Federal (United States)
Sec adjudication
5,790 sections
5,790 sections
- 33-9628Donald J. Anthony, Jr. et al. (Order Granting Extension)
- 33-9631John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC; Jarkesy, George R., Jr.; John Thomas Financial, Inc.; Belesis, Anastasios "Tommy" (Order Extending Deadline for Filing Initial Decision)
- 33-9632Harding Advisory LLC and Wing F. Chau (Order Granting Extension)
- 33-9633Jay T. Comeaux (Order Remanding for Further Proceedings)
- 33-9639Daniel J. Gallagher (Order Granting Extension to File Petition for Review)
- 33-9640Larry C. Grossman and Gregory J. Adams (Order Extending Deadline for Filing Initial Decision)
- 33-9641Julieann Palmer Martin (Order Extending Deadline for Filing Initial Decision)
- 33-9664John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr. (Order Denying Interlocutory Review with Respect to Respondents' Motion for Order Directing Alternative Procedure for Filing, Service and Publication of Initial Decision)
- 33-9688John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, and George R. Jarkesy and Jr. (Order Granting Review and Scheduling Briefs)
- 33-9689John P. Flannery and James D. Hopkins (Opinion of the Commission)
- 33-9703John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy Jr. (Order Directing Additional Submission)
- 33-9710Donald J. Anthony, et al. (Order Granting Second Motion for Extension)
- 33-9716Larry C. Grossman (Order Granting Petition for Review and Scheduling Briefs)
- 33-9722Natural Blue Resources, Inc., et al. (Order Denying Petition for Interlocutory Review)
- 33-9727Anthony Fields, CPA d/b/a Anthony Fields & Associates and d/b/a Platinum Securities Brokers (Opinion of the Commission Broker-Dealer Proceeding Investment Adviser Proceeding Cease-and-Desist Proceeding Grounds for Remedial Action Antifraud Violations Registration Violations)
- 33-9728John Thomas Capital Management Group LLC d/b/a Patriot28 LLC, and George R. Jarkesy Jr. (Order Denying Motion to Stay Administrative Proceeding)
- 33-9730Total Wealth Management, Inc., et al. (Order Granting Extension)
- 33-9731Harding Advisory LLC and Wing F. Chau (Order Granting Petition for Review and Scheduling Briefs)
- 33-9762Francis V. Lorenzo (Cease-and-Desist Proceeding)
- 33-9763Harding Advisory LLC and Wing F. Chau (Order Directing the Filing of Supplemental Briefs)
- 33-9765Lawrence M. Labine (Order Granting Extension)
- 33-9766Natural Blue Resources, Inc., James E. Cohen and Joseph A. Corazzi (Order Granting Extension)
- 33-9775Dennis J. Malouf (Order Granting Review and Scheduling Briefs)
- 33-9790Frank H. Chiappone, et al. (Order Granting Petitions for Review and Scheduling Briefs)
- 33-9797Michael H. Johnson (Order Directing the Filing of Opposition and Reply Briefs)
- 33-9798Ralph Calabro, Jason Konner and Dimitrios Koutsoubos (Opinion of the Commission)
- 33-9803Francis V. Lorenzo (Order Denying Lorenzo's Motion for Reconsideration)
- 33-9805Frank H. Chiappone, et al. (Extension and Word Limit Order)
- 33-9873optionsXpress, Inc. and Jonathan I. Feldman (Order Directing Additional Briefing)
- 33-9875John Thomas Capital Management Group LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr (Order Granting in Part and Deferring in Part Motion to Adduce Additional Evidence and Requesting Additional Briefing)
- 33-9883David F. Bandimere (Order Granting Motion for Submission of Additional Evidence and Permitting Supplemental Briefing)
- 33-9912Moshe Marc Cohen (Order Requesting Additional Submissions)
- 33-9923Frank H. Chiappone, et al. (Order Granting Extension)
- 33-9958Reliance Financial Advisors, LLC, et al. (Order Granting Extension)
- 33-9966Natural Blue Resources, Inc., James E. Cohen and Joseph A. Corazzi (Order Granting Petition for Review and Scheduling Briefs)
- 33-9972David F. Bandimere (Opinion of the Commission)
- 33-9975J.S. Oliver Capital Management, L.P. and Ian O. Mausner (Order Granting Motion to Submit Supplemental Briefing)
- 33-9977Diane Dalmy, Esq. (Order Granting Petition for Review and Scheduling Briefs)
- 33-9979Jacob Keith Cooper (Order Directing the Filing of Briefs)
- 33-9985Joseph C. Ruggieri (Order Denying Motion for Summary Affirmance, Granting Petitions for Review, and Scheduling Briefs)
- 33-10005Lawrence M. Labine (Order Granting Motion for Extension)
- 33-10031Timothy W. Carnahan and Cyios Corporation (Order Granting Petition for Review and Scheduling Briefs)
- 33-10035Jacob Keith Cooper (Order Dismissing Untimely Petition for Review)
- 33-10038Edward M. Daspin, (aka "Edward (Ed) Michael"); and Luigi Agostini (Order Denying Stay)
- 33-10040Edward M. Daspin, et al. (Order Granting Extension)
- 33-10044Timothy S. Dembski (Order Granting Petition for Review and Scheduling Briefs)
- 33-10048Richard D. Feldmann (Order Scheduling Briefs)
- 33-10057Alexandre S. Clug (Order Granting Petition for Review and Scheduling Briefs)
- 33-10060Bernerd E. Young (Opinion of the Commission)
- 33-10066Equity Trust Company (Order Granting Extension)
- 33-10067Gordon Brent Pierce (Order Denying Motion to Vacate Commission Orders)
- 33-10069Russell C. Schalk, Jr. (Order Granting Petition for Review and Scheduling Briefs)
- 33-10076Alexandre S. Clug (Order Denying Petition to Reject Division's Cross-Petition for Review as Untimely, Granting the Division's Cross-Petition, and Setting a Briefing Schedule)
- 33-10077Joseph P. Doxey (Opinion)
- 33-10078Richard D. Feldmann (Order Denying Request to Reduce Agreed Disgorgement Amount)
- 33-10084Terry M. Deru (Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars)
- 33-10100J.S. Oliver Capital Management, L.P. and Ian O. Mausner (Opinion of the Commission)
- 33-10109Russell C. Schalk, Jr. (Order Requesting Additional Briefs)
- 33-10112Millennium Partners, L.P., et al. (Order Granting Motion to Modify)
- 33-10115Dennis J. Malouf (Opinion of the Commission)
- 33-10116Bernerd E. Young (Partial Stay Order)
- 33-10119Thomas C. Gonnella (Opinion of the Commission)
- 33-10121J.S. Oliver Capital Management, L.P. and Ian O. Mausner (Partial Stay Order)
- 33-10123Equity Trust Company (Order Granting Petitions for Review and Scheduling Briefs)
- 33-10124Allen M. Perres (Order Granting Petition for Review and Scheduling Briefs)
- 33-10125optionsXpress, Inc. and Jonathan I. Feldman (Opinion of the Commission)
- 33-10126Bennett Group Financial Services, LLC and Dawn J. Bennett (Order Granting Petition for Review and Scheduling Briefs)
- 33-10202Dennis J. Malouf (Order Granting Partial Stay)
- 33-10205Moshe Marc Cohen (Opinion of the Commission and Order Imposing Remedial Sanctions)
- 33-10206optionsXpress, Inc. and Jonathan I. Feldman (Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to optionsXpress, Inc.)
- 33-10207Dennis J. Malouf (Corrected Order Imposing Remedial Sanctions)
- 33-10219Russell C. Schalk, Jr. (Russell C. Schalk, Jr.)
- 33-10225Thomas C. Gonnella (Order Granting Partial Stay)
- 33-10227Larry C. Grossman (Opinion of the Commission)
- 33-10235Med-X, Inc. (Order Directing Hearing)
- 33-10240Gregory Osborn (Order Scheduling Briefs)
- 33-10244Larry C. Grossman (Order Granting Partial Stay)
- 33-10260Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Granting Petition for Review and Scheduling Briefs)
- 33-10277Harding Advisory LLC and Wing F. Chau (Opinion of the Commission)
- 33-10287Allen M. Perres (Opinion of the Commission)
- 33-10296Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Order Denying Request to Exceed Word Limit)
- 33-10298Edward T. Borg (Order Requesting Additional Briefing)
- 33-10299Eric David Wanger (Order Requesting Additional Briefing)
- 33-10300Walter V. Gerasimowicz (Order Requesting Additional Briefing)
- 33-10301Brian J. Mulkeen (Order Requesting Additional Briefing)
- 33-10308James S. Tagliaferri (Opinion of the Commission)
- 33-10318Bioelectronics Corp., et al. (Order Granting Petition for Review and Scheduling Briefs)
- 33-10326Timothy S. Dembski (Opinion of the Commission)
- 33-10328Joseph J. Fox (Opinion of the Commission)
- 33-10330Harding Advisory LLC and Wing F. Chau (Partial Stay Order)
- 33-10331Bennett Group Financial Services, LLC and Dawn J. Bennett (Opinion of the Commission)
- 33-10351Bennett Group Financial Services, LLC and Dawn J. Bennett (Order Denying Respondents' Motion for Leave to File Supplemental Brief)
- 33-10353Middlebury Securities, LLC and Gregory Osborn (Notice that Initial Decision Has Become Final)
- 33-10354James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Order Granting Petitions for Review and Scheduling Briefs)
- 33-10365In re: Pending Administrative Proceedings (Order)
- 33-10370James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Order Granting Leave to Adduce Additional Evidence)
- 33-10372James E. Cohen and Joseph A. Corazzi (Stay Notice)
- 33-10373Diane Dalmy, Esq. (Stay Notice)
- 33-10374James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Extension Order)
- 33-10375Bennett Group Financial Services, LLC and Dawn J. Bennett (Stay Order)