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Commission Opinions and Adjudicatory Orders
Archive 2007

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

Release No. Date Respondents
Fourth Quarter
34-57028 Dec. 21, 2007 Richard L. Sacks (Order Denying Stay)
See also:  Request for Immediate Stay of Effective Date of Approval Order; Notice: Rel. No. 34-55604; Order: Release No. 34-56540
33-8880 Dec. 21, 2007 David Henry Disraeli and Lifeplan Associates, Inc.
Other Release Nos.: 34-57027, IA-2686
34-56962 Dec. 13, 2007 Perpetual Securities, Inc. and Youwei P. Xu (Order Denying Motion for Reconsideration)
See also:  Opinion: Rel. No. 34-56613
34-56961 Dec. 13, 2007 Salvatore F. Sodano (Order Denying Motion for Summary Affirmation)
34-56912 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)
34-56886 Dec. 3, 2007 Stephen J. Horning
33-8865 Nov. 30, 2007 Michael Sassano, Dogan Baruh, Robert Okin, and R. Scott Abry
Other Release No.: 34-56874, IA-2679, IC-28070
34-56789 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)
34-56782 Nov. 13, 2007 Tudor Investment Corporation
34-56770 Nov. 8, 2007 Charles C. Fawcett, IV
34-56769 Nov. 8, 2007 Navistar International Corporation
34-56768 Nov. 8, 2007 Morton Bruce Erenstein
34-56756 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)
34-56741 Nov. 5, 2007 Sisung Securities Corporation and Lawrence J. Sisung, Jr.
34-56744 Nov. 5, 2007 Victor Teicher (Order Denying Petition to Modify Administrative Bar Order)
34-56685 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)
34-56649 Oct. 12, 2007 James E. Franklin
34-56613 Oct. 4, 2007 Perpetual Securities, Inc. and Youwei P. Xu
See also:  Reconsideration Order: Rel. No. 34-56962
Third Quarter
IA-2656 Sep. 26, 2007 Conrad P. Seghers
34-56344 Aug. 31, 2007 The Rockies Fund, Inc. (Order Denying Motion for Reconsideration)
Other Release No.:  IC-27961
See also:  Opinion: Rel. No. 34-48590
33-8833 Aug. 9, 2007 Warren Lammert, Lars Soderberg, and Lance Newcomb
Other Release No.: 34-56233, IA-2629, IC-27927
IA-2622 Jul. 26, 2007 Terry Harris
34-56100 Jul. 19, 2007 Gregg Heinze
34-56075 Jul. 13, 2007 John M. Lucarelli
33-8824 Jul. 11, 2007 David Henry Disraeli and Lifeplan Associates, Inc.
Other Release Nos.: 34-56045, IA-2618
34-56012 Jul. 5, 2007 David Henry Disraeli and Lifeplan Associates, Inc.
Second Quarter
34-55989 Jun. 29, 2007 Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot
Other Release Nos.: IA-2613, IC-27880
34-55988 Jun. 29, 2007 Richard F. Kresge
34-55987 Jun. 29, 2007 Kevin Hall, CPA and Rosemary Meyer, CPA
Other Release No.: AAER-2627
34-55978 Jun. 28, 2007 Florence Sarah Pollard (Order Dismissing Appeal)
34-55942 Jun. 22, 2007 Warren E. Turk
34-55867 Jun. 6, 2007 America's Sports Voice, Inc., n/k/a Milagro Holdings, Inc (Order Denying Motion for Reconsideration)
See also:  Opinion: Rel. No. 34-55511
34-55863 Jun. 5, 2007 FuelNation, Inc.
34-55848 Jun. 1, 2007 Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot
34-55828 May 30, 2007 Sky Capital LLC
34-55771 May 16, 2007 Bradley T. Smith
34-55731 May 9, 2007 Hans N. Beerbaum and Beerbaum & Beerbaum Financial and Insurance Services, Inc.
34-55706 May 4, 2007 Howard Brett Berger
34-55597A Apr. 6, 2007 Dennis A. Pearson, Jr.
See also: Opinion: Release No. 34-54913
First Quarter
34-55562 Mar. 30, 2007 Phlo Corporation, James B. Hovis, and Anne P. Hovis
34-55511 Mar. 22, 2007 America's Sports Voice, Inc., n/k/a Milagro Holdings, Inc.
See also:  Rel. No. 34-55867
34-55452 Mar. 13, 2007 Calvin David Fox
Note: See also Release Nos. 34-54840, 34-48731, and 34-48927
34-55318 Feb. 20, 2007 Global Crown Capital, LLC, J&C Global Securities Investments, LLC, Rani T. Jarkas, and Antoine K. Chaya
Other Release No.: IA-2591
34-55313 Feb. 20, 2007 Donner Corporation International, Jeffery L. Baclet, Vincent M. Uberti, and Paul A. Runyon
34-55304 Feb. 13, 2007 Navistar International Corporation (Order Denying Stay)
34-55227 Feb. 2, 2007 Raghavan Sathianathan
Note: See also Opinion, Release No. 34-54722
34-55107 Jan. 16, 2007 Jose P. Zollino
Other Release No.: IA-2579
34-55046 Jan. 5, 2007 Rooney A. Sahai

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2007.shtml
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Modified: 01/23/2009