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.

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Date Sort ascending	Respondents
Jan. 14, 2013	Richard L. Goble (Order Dismissing Proceeding) Release No. 34-68651 File Number: 3-14390
Dec. 20, 2012	AMS Homecare, Inc. (Order Remanding Proceeding to Administrative Law Judge) Release No. 34-68506 File Number: 3-14770
Dec. 20, 2012	Asensio & Company, Inc. Release No. 34-68505 File Number: 3-14711
Dec. 18, 2012	Kenneth E. Mahaffy, Jr. Release No. 34-68462, IA-3517 File Number: 3-14481
Dec. 18, 2012	Michael Bresner, et al. Release No. 33-9376, 34-68464, IA-3518, IC-30307 File Number: 3-15015
Dec. 13, 2012	John W. Lawton Release No. IA-3513 See Also: Commissioner Gallagher Concurring in Part and Dissenting in Part File Number: 3-14162
Dec. 13, 2012	Wendy McNeeley, CPA Release No. 34-68431, AAER-3427 File Number: 3-13797
Dec. 6, 2012	Aegis Assessments, Inc., et al. (Order Dismissing Proceeding with Respect to Bioauthorize Holdings, Inc.) Release No. 34-68379 File Number: 3-14911
Dec. 4, 2012	Lisa B. Premo Release No. 34-68348, IA-3510, IC-30289 File Number: 3-14697
Nov. 20, 2012	Richard L. Goble Release No. 34-68277 File Number: 3-14390
Nov. 13, 2012	Jilaine H. Bauer, Esq. Release No. 34-68214 File Number: 3-15020
Nov. 9, 2012	Robert D. Tucker Release No. 34-68210 File Number: 3-14613
Oct. 22, 2012	AMS Homecare, Inc. Release No. 34-68078 File Number: 3-14770
Oct. 18, 2012	One Voice Technologies, Inc., et al. (Order Dismissing Proceeding with Respect to Respondent Pine Valley Mining Corp.) Release No. 34-68072 File Number: 3-14871
Oct. 12, 2012	Hedge Fund Capital Partners, LLC and Howard G. Jahre (Order Granting Request to Withdraw Application and Dismissing Review Proceeding) Release No. 34-68046 File Number: 3-14892
Oct. 9, 2012	Justin William Keener Release No. 34-68014 File Number: 3-14988
Sept. 26, 2012	Mitchell Segal, Esq. Release No. 34-67930 File Number: 3-14945
Sept. 20, 2012	Michael C. Pattison, CPA (Opinion) Release No. 34-67900, AAER-3407
Sept. 6, 2012	Gregg Becker (Order Vacating Bars) Release No. 34-67795 File Number: 3-11366
Aug. 17, 2012	HydroGenetics, Inc. (Order Dismissing Proceeding) Release No. 34-67687 File Number: 3-14864
Aug. 6, 2012	GDT Tek, Inc. (Order Granting Request to Withdraw Application and Dismissing Review Proceeding) Release No. 34-67604 File Number: 3-14959
July 25, 2012	Evelyn Litwok (Order Dismissing Proceeding) Release No. IA-3438 File Number: 3-14190
July 25, 2012	Jmar Technologies, Inc., et al. (Order Dismissing Proceeding With Respect to Respondents Legalopinion.com (n/k/a Drayton Richdale Corp.) and Kolorfusion International, Inc.) Release No. 34-67503 File Number: 3-14768
July 11, 2012	Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Directing Additional Briefing) Release No. 33-9334, 34-67397 File Number: 3-13871
June 29, 2012	Citizens Capital Corp. Release No. 34-67313 File Number: 3-14401
June 29, 2012	Calais Resources Inc. Release No. 34-67312 File Number: 3-14271
June 4, 2012	Amstem Corporation, et al., Balsam Ventures, Inc. (Order Dismissing Proceeding) Release No. 34-67104 File Number: 3-14706
May 31, 2012	Harrison Hatzis (Order Granting Request to Withdraw Application and Dismissing ReviewProceeding) Release No. 34-67089 File Number: 3-14818
April 20, 2012	Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski (Opinion) Release No. 34-66842 File Number: 3-14496
April 5, 2012	Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Order Denying Collins's Motion for Reconsideration of Civil Penalties) Release No. 33-9311 File Number: 3-13532
March 30, 2012	John P. Flannery and James D. Hopkins (Order Denying Motions for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs) Release No. 33-9307, 34-66695, IA-3387, IC-30023 File Number: 3-14081
March 29, 2012	Eric David Wanger and Wanger Investment Management, Inc. (Order Denying Petition for Interlocutory Review) Release No. 33-9304, 34-66618, IA-3386, IC-30013
March 19, 2012	Martin Derrick Jenkins (Order Granting Request to Withdraw Application and Dismissing Review Proceeding) Release No. 34-66618
March 15, 2012	International Power Group, Ltd. (Opinion) Release No. 34-66611 File Number: 3-13687
March 9, 2012	James Lee Goldberg (Opinion) Release No. 34-66549 File Number: 3-14544
March 7, 2012	Robert Hardee Quarles (Order Granting Petition to Vacate Administrative Bar Order) Release No. 34-66530 File Number: 3-14486
Feb. 27, 2012	Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Opinion) Release No. 33-9299, 34-66469, IA-3376 File Number: 3-13532
Feb. 24, 2012	Howard Braff (Opinion) Release No. 34-66467 File Number: 3-14417
Feb. 21, 2012	William J. Murphy and Carl M. Birkelbach (Order DismissingMurphy's Application for Review) Release No. 34-66433 File Number: 3-14609
Feb. 13, 2012	Donald L. Koch and Koch Asset Management LLC (Order Granting Extension) Release No. 34-66387, IA-3370, IC-29945 File Number: 3-14355
Feb. 13, 2012	SGI International, et al.; Shiega Resources Corp. (n/k/a African Metals Corporation) (Order Dismissing Proceeding) Release No. 34-66389 File Number: 3-14555
Feb. 10, 2012	Daxor Corporation (Order Granting Request to Withdraw Petition for Review and Notice of Finality) Release No. IC-29948 File Number: 3-14055
Feb. 10, 2012	John Edward Mullins and Kathleen Maria Mullins Release No. 34-66373 File Number: 3-14302
Feb. 8, 2012	Sharon Energy, Ltd., et al. (Order Dismissing Proceeding) Release No. 34-66361 File Number: 3-14556
Jan. 26, 2012	Paul Free, CPA (Order Denying a Stay or Postponement of Proceedings) Release No. 34-66260, AAER-3357 File Number: 3-14629
Jan. 20, 2012	Midas Securities, LLC, and Jay S. Lee Release No. 34-66200 File Number: 3-14308
Jan. 18, 2012	Keath Allen Ward Release No. 34-66173 File Number: 3-14618
Jan. 10, 2012	R.E. Bassie & Co. and R. Everett Bassie, C.P.A. Release No. AAER-3354
Jan. 6, 2012	World Trade Financial Corp., Jason Troy Adams, Frank Edward Brickell, and Rodney Preston Michel Release No. 34-66114 See Also: U.S. Court of Appeals Opinion File Number: 3-14307
Jan. 6, 2012	Dante J. DiFrancesco Release No. 34-66113 File Number: 3-14195
Dec. 28, 2011	Cleantech Innovations, Inc. (Order Denying Motions for Stay of Delisting and Expedited Discovery) Release No. 34-66064 File Number: 3-14640
Dec. 20, 2011	Kent M. Houston (Opinion) Release No. 34-66014 File Number: 3-14175
Dec. 6, 2011	William J. Murphy, Carl M. Birkelbach, and Birkelbach Investment Securities, Inc. (Order Granting Request to Withdraw Application and Dismissing Review Proceeding with Respect to Birkelbach Investment Securities, Inc.) Release No. 34-65904 File Number: 3-14609
Dec. 1, 2011	Richard A. Neaton (Order Denying Motion for Reconsideration) Release No. 34-65863 File Number: 3-14252
Nov. 9, 2011	Montford and Company, Inc. d/b/a Montford Associates and Ernest V. Montford, Sr. (Order Denying Suggestion for Interlocutory Review) Release No. IA-3311 File Number: 3-14536
Oct. 24, 2011	Michael R. Pelosi (Order Granting Extension) Release No. IA-3307, IC-29841 File Number: 3-14194
Oct. 20, 2011	Richard A. Neaton Release No. 34-65598 File Number: 3-14252
Oct. 18, 2011	Davis Accounting Group, P.C. and Edwin R. Davis, Jr., CPA (Order Dismissing Review Application and Lifting Stay) Release No. 34-65581 File Number: 3-14370
Oct. 14, 2011	Sharemaster (Order Dismissing Proceedings) Release No. 34-65570 File Number: 3-14104
Oct. 14, 2011	Michael Picozzi III Release No. 34-65569 File Number: 3-14396
Oct. 14, 2011	Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Granting Partial Protective Order) Release No. 33-9267, 34-65571 File Number: 3-13871
Sept. 16, 2011	Dennis S. Kaminski Release No. 34-65347 File Number: 3-14054
Sept. 16, 2011	Norman Chen (Order Granting Motion to Dismiss Application for Review) Release No. 34-65345 File Number: 3-14442
Sept. 6, 2011	FCS Securities and Dale Edward Kleinser (Order Denying Motion for Reconsideration) Release No. 34-65267 File Number: 3-14015
Sept. 2, 2011	Mark S. Parnass (Order Denying in Part Petition to Vacate Administrative Bar Order) Release No. 34-65261 File Number: 3-4393
Aug. 31, 2011	Richard G. Cody (Order Denying Motion for Reconsideration) Release No. 34-65235
Aug. 26, 2011	Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Order Directing the Filing of Additional Briefs) Release No. 34-65207, IA-3264 File Number: 3-13532
Aug. 26, 2011	Eric S. Butler Release No. 34-65204, IA-3262 File Number: 3-13986
Aug. 12, 2011	Cobalis Corporation Release No. 34-65118 File Number: 3-13998
Aug. 11, 2011	Kent D. Sweat and Intermountain Financial Securities, Inc. (Corrected Order Denying Motion for Reconsideration) Release No. 34-65117 File Number: 3-14317
Aug. 5, 2011	Robert L. Burns Release No. IA-3260, IC-29746 File Number: 3-12978
July 18, 2011	American Stellar Energy, Inc. (n/k/a Tara Gold Resources Corp.) Release No. 34-64897 File Number: 3-13881
July 18, 2011	John P. Flannery and James D. Hopkins Release No. 33-9239 File Number: 3-14081
July 11, 2011	FCS Securities and Dale Edward Kleinser Release No. 34-64852 File Number: 3-14015
July 7, 2011	Daxor Corporation Release No. IC-29718 File Number: 3-14055
July 6, 2011	Cobalis Corporation Release No. 34-64813 File Number: 3-13998
June 24, 2011	American Funds Distributors, Inc. Release No. 34-64747 File Number: 3-13055
June 16, 2011	Sherwin Brown and Jamerica Financial, Inc. Release No. IA-3217 File Number: 3-13908
June 9, 2011	Global Sentry Equity Transfer, Inc. (Order Amending Order Instituting Proceedings) Release No. 34-64637 File Number: 3-14256
May 27, 2011	World Trade Financial Corp., Jason Troy Adams, Frank Edward Brickell, and Rodney Preston Michel; Midas Securities, LLC, and Jay S. Lee (Order Denying Consolidation) Release No. 34-64557 File Number: 3-14307, 3-14308
May 27, 2011	Richard G. Cody Release No. 34-64565 See Also: Court of Appeals Opinion
May 13, 2011	Philip L. Spartis and Amy J. Elias Release No. 34-64489 File Number: 3-13979
May 13, 2011	Harry Friedman Release No. 34-64486 File Number: 3-14016
May 12, 2011	Gremo Investments, Inc. Release No. 34-64481 File Number: 3-14093
May 4, 2011	Denise Lynn Gizankis (Order Dismissing Petition for Review) Release No. 34-64391 File Number: 3-14206
March 29, 2011	Thomas Preston Osborn (Order Dismissing Petition for Review) Release No. 34-64145 File Number: 3-14174
March 22, 2011	Ronald S. Bloomfield, Robert Gorgia, Victor Labi, John Earl Martin, Sr., and Eugene Miller (Order Granting Extension) Release No. 33-9197, 34-64106 File Number: 3-13871
March 14, 2011	Robert L. Burns (Order Granting Partial Protective Order) Release No. 34-64079, IA-3174, IC-29599 File Number: 3-12978
March 1, 2011	Timothy M. Gautney, Robert A. Bellia, Jr., and Erik S. Blum (Corrected Order Granting Motion to Discontinue Proceedings Against Timothy M. Gautney Without Prejudice) Release No. 34-64138, IA-3181 File Number: 3-14069
Feb. 22, 2011	David W. Baldt (Order Granting Extension) Release No. 34-63941, IA-3165, IC-29578 File Number: 3-13887
Feb. 17, 2011	Sahas Technologies LLC (Order Dismissing Proceedings) Release No. 33-9189 File Number: 3-14237
Feb. 11, 2011	Thomas Preston Osborn (Order Extending Briefing Schedule) Release No. 34-63894 File Number: 3-14174
Jan. 20, 2011	Dan Rapoport (Order Denying Motion To Set Aside Dan Rapoport Default Order) Release No. 34-63744 See Also: Court of Appeals Opinion File Number: 3-13304
Jan. 14, 2011	Don Warner Reinhard Release No. 34-63720, IA-3139 File Number: 3-13280
Jan. 11, 2011	Sutton Resources Ltd. (Order Dismissing Proceedings) Release No. 34-63691 File Number: 3-14136
Jan. 6, 2011	Steven Altman, Esq. (Order Denying Motion for Reconsideration and a Stay) Release No. 34-63665 File Number: 3-12944
Dec. 7, 2010	Theodore W. Urban (Order Denying Motion for Summary Affirmance) Release No. 34-63456 File Number: 3-13655
Dec. 7, 2010	Mission Securities Corporation and Craig M. Biddick Release No. 34-63453 File Number: 3-13841
Nov. 12, 2010	John B. Busacca, III Release No. 34-63312 See Also: Court of Appeals Opinion
Nov. 10, 2010	Steven Altman, Esq. (Corrected) Release No. 34-63306 File Number: 3-12944

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