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 Sort ascending	Respondents
Dec. 21, 2018	Jennifer F. Wolf, CPA (Order Granting Joint Motion to Stay) Release No. 34-84947 File Number: 3-18769
Dec. 21, 2018	Paul Katsaros (Stay Order) Release No. 34-84942 File Number: 3-18849
Dec. 21, 2018	Merrimac Corporate Securities, Inc. and Robert G. Nash (Order Extending Time to Issue Decision) Release No. 34-84917 File Number: 3-18045
Dec. 20, 2018	Crailar Technologies, Inc., Midwest Oil & Gas, Inc. and Preston Corp. (Order to Show Cause) Release No. 34-84906 File Number: 3-18744
Dec. 20, 2018	Thomas Christopher Prentice (Order Scheduling Briefs) Release No. 34-84886 File Number: 3-18894
Dec. 20, 2018	Gopi Krishna Vungarala (Order Extending Time in Which to File Briefs) Release No. 34-84884 File Number: 3-18881
Dec. 20, 2018	Endeavor IP, et al. (Order to Show Cause) Release No. 34-84905 File Number: 3-18741
Dec. 20, 2018	Golden Global Corp. and Power Efficiency Corporation (Order to Show Cause) Release No. 34-84904 File Number: 3-18743
Dec. 20, 2018	Fastfunds Financial Corporation, First Asia Holdings, Ltd. and Zap (Order to Show Cause) Release No. 34-84903 File Number: 3-18742
Dec. 18, 2018	EMAV Holdings, Inc., et al. (Order to Show Cause) Release No. 34-84848 File Number: 3-18737
Dec. 17, 2018	CrossClick Media, Inc., Kabe Exploration, Inc. and Swingplane Ventures, Inc. (Order to Show Cause) Release No. 34-84839 File Number: 3-18735
Dec. 17, 2018	Bitzio, Inc. and Enerpulse Technologies, Inc. (Order to Show Cause) Release No. 34-84840 File Number: 3-18736
Dec. 14, 2018	Securities Industry and Financial Markets Association and Bloomberg L.P. (Order) Release No. 34-84827 File Number: 3-15351, 3-15364, 3-15394, 3-15600, 3-15773, 3-15774, 3-16006, 3-16188, 3-16204, 3-16220, 3-16320, 3-16330, 3-16356, 3-16423, 3-16490, 3-16526, 3-16574, 3-16685, 3-16724, 3-16793, 3-16834, 3-16918, 3-16960, 3-17000, 3-17040, 3-17066, 3-17105, 3-17138, 3-17176, 3-17208, 3-17244, 3-17331, 3-17663, 3-17702, 3-17738, 3-17787, 3-17877, 3-18002, 3-18010, 3-18057, 3-18094, 3-18144, 3-18145, 3-18248, 3-18286, 3-18310, 3-18313, 3-18315, 3-18345, 3-18362, 3-18365, 3-18383, 3-18441, 3-18525, 3-18572, 3-18680
Dec. 12, 2018	Michael Patrick Nanto (Order Directing Service of Record and Granting Extension of Time) Release No. 34-84808 File Number: 3-18553
Dec. 11, 2018	RD Legal Capital, LLC and Roni Dersovitz (Notice that Initial Decision has Become Final) Release No. 34-84793 File Number: 3-17342
Dec. 11, 2018	American Locker Group, Inc., Intreorg Systems, Inc. and Pegasi Energy Resources Corp. (Order to Show Cause) Release No. 34-84799 File Number: 3-18733
Dec. 11, 2018	China Health Resource, Inc. and China Logistics Group, Inc. (Order Concerning Service of the Order Instituting Proceedings) Release No. 34-84797 File Number: 3-18731
Dec. 11, 2018	Fuel Performance Solutions, Inc., et al. (Order to Show Cause) Release No. 34-84796 File Number: 3-18732
Dec. 11, 2018	William H. Murphy & Co., Inc. and William H. Murphy (Order Scheduling Briefs) Release No. 34-84795 File Number: 3-18895
Dec. 11, 2018	The Buck a Day Co., Inc., et al. (Order to Show Cause) Release No. 34-84800 File Number: 3-18734
Dec. 11, 2018	Frank August ine Cuenca (Order Scheduling Briefs) Release No. 34-84792 File Number: 3-18883
Dec. 10, 2018	John Boone Kincaid III (Order Scheduling Briefs) Release No. 34-84774 File Number: 3-18882
Dec. 10, 2018	Michael W. Crow, et al. (Supplemental Briefing Order) Release No. 33-10583, 34-84776, IC-33319 File Number: 3-16318
Dec. 7, 2018	Scansys, Inc. and Voz Mobile Cloud Ltd (Order to Show Cause) Release No. 34-84757 File Number: 3-18725
Dec. 7, 2018	Petron Energy II, Inc., et al. (Order to Show Cause) Release No. 34-84756 File Number: 3-18727
Dec. 6, 2018	Gopi Krishna Vungarala (Order Scheduling Briefs) Release No. 34-84740 File Number: 3-18881
Dec. 6, 2018	Allied American Steel Corp., et al. (Order to Show Cause) Release No. 34-84736 File Number: 3-18720
Dec. 6, 2018	Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision) Release No. 34-84726 File Number: 3-17560r, 3-17560
Dec. 6, 2018	American First Financial, Inc., et al. (Order to Show Cause) Release No. 34-84744 File Number: 3-18722
Dec. 6, 2018	Alterrus Systems, Inc., Corgreen Technologies Holdings Corp. and Pc Group, Inc. (Order to Show Cause) Release No. 34-84743 File Number: 3-18721
Dec. 4, 2018	Americas Wind Energy Corporation, et al. (Order to Show Cause) Release No. 34-84721 File Number: 3-18702
Dec. 4, 2018	Everyday Assembly Products, Inc., Forgotten Investments Co., Inc. and Market Integrity, Inc. (Order to Show Cause) Release No. 34-84720 File Number: 3-18701
Dec. 4, 2018	Daryl Andrew Cole (Order Scheduling Briefs) Release No. 34-84722 File Number: 3-18879
Dec. 3, 2018	AlphaMetrix Managed Futures LLC, et al. (Order to Show Cause) Release No. 34-84717 File Number: 3-18699
Dec. 3, 2018	Amonra Omnia, et al. (Order to Show Cause) Release No. 34-84716 File Number: 3-18700
Nov. 30, 2018	Jennifer F. Wolf, CPA (Order Granting Petition to Lift Temporary Suspension and Scheduling Briefs) Release No. 34-84711 File Number: 3-18769
Nov. 30, 2018	Equilar Capital Corp. and Neuro-Biotech Corporation (Order to Show Cause) Release No. 34-84708 File Number: 3-18691
Nov. 30, 2018	IDO Security, Inc., Redify Group, Inc. and Spartan Gold Ltd. (Order to Show Cause) Release No. 34-84706 File Number: 3-18690
Nov. 30, 2018	Manna Capital, Inc., MCA Holdings Corp. and QMI Seismic, Inc. (Order to Show Cause as to Manna Capital, Inc., and QMI Seismic, Inc.) Release No. 34-84705 File Number: 3-18695
Nov. 30, 2018	Great Wall Builders Ltd., Puramed Bioscience, Inc. and Taglikeme Corp. (Order to Show Cause) Release No. 34-84700 File Number: 3-18692
Nov. 30, 2018	Rotoblock Corporation and U.S. China Mining Group, Inc. (Order to Show Cause) Release No. 34-84704 File Number: 3-18697
Nov. 30, 2018	Micra Soundcards Inc., Mirex, Inc. and Myotec, Inc. (Order to Show Cause) Release No. 34-84703 File Number: 3-18686
Nov. 30, 2018	Rio Bravo Oil, Inc. and UAN Cultural & Creative Co., Ltd. (Order to Show Cause) Release No. 34-84702 File Number: 3-18687
Nov. 30, 2018	Gaming Ventures PLC, et al. (Order to Show Cause) Release No. 34-84701 File Number: 3-18694
Nov. 29, 2018	Central Park Acquisition I, Inc., Genitope Corporation and Meridian Acquisition Corporation (Order to Show Cause) Release No. 34-84681 File Number: 3-18679
Nov. 29, 2018	Media Group 2000 Inc. a/k/a Urban Resorts International Inc. and New Pacific, Inc. (Order to Show Cause) Release No. 34-84690 File Number: 3-18677
Nov. 29, 2018	Lightstone Technologies, Inc., Madison & 51St, Inc. and Three Shades for Everybody, Inc. (Order to Show Cause) Release No. 34-84678 File Number: 3-18671
Nov. 29, 2018	EBHI Holdings, Inc., New Venture Holdings, Inc. and Progressive Gaming International Corp. (Order to Show Cause) Release No. 34-84688 File Number: 3-18676
Nov. 29, 2018	Bart Steven Kaplow (Order Scheduling Briefs) Release No. 34-84694 File Number: 3-18877
Nov. 29, 2018	Forum Acquisitions I, Inc., et al. (Order to Show Cause) Release No. 34-84677 File Number: 3-18670
Nov. 29, 2018	Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. (Order to Show Cause) Release No. 34-84687 File Number: 3-18675
Nov. 29, 2018	Fig Run Acquisition Corporation, SLM Technologies, Inc. and Trail Run Acquisition Corporation (Order to Show Cause) Release No. 34-84692 File Number: 3-18674
Nov. 29, 2018	Middle Kingdom Resources Ltd., Multimod Investments, Inc. and New Generation Films, Inc. (Order to Show Cause) Release No. 34-84686 File Number: 3-18678
Nov. 29, 2018	RS Soda Holdings, Inc., SGREP, Inc. and Surface Coatings, Inc. (Order to Show Cause) Release No. 34-84691 File Number: 3-18672
Nov. 27, 2018	Kvintess F&DI Holdings Corp., Teletronics International, Inc. and TOA Carbon Fiber, Inc. (Order to Show Cause) Release No. 34-84666 File Number: 3-18668
Nov. 27, 2018	Securities Industry And FinancialMarkets Association and Bloomberg L.P. (Briefing Order) Release No. 34-84664
Nov. 26, 2018	American Standard Energy Corp., Elm Valley Acquisition Corporation and Lvfar Green Technology Corp. (Order to Show Cause) Release No. 34-84657 File Number: 3-18667
Nov. 26, 2018	Gepco, Ltd., et al. (Order to Show Cause) Release No. 34-84656 File Number: 3-18664
Nov. 26, 2018	Inner Systems, Inc. and Toga Capital Limited (Order to Show Cause) Release No. 34-84655 File Number: 3-18666
Nov. 19, 2018	Karen Bruton (Order Denying Petition to Lift Temporary Suspension and Directing Hearing) Release No. 34-84627 File Number: 3-18790
Nov. 16, 2018	Cynthia C. Reinhart, CPA (Order Extending Time to Issue Decision) Release No. 34-84615 File Number: 3-17758
Nov. 14, 2018	TMR Bayhead Securities LLC (Order Scheduling Briefs) Release No. 34-84597 File Number: 3-18869
Nov. 7, 2018	Avant Diagnostics, Inc., et al. (Stay Order) Release No. 34-84551 File Number: 3-18784
Nov. 7, 2018	Colorstars Group, et al. (Scheduling Order) Release No. 34-84550 File Number: 3-18776
Nov. 7, 2018	American Locker Group, Inc., Intreorg Systems, Inc. and Pegasi Energy Resources Corp. (Scheduling Order) Release No. 34-84552 File Number: 3-18733
Nov. 2, 2018	Egan-Jones Ratings Company (Order Dismissing Proceedings) Release No. 34-84530 File Number: 3-18580
Nov. 2, 2018	Merrimac Corporate Securities, Inc., and Robert G. Nash (Order Extending Time to Issue Decision) Release No. 34-84529 File Number: 3-18045
Oct. 31, 2018	Richard Allen Riemer, Jr. (Opinion of the Commission) Release No. 34-84513 File Number: 3-18262
Oct. 29, 2018	Thaddeus J. North (Opinion of the Commission) Release No. 34-84500 File Number: 3-17909
Oct. 29, 2018	Thaddeus J. North (Order Extending Time to Issue Decision) Release No. 34-84499 File Number: 3-18150
Oct. 22, 2018	Allan Michael Roth (Order) Release No. 34-84469 File Number: 3-18792
Oct. 19, 2018	Scottsdale Capital Advisors Corporation, et al. (Order Granting Request to Exceed Word Limit) Release No. 34-84455 File Number: 3-18612
Oct. 17, 2018	United Development Funding III, L.P., et al. (Order Granting Extension) Release No. 34-84447 File Number: 3-18832
Oct. 16, 2018	Securities Industry and Financial Markets Association and Bloomberg L.P. (Order) Release No. 34-84433
Oct. 16, 2018	Securities Industry, Financial Markets Association for Review of Action Taken by NYSE Arca, Inc. and Nasdaq Stock Market LLC (Opinion of the Commission) Release No. 34-84432 File Number: 3-15350
Oct. 1, 2018	Richard Allen Riemer, Jr. (Order Extending Time to Issue Decision) Release No. 34-84335 File Number: 3-18262
Oct. 1, 2018	Bruce Zipper (Opinion of the Commission) Release No. 34-84334 File Number: 3-18256
Oct. 1, 2018	Bruce M. Zipper (Order Denying Request for Reconsideration) Release No. 34-84324 File Number: 3-17963
Sept. 28, 2018	Gabriel Block and First Standard Financial Company, LLC (Order Dismissing Application for Review) Release No. 34-84321 File Number: 3-18432
Sept. 28, 2018	Thaddeus J. North (Order Extending Time to Issue Decision) Release No. 34-84322 File Number: 3-17909
Sept. 21, 2018	Scottsdale Capital Advisors Corporation, et al. (Order Granting Motion for Extension of Time and to Submit Separate Briefs) Release No. 34-84254 File Number: 3-18612
Sept. 17, 2018	Daniel Moshe Naeh (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) Release No. IA-5020 File Number: 3-15052
Sept. 17, 2018	Matthew G. Teeple (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Tranfer Agent Bars) Release No. IA-5027 File Number: 3-16641
Sept. 17, 2018	James E. Putman (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) Release No. IA-5026 File Number: 3-14889
Sept. 17, 2018	Walter J. Clarke (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) Release No. IA-5025, IC-33234 File Number: 3-14899
Sept. 17, 2018	Evan Andrew Zarefsky (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars) Release No. IA-5030 File Number: 3-15054
Sept. 17, 2018	Karl Motey (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) Release No. IA-5021 File Number: 3-15424
Sept. 17, 2018	Anthony Scolaro (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) Release No. IA-5029 File Number: 3-14542
Sept. 17, 2018	Benjamin R. Daniels (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) Release No. 34-84156 File Number: 3-15121
Sept. 17, 2018	Stephen M. Strauss (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars) Release No. 34-84155 File Number: 3-14980
Sept. 17, 2018	Gregory Acosta (Order Scheduling Briefs) Release No. 34-84165 File Number: 3-18637
Sept. 17, 2018	Charles M. Vaughn (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars) Release No. 34-84154 File Number: 3-14949
Sept. 17, 2018	Mark Steven Berg (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) Release No. 34-84159 File Number: 3-15554
Sept. 17, 2018	James R. Holdman (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Orgnaization Bars) Release No. 34-84157, IA-5028 File Number: 3-16691
Sept. 17, 2018	David Gengler (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) Release No. 34-84148 File Number: 3-15043
Sept. 17, 2018	Scott D. Farah (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) Release No. 34-84152 File Number: 3-14248
Sept. 17, 2018	Paul T. Mannion, Jr. and Andrew S. Reckles (Order Vacating Municipal Securities Dealer and Transfer Agent Bars) Release No. 34-84146, IA-5023, IC-33232 File Number: 3-16187
Sept. 17, 2018	Fabrizio Neves (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars) Release No. 34-84151 File Number: 3-15765
Sept. 17, 2018	Phillip Dennis Murphy (Order Vacating Municipal Securities Dealer and Transfer Agent Bars) Release No. 34-84145, IA-5022 File Number: 3-16294
Sept. 17, 2018	Behrooz Sarafraz (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) Release No. 34-84150 File Number: 3-15895

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