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: Dec. 20, 2012	Respondents: AMS Homecare, Inc. (Order Remanding Proceeding to Administrative Law Judge) Release No. 34-68506 File Number: 3-14770
Date: Dec. 20, 2012	Respondents: Asensio & Company, Inc. Release No. 34-68505 File Number: 3-14711
Date: Dec. 18, 2012	Respondents: Kenneth E. Mahaffy, Jr. Release No. 34-68462, IA-3517 File Number: 3-14481
Date: Dec. 18, 2012	Respondents: Michael Bresner, et al. Release No. 33-9376, 34-68464, IA-3518, IC-30307 File Number: 3-15015
Date: Dec. 13, 2012	Respondents: John W. Lawton Release No. IA-3513 See Also: Commissioner Gallagher Concurring in Part and Dissenting in Part File Number: 3-14162
Date: Dec. 13, 2012	Respondents: Wendy McNeeley, CPA Release No. 34-68431, AAER-3427 File Number: 3-13797
Date: Dec. 6, 2012	Respondents: Aegis Assessments, Inc., et al. (Order Dismissing Proceeding with Respect to Bioauthorize Holdings, Inc.) Release No. 34-68379 File Number: 3-14911
Date: Dec. 4, 2012	Respondents: Lisa B. Premo Release No. 34-68348, IA-3510, IC-30289 File Number: 3-14697
Date: Nov. 20, 2012	Respondents: Richard L. Goble Release No. 34-68277 File Number: 3-14390
Date: Nov. 13, 2012	Respondents: Jilaine H. Bauer, Esq. Release No. 34-68214 File Number: 3-15020
Date: Nov. 9, 2012	Respondents: Robert D. Tucker Release No. 34-68210 File Number: 3-14613
Date: Oct. 22, 2012	Respondents: AMS Homecare, Inc. Release No. 34-68078 File Number: 3-14770
Date: Oct. 18, 2012	Respondents: 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
Date: Oct. 12, 2012	Respondents: 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
Date: Oct. 9, 2012	Respondents: Justin William Keener Release No. 34-68014 File Number: 3-14988
Date: Sept. 26, 2012	Respondents: Mitchell Segal, Esq. Release No. 34-67930 File Number: 3-14945
Date: Sept. 20, 2012	Respondents: Michael C. Pattison, CPA (Opinion) Release No. 34-67900, AAER-3407
Date: Sept. 6, 2012	Respondents: Gregg Becker (Order Vacating Bars) Release No. 34-67795 File Number: 3-11366
Date: Aug. 17, 2012	Respondents: HydroGenetics, Inc. (Order Dismissing Proceeding) Release No. 34-67687 File Number: 3-14864
Date: Aug. 6, 2012	Respondents: GDT Tek, Inc. (Order Granting Request to Withdraw Application and Dismissing Review Proceeding) Release No. 34-67604 File Number: 3-14959
Date: July 25, 2012	Respondents: Evelyn Litwok (Order Dismissing Proceeding) Release No. IA-3438 File Number: 3-14190
Date: July 25, 2012	Respondents: 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
Date: July 11, 2012	Respondents: Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Directing Additional Briefing) Release No. 33-9334, 34-67397 File Number: 3-13871
Date: June 29, 2012	Respondents: Citizens Capital Corp. Release No. 34-67313 File Number: 3-14401
Date: June 29, 2012	Respondents: Calais Resources Inc. Release No. 34-67312 File Number: 3-14271
Date: June 4, 2012	Respondents: Amstem Corporation, et al., Balsam Ventures, Inc. (Order Dismissing Proceeding) Release No. 34-67104 File Number: 3-14706
Date: May 31, 2012	Respondents: Harrison Hatzis (Order Granting Request to Withdraw Application and Dismissing ReviewProceeding) Release No. 34-67089 File Number: 3-14818
Date: April 20, 2012	Respondents: Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski (Opinion) Release No. 34-66842 File Number: 3-14496
Date: April 5, 2012	Respondents: 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
Date: March 30, 2012	Respondents: 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
Date: March 29, 2012	Respondents: Eric David Wanger and Wanger Investment Management, Inc. (Order Denying Petition for Interlocutory Review) Release No. 33-9304, 34-66618, IA-3386, IC-30013
Date: March 19, 2012	Respondents: Martin Derrick Jenkins (Order Granting Request to Withdraw Application and Dismissing Review Proceeding) Release No. 34-66618
Date: March 15, 2012	Respondents: International Power Group, Ltd. (Opinion) Release No. 34-66611 File Number: 3-13687
Date: March 9, 2012	Respondents: James Lee Goldberg (Opinion) Release No. 34-66549 File Number: 3-14544
Date: March 7, 2012	Respondents: Robert Hardee Quarles (Order Granting Petition to Vacate Administrative Bar Order) Release No. 34-66530 File Number: 3-14486
Date: Feb. 27, 2012	Respondents: 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
Date: Feb. 24, 2012	Respondents: Howard Braff (Opinion) Release No. 34-66467 File Number: 3-14417
Date: Feb. 21, 2012	Respondents: William J. Murphy and Carl M. Birkelbach (Order DismissingMurphy's Application for Review) Release No. 34-66433 File Number: 3-14609
Date: Feb. 13, 2012	Respondents: SGI International, et al.; Shiega Resources Corp. (n/k/a African Metals Corporation) (Order Dismissing Proceeding) Release No. 34-66389 File Number: 3-14555
Date: Feb. 13, 2012	Respondents: Donald L. Koch and Koch Asset Management LLC (Order Granting Extension) Release No. 34-66387, IA-3370, IC-29945 File Number: 3-14355
Date: Feb. 10, 2012	Respondents: Daxor Corporation (Order Granting Request to Withdraw Petition for Review and Notice of Finality) Release No. IC-29948 File Number: 3-14055
Date: Feb. 10, 2012	Respondents: John Edward Mullins and Kathleen Maria Mullins Release No. 34-66373 File Number: 3-14302
Date: Feb. 8, 2012	Respondents: Sharon Energy, Ltd., et al. (Order Dismissing Proceeding) Release No. 34-66361 File Number: 3-14556
Date: Jan. 26, 2012	Respondents: Paul Free, CPA (Order Denying a Stay or Postponement of Proceedings) Release No. 34-66260, AAER-3357 File Number: 3-14629
Date: Jan. 20, 2012	Respondents: Midas Securities, LLC, and Jay S. Lee Release No. 34-66200 File Number: 3-14308
Date: Jan. 18, 2012	Respondents: Keath Allen Ward Release No. 34-66173 File Number: 3-14618
Date: Jan. 10, 2012	Respondents: R.E. Bassie & Co. and R. Everett Bassie, C.P.A. Release No. AAER-3354
Date: Jan. 6, 2012	Respondents: 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
Date: Jan. 6, 2012	Respondents: Dante J. DiFrancesco Release No. 34-66113 File Number: 3-14195
Date: Dec. 28, 2011	Respondents: Cleantech Innovations, Inc. (Order Denying Motions for Stay of Delisting and Expedited Discovery) Release No. 34-66064 File Number: 3-14640
Date: Dec. 20, 2011	Respondents: Kent M. Houston (Opinion) Release No. 34-66014 File Number: 3-14175
Date: Dec. 6, 2011	Respondents: 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
Date: Dec. 1, 2011	Respondents: Richard A. Neaton (Order Denying Motion for Reconsideration) Release No. 34-65863 File Number: 3-14252
Date: Nov. 9, 2011	Respondents: 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
Date: Oct. 24, 2011	Respondents: Michael R. Pelosi (Order Granting Extension) Release No. IA-3307, IC-29841 File Number: 3-14194
Date: Oct. 20, 2011	Respondents: Richard A. Neaton Release No. 34-65598 File Number: 3-14252
Date: Oct. 18, 2011	Respondents: 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
Date: Oct. 14, 2011	Respondents: Sharemaster (Order Dismissing Proceedings) Release No. 34-65570 File Number: 3-14104
Date: Oct. 14, 2011	Respondents: Michael Picozzi III Release No. 34-65569 File Number: 3-14396
Date: Oct. 14, 2011	Respondents: 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
Date: Sept. 16, 2011	Respondents: Dennis S. Kaminski Release No. 34-65347 File Number: 3-14054
Date: Sept. 16, 2011	Respondents: Norman Chen (Order Granting Motion to Dismiss Application for Review) Release No. 34-65345 File Number: 3-14442
Date: Sept. 6, 2011	Respondents: FCS Securities and Dale Edward Kleinser (Order Denying Motion for Reconsideration) Release No. 34-65267 File Number: 3-14015
Date: Sept. 2, 2011	Respondents: Mark S. Parnass (Order Denying in Part Petition to Vacate Administrative Bar Order) Release No. 34-65261 File Number: 3-4393
Date: Aug. 31, 2011	Respondents: Richard G. Cody (Order Denying Motion for Reconsideration) Release No. 34-65235
Date: Aug. 26, 2011	Respondents: 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
Date: Aug. 26, 2011	Respondents: Eric S. Butler Release No. 34-65204, IA-3262 File Number: 3-13986
Date: Aug. 12, 2011	Respondents: Cobalis Corporation Release No. 34-65118 File Number: 3-13998
Date: Aug. 11, 2011	Respondents: Kent D. Sweat and Intermountain Financial Securities, Inc. (Corrected Order Denying Motion for Reconsideration) Release No. 34-65117 File Number: 3-14317
Date: Aug. 5, 2011	Respondents: Robert L. Burns Release No. IA-3260, IC-29746 File Number: 3-12978
Date: July 18, 2011	Respondents: American Stellar Energy, Inc. (n/k/a Tara Gold Resources Corp.) Release No. 34-64897 File Number: 3-13881
Date: July 18, 2011	Respondents: John P. Flannery and James D. Hopkins Release No. 33-9239 File Number: 3-14081
Date: July 11, 2011	Respondents: FCS Securities and Dale Edward Kleinser Release No. 34-64852 File Number: 3-14015
Date: July 7, 2011	Respondents: Daxor Corporation Release No. IC-29718 File Number: 3-14055
Date: July 6, 2011	Respondents: Cobalis Corporation Release No. 34-64813 File Number: 3-13998
Date: June 24, 2011	Respondents: American Funds Distributors, Inc. Release No. 34-64747 File Number: 3-13055
Date: June 16, 2011	Respondents: Sherwin Brown and Jamerica Financial, Inc. Release No. IA-3217 File Number: 3-13908
Date: June 9, 2011	Respondents: Global Sentry Equity Transfer, Inc. (Order Amending Order Instituting Proceedings) Release No. 34-64637 File Number: 3-14256
Date: May 27, 2011	Respondents: Richard G. Cody Release No. 34-64565 See Also: Court of Appeals Opinion
Date: May 27, 2011	Respondents: 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
Date: May 13, 2011	Respondents: Philip L. Spartis and Amy J. Elias Release No. 34-64489 File Number: 3-13979
Date: May 13, 2011	Respondents: Harry Friedman Release No. 34-64486 File Number: 3-14016
Date: May 12, 2011	Respondents: Gremo Investments, Inc. Release No. 34-64481 File Number: 3-14093
Date: May 4, 2011	Respondents: Denise Lynn Gizankis (Order Dismissing Petition for Review) Release No. 34-64391 File Number: 3-14206
Date: March 29, 2011	Respondents: Thomas Preston Osborn (Order Dismissing Petition for Review) Release No. 34-64145 File Number: 3-14174
Date: March 22, 2011	Respondents: 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
Date: March 14, 2011	Respondents: Robert L. Burns (Order Granting Partial Protective Order) Release No. 34-64079, IA-3174, IC-29599 File Number: 3-12978
Date: March 1, 2011	Respondents: 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
Date: Feb. 22, 2011	Respondents: David W. Baldt (Order Granting Extension) Release No. 34-63941, IA-3165, IC-29578 File Number: 3-13887
Date: Feb. 17, 2011	Respondents: Sahas Technologies LLC (Order Dismissing Proceedings) Release No. 33-9189 File Number: 3-14237
Date: Feb. 11, 2011	Respondents: Thomas Preston Osborn (Order Extending Briefing Schedule) Release No. 34-63894 File Number: 3-14174
Date: Jan. 20, 2011	Respondents: 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
Date: Jan. 14, 2011	Respondents: Don Warner Reinhard Release No. 34-63720, IA-3139 File Number: 3-13280
Date: Jan. 11, 2011	Respondents: Sutton Resources Ltd. (Order Dismissing Proceedings) Release No. 34-63691 File Number: 3-14136
Date: Jan. 6, 2011	Respondents: Steven Altman, Esq. (Order Denying Motion for Reconsideration and a Stay) Release No. 34-63665 File Number: 3-12944
Date: Dec. 7, 2010	Respondents: Theodore W. Urban (Order Denying Motion for Summary Affirmance) Release No. 34-63456 File Number: 3-13655
Date: Dec. 7, 2010	Respondents: Mission Securities Corporation and Craig M. Biddick Release No. 34-63453 File Number: 3-13841
Date: Nov. 12, 2010	Respondents: John B. Busacca, III Release No. 34-63312 See Also: Court of Appeals Opinion
Date: Nov. 10, 2010	Respondents: Steven Altman, Esq. (Corrected) Release No. 34-63306 File Number: 3-12944
Date: Oct. 22, 2010	Respondents: Gately & Associates, LLC and James P. Gately, CPA (Order Terminating Stay) Release No. 34-63167, AAER-3200 File Number: 3-13535