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.
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| Release No. | Date | Respondents |
| Fourth Quarter | ||
| 34-79700 | Dec. 28, 2016 | MKM Partners LLC (Opinion of the Commission) |
| 34-79482 | Dec. 6, 2016 | Paul Leon White, II (Order Granting Motion to Extend Time)
Other Release No.: IA-4583 |
| 34-79459 | Dec. 2, 2016 | Charles L. Hill, Jr. (Order Denying Motion to De-Institute Administrative Proceeding) |
| 33-10260 | Nov. 28, 2016 | Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-79413 |
| 34-79380 | Nov. 22, 2016 | Advanced Life Sciences Holdings, Inc. (Order Granting Petition for Review and Scheduling Briefs) |
| IA-4566 | Nov. 7, 2016 | The Robare Group, Ltd., et al. (Opinion of the Commission) |
| 34-79250 | Nov. 7, 2016 | Helpeo, Inc. (Order Requesting Additional Written Submissions) |
| 33-10244 | Nov. 1, 2016 | Larry C. Grossman (Order Granting Partial Stay)
Other Release Nos.: 34-79217, IA-4563, IC-32352 |
| 33-10240 | Oct. 27, 2016 | Gregory Osborn (Order Scheduling Briefs)
Other Release Nos.: IC-32341, 34-79177 |
| IA-4559 | Oct. 24, 2016 | James Michael Murray (Order Granting Petition for Review and Scheduling Briefs) |
| 34-79138 | Oct. 21, 2016 | The Application of Mark E. Laccetti, CPA for Review of Disciplinary Action Taken by the PCAOB (Order Terminating Automatic Stay) |
| 34-79128 | Oct. 20, 2016 | Louis V. Schooler (Order Directing Filings)
Other Release No.: IA-4558 |
| 34-79099 | Oct. 14, 2016 | The Application of Kimberly Springsteen-Abbott for Review of Disciplinary Action Taken by FINRA (Order Scheduling Briefs) |
| 33-10235 | Oct. 13, 2016 | Med-X, Inc. (Order Directing Hearing) |
| Third Quarter | ||
| 34-79018 | Sep. 30, 2016 | Mitchell H. Fillet (Opinion of the Commission) |
| 34-79016 | Sep. 30, 2016 | Kevin M. Murphy (Opinion of the Commission, Order Remanding Proceeding to FINRA) |
| 34-79010 | Sep. 30, 2016 | AutoChina International Limited c/o Jason Wang and Chief Financial Officer (Opinion of the Commission) |
| 34-79008 | Sep. 30, 2016 | Eric David Wanger (Opinion of the Commission) |
| 34-79007 | Sep. 30, 2016 | Kenny Akindemowo (Opinion of the Commission) |
| 33-10227 | Sep. 30, 2016 | Larry C. Grossman (Opinion of the Commission)
Other Release Nos.: 34-79009, IA-4543, IC-32298 |
| 33-10225 | Sep. 29, 2016 | Thomas C. Gonnella (Order Granting Partial Stay)
Other Release Nos.: 34-78990, IA-4541, IC-32294 |
| 34-78969 | Sep. 28, 2016 | Shreyans Desai (Order Granting Petition for Review and Scheduling Briefs) |
| 34-78902 | Sep. 21, 2016 | Keith D. Geary (Order Scheduling Briefs) |
| 34-78901 | Sep. 21, 2016 | Bernard G. McGee (Order Scheduling Briefs) |
| 34-78900 | Sep. 21, 2016 | KCD Financial, Inc. (Order Scheduling Briefs) |
| 34-78899 | Sep. 21, 2016 | Li-Lin Hsu (Opinion and Order Dismissing Application for Review) |
| 33-10219 | Sep. 21, 2016 | Russell C. Schalk, Jr. (Russell C. Schalk, Jr.)
Other Release Nos.: 34-78898, IC-32279 |
| 34-78843 | Sep. 14, 2016 | Meyers Associates, L.P. and Bruce Meyers (Order Denying Request for Oral Argument) |
| 34-78833 | Sep. 13, 2016 | The Application of Keith D. Geary for Review of Action Taken by FINRA (Order Denying Stay as Moot) |
| 33-10207 | Sep. 13, 2016 | Dennis J. Malouf (Corrected Order Imposing Remedial Sanctions)
Other Release Nos.: 34-78822, IA-4528, IC-32258 |
| 33-10206 | Sep. 13, 2016 | optionsXpress, Inc. and Jonathan I. Feldman (Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to optionsXpress, Inc.)
Other Release No.: 34-78821 |
| 33-10205 | Sep. 9, 2016 | Moshe Marc Cohen (Opinion of the Commission and Order Imposing Remedial Sanctions)
Other Release No.: 34-78797 |
| 34-78773 | Sep. 6, 2016 | The Application of Securities Industry and Financial Markets Association for Review of Actions Taken by Self-Regulatory Organizations (Order Granting Extension of Time and to Exceed Length Limitation for Reply Brief) |
| IA-4520 | Sep. 2, 2016 | George Charles Cody Price (Extension Order) |
| 34-78764 | Sep. 2, 2016 | Mark E. Laccetti, CPA (Opinion) |
| 33-10202 | Aug. 31, 2016 | Dennis J. Malouf (Order Granting Partial Stay)
Other Release Nos.: 34-78739, IA-4516, IC-32250 |
| IA-4495 | Aug. 24, 2016 | Lynn Tilton, et al. (Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice)
Other Release Nos.: IC-32236, AAER-3796 |
| 34-78669 | Aug. 24, 2016 | The Application of Christopher A. Parris for Review of Action Taken by FINRA (Opinion of the Commission) |
| IA-4492 | Aug. 22, 2016 | Timbervest, LLC, et al. (Recommendation Regarding Disgorgement)
Other Release No.: IC-32223 |
| 34-78638 | Aug. 22, 2016 | Expleo Solutions, Inc. (Order Dismissing Proceeding) |
| 33-10126 | Aug. 22, 2016 | Bennett Group Financial Services, LLC and Dawn J. Bennett (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-78637, IA-4491, IC-32222 |
| 33-10125 | Aug. 18, 2016 | optionsXpress, Inc. and Jonathan I. Feldman (Opinion of the Commission) Other Release No.: 34-78621 |
| 34-78595 | Aug. 16, 2016 | The Application of Securities Industry and Financial Markets Association for Review of Actions Taken by Self-Regulatory Organizations (Order Granting Petition for Review and Scheduling Briefs) |
| 33-10124 | Aug. 16, 2016 | Allen M. Perres (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-78596 |
| 33-10123 | Aug. 16, 2016 | Equity Trust Company (Order Granting Petitions for Review and Scheduling Briefs) |
| 33-10121 | Aug. 15, 2016 | J.S. Oliver Capital Management, L.P. and Ian O. Mausner (Partial Stay Order)
Other Release Nos.: 34-78575, IA-4486, IC-32216 |
| 34-78568 | Aug. 12, 2016 | Wedbush Securities, Inc. and Edward William Wedbush (Opinion of the Commission) |
| IA-4482 | Aug. 12, 2016 | Brian J. Ourand (Order Dismissing Untimely Petition for Review)
Other Release No.: IC-32211 |
| 33-10119 | Aug. 10, 2016 | Thomas C. Gonnella (Opinion of the Commission)
Other Release Nos.: 34-78532, IA-4476, IC-32210 |
| 34-78490 | Aug. 5, 2016 | John J. Aesoph, CPA and Darren M. Bennett, CPA (Opinion of the Commission; Corrected) |
| 34-78486 | Aug. 5, 2016 | The Application of Li-Lin Hsu for Review of Action Taken by FINRA (Order Scheduling Briefs) |
| IA-4471 | Aug. 4, 2016 | ZPR Investment Management, Inc., and Max E. Zavanelli (Order Granting Partial Stay and Denying Motion to Adduce Additional Evidence) |
| IA-4470 | Aug. 2, 2016 | Vinayak S. Gowrish (Order Denying Request to Vacate Bars) |
| 34-78470 | Aug. 2, 2016 | Sean Nathan Healy (Order Denying Request to Vacate Bars) |
| 34-78469 | Aug. 2, 2016 | James F. Turner II (Order Denying Request to Vacate Bars) |
| 34-78468 | Aug. 2, 2016 | Brian W. Boppre (Order Denying Request to Vacate Bars)
Other Release No.: IC-32205 |
| 34-78467 | Aug. 2, 2016 | Michael Antonio Zurita (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| 34-78466 | Aug. 2, 2016 | John B. Guyette (Order Denying Request to Vacate Bars) |
| 34-78465 | Aug. 2, 2016 | Timothy J. McGee (Order Denying Request to Vacate Bars) |
| 34-78464 | Aug. 2, 2016 | Alan Sheinwald (Order Denying Request to Vacate Bars) |
| 34-78463 | Aug. 2, 2016 | Stephen Stuart (Order Denying Request to Vacate Bars) |
| IA-4469 | Aug. 2, 2016 | Jeffry C. Eisnaugle (Order Denying Request to Vacate Bars)
Other Release No.: IC-32203 |
| 34-78458 | Aug. 2, 2016 | Linda Woolf (Order Denying Request to Vacate Bars) |
| 33-10116 | Jul. 29, 2016 | Bernerd E. Young (Partial Stay Order)
Other Release Nos.: 34-78440, IA-4466, IC-32199 |
| 33-10115 | Jul. 27, 2016 | Dennis J. Malouf (Opinion of the Commission)
Other Release Nos.: 34-78429, IA-4463, IC-32194 |
| IA-4461 | Jul. 21, 2016 | George Charles Cody Price (Order Granting Petition for Review and Scheduling Briefs) |
| 33-10112 | Jul. 19, 2016 | Millennium Partners, L.P., et al. (Order Granting Motion to Modify) Other Release Nos.: 34-78364, IA-4458, IC-32178 |
| 34-78352 | Jul. 18, 2016 | Kenny A. Akindemowo (Order Denying Stay) |
| 34-78340 | Jul. 15, 2016 | The Petition of Citadel Securities LLC, et al. (Opinion and Order Dismissing Petition for Administrative Remedy) |
| IA-4454 | Jul. 14, 2016 | Edgar R. Page and PageOne Financial Inc. (Order Denying Motion for Reconsideration)
Other Release No.: IC-32177 |
| 34-78272 | Jul. 8, 2016 | Mohammed Riad and Kevin Timothy Swanson (Partial Stay Order)
Other Release Nos.: IA-4446, IC-32174 |
| 34-78271 | Jul. 8, 2016 | David B. Tysk (Order Scheduling Briefs) |
| 33-10109 | Jul. 7, 2016 | Russell C. Schalk, Jr. (Order Requesting Additional Briefs)
Other Release Nos.: 34-78253, IC-32173 |
| 34-78252 | Jul. 7, 2016 | Mohammed Riad and Kevin Timothy Swanson (Order Amending Opinion)
Other Release Nos.: IA-4445, IC-32172 See Also: Amended Opinion |
| IA-4443 | Jul. 5, 2016 | Timbervest, LLC, et al. (Order Scheduling Briefs)
Other Release No.: IC-32169 |
| Second Quarter | ||
| 34-78209 | Jun. 30, 2016 | Joseph J. Fox (Order Granting Petition for Review and Scheduling Briefs) |
| 34-78184 | Jun. 28, 2016 | The Application of MKM Partners LLC for Review of Action Taken by Bats Exchange, Inc. (Order Scheduling Briefs) |
| 34-78183 | Jun. 28, 2016 | The Application of Bruce Meyers, Meyers Associates and L.P. for Review of Action Taken by FINRA (Order Scheduling Briefs) |
| 34-78134 | Jun. 22, 2016 | Rogelio Guevara (Order Dismissing Application for Review) |
| 33-10100 | Jun. 17, 2016 | J.S. Oliver Capital Management, L.P. and Ian O. Mausner (Opinion of the Commission)
Other Release Nos.: 34-78098, IA-4431, IC-32152 |
| 34-78093 | Jun. 16, 2016 | Electronic Transaction Clearing, Inc., et al. (National Securities Exchange-Review of Disciplinary Proceeding) |
| 34-78066 | Jun. 14, 2016 | Gary L. McDuff (Opinion and Order of the Commission Denying Interlocutory Review) |
| 34-78058 | Jun. 13, 2016 | The Application of Autochina International Limited for Review of Action Taken by FINRA (Order Scheduling Briefs) |
| 34-78049 | Jun. 13, 2016 | Mohammed Riad and Kevin Timothy Swanson (Opinion of the Commission)
Other Release Nos.: IA-4420, IC-32146 |
| IA-4417 | Jun. 9, 2016 | ZPR Investment Management, Inc., and Max E. Zavanelli (Order Denying Motion for Reconsideration) |
| IA-4416 | Jun. 8, 2016 | Edgar R. Page and PageOne Financial Inc. (Order Denying Stay in Light of Pending Reconsideration Motion)
Other Release No.: IC-32143 |
| 34-78019 | Jun. 8, 2016 | The Application of Eric David Wanger (Order Directing the Filing of Briefs) |
| 34-78018 | Jun. 8, 2016 | Striper Energy, Inc. (Order Granting Request to Withdraw Petition for Termination of Trading Suspension and Dismissing Proceeding) |
| 34-77994 | Jun. 3, 2016 | The Application of Meyers Associates, L.P. and Bruce Meyers for Review of Action Taken by FINRA (Order Denying Stay) |
| 34-77993 | Jun. 3, 2016 | Jesse C. Litvak (Order Vacating Bar Order) |
| 34-77984 | Jun. 2, 2016 | The Application of Joseph R. Butler for Review of Disciplinary Action Taken by FINRA (Registered Securities Association-Review of Disciplinary Proceedings) |
| 34-77966 | Jun. 1, 2016 | Robert A. Bellia, Jr. (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| 34-77965 | Jun. 1, 2016 | Charles Mark Hall (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| 33-10084 | Jun. 1, 2016 | Terry M. Deru (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Other Release Nos.: 34-77964, IA-4412, IC-32137 |
| IA-4410 | May 31, 2016 | David Rubin (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| IA-4409 | May 31, 2016 | Evan Andrew Zarefsky (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| 34-77955 | May 31, 2016 | Peter B. Madoff (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Other Release No.: IA-4408 |
| 34-77954 | May 31, 2016 | Kimon P. Daifotis (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Other Release No.: IA-4407 |
| IA-4405 | May 27, 2016 | Douglas F. Whitman (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| IA-4404 | May 27, 2016 | John V. Johnson (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| IA-4400 | May 27, 2016 | Edgar R. Page and PageOne Financial Inc. (Opinion of the Commission)
Other Release No.: IC-32131 (Note: Initial Decision, Release No. ID-822) |
| 34-77946 | May 27, 2016 | Enrica Cotellessa-Pitz (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Other Release No.: IA-4403 |
| 34-77945 | May 27, 2016 | Charles M. Raspa (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| IA-4402 | May 27, 2016 | John W. Lawton (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| 34-77944 | May 27, 2016 | Charles M. Vaughn (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| IA-4398 | May 26, 2016 | Matthew G. Teeple (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| IA-4396 | May 26, 2016 | Corey Ribotsky (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| 34-77936 | May 26, 2016 | Fabrizio D. Neves (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| 34-77935 | May 26, 2016 | Ross Mandell (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| 34-77933 | May 26, 2016 | Ronald Musich (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Other Release No.: IA-4397 |
| 34-77932 | May 26, 2016 | Michael A. Tripodi (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars) |
| 34-77921 | May 25, 2016 | In the Matter of the Application of Michael Earl McCune For Review of Disciplinary Action Taken by FINRA (Order Granting Stay) |
| 34-77896 | May 24, 2016 | The Application of Mitchell H. Fillet for Review of Action Taken by FINRA (Order Scheduling Briefs) |
| 34-77825 | May 12, 2016 | James S. Tagliaferri (Order Granting Petition for Review and Scheduling Briefs) |
| 34-77815 | May 11, 2016 | Striper Energy, Inc. (Order Requesting Additional Written Submissions) |
| 33-10078 | May 10, 2016 | Richard D. Feldmann (Order Denying Request to Reduce Agreed Disgorgement Amount)
Other Release Nos.: 34-77803, IC-32112 |
| 33-10077 | May 5, 2016 | Joseph P. Doxey (Opinion)
Other Release No.: 34-77773 (Note: Initial Decision, Release No. ID-598) |
| 34-77772 | May 5, 2016 | Aegis Capital, LLC, et al. (Order Denying Motion to Sever)
Other Release Nos.: IA-4382, IC-32108 |
| 33-10076 | May 4, 2016 | Alexandre S. Clug (Order Denying Petition to Reject Division's Cross-Petition for Review as Untimely, Granting the Division's Cross-Petition, and Setting a Briefing Schedule)
Other Release Nos.: 34-77766, IC-32104 |
| 34-77683 | Apr. 21, 2016 | Timothy Quintanilla, CPA (Order Denying Motion to Lift Temporary Suspension and Directing That a Hearing Be Held)
Other Release No.: AAER-3769 |
| 33-10069 | Apr. 19, 2016 | Russell C. Schalk, Jr. (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-77654, IC-32080 |
| 33-10067 | Apr. 18, 2016 | Gordon Brent Pierce (Order Denying Motion to Vacate Commission Orders)
Other Release No.: 34-77643 |
| 33-10066 | Apr. 14, 2016 | Equity Trust Company (Order Granting Extension) |
| 34-77510 | Apr. 4, 2016 | The Application of Christopher A. Parris for Review of Action Taken by FINRA (Corrected Order Denying Stay and Scheduling Briefs) |
| 34-77503 | Apr. 1, 2016 | Rani T. Jarkas (Review of Disciplinary Proceedings) |
| 34-77502 | Apr. 1, 2016 | Autochina International Limited (Review of Association Action Denying Request to Process Corporate Action) |
| 34-77501 | Apr. 1, 2016 | The Petition of Citadel Securities LLC, et al. (Order Directing the Filing of Briefs) |
| 34-77500 | Apr. 1, 2016 | The Application of Christopher A. Parris for Review of Action Taken by FINRA (Order Denying Stay and Scheduling Briefs) |
| First Quarter | ||
| 34-77492 | Mar. 31, 2016 | The Applications of William Scholander and Talman Harris for Review of Disciplinary Action Taken by FINRA (Opinion) |
| 34-77470 | Mar. 29, 2016 | Stephen Grivas (Opinion of the Commission) |
| 34-77452 | Mar. 25, 2016 | John Vincent Ballard (Order Dismissing Untimely Application for Review) |
| 33-10060 | Mar. 24, 2016 | Bernerd E. Young (Opinion of the Commission)
Other Release Nos.: 34-77442, IA-4358, IC-32050 |
| 33-10057 | Mar. 22, 2016 | Alexandre S. Clug (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-77420, IC-32037 |
| 34-77414 | Mar. 21, 2016 | Crucible Capital Group, Inc. and Charles Moore (Order Dismissing Proceeding)
Other Release No.: IC-32034 |
| 34-77411 | Mar. 21, 2016 | David R. Wulf (Opinion of the Commission)
Other Release No.: IA-4356 (Note: Initial Decision, Release No. ID-824) |
| 34-77399 | Mar. 17, 2016 | Arrin Corporation, et al. (Order Dismissing Petition for Review of Gundaker/Jordan American Holdings, Inc.) |
| 34-77398 | Mar. 17, 2016 | The Application of Michael Albert Dipietro for Review of Disciplinary Action Taken by FINRA (Opinion) |
| 34-77396 | Mar. 17, 2016 | The Application of the Dratel Group, Inc. and William M. Dratel for Review of Action Taken by FINRA (Opinion) |
| 34-77375 | Mar. 15, 2016 | The Application of Michael Earl McCune for Review of Disciplinary Action Taken by FINRA (Opinion) |
| 34-77296 | Mar. 4, 2016 | The Application of Kenny Akindemowo for Review of Action Taken by FINRA (Order Scheduling Briefs) |
| 33-10048 | Feb. 26, 2016 | Richard D. Feldmann (Order Scheduling Briefs)
Other Release Nos.: 34-77249, IC-32008 |
| IA-4339 | Feb. 23, 2016 | Sandeep Goyal (Order Vacating Bar Order) |
| 34-77204 | Feb. 22, 2016 | The Application of Laurie Bebo and John Buono, CPA (Order Partially Granting Motion for a Protective Order) |
| 33-10044 | Feb. 22, 2016 | Timothy S. Dembski (Order Granting Petition for Review and Scheduling Briefs)
Other Release Nos.: 34-77201, IA-4336, IC-31999 |
| 33-10040 | Feb. 18, 2016 | Edward M. Daspin, et al. (Order Granting Extension)
Other Release No.: 34-77177 |
| 34-77163 | Feb. 17, 2016 | The Application of Laurie Bebo and John Buono, CPA (Order Striking Respondent's "Offer of Proof") |
| 34-77113 | Feb. 11, 2016 | Gordon Brent Pierce (Order Requesting Additional Briefs) |
| 34-77107 | Feb. 10, 2016 | John Vincent Ballard (Order Directing the Filing of Briefs) |
| 33-10038 | Feb. 9, 2016 | Edward M. Daspin, (aka "Edward (Ed) Michael"); and Luigi Agostini (Order Denying Stay)
Other Release No.: 34-77088 |
| 34-77084 | Feb. 8, 2016 | The Application of Aliza A. Manzella for Review of Disciplinary Action Taken by FINRA (Order Granting Motion to Dismiss Application for Review) |
| 33-10035 | Feb. 5, 2016 | Jacob Keith Cooper (Order Dismissing Untimely Petition for Review)
Other Release Nos.: 34-77068, IA-4329, IC-31985 |
| 34-77062 | Feb. 4, 2016 | The Application of Ramcon Financial LLC for Review of Action Taken by FINRA (Opinion of the Commission) |
| 33-10031 | Feb. 2, 2016 | Timothy W. Carnahan and Cyios Corporation (Order Granting Petition for Review and Scheduling Briefs)
Other Release No.: 34-77038 |
| 34-76934 | Jan. 19, 2016 | Dean Zenon Pinard (Order Vacating Municipal Advisor Bar)
Other Release No.: IA-4319 |
| 33-10005 | Jan. 19, 2016 | Lawrence M. Labine (Order Granting Motion for Extension)
Other Release Nos.: 34-76933, IA-4318, IC-31962 |
| 34-76913 | Jan. 14, 2016 | Spring Hill Capital Markets, LLC, et al. (Order Granting Petition for Review and Scheduling Briefs) |
| 34-76834 | Jan. 5, 2016 | The Application of Fuad Ahmed, Success Trade Securities, Inc. for Review of Action Taken by FINRA (Order Directing Additional Briefing) |