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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.
Fourth Quarter | 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 |
Fourth Quarter |
34-58802 |
Oct. 17, 2008 |
Justin F. Ficken
Other Release No.: IA-2803
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34-58789 |
Oct. 15, 2008 |
Victor Teicher (Order Denying Motion to Modify Bar Order)
Other Release No.: IA-2799
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34-58756 |
Oct. 8, 2008 |
Joseph John VanCook (Order Granting Partial Protective Order)
Other Release No.: IC-28436
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34-58737 |
Oct. 6, 2008 |
Michael Frederick Siegel
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Third Quarter |
34-58632 |
Sep. 24, 2008 |
Michael Sassano
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34-58416 |
Aug. 22, 2008 |
Geoffrey Ortiz
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33-8952 |
Aug. 7, 2008 |
Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles
Other Release Nos.: 34-58329, IC-28353
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34-58230 |
Jul. 25, 2008 |
John D. Audifferen
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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)
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34-58075 |
Jul. 1, 2008 |
Wanda P. Sears
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34-58074 |
Jul. 1, 2008 |
Douglas J. Toth
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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
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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
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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
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34-58061 |
Jun. 30, 2008 |
Telcoblue, Inc. (Order Dismissing Proceeding)
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IC-28323 |
Jun. 30, 2008 |
Scott G. Monson
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IA-2750 |
Jun. 30, 2008 |
Robert Radano
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34-57864 |
May 23, 2008 |
Impax Laboratories, Inc.
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34-57857 |
May 23, 2008 |
Schon-Ex, LLC
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34-57855 |
May 23, 2008 |
Kevin Hall, CPA, and Rosemary Meyer, CPA
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34-57840 |
May 20, 2008 |
James Gerard O'Callaghan
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34-57839 |
May 20, 2008 |
Robert M. Ryerson (Order Granting Motion to Dismiss Petition for Review)
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34-57741 |
Apr. 30, 2008 |
Nasdaq Stock Market, LLC
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34-57740 |
Apr. 30, 2008 |
Matthew Brian Proman
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34-57656 |
Apr. 11, 2008 |
Paz Securities, Inc. and Joseph Mizrachi
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34-57655 |
Apr. 11, 2008 |
Dennis Todd Lloyd Gordon and Sterling Scott Lee
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First Quarter |
33-8902 |
Mar. 11, 2008 |
Gregory O. Trautman
Other Release No.: 34-57475, IA-2719, IC-28194
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34-57426 |
Mar. 4, 2008 |
Robert E. Strong
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33-8898 |
Feb. 21, 2008 |
Euro Capital Incorporated
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34-57266 |
Feb. 4, 2008 |
Jeffrey L. Gibson
Other Release No.: IA-2700
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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
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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
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34-57244 |
Jan. 31, 2008 |
Gregory M. Dearlove
Other Release No.: AAER-2779
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IA-2694 |
Jan. 16, 2008 |
Warwick Capital Management, Inc. and Carl Lawrence
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34-57138 |
Jan. 14, 2008 |
Wedbush Morgan Securities, Inc. (Order Dismissing Proceedings)
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http://www.sec.gov/litigation/opinions.shtml
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