)
|
| 34-68979 |
Feb. 25, 2013 |
Far Vista Interactive Corp., et al. (Order Dismissing Proceeding with Respect to
Far Vista Interactive Corp.)
|
| 33-9386 |
Feb. 25, 2013 |
Miguel A. Ferrer and Carlos J. Ortiz (Order Granting Extension)
Other Release Nos.: 34-68978, IC-30404
|
| 34-68974 |
Feb. 25, 2013 |
Robert David Beauchene (Order Granting Motion to Amend Order Instituting Proceedings)
|
| 34-68966 |
Feb. 21, 2013 |
Andover Holdings, Inc. (a/k/a Andover Energy Holdings, Inc.) (Order
Summarily Affirming Initial Decision)
|
| 34-68904 |
Feb. 11, 2013 |
Gregory Evan Goldstein
|
| 34-68755 |
Jan. 29, 2013 |
Harry W. Hunt (Order Denying Stay)
|
| 34-68651 |
Jan. 14, 2013 |
Richard L. Goble (Order Dismissing Proceeding)
|
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2013.shtml
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