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.
Additional Archives
2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
| Release No. | Date | Respondents |
| FirstQuarter | ||
| 33-10296 | Jan. 26, 2017 | Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Denying Request to Exceed Word Limit)
Other Release No.: 34-79886 |
| 34-79871 | Jan. 24, 2017 | The Application of Cynthia C. Reinhart, CPA for Review of Action Taken by PCAOB (Order Scheduling Briefs) |
| 33-10287 | Jan. 23, 2017 | Allen M. Perres (Opinion of the Commission)
Other Release No.: 34-79858 |
| 34-79851 | Jan. 19, 2017 | Destina Mantar (Opinion of the Commission) |
| 34-79842 | Jan. 18, 2017 | The Application of Michael David Schwartz for Review of Action Taken by FINRA (Order Scheduling Briefs) | 34-79798 | Jan. 13, 2017 | Michael David Schwartz (Order Denying Stay) |
| 34-79797 | Jan. 13, 2017 | Keith Patrick Sequeira (Order Scheduling Briefs) |
| 34-79771 | Jan. 11, 2017 | The Application of Lek Securities Corporation for Review of Action Taken by FINRA (Order Scheduling Briefs) |
| 33-10277 | Jan. 6, 2017 | Harding Advisory LLC and Wing F. Chau (Opinion of the Commission)
Other Release Nos.: IA-4600, IC-32415 |
| 34-79744 | Jan. 5, 2017 | David Richard Kerr III (Opinion of the Commission) |
| 34-79722 | Jan. 3, 2017 | Behnam Halali (Opinion of the Commission) |