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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 

Additional Archives

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

Modified: 06/20/2017