Commission Opinions and Adjudicatory Orders

The Commission recently amended its Rules of Practice to include new electronic filing requirements.

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.

Opinions and Adjudicatory Orders RSS Feed
Date Respondents
Theodore W. Urban (Order Denying Motion for Summary Affirmance)
Release No. 34-63456
File Number: 3-13655
Mission Securities Corporation and Craig M. Biddick
Release No. 34-63453
File Number: 3-13841
John B. Busacca, III
Release No. 34-63312
See Also: Court of Appeals Opinion
Steven Altman, Esq. (Corrected)
Release No. 34-63306
File Number: 3-12944
Gately & Associates, LLC and James P. Gately, CPA (Order Terminating Stay)
Release No. 34-63167, AAER-3200
File Number: 3-13535
Dagong Global Credit Rating Co., Ltd.
Release No. 34-62968
File Number: 3-13860
David G. Ghysels and Kenneth E. Mahaffy, Jr.
Release No. 34-62937, IA-3085, 34-68462
File Number: 3-13481
Leslie A. Arouh
Release No. 34-62898
File Number: 3-13701
Wind Energy America Inc.
Release No. 34-62894
File Number: 3-13782
Joseph Ricupero
Release No. 34-62891
File Number: 3-13727
Gately & Associates, LLC and James P. Gately, CPA
Release No. 34-62656
See Also: Order Denying Request for Nonpublic Hearing
File Number: 3-13535
BCI Telecom Holding, Inc.
Release No. 34-62649
File Number: 3-13888
Manuel P. Asensio
Release No. 34-62645
File Number: 3-13733
Theodore W. Urban
Release No. 34-62630, 34-66259
File Number: 3-13655
James C. Dawson
Release No. IA-3057
File Number: 3-13579
vFinance Investments, Inc. and Richard Campanella
Release No. 34-62448
File Number: 3-12918
Dan Rapoport
Release No. 34-62427
File Number: 3-13304
Luis Miguel Cespedes
Release No. 34-62374
File Number: 3-12988r
John Gardner Black
Release No. IA-3040
See Also: Court of Appeals Opinion
File Number: 3-9599
Michael Frederick Siegel
Release No. 34-62324
See Also: Court of Appeals Opinion
File Number: 3-12659r
Manuel P. Asensio
Release No. 34-62315
See Also: Court of Appeals Opinion
File Number: 3-13733
Lasersight, Inc., et al., Loehmann's, Inc. (Order Dismissing Loehmann's, Inc. From Proceeding)
Release No. 34-62257
File Number: 3-13817
John M.E. Saad
Release No. 34-62178
See Also: Court of Appeals Opinion
Gregory S. Profeta
Release No. 34-62055
File Number: 3-13810
PennMont Securities and Joseph D. Carapico (Order Granting Motion to Dismiss Application for Review)
Release No. 34-61967
File Number: 3-13623
John A. Carley, Eugene C. Geiger, Thomas A. Kaufmann, Edward H. Price and Christopher H. Zacharias (Order Dismissing Fraud and Reporting Allegations)
Release No. 33-9118, 34-61966, 33-8888
See Also: Court of Appeals Opinion
File Number: 3-11626r
Diane M. Keefe
Release No. 34-61928, IA-3016, IC-29207
File Number: 3-13337
John Gardner Black and Devon Capital Management (Order Denying in Part and Granting in Part Petition to Set Aside Bar Order)
Release No. IA-3015
File Number: 3-9599
Timothy P. Pedregon, Jr.
Release No. 34-61791
File Number: 3-13610
Phillip J. Milligan
Release No. 34-61790
File Number: 3-13482
Consumers Financial Corporation
Release No. 34-61561
File Number: 3-13628
Edward J. Jakubik, Jr.
Release No. 34-61541
Don Warner Reinhard (Order Denying Summary Affirmance and Remanding for Additional Proceedings)
Release No. 34-61506, IA-2984
File Number: 3-13280
Janet Gurley Katz
Release No. 34-61449
See Also: Court of Appeals Opinion
File Number: 3-13279
1 to 34 of 34 items