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
2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
| Release No. | Date | Respondents |
| Fourth Quarter | ||
| 34-84947 | Dec. 21, 2018 | Jennifer F. Wolf, CPA (Order Granting Joint Motion to Stay) |
| 34-84942 | Dec. 21, 2018 | Paul Katsaros (Stay Order) |
| 34-84917 | Dec. 21, 2018 | Merrimac Corporate Securities, Inc. and Robert G. Nash (Order Extending Time to Issue Decision) |
| 34-84903 | Dec. 20, 2018 | Fastfunds Financial Corporation, First Asia Holdings, Ltd. and Zap (Order to Show Cause) |
| 34-84906 | Dec. 20, 2018 | Crailar Technologies, Inc., Midwest Oil & Gas, Inc. and Preston Corp. (Order to Show Cause) |
| 34-84904 | Dec. 20, 2018 | Golden Global Corp. and Power Efficiency Corporation (Order to Show Cause) |
| 34-84905 | Dec. 20, 2018 | Endeavor IP, et al. (Order to Show Cause) |
| 34-84886 | Dec. 20, 2018 | Thomas Christopher Prentice (Order Scheduling Briefs) |
| 34-84884 | Dec. 20, 2018 | Gopi Krishna Vungarala (Order Extending Time in Which to File Briefs) |
| 34-84848 | Dec. 18, 2018 | EMAV Holdings, Inc., et al. (Order to Show Cause) |
| 34-84840 | Dec. 17, 2018 | Bitzio, Inc. and Enerpulse Technologies, Inc. (Order to Show Cause) |
| 34-84839 | Dec. 17, 2018 | CrossClick Media, Inc., Kabe Exploration, Inc. and Swingplane Ventures, Inc. (Order to Show Cause) |
| 34-84827 | Dec. 14, 2018 | Securities Industry and Financial Markets Association and Bloomberg L.P. (Order) |
| 34-84808 | Dec. 12, 2018 | Michael Patrick Nanto (Order Directing Service of Record and Granting Extension of Time) |
| 34-84797 | Dec. 11, 2018 | China Health Resource, Inc. and China Logistics Group, Inc. (Order Concerning Service of the Order Instituting Proceedings) |
| 34-84795 | Dec. 11, 2018 | William H. Murphy & Co., Inc. and William H. Murphy (Order Scheduling Briefs) |
| 34-84800 | Dec. 11, 2018 | The Buck a Day Co., Inc., et al. (Order to Show Cause) |
| 34-84799 | Dec. 11, 2018 | American Locker Group, Inc., Intreorg Systems, Inc. and Pegasi Energy Resources Corp. (Order to Show Cause) |
| 34-84796 | Dec. 11, 2018 | Fuel Performance Solutions, Inc., et al. (Order to Show Cause) |
| 34-84793 | Dec. 11, 2018 | RD Legal Capital, LLC and Roni Dersovitz (Notice that Initial Decision has Become Final) |
| 34-84792 | Dec. 11, 2018 | Frank Augustine Cuenca (Order Scheduling Briefs) |
| 33-10583 | Dec. 10, 2018 | Michael W. Crow, et al. (Supplemental Briefing Order)
Other Release Nos.: 34-84776, IC-33319 |
| 34-84774 | Dec. 10, 2018 | John Boone Kincaid III (Order Scheduling Briefs) |
| 34-84757 | Dec. 7, 2018 | Scansys, Inc. and Voz Mobile Cloud Ltd (Order to Show Cause) |
| 34-84756 | Dec. 7, 2018 | Petron Energy II, Inc., et al. (Order to Show Cause) |
| 34-84743 | Dec. 6, 2018 | Alterrus Systems, Inc., Corgreen Technologies Holdings Corp. and Pc Group, Inc. (Order to Show Cause) |
| 34-84744 | Dec. 6, 2018 | American First Financial, Inc., et al. (Order to Show Cause) |
| 34-84740 | Dec. 6, 2018 | Gopi Krishna Vungarala (Order Scheduling Briefs) |
| 34-84726 | Dec. 6, 2018 | Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision) |
| 34-84736 | Dec. 6, 2018 | Allied American Steel Corp., et al. (Order to Show Cause) |
| 34-84722 | Dec. 4, 2018 | Daryl Andrew Cole (Order Scheduling Briefs) |
| 34-84720 | Dec. 4, 2018 | Everyday Assembly Products, Inc., Forgotten Investments Co., Inc. and Market Integrity, Inc. (Order to Show Cause) |
| 34-84721 | Dec. 4, 2018 | Americas Wind Energy Corporation, et al. (Order to Show Cause) |
| 34-84717 | Dec. 3, 2018 | AlphaMetrix Managed Futures LLC, et al. (Order to Show Cause) |
| 34-84716 | Dec. 3, 2018 | Amonra Omnia, et al. (Order to Show Cause) |
| 34-84711 | Nov. 30, 2018 | Jennifer F. Wolf, CPA (Order Granting Petition to Lift Temporary Suspension and Scheduling Briefs) |
| 34-84708 | Nov. 30, 2018 | Equilar Capital Corp. and Neuro-Biotech Corporation (Order to Show Cause) |
| 34-84703 | Nov. 30, 2018 | Micra Soundcards Inc., Mirex, Inc. and Myotec, Inc. (Order to Show Cause) |
| 34-84706 | Nov. 30, 2018 | IDO Security, Inc., Redify Group, Inc. and Spartan Gold Ltd. (Order to Show Cause) |
| 34-84701 | Nov. 30, 2018 | Gaming Ventures PLC, et al. (Order to Show Cause) |
| 34-84700 | Nov. 30, 2018 | Great Wall Builders Ltd., Puramed Bioscience, Inc. and Taglikeme Corp. (Order to Show Cause) |
| 34-84705 | 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.) |
| 34-84704 | Nov. 30, 2018 | Rotoblock Corporation and U.S. China Mining Group, Inc. (Order to Show Cause) |
| 34-84702 | Nov. 30, 2018 | Rio Bravo Oil, Inc. and UAN Cultural & Creative Co., Ltd. (Order to Show Cause) |
| 34-84688 | Nov. 29, 2018 | EBHI Holdings, Inc., New Venture Holdings, Inc. and Progressive Gaming International Corp. (Order to Show Cause) |
| 34-84694 | Nov. 29, 2018 | Bart Steven Kaplow (Order Scheduling Briefs) |
| 34-84692 | Nov. 29, 2018 | Fig Run Acquisition Corporation, SLM Technologies, Inc. and Trail Run Acquisition Corporation (Order to Show Cause) |
| 34-84690 | Nov. 29, 2018 | Media Group 2000 Inc. a/k/a Urban Resorts International Inc. and New Pacific, Inc. (Order to Show Cause) |
| 34-84691 | Nov. 29, 2018 | RS Soda Holdings, Inc., SGREP, Inc. and Surface Coatings, Inc. (Order to Show Cause) |
| 34-84687 | Nov. 29, 2018 | Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. (Order to Show Cause) |
| 34-84686 | Nov. 29, 2018 | Middle Kingdom Resources Ltd., Multimod Investments, Inc. and New Generation Films, Inc. (Order to Show Cause) |
| 34-84677 | Nov. 29, 2018 | Forum Acquisitions I, Inc., et al. (Order to Show Cause) |
| 34-84681 | Nov. 29, 2018 | Central Park Acquisition I, Inc., Genitope Corporation and Meridian Acquisition Corporation (Order to Show Cause) |
| 34-84678 | Nov. 29, 2018 | Lightstone Technologies, Inc., Madison & 51St, Inc. and Three Shades for Everybody, Inc. (Order to Show Cause) |
| 34-84666 | Nov. 27, 2018 | Kvintess F&DI; Holdings Corp., Teletronics International, Inc. and TOA Carbon Fiber, Inc. (Order to Show Cause) |
| 34-84664 | Nov. 27, 2018 | Securities Industry And Financial Markets Association and Bloomberg L.P. (Briefing Order) |
| 34-84657 | Nov. 26, 2018 | American Standard Energy Corp., Elm Valley Acquisition Corporation and Lvfar Green Technology Corp. (Order to Show Cause) |
| 34-84656 | Nov. 26, 2018 | Gepco, Ltd., et al. (Order to Show Cause) |
| 34-84655 | Nov. 26, 2018 | Inner Systems, Inc. and Toga Capital Limited (Order to Show Cause) |
| 34-84627 | Nov. 19, 2018 | Karen Bruton (Order Denying Petition to Lift Temporary Suspension and Directing Hearing) |
| 34-84615 | Nov. 16, 2018 | Cynthia C. Reinhart, CPA (Order Extending Time to Issue Decision) |
| 34-84597 | Nov. 14, 2018 | TMR Bayhead Securities LLC (Order Scheduling Briefs) |
| 34-84552 | Nov. 7, 2018 | American Locker Group, Inc., Intreorg Systems, Inc. and Pegasi Energy Resources Corp. (Scheduling Order) |
| 34-84551 | Nov. 7, 2018 | Avant Diagnostics, Inc., et al. (Stay Order) |
| 34-84550 | Nov. 7, 2018 | Colorstars Group, et al. (Scheduling Order) |
| 34-84530 | Nov. 2, 2018 | Egan-Jones Ratings Company (Order Dismissing Proceedings) |
| 34-84529 | Nov. 2, 2018 | Merrimac Corporate Securities, Inc., and Robert G. Nash (Order Extending Time to Issue Decision) |
| 34-84513 | Oct. 31, 2018 | Richard Allen Riemer, Jr. (Opinion of the Commission) |
| 34-84500 | Oct. 29, 2018 | Thaddeus J. North (Opinion of the Commission) |
| 34-84499 | Oct. 29, 2018 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 34-84469 | Oct. 22, 2018 | Allan Michael Roth (Order) |
| 34-84455 | Oct. 19, 2018 | Scottsdale Capital Advisors Corporation, et al. (Order Granting Request to Exceed Word Limit) |
| 34-84447 | Oct. 17, 2018 | United Development Funding III, L.P., et al. (Order Granting Extension) |
| 34-84433 | Oct. 16, 2018 | Securities Industry and Financial Markets Association and Bloomberg L.P. (Order) |
| 34-84432 | 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) |
| 34-84335 | Oct. 1, 2018 | Richard Allen Riemer, Jr. (Order Extending Time to Issue Decision) |
| 34-84334 | Oct. 1, 2018 | Bruce Zipper (Opinion of the Commission) |
| 34-84324 | Oct. 1, 2018 | Bruce M. Zipper (Order Denying Request for Reconsideration) |
| Third Quarter | ||
| 34-84322 | Sep. 28, 2018 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 34-84321 | Sep. 28, 2018 | Gabriel Block and First Standard Financial Company, LLC (Order Dismissing Application for Review) |
| 34-84254 | Sep. 21, 2018 | Scottsdale Capital Advisors Corporation, et al. (Order Granting Motion for Extension of Time and to Submit Separate Briefs) |
| 34-84165 | Sep. 17, 2018 | Gregory Acosta (Order Scheduling Briefs) |
| 34-84159 | Sep. 17, 2018 | Mark Steven Berg (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 34-84157 | Sep. 17, 2018 | James R. Holdman (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Orgnaization Bars)
Other Release No.: IA-5028 |
| 34-84156 | Sep. 17, 2018 | Benjamin R. Daniels (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 34-84155 | Sep. 17, 2018 | Stephen M. Strauss (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars) |
| 34-84154 | Sep. 17, 2018 | Charles M. Vaughn (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars) |
| 34-84153 | Sep. 17, 2018 | Charles Mark Hall (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars) |
| 34-84152 | Sep. 17, 2018 | Scott D. Farah (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 34-84151 | Sep. 17, 2018 | Fabrizio Neves (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars) |
| 34-84150 | Sep. 17, 2018 | Behrooz Sarafraz (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 34-84149 | Sep. 17, 2018 | Enrica Cotellessa-Pitz (Order Vacating Municpal Securities Dealer and Transfer Agent Bars)
Other Release No.: IA-5024 |
| 34-84148 | Sep. 17, 2018 | David Gengler (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 34-84146 | Sep. 17, 2018 | Paul T. Mannion, Jr. and Andrew S. Reckles (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release Nos.: IA-5023, IC-33232 |
| 34-84145 | Sep. 17, 2018 | Phillip Dennis Murphy (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release No.: IA-5022 |
| 34-84144 | Sep. 17, 2018 | Nova Dean Pack, Esq. (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 33-10549 | Sep. 17, 2018 | Wing F. Chau (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars)
Other Release Nos.: IA-5032, IC-33236 |
| 33-10548 | Sep. 17, 2018 | Terry M. Deru (Order Vacating Municipal Securities Dealer and Transfer Agent Bars)
Other Release Nos.: 34-84158, IA-5031, IC-33235 |
| 33-10547 | Sep. 17, 2018 | David R. Smith (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release Nos.: 34-84147, IC-33233 |
| IA-5030 | Sep. 17, 2018 | Evan Andrew Zarefsky (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars) |
| IA-5029 | Sep. 17, 2018 | Anthony Scolaro (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| IA-5027 | Sep. 17, 2018 | Matthew G. Teeple (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Tranfer Agent Bars) |
| IA-5026 | Sep. 17, 2018 | James E. Putman (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| IA-5025 | Sep. 17, 2018 | Walter J. Clarke (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IC-33234 |
| IA-5021 | Sep. 17, 2018 | Karl Motey (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| IA-5020 | Sep. 17, 2018 | Daniel Moshe Naeh (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 34-84139 | Sep. 14, 2018 | Charles M. Raspa (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars) |
| 34-84138 | Sep. 14, 2018 | Jose Luis Luna (Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars) |
| 34-84137 | Sep. 14, 2018 | Brian Scott Zwerner (Order Vacating Municipal Securities Dealer, Municipal Advisor, Tranfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5017 |
| 34-84136 | Sep. 14, 2018 | Charles C. Slowey, Jr. (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 34-84135 | Sep. 14, 2018 | Frank R. Peperno (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5016 |
| 34-84134 | Sep. 14, 2018 | Matthew Crisp (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release Nos.: IA-5015, IC-33231 |
| 34-84133 | Sep. 14, 2018 | John J. Bravata and Antonio M. Bravata (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5014 |
| 34-84132 | Sep. 14, 2018 | Matthew Adam Rothman (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IA-5013 |
| 34-84129 | Sep. 14, 2018 | Jay L. Lebouef (Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| 34-84128 | Sep. 14, 2018 | Edward L. Maggiacomo, Jr. (Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release Nos.: IA-5011, IC-33229 |
| IA-5019 | Sep. 14, 2018 | Douglas F. Whitman (Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars) |
| IA-5018 | Sep. 14, 2018 | I. Joseph Massoud (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars) |
| IA-5012 | Sep. 14, 2018 | Frances M. Guggino a/k/a Frances Favata (Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars)
Other Release No.: IC-33230 |
| 34-84106 | Sep. 12, 2018 | Brett Thomas Graham (Order Denying Request to Modify Settlement Order)
Other Release Nos.: IA-5005, IC-33225 |
| 34-84056 | Sep. 7, 2018 | Timothy Charles Sullivan (Order Scheduling Briefs and Extending the Briefing Schedule) |
| 34-83995 | Aug. 29, 2018 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 34-83994 | Aug. 29, 2018 | William Burk Rosenthal (Order Scheduling Briefs and Extending the Briefing Schedule) |
| 34-83961 | Aug. 27, 2018 | Scottsdale Capital Advisors Corporation, et al. (Order Scheduling Briefs) |
| 34-83917 | Aug. 23, 2018 | William Burk Rosenthal (Extension Order) |
| 33-10536 | Aug. 22, 2018 | Pending Administrative Proceedings (Order)
Other Release Nos.: 34-83907, IA-4993, IC-33211 |
| 34-83849 | Aug. 15, 2018 | ABN AMRO Clearing Chicago LLC (Opinion of the Commission) |
| 34-83827 | Aug. 10, 2018 | Egan-Jones Ratings Company (Order Granting One-Week Extension of Time) |
| 34-83783 | Aug. 6, 2018 | Scottsdale Capital Advisors Corporation, et al. (Order Granting Stay) |
| 34-83778 | Aug. 3, 2018 | Tim Sullivan (Extension Order) |
| 34-83776 | Aug. 3, 2018 | Metatron, Inc. (Order Scheduling Briefs) |
| 34-83755 | Jul. 31, 2018 | Securities Industry and Financial Markets Association and Bloomberg L.P. (Order Granting Motion for Stay, Consolidating Proceedings, and Scheduling Briefs) |
| 34-83741 | Jul. 30, 2018 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 34-83736 | Jul. 27, 2018 | Newport Coast Securities, Inc. (Order Scheduling Briefs) |
| 34-83734 | Jul. 27, 2018 | Windsor Street Capital, L.P. (f/k/a Meyers Associates and L.P.) (Order Granting Motion to Withdraw Application for Review) |
| 34-83719 | Jul. 26, 2018 | Commonwealth Capital Securities Corp. (Order Scheduling Briefs) |
| 34-83711 | Jul. 25, 2018 | Christine D. Memet (Opinion of the Commission) |
| 34-83710 | Jul. 25, 2018 | Patrick H. Dowd (Opinion of the Commission) |
| 34-83698 | Jul. 24, 2018 | Mike Nanto (Order Scheduling Briefs) |
| 33-10522 | Jul. 20, 2018 | Pending Administrative Proceedings (Order)
Other Release Nos.: 34-83675, IA-4974, IC-33164 |
| 34-83671 | Jul. 19, 2018 | Securities Industry and Financial Markets Association (Order) |
| 34-83664 | Jul. 18, 2018 | Allen Holeman (Order Scheduling Briefs) |
| 34-83659 | Jul. 17, 2018 | Mark E. Laccetti, CPA (Order Vacating Disciplinary Action and Cancelling Sanction) |
| 34-83658 | Jul. 17, 2018 | Constantine Gus Cristo (Order Scheduling Briefs) |
| 34-83648 | Jul. 16, 2018 | ABN AMRO Clearing Chicago LLC (Order Extending Time to Issue Decision) |
| Second Quarter | ||
| 34-83573 | Jun. 29, 2018 | Bradley C. Williams (Order Granting Motion to Withdraw Application for Review) |
| 34-83555 | Jun. 28, 2018 | Louis Ottimo (Opinion of the Commission) |
| 34-83549 | Jun. 28, 2018 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 34-83528 | Jun. 27, 2018 | Gabriel Block and First Standard Financial Company, LLC (Order Granting Extension of Time) |
| IA-4948 | Jun. 26, 2018 | Paul Edward "Ed" Lloyd, Jr. (Order Cancelling Oral Argument) |
| 33-10512 | Jun. 26, 2018 | James E. Cohen and Joseph A. Corazzi (Order Cancelling Oral Argument)
Other Release No.: 34-83523 |
| 34-83501 | Jun. 22, 2018 | Robert J. Escobio (Opinion of the Commission) | 33-10510 | Jun. 21, 2018 | In re: Pending Administrative Proceedings (Order)
Other Release NoS.: 34-83495; IA-4946; IC-33135 |
34-83494 | Jun. 21, 2018 | S. Brent Farhang, CPA (Opinion of the Commission) |
| IA-4945 | Jun. 20, 2018 | Paul Edward "Ed" Lloyd, Jr. (Order Rescheduling Oral Argument) |
| 33-10509 | Jun. 20, 2018 | James E. Cohen and Joseph A. Corazzi (Order Scheduling Oral Argument)
Other Release No.: 34-83481 |
| 34-83480 | Jun. 20, 2018 | Windsor Street Capital, L.P. (f/k/a Meyers Associates and L.P.) (Order Scheduling Briefs) |
| 33-10508 | Jun. 19, 2018 | BioElectronics Corp., et al. (Order Granting Respondents' Request to File Reply Brief to Response Brief)
Other Release No.: 34-83468 |
| 33-10502 | May 31, 2018 | Frank H. Chiappone, et al. (Order Granting Requests to File Supplemental Response Brief of 6,000 Words and to File Reply Briefs to Supplemental Response Brief)
Other Release Nos.: 34-83353, IA-4918, IC-33111 |
| 34-83340 | May 29, 2018 | Windsor Street Capital, L.P. (Order Denying Stay) |
| 34-83338 | May 29, 2018 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 34-83231 | May 14, 2018 | Gabriel Block and First Standard Financial Company, LLC (Order Scheduling Briefs) |
| 33-10493 | May 7, 2018 | Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Supplemental Briefing Order)
Other Release No.: 34-83183 |
| 34-83182 | May 7, 2018 | Efuel EFN Corp. (Order Requesting Additional Written Submissions) |
| 34-83150 | May 1, 2018 | Laurie Bebo (Supplemental Briefing Order) |
| 34-83139 | May 1, 2018 | Dakota Securities International, Inc. (Order Extending Briefing Schedule) | 34-83138 | Apr. 30, 2018 | Sharemaster (Opinion of the Commission) |
| 34-83127 | Apr. 27, 2018 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 33-10490 | Apr. 27, 2018 | BioElectronics Corp., et al. (Supplemental Briefing Order)
Other Release No.: 34-83124 |
| 34-83106 | Apr. 25, 2018 | Aegis Capital, LLC, et al. (Order Dismissing Proceedings)
Other Release Nos.: IA-4897, IC-33086 |
| 33-10484 | Apr. 20, 2018 | Paul Edward "Ed" Lloyd, Jr. (Supplemental Briefing Order)
Other Release Nos.: 34-83086, IA-4893, IC-33074 |
| 33-10483 | Apr. 20, 2018 | Frank H. Chiappone, et al. (Supplemental Briefing Order)
Other Release Nos.: 34-83076, IA-4891, IC-33073 |
| IA-4887 | Apr. 17, 2018 | Saving2Retire, LLC and Marian P. Young (Order Granting Petition for Review and Scheduling Briefs) |
| 33-10479 | Apr. 10, 2018 | James E. Cohen and Joseph A. Corazzi (Supplemental Briefing Order)
Other Release No.: 34-83029 |
| 34-83024 | Apr. 10, 2018 | Bradley C. Williams (Extension Order) |
| 33-10477 | Apr. 5, 2018 | Diane Dalmy, Esq. (Supplemental Briefing Order) |
| 34-82981 | Apr. 2, 2018 | Lek Securities Corporation (Opinion of the Commission) |
| 34-82980 | Apr. 2, 2018 | Dakota Securities International, Inc. (Order Scheduling Briefs) |
| First Quarter | ||
| IA-4872 | Mar. 30, 2018 | ZPR Investment Management, Inc. (Order Imposing Civil Money Penalty) |
| 34-82970 | Mar. 30, 2018 | Paul E. Taboada (Order Dismissing Application for Review) |
| 34-82966 | Mar. 29, 2018 | Maher F. Kara (Order Vacating Collateral Bars) |
| 33-10473 | Mar. 29, 2018 | Larry C. Grossman (Order in Response to Remand)
Other Release Nos.: 34-82967, IA-4871, IC-33062 |
| 34-82962 | Mar. 28, 2018 | Thaddeus J. North (Order Extending Time to Issue Decision) |
| 34-82886 | Mar. 15, 2018 | John M.E. Saad (Extension Order) |
| 34-82879 | Mar. 14, 2018 | Ahmed Gadelkareem (Opinion of the Commission) |
| 34-82878 | Mar. 14, 2018 | Meyers Associates, et al. (Order Scheduling Briefs) |
| 33-10468 | Mar. 8, 2018 | Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Denying Motion for Reconsidertion)
Other Release No.: 34-82836 |
| 34-82797 | Mar. 1, 2018 | Lek Securities Corporation (Order Extending Time to Issue Decision) |
| 34-82778 | Feb. 26, 2018 | Keith Patrick Sequeira (Order Scheduling Briefs) |
| 34-82777 | Feb. 26, 2018 | Meyers Associates, L.P. (n/k/a Windsor Street Capital and L.P.) (Order Scheduling Briefs) |
| 33-10460 | Feb. 21, 2018 | Francis V. Lorenzo (Order Denying Stay)
Other Release No.: 34-82755 |
| 34-82696 | Feb. 12, 2018 | Securities Industry and Financial Markets Association for Review of Actions Taken by Self-Regulatory Organizations (Supplemental Briefing Order) |
| 34-82685 | Feb. 9, 2018 | Bloomberg L.P. (Amended Extension Order) |
| 34-82682 | Feb. 9, 2018 | Bloomberg L.P. (Extension Order) |
| 33-10457 | Feb. 8, 2018 | Timothy W. Carnahan and Cyios Corporation (Supplemental Briefing Order)
Other Release No.: 34-82667 |
| 34-82633 | Feb. 5, 2018 | Bruce Zipper (Order Denying Second Motion for Stay) |
| 34-82606 | Jan. 30, 2018 | Lek Securities Corporation (Order Extending Time to Issue Decision) |
| 34-82555 | Jan. 19, 2018 | Sunshine Capital, Inc. and Jimmy Wayne Anderson (Order Dismissing Petition to Terminate Trading Suspension) |
| 34-82551 | Jan. 19, 2018 | Helpeo, Inc. (Order Dismissing Petition to Terminate Trading Suspension) |
| 34-82526 | Jan. 17, 2018 | Bruce Zipper (Extension Order) |
| 34-82500 | Jan. 12, 2018 | John M.E. Saad (Extension Order) |
| 34-82486 | Jan. 11, 2018 | Bruce M. Zipper (Order Requesting Additional Written Submissions) |