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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.
Second Quarter | First Quarter
Additional Archives
2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996
| Release No. |
Date |
Respondents |
| Second Quarter |
| 34-60180 |
Jun. 26, 2009 |
Husky Trading LLC, Eugene O'Brien, Michael Inemer, and Stephen Floirendo
|
| 34-60000 |
May 29, 2009 |
Maria T. Giesige
Other Release No.: IA-2886
|
| IA-2875 |
May 15, 2009 |
Mitchell M. Maynard and Dorice A. Maynard
|
| 34-59927 |
May 14, 2009 |
Boston Options Exchange Group, LLC (Order Dismissing Application for Review)
|
| 34-59874 |
May 6, 2009 |
William D. Shovers (Order Denying Motion to Lift Temporary Suspension and Directing Hearing)
|
| 34-59729 |
Apr. 8, 2009 |
Scott B. Gann
Other Release No.: IA-2684
|
| First Quarter |
| 34-59577 |
Mar. 13, 2009 |
Richard B. Feinberg
|
| 34-59550 |
Mar. 10, 2009 |
Joseph John VanCook (Order Denying Request for Extension of Time, Postponement, or Adjournment)
Other Release No.: IC-28644
|
| 34-59476 |
Feb. 27, 2009 |
Markland Technologies, Inc.
|
| 34-59404 |
Feb. 13, 2009 |
Luis Miguel Cespedes
|
| 34-59403 |
Feb. 13, 2009 |
Gary M. Kornman
Other Release No.: IA-2840
|
| 34-59328 |
Jan. 30, 2009 |
Scott Epstein
|
| 34-59326 |
Jan. 30, 2009 |
Michael Stegawski
|
| 34-59325 |
Jan. 30, 2009 |
CMG Institutional Trading, LLC and Shawn D. Baldwin
|
| 34-59268 |
Jan. 21, 2009 |
Nature's Sunshine Products, Inc.
|
| 34-59223 |
Jan. 9, 2009 |
Thomas W. Heath, III
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http://www.sec.gov/litigation/opinions.shtml
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