二八杠技术

Commission Opinions and Adjudicatory Orders

二八杠技术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
34-88346 Mar. 9, 2020 Alpine Securities Corporation the National Securities Clearing Corporation (Order Requiring Additional Written Submissions)
34-88334 Mar. 5, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88333 Mar. 5, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
33-10764 Mar. 5, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88336, IA-5459, IC-33812
34-88311 Mar. 2, 2020 Randall S. Goulding (Extension Order)
34-88306 Feb. 28, 2020 Blair Edwards Olsen (Renewed Order Scheduling Briefs)
34-88298 Feb. 27, 2020 Robert R. Tweed (Extension Order)
33-10759 Feb. 25, 2020 Matthew R. Rossi and Sjl Capital, LLC (Order Granting Request for Protective Order)
Other Release Nos.: 34-88278, IA-5449
34-88268 Feb. 24, 2020 Edward Beyn Financial Industry Regulatory Authority (Extension Order)
34-88252 Feb. 20, 2020 Schulman Lobel Zand Katzen Williams & Blackman and LLP a/k/a Schulman Lobel LLP (Order)
34-88250 Feb. 20, 2020 Wilson-Davis & Co., Inc., James C. Snow and Byron B. Barkley (Extension Order)
34-88244 Feb. 19, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88228 Feb. 18, 2020 Diversified Corporate Resources, Inc., NetWolves Corporation and Samdrew VIII, Inc. (Opinion of the Commission)
34-88226 Feb. 18, 2020 American Smooth Wave Ventures, Inc. (Opinion of the Commission)
34-88222 Feb. 14, 2020 Robert R. Tweed (Order Scheduling Briefs)
33-10754 Feb. 14, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-88224
34-88203 Feb. 13, 2020 Biscayne Acquisition Group Inc. and Teleplus World, Corp. (Opinion of the Commission)
34-88201 Feb. 13, 2020 Capital Trust Holdings, Inc., Florida Gaming Corporation and Go Public, Inc. (Opinion of the Commission)
34-88196 Feb. 13, 2020 Biolog, Inc., Bozki, Inc. and China Gewang Biotechnology, Inc. (Opinion of the Commission as to Biolog, Inc., and China Gewang Biotechnology, Inc.)
34-88193 Feb. 13, 2020 Armco Metals Holdings, Inc., Global Future City Holding, Inc. and Traceguard Technologies, Inc. (Opinion of the Commission)
34-88187 Feb. 12, 2020 Knowledgebroker, Inc., et al. (Opinion of the Commission)
34-88185 Feb. 12, 2020 Enhanced Services Company, Inc. and Ingenex, Inc. (Opinion of the Commission)
34-88184 Feb. 12, 2020 Neco Energy Corporation, Neighborhood Investment, Ltd. and New Dawn Entertainment Inc. (Opinion of the Commission)
34-88183 Feb. 12, 2020 Equality Investments, Inc., Freedom Financial Corporation and Mustang Resources Inc. (Opinion of the Commission)
34-88156 Feb. 7, 2020 Kimberly Springsteen-Abbott (Opinion of the Commission)
34-88152 Feb. 7, 2020 Oriental Magic Soup, Inc., et al. (Order to Show Cause as to Oriental Magic Soup, Inc., and You Han Data Tech Co Ltd.)
34-88151 Feb. 7, 2020 Healthway Shopping Network, Monetiva, Inc. and Unity Global Holdings Ltd. (Order to Show Cause as to Healthway Shopping Network and Unity Global Holdings Ltd.)
34-88149 Feb. 7, 2020 Pacific Telcom, Inc., et al. (Order to Show Cause)
34-88148 Feb. 7, 2020 Medisun Precision Medicine, Ltd., Next Graphite, Inc. and Omni Shrimp, Inc. (Order to Show Cause as to Medisun Precision Medicine, Ltd., and Omni Shrimp, Inc.)
34-88147 Feb. 7, 2020 Commonwealth Capital Securities Corp. (Order Extending Time to Issue Decision)
34-88141 Feb. 6, 2020 Edward Beyn and Craig S. Taddonio (Order Scheduling Supplemental Briefs)
34-88138 Feb. 6, 2020 Matthew Rossi and SJL Capital LLC (Order Granting Petition for Review and Scheduling Briefs)
34-88130 Feb. 5, 2020 China Tongzilian Group Share Limited, Inc. (Order to Show Cause)
34-88129 Feb. 5, 2020 Greenhouse Solutions, Inc. and Latitude 360, Inc. (Order to Show Cause)
34-88128 Feb. 5, 2020 IMC Holdings, Inc., Microphase Corporation and Wintahenderson International, Inc. (Order to Show Cause as to Imc Holdings, Inc., and Wintahenderson International, Inc.)
34-88127 Feb. 5, 2020 Greenwood Hall, Inc., PMX Communities, Inc. and Surepure, Inc. (Order to Show Cause as to Greenwood Hall, Inc.)
34-88126 Feb. 5, 2020 China Xingbang Industry Group, Inc. and Kingsmen Capital Group, Ltd. (Order to Show Cause as to China Xingbang Industry Group, Inc.)
34-88125 Feb. 5, 2020 Golden Rush, Inc., Legall Holdings, Inc. and My Healthy Access, Inc. (Order to Show Cause as to Legall Holdings, Inc., and My Healthy Access, Inc.)
34-88124 Feb. 5, 2020 Gopi Krishna Vungarala (Order Extending Time to Issue Decision)
34-88115 Feb. 4, 2020 Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Order Scheduling Briefs)
34-88106 Jan. 30, 2020 LBB & Associates Ltd., LLP and Carlos Lopez, CPA (Order)
34-88099 Jan. 30, 2020 Anpulo Food Development, Inc., et al. (Order Dismissing Proceeding as to Delta Oil & Gas, Inc.)
34-88097 Jan. 30, 2020 Cellular Concrete Technologies, Inc., Gold Mountain, Inc. and Powerwave Technologies, Inc. (Order Dismissing Proceeding as to Cellular Concrete Technologies, Inc.)
34-88095 Jan. 30, 2020 Alphametrix Managed Futures LLC, et al. (Order Dismissing Proceeding as to APT Motovox Group, Inc.)
34-88088 Jan. 29, 2020 Ceetop Inc. n/k/a S.Q. Hydrogen Power, Inc., China Internet Café Holdings Group, Inc. and Starlight Supply Chain Management Company (Order to Show Cause)
34-88087 Jan. 29, 2020 Sweetwater Investing, Inc. and Thunor International, Inc. (Order to Show Cause)
34-88086 Jan. 29, 2020 BCI Holding Inc., Bulova Technologies Group, Inc. and Omni Bio Pharmaceutical, Inc. (Order to Show Cause)
34-88084 Jan. 29, 2020 Aramex International Limited (Order to Show Cause)
34-88085 Jan. 29, 2020 Aroga Holding Corp., Global Sources Limited and United States Properties, Inc. (Order to Show Cause)
34-88083 Jan. 29, 2020 ASN Satellites, Inc., et al. (Order to Show Cause)
34-88082 Jan. 29, 2020 Fighton Succession Corporation and Grand Enterprises, Inc. (Order to Show Cause)
34-88081 Jan. 29, 2020 BTHC X, Inc., Eco Building Products, Inc. and Kama Resources Inc. (Order to Show Cause as to BTHC X, Inc.)
34-88079 Jan. 29, 2020 Rolling Pin Kitchen Emporium, Inc. and Speed of Thought, Inc. (Order to Show Cause)
34-88074 Jan. 29, 2020 Aurios Inc., et al. (Order Dismissing Proceeding Against Monar International, Inc.)
34-88069 Jan. 29, 2020 Hydrogen Future Corporation, et al. (Order Dismissing Proceeding Against Liberty Energy Corp.)
34-88068 Jan. 29, 2020 Guardian 8 Holdings, et al. (Order Dismissing Proceeding Against Verde Science, Inc.)
34-88067 Jan. 29, 2020 Apptigo International, Inc., et al. (Order Dismissing Proceeding Against JD International Limited)
IA-5438 Jan. 28, 2020 Patrick L. O'connor (Order Regarding Status Reports)
IA-5437 Jan. 28, 2020 Jaswant Gill (Order to Show Cause)
34-88065 Jan. 28, 2020 KJM Securities, Inc. (Order Scheduling Briefs)
34-88060 Jan. 28, 2020 Scottsdale Capital Advisors Corporation, et al. (Order Extending Time to Issue Decision)
34-88053 Jan. 27, 2020 KJM Securities, Inc. (Order Denying Stay)
34-88038 Jan. 24, 2020 Thomas Christophe Prentice (Order Severing Briefs)
34-88032 Jan. 24, 2020 Consolidated Arbitration Applications (Order Severing Proceedings)
34-88027 Jan. 23, 2020 Blair Edwards Olsen (Order Scheduling Briefs)
33-10746 Jan. 21, 2020 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Extending Time to Issue Decision)
Other Release Nos.: 34-88011, IA-5435, IC-33749
34-88010 Jan. 21, 2020 Newport Coast Securities, Inc. (Order Extending Time to Issue Decision)
34-88006 Jan. 17, 2020 TMR Bayhead Securities, LLC (Opinion of the Commission)
34-88001 Jan. 16, 2020 Joseph S. Amundsen, CPA, Michael T. Remus, CPA and Michael Remus, CPA (Corrected Order Granting Petitions for Review and Scheduling Briefs)
Other Release No.: AAER-4114
33-10744 Jan. 15, 2020 Alexandre S. Clug, et al. (Order Extending Time to Issue Decision)
Other Release No.: 34-87977; IC-33747
IA-5433 Jan. 14, 2020 Mark J. Moskowitz (Order)
33-10743 Jan. 10, 2020 Edward M. Daspin and a/k/a "Edward (Ed) Michael" (Extension Order)
Other Release No.: 34-87944
IA-5430 Jan. 9, 2020 Patrick L. O'Connor (Order Regarding Service)
34-87920 Jan. 9, 2020 Carol J. Wayland (Order Regarding Service)
34-87913 Jan. 8, 2020 Kimberly Springsteen-Abbott (Order Extending Time to Issue Decision)
IA-5425 Jan. 7, 2020 Randall S. Goulding (Extension Order)
34-87898 Jan. 6, 2020 William H. Murphy & Co. and William H. Murphy (Order Extending Time to Issue Decision)
34-87888 Jan. 3, 2020 Roman Sledziejowski (Order Regarding Service)
34-87887 Jan. 3, 2020 Treehouse Real Estate Investment Trust (Order Requesting Additional Briefs)
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