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
MKM Partners LLC (Opinion of the Commission)
Release No. 34-79700
File Number: 3-17262
Paul Leon White, II (Order Granting Motion to Extend Time)
Release No. 34-79482, IA-4583
File Number: 3-17210
Charles L. Hill, Jr. (Order Denying Motion to De-Institute Administrative Proceeding)
Release No. 34-79459
File Number: 3-16383
Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Granting Petition for Review and Scheduling Briefs)
Release No. 33-10260, 34-79413
File Number: 3-16509
Advanced Life Sciences Holdings, Inc. (Order Granting Petition for Review and Scheduling Briefs)
Release No. 34-79380
File Number: 3-17293
The Robare Group, Ltd., et al. (Opinion of the Commission)
Release No. IA-4566
File Number: 3-16047
Helpeo, Inc. (Order Requesting Additional Written Submissions)
Release No. 34-79250
File Number: 3-17668
Larry C. Grossman (Order Granting Partial Stay)
Release No. 33-10244, 34-79217, IA-4563, IC-32352
File Number: 3-15617
Gregory Osborn (Order Scheduling Briefs)
Release No. 33-10240, IC-32341, 34-79177
File Number: 3-16227
James Michael Murray (Order Granting Petition for Review and Scheduling Briefs)
Release No. IA-4559
File Number: 3-16937
The Application of Mark E. Laccetti, CPA for Review of Disciplinary Action Taken by the PCAOB (Order Terminating Automatic Stay)
Release No. 34-79138
File Number: 3-16430
Louis V. Schooler (Order Directing Filings)
Release No. 34-79128, IA-4558
File Number: 3-17115
The Application of Kimberly Springsteen-Abbott for Review of Disciplinary Action Taken by FINRA (Order Scheduling Briefs)
Release No. 34-79099
File Number: 3-17560
Med-X, Inc. (Order Directing Hearing)
Release No. 33-10235
File Number: 3-17551
Eric David Wanger (Opinion of the Commission)
Release No. 34-79008
File Number: 3-17226
Kenny Akindemowo (Opinion of the Commission)
Release No. 34-79007
File Number: 3-17076
Mitchell H. Fillet (Opinion of the Commission)
Release No. 34-79018
File Number: 3-15601r
Kevin M. Murphy (Opinion of the Commission, Order Remanding Proceeding to FINRA)
Release No. 34-79016
File Number: 3-17404
AutoChina International Limited c/o Jason Wang and Chief Financial Officer (Opinion of the Commission)
Release No. 34-79010
File Number: 3-16913r
Larry C. Grossman (Opinion of the Commission)
Release No. 33-10227, 34-79009, IA-4543, IC-32298
File Number: 3-15617
Thomas C. Gonnella (Order Granting Partial Stay)
Release No. 33-10225, 34-78990, IA-4541, IC-32294
File Number: 3-15737
Shreyans Desai (Order Granting Petition for Review and Scheduling Briefs)
Release No. 34-78969
File Number: 3-17035
Li-Lin Hsu (Opinion and Order Dismissing Application for Review)
Release No. 34-78899
File Number: 3-17344
Keith D. Geary (Order Scheduling Briefs)
Release No. 34-78902
File Number: 3-17406
Bernard G. McGee (Order Scheduling Briefs)
Release No. 34-78901
File Number: 3-17402
KCD Financial, Inc. (Order Scheduling Briefs)
Release No. 34-78900
File Number: 3-17512
Russell C. Schalk, Jr. (Russell C. Schalk, Jr.)
Release No. 33-10219, 34-78898, IC-32279
File Number: 3-16498
Meyers Associates, L.P. and Bruce Meyers (Order Denying Request for Oral Argument)
Release No. 34-78843
File Number: 3-17254
The Application of Keith D. Geary for Review of Action Taken by FINRA (Order Denying Stay as Moot)
Release No. 34-78833
File Number: 3-17406
Dennis J. Malouf (Corrected Order Imposing Remedial Sanctions)
Release No. 33-10207, 34-78822, IA-4528, IC-32258
File Number: 3-15918
optionsXpress, Inc. and Jonathan I. Feldman (Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to optionsXpress, Inc.)
Release No. 33-10206, 34-78821
File Number: 3-14848
Moshe Marc Cohen (Opinion of the Commission and Order Imposing Remedial Sanctions)
Release No. 33-10205, 34-78797
File Number: 3-15790
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)
Release No. 34-78773
File Number: 3-15350
George Charles Cody Price (Extension Order)
Release No. IA-4520
File Number: 3-16946
Mark E. Laccetti, CPA (Opinion)
Release No. 34-78764
File Number: 3-16430
Dennis J. Malouf (Order Granting Partial Stay)
Release No. 33-10202, 34-78739, IA-4516, IC-32250
File Number: 3-15918
Lynn Tilton, et al. (Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice)
Release No. IA-4495, IC-32236, AAER-3796
File Number: 3-16462
The Application of Christopher A. Parris for Review of Action Taken by FINRA (Opinion of the Commission)
Release No. 34-78669
File Number: 3-17128
Timbervest, LLC, et al. (Recommendation Regarding Disgorgement)
Release No. IA-4492, IC-32223
File Number: 3-15519
Expleo Solutions, Inc. (Order Dismissing Proceeding)
Release No. 34-78638
File Number: 3-17202
Bennett Group Financial Services, LLC and Dawn J. Bennett (Order Granting Petition for Review and Scheduling Briefs)
Release No. 33-10126, 34-78637, IA-4491, IC-32222
File Number: 3-16801
optionsXpress, Inc. and Jonathan I. Feldman (Opinion of the Commission)
Release No. 33-10125, 34-78621
File Number: 3-14848
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)
Release No. 34-78595
File Number: 3-15350
Allen M. Perres (Order Granting Petition for Review and Scheduling Briefs)
Release No. 33-10124, 34-78596
File Number: 3-17013
Equity Trust Company (Order Granting Petitions for Review and Scheduling Briefs)
Release No. 33-10123
File Number: 3-16594
J.S. Oliver Capital Management, L.P. and Ian O. Mausner (Partial Stay Order)
Release No. 33-10121, 34-78575, IA-4486, IC-32216
File Number: 3-15446
Brian J. Ourand (Order Dismissing Untimely Petition for Review)
Release No. IA-4482, IC-32211
File Number: 3-16590
Wedbush Securities, Inc. and Edward William Wedbush (Opinion of the Commission)
Release No. 34-78568
File Number: 3-16329
Thomas C. Gonnella (Opinion of the Commission)
Release No. 33-10119, 34-78532, IA-4476, IC-32210
File Number: 3-15737
John J. Aesoph, CPA and Darren M. Bennett, CPA (Opinion of the Commission; Corrected)
Release No. 34-78490
File Number: 3-15168
The Application of Li-Lin Hsu for Review of Action Taken by FINRA (Order Scheduling Briefs)
Release No. 34-78486
File Number: 3-17344
ZPR Investment Management, Inc., and Max E. Zavanelli (Order Granting Partial Stay and Denying Motion to Adduce Additional Evidence)
Release No. IA-4471
File Number: 3-15263
Jeffry C. Eisnaugle (Order Denying Request to Vacate Bars)
Release No. IA-4469, IC-32203
File Number: 3-15157
Vinayak S. Gowrish (Order Denying Request to Vacate Bars)
Release No. IA-4470
File Number: 3-14552
Stephen Stuart (Order Denying Request to Vacate Bars)
Release No. 34-78463
File Number: 3-16151
Michael Antonio Zurita (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Release No. 34-78467
File Number: 3-14139
Linda Woolf (Order Denying Request to Vacate Bars)
Release No. 34-78458
File Number: 3-17249
John B. Guyette (Order Denying Request to Vacate Bars)
Release No. 34-78466
File Number: 3-15624
Sean Nathan Healy (Order Denying Request to Vacate Bars)
Release No. 34-78470
File Number: 3-15266
Timothy J. McGee (Order Denying Request to Vacate Bars)
Release No. 34-78465
File Number: 3-16818
James F. Turner II (Order Denying Request to Vacate Bars)
Release No. 34-78469
File Number: 3-15035
Alan Sheinwald (Order Denying Request to Vacate Bars)
Release No. 34-78464
File Number: 3-15819
Brian W. Boppre (Order Denying Request to Vacate Bars)
Release No. 34-78468, IC-32205
File Number: 3-14324
Bernerd E. Young (Partial Stay Order)
Release No. 33-10116, 34-78440, IA-4466, IC-32199
File Number: 3-15003
Dennis J. Malouf (Opinion of the Commission)
Release No. 33-10115, 34-78429, IA-4463, IC-32194
File Number: 3-15918
George Charles Cody Price (Order Granting Petition for Review and Scheduling Briefs)
Release No. IA-4461
File Number: 3-16946
Millennium Partners, L.P., et al. (Order Granting Motion to Modify)
Release No. 33-10112, 34-78364, IA-4458, IC-32178
File Number: 3-12116
Kenny A. Akindemowo (Order Denying Stay)
Release No. 34-78352
File Number: 3-17076
The Petition of Citadel Securities LLC, et al. (Opinion and Order Dismissing Petition for Administrative Remedy)
Release No. 34-78340
File Number: 3-17189
Edgar R. Page and PageOne Financial Inc. (Order Denying Motion for Reconsideration)
Release No. IA-4454, IC-32177
File Number: 3-16037
Mohammed Riad and Kevin Timothy Swanson (Partial Stay Order)
Release No. 34-78272, IA-4446, IC-32174
File Number: 3-15141
David B. Tysk (Order Scheduling Briefs)
Release No. 34-78271
File Number: 3-17294
Mohammed Riad and Kevin Timothy Swanson (Order Amending Opinion)
Release No. 34-78252, IA-4445, IC-32172
See Also: Amended Opinion
File Number: 3-15141
Russell C. Schalk, Jr. (Order Requesting Additional Briefs)
Release No. 33-10109, 34-78253, IC-32173
File Number: 3-16498
Timbervest, LLC, et al. (Order Scheduling Briefs)
Release No. IA-4443, IC-32169
File Number: 3-15519
Joseph J. Fox (Order Granting Petition for Review and Scheduling Briefs)
Release No. 34-78209
File Number: 3-16795
The Application of Bruce Meyers, Meyers Associates and L.P. for Review of Action Taken by FINRA (Order Scheduling Briefs)
Release No. 34-78183
File Number: 3-17254
The Application of MKM Partners LLC for Review of Action Taken by Bats Exchange, Inc. (Order Scheduling Briefs)
Release No. 34-78184
File Number: 3-17262
Rogelio Guevara (Order Dismissing Application for Review)
Release No. 34-78134
File Number: 3-17211
J.S. Oliver Capital Management, L.P. and Ian O. Mausner (Opinion of the Commission)
Release No. 33-10100, 34-78098, IA-4431, IC-32152
File Number: 3-15446
Electronic Transaction Clearing, Inc., et al. (National Securities Exchange-Review of Disciplinary Proceeding)
Release No. 34-78093
File Number: 3-16285
Gary L. McDuff (Opinion and Order of the Commission Denying Interlocutory Review)
Release No. 34-78066
File Number: 3-15764
The Application of Autochina International Limited for Review of Action Taken by FINRA (Order Scheduling Briefs)
Release No. 34-78058
File Number: 3-16913r
Mohammed Riad and Kevin Timothy Swanson (Opinion of the Commission)
Release No. 34-78049, IA-4420, IC-32146
File Number: 3-15141
ZPR Investment Management, Inc., and Max E. Zavanelli (Order Denying Motion for Reconsideration)
Release No. IA-4417
File Number: 3-15263
Edgar R. Page and PageOne Financial Inc. (Order Denying Stay in Light of Pending Reconsideration Motion)
Release No. IA-4416, IC-32143
File Number: 3-16037
The Application of Eric David Wanger (Order Directing the Filing of Briefs)
Release No. 34-78019
File Number: 3-17226
Striper Energy, Inc. (Order Granting Request to Withdraw Petition for Termination of Trading Suspension and Dismissing Proceeding)
Release No. 34-78018
File Number: 3-17250
Jesse C. Litvak (Order Vacating Bar Order)
Release No. 34-77993
File Number: 3-16050
The Application of Meyers Associates, L.P. and Bruce Meyers for Review of Action Taken by FINRA (Order Denying Stay)
Release No. 34-77994
File Number: 3-17254
The Application of Joseph R. Butler for Review of Disciplinary Action Taken by FINRA (Registered Securities Association-Review of Disciplinary Proceedings)
Release No. 34-77984
File Number: 3-16912
Robert A. Bellia, Jr. (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Release No. 34-77966
File Number: 3-14069
Charles Mark Hall (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Release No. 34-77965
File Number: 3-14698
Terry M. Deru (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Release No. 33-10084, 34-77964, IA-4412, IC-32137
File Number: 3-14404
David Rubin (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Release No. IA-4410
File Number: 3-15055
Evan Andrew Zarefsky (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Release No. IA-4409
File Number: 3-15054
Kimon P. Daifotis (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Release No. 34-77954, IA-4407
File Number: 3-14951
Peter B. Madoff (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Release No. 34-77955, IA-4408
File Number: 3-14963
Edgar R. Page and PageOne Financial Inc. (Opinion of the Commission)
Release No. IA-4400, IC-32131, ID-822
File Number: 3-16037
Douglas F. Whitman (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
Release No. IA-4405
File Number: 3-15285
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