Federal (United States)
Sec adjudication
5,790 sections
5,790 sections
- 33-8031IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave, and Jerome B. Vernazza
- 33-8061Brian A. Schmidt, John Aristotle Dilworth, II, and Euro-Atlantic Securities, Inc. Rel. No.: 34-45330
- 33-8078Erik W. Chan Rel. No.: 34-45693
- 33-8102Daniel R. Lehl, Robert Schlien, American Capital Network, Inc., Melvin L. Levine, William David Jones, and Philip M. Georgeson
- 33-8139David A. Hesterman and Kenneth L. Weeks
- 33-8174Charles F. Kirby and Gene C. Geiger
- 33-8210Kenneth R. Ward
- 33-8213The City of Miami, Florida
- 33-8234John J. Kenny and Nicholson/Kenny Capital Management, Inc.
- 33-8239Monetta Financial Services, Inc., Robert S. Bacarella,and Richard D. Russo
- 33-8249Feeley & Willcox Asset Management Corp. and Michael J. Feeley Rel. Nos.: 34-48162 , IA-2143
- 33-8251Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation
- 33-8264Derek L. DuBois Rel. No. 34-48332
- 33-8265Mark David Anderson
- 33-8271Terence Michael Coxon, Alan Michael Sergyand World Money Managers Rel. Nos. 34-48385, IA-2161, IC-26165
- 33-8273Robert M. Fuller Rel. No. 34-48406
- 33-8274Byron G. Borgardt and Eric M. Banhazl Rel. No. IC-26169
- 33-8276Piper Capital Management, Inc., Marijo A. Goldstein, Robert H. Nelson, Amy K. Johnson, and Molly J. Destro Rel. Nos. 34-48409, IC-26167, IA-2163
- 33-8313Robert G. Weeks
- 33-8314Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, and Matthew R. Jennings
- 33-8333RichMark Capital Corporation and Doyle Mark White
- 33-8334Robert J. Setteducati
- 33-8344William C. Piontek
- 33-8345AZion Capital Management LLC and Ricky A. Lang
- 33-8348Stuart E. Winkler
- 33-8391Charles Trento
- 33-8395Orlando Joseph Jett
- 33-8417RichMark Capital Corporation and Doyle Mark White
- 33-8436Edgar B. Alacan
- 33-8437Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.
- 33-8441MicroCap Marketing, Inc. and Shane M. Nelson
- 33-8498James F. Glaza, d/b/a Falcon Financial Services, Inc. Other No.: 34-50474
- 33-8555Philip L. Pascale, CPA
- 33-8574Fundamental Portfolio Advisors, Inc., Lance M. Brofman and Fundamental Service Corporation
- 33-8622Steven E. Muth and Richard J. Rouse
- 33-8641Ira Weiss
- 33-8678Registration Statement of Apollo Publication Corporation (Order Dismissing Review Proceeding and Notice of Finality)
- 33-8679Vladlen "Larry" Vindman
- 33-8721Dolphin and Bradbury, Incorporated and Robert J. Bradbury
- 33-8824David Henry Disraeli and Lifeplan Associates, Inc.
- 33-8833Warren Lammert, Lars Soderberg, and Lance Newcomb
- 33-8865Michael Sassano, Dogan Baruh, Robert Okin, and R. Scott Abry
- 33-8880David Henry Disraeli and Lifeplan Associates, Inc.
- 33-8887Trautman 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)
- 33-8888John A. Carley, Eugene C. Geiger, Thomas A. Kaufmann, Edward H. Price, and Christopher H. Zacharias
- 33-8898Euro Capital Incorporated
- 33-8902Gregory O. Trautman
- 33-8937Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to James D. Edge)
- 33-8938Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to Jeffrey K. Robles)
- 33-8939Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles (Order Granting Partial Protective Order as to Thomas C. Bridge)
- 33-8952Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles
- 33-9068Thomas C. Bridge, James D. Edge and Jeffrey K. Robles
- 33-9076Rodney R. Schoemann
- 33-9085Guy P. Riordan
- 33-9088AGregory O. Trautman
- 33-9118John A. Carley, Eugene C. Geiger, Thomas A. Kaufmann, Edward H. Price and Christopher H. Zacharias (Order Dismissing Fraud and Reporting Allegations)
- 33-9189Sahas Technologies LLC (Order Dismissing Proceedings)
- 33-9197Ronald S. Bloomfield, Robert Gorgia, Victor Labi, John Earl Martin, Sr., and Eugene Miller (Order Granting Extension)
- 33-9239John P. Flannery and James D. Hopkins
- 33-9267Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Granting Partial Protective Order)
- 33-9299Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Opinion)
- 33-9304Eric David Wanger and Wanger Investment Management, Inc. (Order Denying Petition for Interlocutory Review)
- 33-9307John P. Flannery and James D. Hopkins (Order Denying Motions for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs)
- 33-9311Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (Order Denying Collins's Motion for Reconsideration of Civil Penalties)
- 33-9334Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Order Directing Additional Briefing)
- 33-9376Michael Bresner, et al.
- 33-9386Miguel A. Ferrer and Carlos J. Ortiz (Order Granting Extension)
- 33-9400optionsXpress, Inc., et al.; OX Trading, LLC, et al.
- 33-9413Michael Bresner, et al. (Order Granting Extension)
- 33-9417Johnny Clifton (Opinion)
- 33-9441Miguel A. Ferrer and Carlos J. Ortiz (Order Granting Second Motion for Extension)
- 33-9448Daniel J. Gallagher (Order Granting Motion to Amend Order Instituting Proceedings)
- 33-9449Jay T. Comeaux (Order Granting Petition for Review and Scheduling Briefs)
- 33-9463Michael Bresner, Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Second Extension)
- 33-9464Jilaine H. Bauer, Esq. (Order Dismissing Proceeding)
- 33-9465Johnny Clifton (Opinion)
- 33-9466OptionsXpress, Inc., et al. (Order Granting in Part and Denying in Part the Motions to Adduce Additional Evidence Regarding the CBOE Settlement)
- 33-9469Bernerd E. Young (Order Granting Petition for Review and Scheduling Briefs)
- 33-9474OptionsXpress, Inc. and Jonathan I. Feldman (Order Granting Petitions for Review and Scheduling Briefs)
- 33-9478John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Order Granting Interim Stay)
- 33-9479John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, George R. Jarkesy, Jr., John Thomas Financial, Inc., and Anastasios "Tommy" Belesis (Extension Order)
- 33-9486Johnny Clifton (Order Denying Motions for Reconsideration, the Introduction of New Evidence, and a New Hearing)
- 33-9492John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr.(Order Denying Petition for Interlocutory Review)
- 33-9507John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, George R. Jarkesy Jr., John Thomas Financial, Inc., and Anastasios "Tommy' Belesis (Order Extending Deadline for Filing Initial Decision)
- 33-9509Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Petitions for Review and Scheduling Briefs)
- 33-9512David F. Bandimere (Order Denying Motion for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs)
- 33-9514optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman (Order Directing Review and Issuing Notice That Initial Decision Has Become Final as to Thomas E. Stern)
- 33-9518Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Order Granting Extension to File Brief in Support of Petition for Review)
- 33-9519John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr. (Order Denying Petition for Interlocutory Review)
- 33-9553Ronald S. Bloomfield, Robert Gorgia, and John Earl Martin, Sr. (Opinion)
- 33-9555Gordon Brent Pierce (Opinion)
- 33-9560Multri-Precision, LLC (Order Dismissing Administrative Proceedings)
- 33-9561Harding Advisory LLC and Wing F. Chau (Order Denying Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines)
- 33-9580John P. Flannery and James D. Hopkins (Order Scheduling Oral Argument)
- 33-9583Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC (Order Denying Motion for Permission to File Late Petition for Review)
- 33-9584Gordon Brent Pierce (Order Denying Motion for Reconsideration)
- 33-9590Diego F. Hernandez, et al. (Order Dismissing Proceedings)
- 33-9598Gordon Brent Pierce (Order Granting Motion for Stay)
- 33-9602Joseph P. Doxey and William J. Daniel (Order Granting Petition for Review and Scheduling Briefs)
- 33-9609J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan (Order Granting Extension)