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Commission Opinions and Adjudicatory Orders
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
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| Release No. |
Date |
Respondents |
| Fourth Quarter |
| 34-76721 |
Dec. 21, 2015 |
The Application of Dawson James Securities, Inc. for Review of Action Taken by FINRA (Order Granting Request to Withdraw Application and Dismiss Review Proceeding)
|
| IA-4298 |
Dec. 21, 2015 |
Duane Hamblin Slade (Order Modifying Sanctions and Notice That Initial Decision, as Modified, Has Become Final)
|
| IA-4297 |
Dec. 21, 2015 |
Guy Andrew Williams (Order Modifying Sanctions and Notice That Initial Decision, as Modified, Has Become Final)
|
| 34-76702 |
Dec. 21, 2015 |
Phillip Dennis Murphy (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Other Release No.: IA-4296
|
| 34-76698 |
Dec. 18, 2015 |
Arrin Corporation, et al. (Order Directing the Filing of Briefs)
|
| IA-4294 |
Dec. 18, 2015 |
ZPR Investment Management, Inc., and Max E. Zavanelli (Order Granting Motion to Submit Supplemental Brief)
|
| 33-9985 |
Dec. 10, 2015 |
Joseph C. Ruggieri (Order Denying Motion for Summary Affirmance, Granting Petitions for Review, and Scheduling Briefs)
Other Release No.: 34-76614
|
| 34-76592 |
Dec. 8, 2015 |
Laurie Bebo (Order Granting Petition for Review and Scheduling Briefs)
|
| 34-76559 |
Dec. 4, 2015 |
Rani T. Jarkas (Order Scheduling Briefs)
|
| 34-76558 |
Dec. 4, 2015 |
Keilen Dimone Wiley (Opinion of the Commission)
|
| IA-4286 |
Dec. 2, 2015 |
ZPR Investment Management, Inc., and Max E. Zavanelli (Order Denying Stay in Light of Pending Reconsideration Motion)
|
| IA-4281 |
Nov. 24, 2015 |
Michael S. Steinberg (Order Dismissing Proceeding)
|
| 34-76517 |
Nov. 24, 2015 |
The Application of Dawson James Securities, Inc. for Review of Action Taken by FINRA (Order Scheduling Briefs)
|
| 34-76516 |
Nov. 24, 2015 |
The Application of Joseph R. Butler for Review of Disciplinary Action Taken by FINRA (Order Scheduling Briefs)
|
| 33-9979 |
Nov. 20, 2015 |
Jacob Keith Cooper (Order Directing the Filing of Briefs)
Other Release Nos.: 34-76502, IA-4275, IC-31908
|
| 34-76481 |
Nov. 19, 2015 |
The Application of Fuad Ahmed, Success Trade Securities, Inc. for Review of Action Taken by FINRA (Corrected Order Scheduling Briefs)
|
| 34-76461 |
Nov. 17, 2015 |
The Application of Fuad Ahmed for Review of Action Taken by FINRA (Order Scheduling Briefs)
|
| 34-76460 |
Nov. 17, 2015 |
The Application of Autochina International Limited, a/k/a Fincera, Inc. for Review of Action Taken by FINRA (Order Scheduling Briefs)
|
| 34-76440 |
Nov. 13, 2015 |
The Application of Dawson James Securities, Inc. for Review of Action Taken by FINRA (Order Denying Stay)
|
| 34-76376 |
Nov. 5, 2015 |
The Application of Alfred P. Reeves, III for Review of Disciplinary Action Taken by FINRA (Opinion of the Commission)
|
| 33-9977 |
Nov. 4, 2015 |
Diane Dalmy, Esq. (Order Granting Petition for Review and Scheduling Briefs)
|
| 33-9975 |
Oct. 30, 2015 |
J.S. Oliver Capital Management, L.P. and Ian O. Mausner (Order Granting Motion to Submit Supplemental Briefing)
Other Release Nos.: 34-76325, IA-4250, IC-31888
|
| IA-4249 |
Oct. 30, 2015 |
ZPR Investment Management, Inc., and Max E. Zavanelli (Opinion of the Commission)
|
| 33-9972 |
Oct. 29, 2015 |
David F. Bandimere (Opinion of the Commission)
Other Release No.: 34-76308
|
| 34-76307 |
Oct. 29, 2015 |
The Application of Bering Strait Securities, Inc. for Review of Action Taken by FINRA (Opinion: Registered Securities Association — Review of Denial of Membership Application)
|
| 33-9966 |
Oct. 26, 2015 |
Natural Blue Resources, Inc., James E. Cohen and Joseph A. Corazzi (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-76271
|
| 34-76266 |
Oct. 26, 2015 |
Kabani & Company, Inc., et al. (Order Denying Motion for a Protective Order)
|
| 34-76241 |
Oct. 22, 2015 |
Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr. (Partial Stay Order)
Other Release Nos.: IA-4239, IC-31880
|
| 34-76119 |
Oct. 8, 2015 |
Sands Brothers Asset Management, LLC, et al. (Order Denying Interlocutory Review)
|
| IA-4222 |
Oct. 8, 2015 |
Paul Edward "Ed" Lloyd, Jr., CPA (Corrected Order Granting Petition for Review and Scheduling Briefs)
|
| 34-76118 |
Oct. 8, 2015 |
John M.E. Saad (Opinion of the Commission)
|
| 34-76097 |
Oct. 7, 2015 |
John J. Aesoph, CPA, and Darren M. Bennett, CPA (Order Granting Motion to Submit Supplemental Briefing)
|
| 33-9958 |
Oct. 1, 2015 |
Reliance Financial Advisors, LLC, et al. (Order Granting Extension)
Other Release Nos.: 34-76067, IA-4214, IC-31857
|
| Third Quarter |
| 34-76060 |
Sep. 30, 2015 |
Ruby Creek Resources, Inc. (Order Dismissing Proceeding)
|
| 34-76011 |
Sep. 29, 2015 |
Michael Nicholas Romano (Opinion of the Commission)
|
| 34-76001 |
Sep. 28, 2015 |
James Doug Scott (Notice That Initial Decision Has Become Final)
Other Release No.: IC-31852
|
| IA-4211 |
Sep. 28, 2015 |
Paul Edward "Ed" Lloyd, Jr., CPA (Order Granting Petition for Review and Scheduling Briefs)
|
| 34-75982 |
Sep. 24, 2015 |
Nicholas Rowe (Order Denying Motion for Summary Affirmance and Remanding for Additional Proceedings)
|
| 34-75981 |
Sep. 24, 2015 |
Blair C. Mielke and Frederick W. Shultz (Opinion of the Commission)
|
| 34-75965 |
Sep. 22, 2015 |
Stephen Grivas (Order Scheduling Briefs)
|
| 34-75964 |
Sep. 22, 2015 |
Michael Earl McCune (Order Scheduling Briefs)
|
| 33-9923 |
Sep. 22, 2015 |
Frank H. Chiappone, et al. (Order Granting Extension)
Other Release Nos.: 34-75960, IA-4205, IC-31836
|
| 34-75956 |
Sep. 21, 2015 |
David R. Wulf (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: IA-4202
|
| IA-4197 |
Sep. 17, 2015 |
Timbervest, LLC, et al. (Opinion of the Commission)
Other Release No.: IC-31830
See also: Order Staying Remedial Sanctions |
| IA-4195 |
Sep. 15, 2015 |
Timbervest, LLC, et al. (Order Accepting Material for Inclusion in the Record)
Other Release No.: IC-31825
|
| 33-9912 |
Sep. 15, 2015 |
Moshe Marc Cohen (Order Requesting Additional Submissions)
Other Release Nos.: 34-75922, IA-4194, IC-31824
|
| 34-75894 |
Sep. 10, 2015 |
Michael H. Johnson (Order Denying Motion to Modify Settled Bar Order)
Other Release No.: IC-31818
|
| 34-75893 |
Sep. 10, 2015 |
Matthew D. Sample (Opinion of the Commission)
Other Release No.: IA-4193
|
| 34-75868 |
Sep. 9, 2015 |
WD Clearing, LLC, et al. (Order Dismissing Application for Review)
|
| 34-75844 |
Sep. 4, 2015 |
Thomas D. Melvin, CPA (Opinion of the Commission)
Other Release No.: AAER-3682
|
| 34-75840 |
Sep. 4, 2015 |
Accredited Business Consolidators Corporation (Opinion of the Commission)
|
| 34-75839 |
Sep. 3, 2015 |
The Application of Anthony A. Grey for Review of Disciplinary Action Taken by FINRA (Opinion of the Commission)
|
| 34-75838 |
Sep. 3, 2015 |
Denise M. Olson (in the Matter of the Application Of Denise M. Olson)
|
| 34-75837 |
Sep. 3, 2015 |
Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr. (Opinion of the Commission)
Other Release Nos.: IA-4190, IC-31806
See also: Dissenting Opinion of Commissioner Gallagher and Commissioner Piwowar
|
| 34-75822 |
Sep. 2, 2015 |
The Application of Electronic Transaction Clearing, Inc., et al. (Order Denying Request for Oral Argument)
|
| 34-75820 |
Sep. 2, 2015 |
James S. Tagliaferri (Order Granting Motion to Amend Order Instituting Proceedings)
Other Release Nos.: IA-4187, IC-31804
|
| 34-75818 |
Sep. 2, 2015 |
Luminary Acquisition Corp. (Order Dismissing Untimely Petition for Review)
|
| 34-75791 |
Aug. 28, 2015 |
Myriad Interactive Media, Inc. (Opinion of the Commission)
|
| 34-75790 |
Aug. 28, 2015 |
Immunotech Laboratories, Inc. (Opinion of the Commission)
|
| 34-75775 |
Aug. 27, 2015 |
Bravo Enterprises Ltd. and Jacyln Cruz (Suspension of Trading)
|
| 34-75774 |
Aug. 27, 2015 |
Curtis Steven Culver (Order Granting Motion to Dismiss Application for Review)
|
| 34-75765 |
Aug. 26, 2015 |
RKO Resources, Inc. (a/k/a Shamika 2 Gold, Inc.) (Order Remanding Case for Further Proceedings)
|
| IA-4183 |
Aug. 26, 2015 |
Timbervest, LLC, et al. (Order for In Camera Review and Protective Order)
Other Release No.: IC-31787
|
| IA-4180 |
Aug. 19, 2015 |
Sand Brothers Asset Management, LLC; Steven Sands; Martin Sands; and Christopher Kelly (Order Granting Extension)
Other Release No.: IA-3960
|
| 34-75705 |
Aug. 14, 2015 |
Darren M. Smith (Order Granting Motion to Dismiss Application for Review)
|
| 34-75686 |
Aug. 12, 2015 |
The Robare Group, Ltd., et al. (Order Denying Motion for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs)
Other Release Nos.: IA-4168, IC-31750
|
| IA-4166 |
Aug. 11, 2015 |
Timbervest, LLC, et al. (Order Requesting Additional Briefing)
Other Release No.: IC-31749
|
| 33-9883 |
Aug. 7, 2015 |
David F. Bandimere (Order Granting Motion for Submission of Additional Evidence and Permitting Supplemental Briefing)
Other Release No.: 34-75651
|
| 34-75617 |
Aug. 5, 2015 |
John M.E. Saad (Order Denying Request for Oral Argument)
|
| IA-4157 |
Aug. 5, 2015 |
Edgar R. Page and Pageone Financial Inc. (Order Granting Review and Scheduling Briefs)
Other Release No.: IC-31739
|
| 34-75615 |
Aug. 5, 2015 |
Brookstone Securities, Inc., et al. (Order Granting Request to Withdraw Application and Dismiss Review Proceeding) |
| 33-9875 |
Aug. 3, 2015 |
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr (Order Granting in Part and Deferring in Part Motion to Adduce Additional Evidence and Requesting Additional Briefing)
Other Release Nos.: 34-75590, IA-4153, IC-31736
|
| 33-9873 |
Jul. 31, 2015 |
optionsXpress, Inc. and Jonathan I. Feldman (Order Directing Additional Briefing)
Other Release Nos.: 34-75579, IC-31731
|
| 34-75571 |
Jul. 30, 2015 |
Michael Albert Dipietro (Order Scheduling Briefs)
|
| 34-75531 |
Jul. 27, 2015 |
David Kristian Evansen (Opinion of the Commission)
|
| 34-75502 |
Jul. 22, 2015 |
Luminary Acquisition Corp. (Order Directing the Filing of Briefs)
|
| 34-75405 |
Jul. 9, 2015 |
Ramcon Financial LLC (Order Scheduling Briefs)
|
| 34-75351 |
Jul. 1, 2015 |
Brookstone Securities, Inc., et al. (Order Scheduling Briefs)
|
| Second Quarter |
| 34-75269 |
Jun. 23, 2015 |
Green Courte Real Estate Partners III, LLC (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
|
| 34-75262 |
Jun. 22, 2015 |
Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr. (Order Granting Motion to Postpone Oral Argument and Permit Additional Briefing)
Other Release Nos.: IA-4125, IC-31685
|
| IA-4117 |
Jun. 15, 2015 |
Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr. (Order Regarding Motion to Stay Appeal and for Leave to Submit Additional Briefing)
Other Release No.: IC-31671
|
| 34-75168 |
Jun. 12, 2015 |
Atlantis Internet Group Corporation (Opinion of the Commission)
|
| 34-75162 |
Jun. 11, 2015 |
Atlantis Internet Group Corporation (Order Denying Request for Oral Argument)
Other Release Nos.: 34-70620, 34-70706
|
| 34-75161 |
Jun. 11, 2015 |
John Cherry III (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
Other Release No.: 34-74933
|
| 34-75135 |
Jun. 9, 2015 |
R. Scott Peden, Esq. (Order Denying Motion to Lift Temporary Suspension and Directing Hearing)
|
| 34-75134 |
Jun. 9, 2015 |
Lek Securities Corp. (Order Denying Permission to Exceed Length Limitation)
|
| 34-75117 |
Jun. 5, 2015 |
Mountain Share Transfer, LLC and Erik Sterling Nelson (Extension Order)
|
| 33-9805 |
Jun. 5, 2015 |
Frank H. Chiappone, et al. (Extension and Word Limit Order)
Other Release Nos.: 34-75114, IA-4104, IC-31662
|
| IA-4103 |
Jun. 4, 2015 |
Timbervest, LLC, et al. (Order Concerning Additional Submission and Protective Order)
Other Release No.: IC-31660
|
| 34-75101 |
Jun. 3, 2015 |
Kabani & Company, Inc., et al. (Order Scheduling Briefs)
|
| 33-9803 |
Jun. 3, 2015 |
Francis V. Lorenzo (Order Denying Lorenzo's Motion for Reconsideration)
Other Release No.: 34-75103
|
| 34-75075 |
May 29, 2015 |
Mark E. Laccetti (Order Granting Leave to Adduce Additional Evidence)
|
| 33-9798 |
May 29, 2015 |
Ralph Calabro, Jason Konner and Dimitrios Koutsoubos (Opinion of the Commission)
Other Release Nos.: 34-75076, IC-31657
|
| 33-9797 |
May 29, 2015 |
Michael H. Johnson (Order Directing the Filing of Opposition and Reply Briefs)
Other Release Nos.: 34-75074, IC-31656
|
| IA-4096 |
May 27, 2015 |
Timbervest, LLC, et al. (Order Requesting Additional Submissions and Additional Briefing)
Other Release No.: IC-31652
|
| 34-75054 |
May 27, 2015 |
Mitchell H. Fillet (Opinion of the Commission)
|
| 33-9790 |
May 21, 2015 |
Frank H. Chiappone, et al. (Order Granting Petitions for Review and Scheduling Briefs)
Other Release Nos.: 34-75027, IC-31644
|
| 33-9775 |
May 18, 2015 |
Dennis J. Malouf (Order Granting Review and Scheduling Briefs)
Other Release Nos.: 34-74991, IA-4088, IC-31605
|
| IA-4085 |
May 15, 2015 |
Anthony Chiasson (Order Dismissing Proceeding)
|
| IA-4084 |
May 15, 2015 |
Todd Newman (Order Vacating Bar)
|
| 34-74961 |
May 14, 2015 |
Wedbush Securities, Inc. and Edward William Wedbush (Order Denying Request for Oral Argument)
|
| IA-4083 |
May 13, 2015 |
Sands Brothers Asset Management, LLC, et al. (Order Denying Petition for Interlocutory Review)
|
| 34-74933 |
May 12, 2015 |
John Cherry III (Order Scheduling Briefs)
|
| 34-74932 |
May 12, 2015 |
John M.E. Saad (Order Scheduling Briefs)
|
| 34-74913 |
May 8, 2015 |
North Woodward Financial Corporation and Douglas A. Troszak (Corrected Opinion of the Commission - Registered Securities Association Review of Disciplinary Proceedings)
|
| 34-74903 |
May 7, 2015 |
Michael Pino (Opinion of the Commission)
|
| 34-74893 |
May 6, 2015 |
Global Leadership Institute, Inc. (Order Vacating Initial Decision and Remanding for Further Proceedings)
|
| 33-9766 |
May 6, 2015 |
Natural Blue Resources, Inc., James E. Cohen and Joseph A. Corazzi (Order Granting Extension)
Other Release No.: 34-74891
|
| 34-74887 |
May 6, 2015 |
Dian Min Ma, Gang Ma and Jin Tian (Order Modifying Sanctions and Notice That Initial Decision, as Modified, Has Become Final)
|
| 34-74886 |
May 6, 2015 |
Daniel Imperato (Order Denying Request for Reconsideration)
|
| 33-9765 |
May 6, 2015 |
Lawrence M. Labine (Order Granting Extension)
Other Release Nos.: 34-74883, IA-4077, IC-31594
|
| 34-74855 |
Apr. 30, 2015 |
Keilen Dimone Wiley (Order Scheduling Briefs)
|
| 33-9763 |
Apr. 30, 2015 |
Harding Advisory LLC and Wing F. Chau (Order Directing the Filing of Supplemental Briefs)
Other Release Nos.: IA-4075, IC-31588
|
| 33-9762 |
Apr. 29, 2015 |
Francis V. Lorenzo (Cease-and-Desist Proceeding)
Other Release No.: 34-74836
|
| 34-74803 |
Apr. 23, 2015 |
Gary L. McDuff (Order Remanding for Additional Proceedings)
|
| 34-74788 |
Apr. 22, 2015 |
Lek Securities Corp (Corrected Order Scheduling Briefs)
|
| IA-4067 |
Apr. 21, 2015 |
Matthew D. Sample (Order Granting Petition for Review and Scheduling Filing of Statements)
|
| IA-4061 |
Apr. 15, 2015 |
Nicholas Rowe (Order Granting Petition for Review and Scheduling Briefs)
|
| 34-74732 |
Apr. 15, 2015 |
Mark E. Laccetti (Order Scheduling Briefs)
|
| First Quarter |
| 34-74596 |
Mar. 27, 2015 |
Daniel Imperato (Opinion of the Commission Broker-Dealer Proceeding Grounds for Remedial Action Injunction)
|
| 34-74557 |
Mar. 20, 2015 |
Moshe Marc Cohen (Order Granting Petitions for Review and Scheduling Briefs)
|
| 34-74552 |
Mar. 20, 2015 |
BDO China Dahua CPA Co., Ltd., et al. (Order Granting the Division of Enforcement's Unopposed Motion to Withdraw Its Petition for Review as to Dahua CPA, Ltd. and Notice That Initial Decision Has Become Final as to Dahua CPA, Ltd.)
Other Release No.: AAER-3643
|
| 34-74532 |
Mar. 19, 2015 |
Michael Lee Mendenhall (Order Vacating Initial Decision and Remanding for Further Proceedings)
Other Release No.: IA-4051
|
| 34-74468 |
Mar. 10, 2015 |
William Scholander and Talman Harris (Order Scheduling Briefs)
|
| 34-74437 |
Mar. 4, 2015 |
William Scholander and Talman Harris (Order Denying Stay)
|
| 34-74418 |
Mar. 3, 2015 |
The Association of Ronald M. Berman with Axiom Capital Management, Inc. (Order Granting Request to Withdraw Application and Dismissing Review Proceeding)
|
| 34-74414 |
Mar. 3, 2015 |
Green Courte Real Estate Partners III, LLC (Order Directing the Filing of Briefs)
|
| 34-74361 |
Feb. 24, 2015 |
Wedbush Securities, Inc. and Edward William Wedbush (Order Scheduling Briefs)
|
| 34-74354 |
Feb. 23, 2015 |
Steven Robert Tomlinson (Order Denying Request for Reconsideration)
Other Release Nos.: IC-31468, IC-31467
|
| 33-9731 |
Feb. 23, 2015 |
Harding Advisory LLC and Wing F. Chau (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: IA-4031, IC-31468, IC-31467
|
| 33-9730 |
Feb. 23, 2015 |
Total Wealth Management, Inc., et al. (Order Granting Extension)
Other Release Nos.: 34-74353, IA-4030, IC-31467
|
| 33-9728 |
Feb. 20, 2015 |
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, and George R. Jarkesy Jr. (Order Denying Motion to Stay Administrative Proceeding)
Other Release Nos.: 34-74345, IA-4029, IC-31462
|
| 33-9727 |
Feb. 20, 2015 |
Anthony Fields, CPA d/b/a Anthony Fields & Associates and d/b/a Platinum Securities Brokers (Opinion of the Commission Broker-Dealer Proceeding Investment Adviser Proceeding Cease-and-Desist Proceeding Grounds for Remedial Action Antifraud Violations Registration Violations)
Other Release Nos.: 34-74344, IA-4028, IC-31461
|
| 34-74274 |
Feb. 13, 2015 |
Ronald M. Berman with Axiom Capital Management, Inc. (Order Scheduling Briefs)
|
| 34-74269 |
Feb. 13, 2015 |
Robert Marcus Lane and Jeffrey Griffin Lane (Registered Securities Association-Review of Disciplinary Proceedings)
|
| 34-74216 |
Feb. 5, 2015 |
Positron Corporation (Registered Securities Association - Review of Association Action Denying Request to Process Corporate Actions)
|
| 33-9722 |
Feb. 5, 2015 |
Natural Blue Resources, Inc., et al. (Order Denying Petition for Interlocutory Review)
Other Release No.: 34-74215
|
| IA-4012 |
Feb. 2, 2015 |
Timbervest, LLC, Joel Barth Shapiro, et al. (Revised Order Regarding Supplemental Briefs)
Other Release No.: IC-31442
|
| 34-74187 |
Feb. 2, 2015 |
mPhase Technologies, Inc. (Registered Securities Association - Review of Association Action Denying Request to Process Corporate Action)
|
| 34-74176 |
Jan. 29, 2015 |
Jordan Peixoto (Order Dismissing Proceeding)
|
| 33-9716 |
Jan. 28, 2015 |
Larry C. Grossman (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-74168, IA-4010, IC-31436
|
| 34-74153 |
Jan. 27, 2015 |
DRC Ventures, Inc. (Order Dismissing Proceeding)
|
| IA-4008 |
Jan. 27, 2015 |
Michael S. Steinberg (Order Postponing Briefing Schedule)
|
| 34-74138 |
Jan. 26, 2015 |
Marcos A. Santana (Order Granting Motion to Dismiss Application for Review)
Other Release Nos.: IA-4007, IC-31429
|
| 33-9710 |
Jan. 26, 2015 |
Donald J. Anthony, et al. (Order Granting Second Motion for Extension)
Other Release Nos.: 34-74139, IA-4007, IC-31429
|
| IA-4003 |
Jan. 20, 2015 |
Timbervest, LLC, Joel Barth Shapiro, et al. (Order Regarding Supplemental Briefing)
Other Release No.: IC-31424
|
| 34-74101 |
Jan. 20, 2015 |
Positron Corporation (Order Denying Request for Oral Argument)
|
| 33-9703 |
Jan. 20, 2015 |
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy Jr. (Order Directing Additional Submission)
Other Release Nos.: 34-74100, IA-4002, IC-31423
|
| 34-74054 |
Jan. 14, 2015 |
Accredited Business Consolidators Corp. (Order Granting Petition for Review and Scheduling Briefs)
|
| 34-74030 |
Jan. 9, 2015 |
Blair Alexander West (Registered Securities Association - Review of Disciplinary Proceedings)
|
| 34-74015 |
Jan. 8, 2015 |
Joseph S. Amundsen (Order Denying Request for Reconsideration)
|
| 34-73983 |
Jan. 5, 2015 |
Thomas C. Gonnella (Order Granting Petitions for Review and Scheduling Briefs)
|
http://www.sec.gov/litigation/opinions.shtml
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