SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings (EDGAR)

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements

  Litigation


  Information for...

  Divisions


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.

Third Quarter | Second Quarter | First Quarter 

Additional Archives

2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996

Release No. Date Respondents
Third Quarter
34-58416 Aug. 22, 2008 Geoffrey Ortiz
33-8952 Aug. 7, 2008 Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles
Other Release Nos.: 34-58329, IC-28353
34-58230 Jul. 25, 2008 John D. Audifferen
34-58191 Jul. 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)
34-58075 Jul. 1, 2008 Wanda P. Sears
34-58074 Jul. 1, 2008 Douglas J. Toth
Second Quarter
33-8939 Jun. 30, 2008 Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to Thomas C. Bridge)
Other Release Nos.: 34-58064, IC-28326
33-8938 Jun. 30, 2008 Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to Jeffrey K. Robles)
Other Release Nos.: 34-58063, IC-28325
33-8937 Jun. 30, 2008 Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to James D. Edge)
Other Release Nos.: 34-58062, IC-28324
34-58061 Jun. 30, 2008 Telcoblue, Inc. (Order Dismissing Proceeding)
IC-28323 Jun. 30, 2008 Scott G. Monson
IA-2750 Jun. 30, 2008 Robert Radano
34-57864 May 23, 2008 Impax Laboratories, Inc.
34-57857 May 23, 2008 Schon-Ex, LLC
34-57855 May 23, 2008 Kevin Hall, CPA, and Rosemary Meyer, CPA
34-57840 May 20, 2008 James Gerard O'Callaghan
34-57839 May 20, 2008 Robert M. Ryerson (Order Granting Motion to Dismiss Petition for Review)
34-57741 Apr. 30, 2008 Nasdaq Stock Market, LLC
34-57740 Apr. 30, 2008 Matthew Brian Proman
34-57656 Apr. 11, 2008 Paz Securities, Inc. and Joseph Mizrachi
34-57655 Apr. 11, 2008 Dennis Todd Lloyd Gordon and Sterling Scott Lee
First Quarter
33-8902 Mar. 11, 2008 Gregory O. Trautman
Other Release No.: 34-57475, IA-2719, IC-28194
34-57426 Mar. 4, 2008 Robert E. Strong
33-8898 Feb. 21, 2008 Euro Capital Incorporated
34-57266 Feb. 4, 2008 Jeffrey L. Gibson
Other Release No.: IA-2700
33-8888 Jan. 31, 2008 John A. Carley, Eugene C. Geiger, Thomas A. Kaufmann, Edward H. Price, and Christopher H. Zacharias
Other Release No.: 34-57146
33-8887 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)
Other Release Nos.: 34-57243, IA-2699, IC-28138
34-57244 Jan. 31, 2008 Gregory M. Dearlove
Other Release No.: AAER-2779
IA-2694 Jan. 16, 2008 Warwick Capital Management, Inc. and Carl Lawrence
34-57138 Jan. 14, 2008 Wedbush Morgan Securities, Inc. (Order Dismissing Proceedings)

 

http://www.sec.gov/litigation/opinions.shtml

Modified: 08/22/2008