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
Sept. 29, 2009	Thomas C. Bridge, James D. Edge and Jeffrey K. Robles Release No. 33-9068, 34-60736 File Number: 3-12626
Sept. 17, 2009	Martin A. Armstrong Release No. IA-2926 See Also: Court of Appeals Opinion File Number: 3-13121
Aug. 14, 2009	Andrew P. Gonchar and Polyvios T. Polyviou Release No. 34-60506 See Also: Court of Appeals Opinion File Number: 3-13243
Aug. 14, 2009	North Woodward Financial Corp. and Douglas A. Troszak Release No. 34-60505 File Number: 3-13324
July 22, 2009	Gregory W. Gray, Jr. Release No. 34-60361 File Number: 3-13344
July 20, 2009	Kevin Hall, CPA and Rosemary Meyer, CPA Release No. 34-60346, AAER-3017 File Number: 3-12208
July 17, 2009	Timothy H. Emerson, Jr. Release No. 34-60328 File Number: 3-13334
July 16, 2009	Mitchell M. May nard and Dorice A. May nard (Order Denying Motion for Reconsideration) Release No. IA-2901, IA-2875 See Also: Opinion, Release No. IA-2875 File Number: 3-13008
June 26, 2009	Husky Trading LLC, Eugene O'Brien, Michael Inemer, and Stephen Floirendo Release No. 34-60180 File Number: 3-13096
May 29, 2009	Maria T. Giesige Release No. 34-60000, IA-2886 File Number: 3-12747
May 15, 2009	Mitchell M. May nard and Dorice A. May nard Release No. IA-2875 File Number: 3-13008
May 14, 2009	Boston Options Exchange Group, LLC (Order Dismissing Application for Review) Release No. 34-59927 File Number: 3-13088
May 6, 2009	William D. Shovers (Order Denying Motion to Lift Temporary Suspension and Directing Hearing) Release No. 34-59874 File Number: 3-13412
April 8, 2009	Scott B. Gann Release No. 34-59729, IA-2684 See Also: Court of Appeals Per Curiam Order
March 13, 2009	Richard B. Feinberg Release No. 34-59577
March 10, 2009	Joseph John VanCook (Order Denying Request for Extension of Time, Postponement, or Adjournment) Release No. 34-59550, IC-28644
Feb. 27, 2009	Markland Technologies, Inc. Release No. 34-59476
Feb. 13, 2009	Luis Miguel Cespedes Release No. 34-59404
Feb. 13, 2009	Gary M. Kornman Release No. 34-59403, IA-2840 See Also: Court of Appeals Opinion
Jan. 30, 2009	CMG Institutional Trading, LLC and Shawn D. Baldwin Release No. 34-59325
Jan. 30, 2009	Scott Epstein Release No. 34-59328
Jan. 30, 2009	Michael Stegawski Release No. 34-59326
Jan. 21, 2009	Nature's Sunshine Products, Inc. Release No. 34-59268
Jan. 9, 2009	Thomas W. Heath, III Release No. 34-59223 See Also: Court of Appeals Opinion
Dec. 30, 2008	Nature's Sunshine Products, Inc. Release No. 34-59181
Dec. 22, 2008	Salvatore F. Sodano (Order Reversing Initial Decision and Remanding for Further Proceedings) Release No. 34-59141 See Also: Court of Appeals Opinion
Dec. 22, 2008	Jason A. Craig Release No. 34-59137
Dec. 19, 2008	Ronald Pellegrino Release No. 34-59125
Dec. 10, 2008	Birman Managed Care, Inc. (n/k/a Alcar Chemicals Group, Inc.) (Order Granting Motion to Amend Order Instituting Proceedings) Release No. 34-59074
Dec. 2, 2008	Byron S. Rainner Release No. 34-59040, IA-2811 File Number: 3-1282
Dec. 1, 2008	World Associates, Inc. Release No. 34-59034
Nov. 21, 2008	Brendan E. Murray Release No. IA-2809, IC-28519 File Number: 3-12436
Nov. 14, 2008	Howard Brett Berger Release No. 34-58950 See Also: Court of Appeals Opinion
Nov. 14, 2008	Alvin W. Gebhart, Jr. and Donna T. Gebhart Release No. 34-58951
Nov. 7, 2008	Vincent M. Uberti Release No. 34-58917
Nov. 7, 2008	James W. Browne and Kevin Calandro Release No. 34-58916
Oct. 17, 2008	Justin F. Ficken Release No. 34-58802, IA-2803
Oct. 15, 2008	Victor Teicher (Order Denying Motion to Modify Bar Order) Release No. 34-58789, IA-2799
Oct. 8, 2008	Joseph John VanCook (Order Granting Partial Protective Order) Release No. 34-58756, IC-28436
Oct. 6, 2008	Michael Frederick Siegel Release No. 34-58737 See Also: Court of Appeals Opinion
Sept. 24, 2008	Michael Sassano Release No. 34-58632
Aug. 22, 2008	Geoffrey Ortiz Release No. 34-58416
Aug. 7, 2008	Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles Release No. 33-8952, 34-58329, IC-28353
July 25, 2008	John D. Audifferen Release No. 34-58230
July 18, 2008	Boston Stock Exchange, Inc., Chicago Board Options Exchange, Inc., International Securities Exchange, LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., NYSE Arca, Inc., and New York Stock Exchange, LLC (Order Dismissing Application for Review of National Market System Plans Action Pursuant to Rule 608(d) Under the Securities Exchange Act of 1934) Release No. 34-58191
July 1, 2008	Wanda P. Sears Release No. 34-58075
July 1, 2008	Douglas J. Toth Release No. 34-58074 See Also: Court of Appeals Opinion
June 30, 2008	Scott G. Monson Release No. IC-28323 File Number: IC-28323
June 30, 2008	Robert Radano Release No. IA-2750 File Number: 3-12084
June 30, 2008	Telcoblue, Inc. (Order Dismissing Proceeding) Release No. 34-58061
June 30, 2008	Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to Thomas C. Bridge) Release No. 33-8939, 34-58064, IC-28326
June 30, 2008	Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to Jeffrey K. Robles) Release No. 33-8938, 34-58063, IC-28325
June 30, 2008	Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to James D. Edge) Release No. 33-8937, 34-58062, IC-28324
May 23, 2008	Impax Laboratories, Inc. Release No. 34-57864
May 23, 2008	Schon-Ex, LLC Release No. 34-57857
May 23, 2008	Kevin Hall, CPA, and Rosemary Meyer, CPA Release No. 34-57855
May 20, 2008	Robert M. Ryerson (Order Granting Motion to Dismiss Petition for Review) Release No. 34-57839
May 20, 2008	James Gerard O'Callaghan Release No. 34-57840
April 30, 2008	Nasdaq Stock Market, LLC Release No. 34-57741
April 30, 2008	Matthew Brian Proman Release No. 34-57740
April 11, 2008	Dennis Todd Lloyd Gordon and Sterling Scott Lee Release No. 34-57655
April 11, 2008	Paz Securities, Inc. and Joseph Mizrachi Release No. 34-57656 See Also: Court of Appeals Opinion
March 11, 2008	Gregory O. Trautman Release No. 33-8902, 34-57475, IA-2719, IC-28194
March 4, 2008	Robert E. Strong Release No. 34-57426
Feb. 21, 2008	Euro Capital Incorporated Release No. 33-8898
Feb. 4, 2008	Jeffrey L. Gibson Release No. 34-57266, IA-2700
Jan. 31, 2008	Gregory M. Dearlove Release No. 34-57244, AAER-2779
Jan. 31, 2008	John A. Carley, Eugene C. Geiger, Thomas A. Kaufmann, Edward H. Price, and Christopher H. Zacharias Release No. 33-8888, 34-57246 See Also: Court of Appeals Opinion
Jan. 31, 2008	Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot (Order Denying Motion for Extension) Release No. 33-8887, 34-57243, IA-2699, IC-28138
Jan. 16, 2008	Warwick Capital Management, Inc. and Carl Lawrence Release No. IA-2694 File Number: 3-12357
Jan. 14, 2008	Wedbush Morgan Securities, Inc. (Order Dismissing Proceedings) Release No. 34-57138
Dec. 21, 2007	Richard L. Sacks (Order Denying Stay) Release No. 34-57028, 34-55604, 34-56540 See Also: Request for Immediate Stay of Effective Date of Approval Order , Rel. No. 34-55604 , Release No. 34-56540
Dec. 21, 2007	David Henry Disraeli and Lifeplan Associates, Inc. Release No. 33-8880, 34-57027, IA-2686
Dec. 13, 2007	Perpetual Securities, Inc. and Youwei P. Xu (Order Denying Motion for Reconsideration) Release No. 34-56962, 34-56613 See Also: Rel. No. 34-56613
Dec. 13, 2007	Salvatore F. Sodano (Order Denying Motion for Summary Affirmation) Release No. 34-56961
Dec. 5, 2007	Laminaire Corp. (n/k/a Cavico Corp.), TAM Restaurants, Inc. (n/k/a Aerofoam Metals, Inc.), and Upside Development, Inc. (n/k/a Amorocorp) (Order Granting Extension) Release No. 34-56912
Dec. 3, 2007	Stephen J. Horning Release No. 34-56886
Nov. 30, 2007	Michael Sassano, Dogan Baruh, Robert Okin, and R. Scott Abry Release No. 33-8865, 34-56874, IA-2679, IC-28070
Nov. 15, 2007	Laminaire Corp. (n/k/a Cavico Corp.), TAM Restaurants, Inc. (n/k/a Aerofoam Metals, Inc.), and Upside Development, Inc. (n/k/a Amorocorp) (Order Denying Motion for Reconsideration) Release No. 34-56789
Nov. 13, 2007	Tudor Investment Corporation Release No. 34-56782
Nov. 8, 2007	Navistar International Corporation Release No. 34-56769
Nov. 8, 2007	Morton Bruce Erenstein Release No. 34-56768 See Also: Court of Appeals Opinion
Nov. 8, 2007	Charles C. Fawcett, IV Release No. 34-56770
Nov. 6, 2007	David A. Finnerty, Donald R. Foley, II, Scott G. Hunt, Thomas M. Murphy, Jr., Kevin M. Fee, Frank A. Delaney, IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. (Order Denying Motion to Sever) Release No. 34-56756
Nov. 5, 2007	Sisung Securities Corporation and Lawrence J. Sisung, Jr. Release No. 34-56741
Nov. 5, 2007	Victor Teicher (Order Denying Petition to Modify Administrative Bar Order) Release No. 34-56744
Oct. 22, 2007	Laminaire Corp. (n/k/a Cavico Corp.), TAM Restaurants, Inc. (n/k/a Aerofoam Metals, Inc.), and Upside Development, Inc. (n/k/a Amorocorp) (Order Denying Motion to Amend Order Instituting Proceedings) Release No. 34-56685
Oct. 12, 2007	James E. Franklin Release No. 34-56649
Oct. 4, 2007	Perpetual Securities, Inc. and Youwei P. Xu Release No. 34-56613, 34-56962
Sept. 26, 2007	Conrad P. Seghers Release No. IA-2656 File Number: 3-12433
Aug. 31, 2007	The Rockies Fund, Inc. (Order Denying Motion for Reconsideration) Release No. 34-56344, IC-27961, 34-54892, 34-48590 See Also: Court of Appeals Opinion , Rel. No. 34-54892 , Opinion: Rel. No. 34-48590
Aug. 9, 2007	Warren Lammert, Lars Soderberg, and Lance Newcomb Release No. 33-8833, 34-56233, IA-2629, IC-27927
July 26, 2007	Terry Harris Release No. IA-2622 File Number: 3-12171
July 19, 2007	Gregg Heinze Release No. 34-56100
July 13, 2007	John M. Lucarelli Release No. 34-56075
July 11, 2007	David Henry Disraeli and Lifeplan Associates, Inc. Release No. 33-8824, 34-56045, IA-2618
July 5, 2007	David Henry Disraeli and Lifeplan Associates, Inc. Release No. 34-56012
June 29, 2007	Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot Release No. 34-55989, IA-2613, IC-27880
June 29, 2007	Richard F. Kresge Release No. 34-55988
June 29, 2007	Kevin Hall, CPA and Rosemary Meyer, CPA Release No. 34-55987, AAER-2627

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