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.

First Quarter

Additional Archives

Release No. Date Respondents
First Quarter
33-10460 Feb. 21, 2018 Francis V. Lorenzo (Order Denying Stay)
Other Release No.: 34-82755
34-82696 Feb. 12, 2018 Securities Industry and Financial Markets Association for Review of Actions Taken by Self-Regulatory Organizations (Supplemental Briefing Order)
34-82685 Feb. 9, 2018 Bloomberg L.P. (Amended Extension Order)
34-82682 Feb. 9, 2018 Bloomberg L.P. (Extension Order)
33-10457 Feb. 8, 2018 Timothy W. Carnahan and Cyios Corporation (Supplemental Briefing Order)
Other Release No.: 34-82667
34-82633 Feb. 5, 2018 Bruce Zipper (Order Denying Second Motion for Stay)
34-82606 Jan. 30, 2018 Lek Securities Corporation (Order Extending Time to Issue Decision)
34-82555 Jan. 19, 2018 Sunshine Capital, Inc. and Jimmy Wayne Anderson (Order Dismissing Petition to Terminate Trading Suspension)
34-82551 Jan. 19, 2018 Helpeo, Inc. (Order Dismissing Petition to Terminate Trading Suspension)
34-82526 Jan. 17, 2018 Bruce Zipper (Extension Order)
34-82500 Jan. 12, 2018 John M.E. Saad (Extension Order)
34-82486 Jan. 11, 2018 Bruce M. Zipper (Order Requesting Additional Written Submissions)