Commission Opinions and Adjudicatory Orders

This page features opinions and orders issued by the Commission in connection with its adjudication of administrative proceedings, appeals from initial decisions of ALJs, and appeals from SRO or PCAOB action.

The links below direct you to the docket pages for such adjudicatory proceedings as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Date	Respondents
Date: March 31, 2014	Respondents: S.W. Hatfield, CPA and Scott W. Hatfield, CPA Release No. 34-71833, AAER-3547 File Number: 3-15012
Date: March 27, 2014	Respondents: Michael R. Pelosi (Opinion) Release No. IA-3805, IC-30997 File Number: 3-14194
Date: March 20, 2014	Respondents: Thomas D. Melvin, CPA (Order Denying Petition to Lift Temporary Suspension and Directing Hearing) Release No. 34-71761, AAER-3543 File Number: 3-15659
Date: March 14, 2014	Respondents: Harding Advisory LLC and Wing F. Chau (Order Denying Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines) Release No. 33-9561, IA-3796, IC-30892 File Number: 3-15574
Date: March 13, 2014	Respondents: Multri-Precision, LLC (Order Dismissing Administrative Proceedings) Release No. 33-9560 File Number: 3-15658
Date: March 12, 2014	Respondents: John Moraitis (Notice That Initial Decision Has Become Final) Release No. 34-71707 File Number: 3-15510
Date: March 12, 2014	Respondents: Mitchell H. Fillet (Extension Order) Release No. 34-71706 File Number: 3-15601
Date: March 7, 2014	Respondents: Ross Mandell(Order Summarily Affirming Initial Decision in Part and Imposing Remedial Sanctions) Release No. 34-71668 File Number: 3-14981
Date: March 7, 2014	Respondents: Gregory Bartko (Opinion) Release No. 34-71666 File Number: 3-14700
Date: March 7, 2014	Respondents: Gordon Brent Pierce (Opinion) Release No. 33-9555, 34-71664 File Number: 3-13927
Date: Feb. 27, 2014	Respondents: Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Opinion) Release No. 33-9553, 34-71632 File Number: 3-13871
Date: Feb. 21, 2014	Respondents: John J. Plunkett (Order Scheduling Briefs) Release No. 34-71600 File Number: 3-14810
Date: Feb. 20, 2014	Respondents: Kent M. Houston (Opinion) (Corrected) Release No. 34-71589A File Number: 3-14175r, 3-14175
Date: Feb. 20, 2014	Respondents: Gregg C. Lorenzo, Francis V. Lorenzo, and Charles Vista, LLC (Order Granting Petitions for Review and Scheduling Briefs) Release No. 34-71584 File Number: 3-15211
Date: Feb. 19, 2014	Respondents: Robert D. Tucker (Order Scheduling Briefs) Release No. 34-71577 File Number: 3-15735
Date: Feb. 18, 2014	Respondents: Robert Marcus Lane and Jeffrey Griffin Lane (Order Scheduling Briefs) Release No. 34-71566 File Number: 3-15701
Date: Feb. 5, 2014	Respondents: ZPR Investment Management, Inc. and Max E. Zavanelli (Order Granting Extension) Release No. IA-3774, IC-30907 File Number: 3-15263
Date: Feb. 5, 2014	Respondents: Mohammed Riad and Kevin Timothy Swanson (Order Granting Extension) Release No. 34-71481, IA-3772, IC-30906 File Number: 3-15141
Date: Jan. 28, 2014	Respondents: Toby G. Scammell (Order Granting Cross-Petition for Review and Extending Briefing Schedule) Release No. 34-71432 File Number: 3-15271
Date: Jan. 28, 2014	Respondents: John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr. (Order Denying Petition for Interlocutory Review) Release No. 33-9519, 34-71415, IA-3764, IC-30894 File Number: 3-15255
Date: Jan. 24, 2014	Respondents: Mark Steven Steckler (Order Granting Motion to Dismiss Application for Review) Release No. 34-71391 File Number: 3-15466
Date: Jan. 24, 2014	Respondents: Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Extension to File Brief in Support of Petition for Review) Release No. 33-9518, 34-71392, IA-3761, IC-30892 File Number: 3-15015
Date: Jan. 17, 2014	Respondents: CapWest Securities, Inc. (Opinion) Release No. 34-71340 File Number: 3-15259
Date: Jan. 17, 2014	Respondents: optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman (Order Directing Review and Issuing Notice That Initial Decision Has Become Final as to Thomas E. Stern) Release No. 33-9514, 34-71354, IC-30886 File Number: 3-14848
Date: Jan. 16, 2014	Respondents: David F. Bandimere (Order Denying Motion for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs) Release No. 33-9512 File Number: 3-15124
Date: Jan. 13, 2014	Respondents: Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Petitions for Review and Scheduling Briefs) Release No. 33-9509 File Number: 3-15015
Date: Jan. 9, 2014	Respondents: Mitchell H. Fillet (Extension Order) Release No. 34-71277 File Number: 3-15601
Date: Dec. 30, 2013	Respondents: John J. Aesoph, CPA, and Darren M. Bennett, CPA (Order Granting Extension) Release No. 34-71205, AAER-3524 File Number: 3-15168
Date: Dec. 30, 2013	Respondents: John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, George R. Jarkesy Jr., John Thomas Financial, Inc., and Anastasios "Tommy' Belesis (Order Extending Deadline for Filing Initial Decision) Release No. 33-9507, 34-71204, IA-3749, IC-30851 File Number: 3-15255
Date: Dec. 17, 2013	Respondents: Mitchell H. Fillet (Order Scheduling Briefs) Release No. 34-71100 File Number: 3-15601
Date: Dec. 17, 2013	Respondents: Toby G. Scammell (Order Granting Petition for Review and Scheduling Briefs) Release No. 34-71099 File Number: 3-15271
Date: Dec. 12, 2013	Respondents: Peter Siris (Opinion of the Commission) Release No. 34-71068, IA-3736 See Also: Court of Appeals Opinion File Number: 3-15057
Date: Dec. 6, 2013	Respondents: John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr.(Order Denying Petition for Interlocutory Review) Release No. 33-9492, 34-71021, IA-3733, IC-30820 File Number: 3-15255
Date: Nov. 25, 2013	Respondents: Johnny Clifton (Order Denying Motions for Reconsideration, the Introduction of New Evidence, and a New Hearing) Release No. 33-9486, 34-70942 File Number: 3-14266
Date: Nov. 15, 2013	Respondents: Orbixa Technologies, Inc. (Order Granting Motion to Dismiss Application for Review) Release No. 34-70893 File Number: 3-15346
Date: Nov. 15, 2013	Respondents: Edward S. Brokaw (Opinion) Release No. 34-70883 File Number: 3-15059
Date: Nov. 15, 2013	Respondents: John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Extension Order) Release No. 33-9479, 34-70891, IA-3717, IC-30788 File Number: 3-15255
Date: Nov. 13, 2013	Respondents: John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Order Granting Interim Stay) Release No. 33-9478, 34-70869, IA-3716, IC-30784 File Number: 3-15255
Date: Nov. 8, 2013	Respondents: John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Order Directing Additional Briefing on Petition for Interlocutory Review) Release No. 34-70841 File Number: 3-15255
Date: Nov. 7, 2013	Respondents: Robert Conway and Kakit Ng (Opinion) Release No. 34-70833 File Number: 3-14146
Date: Nov. 5, 2013	Respondents: OptionsXpress, Inc. and Jonathan I. Feldman (Order Granting Petitions for Review and Scheduling Briefs) Release No. 33-9474, 34-70810, IC-30774 File Number: 3-14848
Date: Nov. 4, 2013	Respondents: Largo Vista Group, Ltd., Montavo, Inc., OBN Holdings, Inc., PrepaYd, Inc., Ready Welder Corp., and Snowdon Resources Corp. (Order Dismissing Proceeding with Respect to PrepaYd, Inc.) Release No. 34-70803
Date: Nov. 4, 2013	Respondents: China-Biotics, Inc. (Opinion) Release No. 34-70800 File Number: 3-14581
Date: Oct. 31, 2013	Respondents: Absolute Potential, Inc. (fka Absolute Waste Services Inc.)(Order Scheduling Oral Argument) Release No. 34-70792 File Number: 3-14587
Date: Oct. 22, 2013	Respondents: S.W. Hatfield, CPA, and Scott W. Hatfield, CPA (Order Granting Petition for Review and Scheduling Briefs) Release No. 34-70738 File Number: 3-15012
Date: Oct. 22, 2013	Respondents: Bernerd E. Young (Order Granting Petition for Review and Scheduling Briefs) Release No. 33-9469 File Number: 3-15003
Date: Oct. 17, 2013	Respondents: Alchemy Ventures, Inc., Km Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. McDonald, and Douglas G. Frederick (Notice that Initial Decision Has Become Final) Release No. 34-70708 File Number: 3-14720
Date: Oct. 17, 2013	Respondents: SmartHeat, Inc. (Order Scheduling Briefs) Release No. 34-70707 File Number: 3-15508
Date: Oct. 17, 2013	Respondents: Atlantis Internet Group Corporation (Order Scheduling Briefs) Release No. 34-70706 File Number: 3-15432
Date: Oct. 16, 2013	Respondents: OptionsXpress, Inc., et al. (Order Granting in Part and Denying in Part the Motions to Adduce Additional Evidence Regarding the CBOE Settlement) Release No. 33-9466, 34-66815 File Number: 3-14848
Date: Oct. 9, 2013	Respondents: Johnny Clifton (Opinion) Release No. 33-9465, 34-70639 File Number: 3-14266
Date: Oct. 8, 2013	Respondents: John M.E. Saad (Order Remanding Proceeding to Registered Securities Association) Release No. 34-70632
Date: Oct. 8, 2013	Respondents: Jilaine H. Bauer, Esq. (Order Dismissing Proceeding) Release No. 33-9464, 34-70631
Date: Oct. 7, 2013	Respondents: Atlantis Internet Group Corporation (Order Denying Stay) Release No. 34-70620 File Number: 3-15432
Date: Oct. 7, 2013	Respondents: Michael Bresner, Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Second Extension) Release No. 33-9463, 34-70621, IA-3687, IC-30741 File Number: 3-15015
Date: Oct. 2, 2013	Respondents: BDO China Dahua CPA Co., Ltd., Ernst & Young Hua Ming LLP, KPMG Huazhen (Special General Partnership), Deloitte Touche Tohmatsu Certified Public Accountants Ltd., and Pricewaterhousecoopers Zhong Tian CPAs Limited (Order Granting Second Extension) Release No. 34-70603 File Number: 3-14872, 3-15116
Date: Sept. 5, 2013	Respondents: Jay T. Comeaux (Order Granting Petition for Review and Scheduling Briefs) Release No. 33-9449, 34-70328, IA-3661, IC-30686 File Number: 3-15002
Date: Sept. 4, 2013	Respondents: John Gardner Black and Devon Capital Management (Order Denying Petition to Set Aside Administrative Bar Order) Release No. 34-70318 File Number: 3-9599
Date: Sept. 1, 2013	Respondents: Daniel J. Gallagher (Order Granting Motion to Amend Order Instituting Proceedings) Release No. 33-9448, 34-70305 File Number: 3-14630
Date: Aug. 29, 2013	Respondents: Sharemaster (Order Dismissing Proceedings on Remand) Release No. 34-70290 File Number: 3-14104r
Date: Aug. 15, 2013	Respondents: Miguel A. Ferrer and Carlos J. Ortiz (Order Granting Second Motion for Extension) Release No. 33-9441, 34-70216, IC-30650 File Number: 3-14862
Date: Aug. 8, 2013	Respondents: Adam Harrington a/k/a Adam Rukdeschel and Adam Harrington Ruckdeschel (Order Dismissing Review Proceeding and Notice of Finality) Release No. 34-70149 File Number: 3-15119
Date: Aug. 8, 2013	Respondents: Stephanie Hibler (Order Granting In Part and Denying In Part Application to Vacate Administrative Bar Order) Release No. 34-70140 File Number: 3-15161
Date: Aug. 7, 2013	Respondents: Ox Trading, LLC, optionsXpress, Inc., and Thomas E. Stern (Order Granting Extension) Release No. 34-70130, IC-30646 File Number: 3-14853
Date: Aug. 5, 2013	Respondents: Anwar v. Fairfield Greenwich Limited (Order Denying Petition For Review) Release No. 34-70120
Date: July 26, 2013	Respondents: ACAP Financial, Inc. and Gary Hume (Opinion) Release No. 34-70046 File Number: 3-15080
Date: July 26, 2013	Respondents: Tzemach David Netzer Korem (Opinion) Release No. 34-70044 File Number: 3-14208
Date: July 16, 2013	Respondents: The Hartcourt Companies, Inc., et al. (Order Dismissing Proceeding with Respect to HIV-VAC, Inc.) Release No. 34-69994 File Number: 3-15128
Date: July 12, 2013	Respondents: Johnny Clifton (Opinion) Release No. 33-9417, 34-69982 File Number: 3-14266
Date: July 11, 2013	Respondents: Alfred Clay Ludlum, III (Opinion) Release No. IA-3628 File Number: 3-14572
Date: July 11, 2013	Respondents: S.W. Hatfield, C.P.A. and Scott W. Hatfield, C.P.A (Order Terminating Stay) Release No. 34-69976 File Number: 3-14795
Date: July 11, 2013	Respondents: CleanTech Innovations, Inc. (Opinion) Release No. 34-69968 File Number: 3-14640
Date: July 11, 2013	Respondents: Linus N. Nwaigwe (Order Vacating Bar) Release No. 34-69967 File Number: 3-13481
Date: July 9, 2013	Respondents: Daniel Bogar, Bernard E. Young, and Jason T. Green (Order Granting Extension) Release No. 34-69953 File Number: 3-15003
Date: July 5, 2013	Respondents: Angelica Aguilera (Order Granting Extension) Release No. 34-69939 File Number: 3-14999
Date: July 5, 2013	Respondents: Michael Bresner, et al. (Order Granting Extension) Release No. 33-9413, 34-69940, IA-3621, IC-30591 File Number: 3-15015
Date: July 3, 2013	Respondents: S. W. Hatfield and Scott W. Hatfield (Opinion) Release No. 34-69930 File Number: 3-14795
Date: July 2, 2013	Respondents: William J. Murphy and Carl M. Birkelbach (Opinion) Release No. 34-69923 See Also: Court of Appeals Opinion File Number: 3-14609
Date: July 2, 2013	Respondents: James M. Schneider (Order Denying Motion or in the Alternative Application to Modify Commission Order Imposing Remedial Sanction) Release No. 34-69922, AAER-3470 File Number: 3-14571
Date: June 28, 2013	Respondents: LPB Capital d/b/a Family Office Group, LLC and Gary J. Pappas (Order Dismissing Proceedings) Release No. 34-69885, IA-3619, AAER-3468 File Number: 3-14565
Date: June 14, 2013	Respondents: John Joseph Plunkett (Opinion) Release No. 34-69766 File Number: 3-14810
Date: May 21, 2013	Respondents: ACAP Financial, Inc. and Gary Hume (Order Denying Request for Oral Argument) Release No. 34-69615 File Number: 3-15080
Date: April 30, 2013	Respondents: optionsXpress, Inc., et al.; OX Trading, LLC, et al. Release No. 33-9400, 34-69478, IC-30498 File Number: 3-14848, 3-148653
Date: April 24, 2013	Respondents: A-Power Energy Generation Systems, Ltd. Release No. 34-69439 File Number: 3-14935
Date: April 18, 2013	Respondents: Joseph S. Amundsen (Opinion) (Corrected) Release No. 34-69406 File Number: 3-15056
Date: April 18, 2013	Respondents: Gilbert Torres Martinez (Order Granting Motion to Dismiss Application for Review) Release No. 34-69405 File Number: 3-15209
Date: April 10, 2013	Respondents: Virginia K. Sourlis, Esq. Release No. 34-69358 File Number: 3-15212
Date: April 4, 2013	Respondents: Harry W. Hunt (Order Dismissing Application for Review) Release No. 34-69312 File Number: 3-15172
Date: April 1, 2013	Respondents: Steven Neil Barbot (Order Dismissing Application) Release No. 34-69263 File Number: 3-15164
Date: March 19, 2013	Respondents: Eric J. Weiss Release No. 34-69177 File Number: 3-14844
Date: March 4, 2013	Respondents: SEI Holdings, Inc. (n/k/a Stoneleigh Realty Investors, LLLP), et al. (Order Dismissing Proceeding with Respect to SEI Holdings, Inc.) Release No. 34-69034 File Number: 3-14942
Date: March 1, 2013	Respondents: Julio C. Ceballos (Order Granting Motion to Dismiss Application for Review) Release No. 34-69020 File Number: 3-15086
Date: Feb. 25, 2013	Respondents: Stewart A. Merkin, Esq. (Order Denying Motion to Lift Temporary Suspension and Directing Hearing) Release No. 34-68981 File Number: 3-15158
Date: Feb. 25, 2013	Respondents: Far Vista Interactive Corp., et al. (Order Dismissing Proceeding with Respect toFar Vista Interactive Corp.) Release No. 34-68979 File Number: 3-14781
Date: Feb. 25, 2013	Respondents: Robert David Beauchene (Order Granting Motion to Amend Order Instituting Proceedings) Release No. 34-68974 File Number: 3-14351
Date: Feb. 25, 2013	Respondents: Miguel A. Ferrer and Carlos J. Ortiz (Order Granting Extension) Release No. 33-9386, 34-68978, IC-30404 File Number: 3-14862
Date: Feb. 21, 2013	Respondents: Andover Holdings, Inc. (a/k/a Andover Energy Holdings, Inc.) (OrderSummarily Affirming Initial Decision) Release No. 34-68966 File Number: 3-14794
Date: Feb. 11, 2013	Respondents: Gregory Evan Goldstein Release No. 34-68904 File Number: 3-15183
Date: Jan. 29, 2013	Respondents: Harry W. Hunt (Order Denying Stay) Release No. 34-68755 File Number: 3-15172
Date: Jan. 14, 2013	Respondents: Richard L. Goble (Order Dismissing Proceeding) Release No. 34-68651 File Number: 3-14390