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Commission Opinions & Orders
This list below provides links to opinions and orders issued by the Commission on appeal of Initial ALJ Decisions or disciplinary decisions issued by self-regulatory organizations (such as the NYSE or NASD).
Release No. |
Date |
Respondents |
34-50514 |
Oct. 12, 2004 |
e-Smart Technologies, Inc.
PDF version
|
34-50513 |
Oct. 12, 2004 |
Allen Douglas Securities, Inc.
PDF version
|
34-50480 |
Sep. 30, 2004 |
Carroll A. Wallace, CPA
Other No.: AAER-2119
See Opinion
PDF version
|
33-8498 |
Sep. 30, 2004 |
James F. Glaza, d/b/a Falcon Financial Services, Inc.
Other No.: 34-50474
PDF version
|
34-50411 |
Sep. 20, 2004 |
Michael T. Studer
PDF version
|
34-50393 |
Sep. 16, 2004 |
Scott E. Wiard
PDF version
|
34-50343 |
Sep. 10, 2004 |
Marshall Financial, Inc.
PDF version
|
34-50324 |
Sep. 7, 2004 |
Lek Securities Corp. and Samuel F. Lek
PDF version
|
34-50219 |
Aug. 19, 2004 |
Joseph J. Vastano, Jr.
PDF version
|
34-50168 |
Aug. 9, 2004 |
Russell W. Stein
PDF version
Other No.: IA-2274
(Note: Reconsideration order; see Opinion in this matter) |
34-50031 |
Jul. 16, 2004 |
Chris Dinh Hartley
PDF version
|
34-50030 |
Jul. 16, 2004 |
e-Smart Technologies, Inc. f/k/a Plainview Laboratories, Inc.
PDF version
|
33-8441 |
Jul. 13, 2004 |
MicroCap Marketing, Inc. and Shane M. Nelson
PDF version
|
34-50008 |
Jul. 13, 2004 |
IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter
PDF version
See also: Release No. 33-8252 |
33-8437 |
Jul. 7, 2004 |
Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.
PDF version
Other Nos.: 34-49979; IA-2258 |
33-8436 |
Jul. 6, 2004 |
Edgar B. Alacan
PDF version |
IA-2253 |
Jun. 23, 2004 |
Clarke T. Blizzard and Rudolph Abel
PDF version |
34-49894 |
Jun. 18, 2004 |
Peter F. Comas
PDF version |
34-49819 |
Jun. 7, 2004 |
Reuben D. Peters and Peters Securities Co., LP
PDF version |
34-49788 |
Jun. 1, 2004 |
The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power
PDF version
(Note: Reconsideration order; see Opinion in this matter) |
34-49727 |
May 19, 2004 |
Gina M. Guzzone
PDF version |
34-49666 |
May 7, 2004 |
Citadel Securities Corp.
PDF version |
33-8417 |
Apr. 30, 2004 |
RichMark Capital Corporation and Doyle Mark White
PDF version
(Note: Order Making Sanctions Effective; see Opinion in this matter) |
34-49542 |
Apr. 8, 2004 |
Anthony H. Barkate
PDF version |
34-49389 |
Mar. 10, 2004 |
Amr Elgindy and Key West Securities, Inc.
PDF version |
34-49375 |
Mar. 8, 2004 |
Bearcat, Inc., Seth Diamond, and Peter Fineberg
PDF version |
33-8395 |
Mar. 5, 2004 |
Orlando Joseph Jett
Release No. 34-49366
PDF version |
33-8391 |
Feb. 23, 2004 |
Charles Trento |
34-49255 |
Feb. 13, 2004 |
Toni Valentino
PDF version |
34-49248 |
Feb. 13, 2004 |
Mark H. Love
PDF version |
34-49216 |
Feb. 10, 2004 |
Dane S. Faber
PDF version |
34-49182 |
Feb. 4, 2004 |
James Thomas McCurdy, CPA
Release No. AAER-1952
PDF version |
34-49076 |
Jan. 14, 2004 |
Bloomberg L.P.
PDF version |
34-49052 |
Jan. 12, 2004 |
Stephen Michael Sohmer and Spyder Securities, Inc.
PDF version |
35-27782 |
Dec. 29, 2003 |
Enron Corporation
PDF version |
34-49002 |
Dec. 29, 2003 |
Edward I. Frankel |
34-49001 |
Dec. 29, 2003 |
Ciro Cozzolino |
34-49000 |
Dec. 29, 2003 |
Stephen S. Wien |
33-8348 |
Dec. 17, 2003 |
Stuart E. Winkler
PDF version |
34-48927 |
Dec. 16, 2003 |
Calvin David Fox
PDF version |
34-48917 |
Dec. 12, 2003 |
Marshall Financial, Inc.
PDF version |
33-8345 |
Dec. 11, 2003 |
Zion Capital Management LLC and Ricky A. Lang
Release Nos. 34-48904; IC-26289; IA-2200
PDF version |
33-8344 |
Dec. 11, 2003 |
William C. Piontek
Release No. 34-48903
PDF version |
34-48866 |
Dec. 3, 2003 |
Nicholas T. Avello
PDF version |
33-8334 |
Nov. 7, 2003 |
Robert J. Setteducati
PDF version |
34-48760 |
Nov. 7, 2003 |
David M. Levine and Triple J Partners, Inc.
PDF version |
33-8333 |
Nov. 7, 2003 |
RichMark Capital Corporation and Doyle Mark White
Release No. 34-48758
PDF version
(Note: Order Making Sanctions Effective)
(Court of Appeals Opinion available)
|
34-48731 |
Oct. 31, 2003 |
Calvin David Fox
PDF version |
34-48707 |
Oct. 28, 2003 |
Richard Kwiatkowski
PDF version |
33-8314 |
Oct. 24, 2003 |
Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, and Matthew R. Jennings
Release No. 34-48691
PDF version
(Note: Reconsideration order available) |
33-8313 |
Oct. 23, 2003 |
Robert G. Weeks
Release No. 34-48684
PDF version |
34-48618 |
Oct. 9, 2003 |
Anthony A. Adonnino and Thomas Cannizzaro |
34-48590 |
Oct. 2, 2003 |
The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, John C. Power
(Note: Reconsideration order available) |
IA-2179 |
Oct. 2, 2003 |
The Barr Financial Group, Inc. and Alfred E. Barr
(Note: Reconsideration order available)
|
34-48573 |
Sep. 30, 2003 |
National Association of Securities Dealers, Inc. and NASDAQ Stock Market, Inc.
|
34-48554 |
Sep. 26, 2003 |
Edward John McCarthy
|
34-48550 |
Sep. 26, 2003 |
Ko Securities, Inc. and Terrance Y. Yoshikawa
|
34-48473 |
Sep. 10, 2003 |
Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams
|
34-48433 |
Sep. 03, 2003 |
Perpetual Securities, Inc.
Rel. No. 34-48433 |
33-8276 |
Aug. 26, 2003 |
Piper Capital Management, Inc., Marijo A. Goldstein, Robert H. Nelson, Amy K. Johnson, and Molly J. Destro
Rel. Nos. 34-48409, IC-26167, IA-2163 |
33-8274 |
Aug. 25, 2003 |
Byron G. Borgardt and Eric M. Banhazl
Rel. No. IC-26169 |
33-8273 |
Aug. 25, 2003 |
Robert M. Fuller
Rel. No. 34-48406 |
33-8271 |
Aug. 21, 2003 |
Terence Michael Coxon, Alan Michael Sergy and World Money Managers
Rel. Nos. 34-48385; IA-2161; IC-26165 |
34-48378 |
Aug. 20, 2003 |
Wheat, First Securities, Inc., f/k/a First Union Capital Markets Corp. and Teressa L. Cawley
|
34-48372 |
Aug. 20, 2003 |
Carroll A. Wallace, C.P.A.
Rel. No. AAER-1846
See Order |
33-8265 |
Aug. 15, 2003 |
Mark David Anderson
Rel. No. 34-48352 |
33-8264 |
Aug. 13, 2003 |
Derek L. DuBois
Rel. No. 34-48332 |
34-48292 |
Aug. 6, 2003 |
James L. Bari, Jr.
|
34-48255 |
Jul. 30, 2003 |
Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.
Rel. No.: IA-2152
|
34-48254 |
Jul. 30, 2003 |
Ralph W. LeBlanc
|
34-48246 |
Jul. 29, 2003 |
Michael J. Marrie, CPA and Brian L. Berry, CPA
Rel. No.: AAER-1823
(Court of Appeals Opinion available)
|
34-48245 |
Jul. 29, 2003 |
Nolan Wayne Wade
|
34-48238 |
Jul. 28, 2003 |
Barry C. Scutillo
Rel. No.: AAER-1822
|
IA-2151 |
Jul. 25, 2003 |
Marshall E. Melton and Asset Management & Research, Inc.
Rel. No.: 34-48228
|
33-8251 |
Jul. 15, 2003 |
Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation
|
33-8249 |
Jul. 10, 2003 |
Feeley & Willcox Asset Management Corp. and Michael J. Feeley
Rel. Nos.: 34-48162 , IA-2143
(Note: Reconsideration order available) |
34-48146 |
Jul. 9, 2003 |
Richard J. Adams |
34-48143 |
Jul. 9, 2003 |
Robert Thomas Clawson |
34-48092 |
Jun. 26, 2003 |
Robert Bruce Lohmann |
34-48087 |
Jun. 25, 2003 |
David I. Cassuto |
33-8239 |
Jun. 9, 2003 |
Monetta Financial Services, Inc., Robert S. Bacarella,
and Richard D. Russo
Release Nos.: 34-48001; IA-2136; IC-26070 |
34-47980 |
Jun. 4, 2003 |
WHX Corporation
(Court of Appeals Opinion available)
|
34-47859 |
May 14, 2003 |
Wendell D. Belden |
33-8234 |
May 14, 2003 |
John J. Kenny and Nicholson/Kenny Capital Management, Inc.
(Court of Appeals Opinion available)
|
34-47784 |
May 2, 2003 |
Clarence Z. Wurts |
34-47627 |
Apr. 3, 2003 |
John R. D'Alessio, and D'Alessio Securities, Inc.
(Note: Reconsideration order available)
(Court of Appeals Opinion available)
|
34-47626 |
Apr. 3, 2003 |
MFS Securities Corp.
(Court of Appeals Opinion available)
|
IA-2119 |
Mar. 27, 2003 |
Charles K. Seavey |
34-47572 |
Mar. 26, 2003 |
Robert L. McCook |
33-8213 |
Mar. 21, 2003 |
The City of Miami, Florida |
34-47542 |
Mar. 20, 2003 |
Javed Anver Latef and Larry Alan Stockett |
34-47537 |
Mar. 19, 2003 |
Tower Trading, L.P.
(Note: Reconsideration order available) |
34-47534 |
Mar. 19, 2003 |
Robert Tretiak |
33-8210 |
Mar. 19, 2003 |
Kenneth R. Ward Release No. 34-47535
(Court of Appeals Opinion available) |
34-47504 |
Mar. 14, 2003 |
Russell W. Stein, Ford D. Albritton, Jr.,
and Dover and Associates, Inc.
(Note: Reconsideration order available) |
34-47502 |
Mar. 14, 2003 |
John Roger Faherty |
34-47501 |
Mar. 14, 2003 |
William J. Gallagher |
34-47476 |
Mar. 10, 2003 |
James B. Chase |
34-47461 |
Mar. 7, 2003 |
Barry Wayne Blank |
34-47357 |
Feb. 12, 2003 |
Nicholas P. Howard
(Court of Appeals Opinion available)
|
34-47335 |
Feb. 10, 2003 |
Jack H. Stein |
34-47227 |
Jan. 22 2003 |
John Montelbano, Gerard McMahon, and Michael Galasso, Jr.
(Note: Reconsideration order available) |
33-8174 |
Jan. 9, 2003 |
Charles F. Kirby and Gene C. Geiger
(Court of Appeals Opinion available)
|
34-47142 |
Jan. 8, 2003 |
Michael F. Flannigan |
34-46780 |
Nov. 7, 2002 |
Nicholas T. Avello |
34-46746 |
Oct. 30, 2002 |
Frank Thomas Devine |
34-46708 |
Oct. 23, 2002 |
Daniel D. Manoff |
34-46710 |
Oct. 23, 2002 |
Ernst & Young LLP
Release No. AAER-1654 |
34-46709 |
Oct. 23, 2002 |
Warren B. Minton, Jr. |
33-8139 |
Oct. 22, 2002 |
David A. Hesterman and Kenneth L. Weeks
Release No. 34-46715 |
34-46511 |
Sept. 18, 2002 |
Gary A. Fox |
34-46439 |
Aug. 30, 2002 |
David E. Lynch |
IA-2052 |
Aug. 30, 2002 |
Christopher A. Lowry |
34-46405 |
Aug. 23, 2002 |
Joseph P. Galluzzi |
34-46269 |
Jul. 26, 2002 |
Daniel Richard Howard
(Note: Reconsideration order available) |
34-46161 |
Jul. 3, 2002 |
John S. Brownson |
34-46127 |
Jun. 26, 2002 |
George J. Kolar |
33-8102 |
May 17, 2002 |
Daniel R. Lehl, Robert Schlien, American Capital Network, Inc., Melvin L. Levine, William David Jones, and Philip M. Georgeson
|
34-45926 |
May 15, 2002 |
John P. Goldsworthy |
34-45923 |
May 14, 2002 |
Sandra K. Simpson and Daphne Ann Pattee
Note: See also the Erratum (File name: 34-45923A.htm)
|
34-45846 |
Apr. 29, 2002 |
John R. D'Alessio, and D'Alessio Securities, Inc. |
IA-2032 |
Apr. 23, 2002 |
Clarke T. Blizzard and Rudolph Abel |
IA-2030 |
Apr. 23, 2002 |
Clarke T. Blizzard |
34-45694 |
Apr. 4, 2002 |
Fu-Sung Peter Wu |
33-8078 |
Apr. 4, 2002 |
Erik W. Chan Rel. No.: 34-45693 |
34-45691 |
Apr. 4, 2002 |
Howard R. Perles and Laurence M. Geller |
34-45609 |
Mar. 21, 2002 |
Herbert Moskowitz |
34-45439 |
Feb. 13, 2002 |
Keith Springer
(Note: Reconsideration order available) |
34-45437 |
Feb. 13, 2002 |
Frank Kufrovich |
34-45426 |
Feb. 8, 2002 |
David Wong |
33-8061 |
Jan. 24, 2002 |
Brian A. Schmidt, John Aristotle Dilworth, II, and Euro-Atlantic Securities, Inc.
Rel. No.: 34-45330 |
34-45290 |
Jan. 16, 2002 |
Kevin D. Kunz and Kunz and Cline Investment Mgmt., Inc. |
34-45281 |
Jan. 15, 2002 |
Michael Lubin |
34-45161 |
Dec. 17, 2001 |
Kirk Montgomery |
33-8031 |
Nov. 5, 2001 |
IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave, and Jerome B. Vernazza |
34-44956 |
Oct. 19, 2001 |
Robert Fitzpatrick |
34-44953 |
Oct. 18, 2001 |
Hal S. Herman |
34-44945 |
Oct. 18, 2001 |
Jim Newcomb |
34-44944 |
Oct. 17, 2001 |
Outsource International, Inc. |
34-44935 |
Oct. 15, 2001 |
Quest Capital Strategies, Inc. and David Chen Yu |
34-44933 |
Oct. 15, 2001 |
Stonegate Securities, Inc. and J. W. Barclay & Co., Inc. |
34-44632 |
Aug. 1, 2001 |
Brian Prendergast |
34-44627 |
Jul. 31, 2001 |
BFG Securities, Inc. |
34-44624 |
Jul. 31, 2001 |
Abraham and Sons Capital, Inc. and Brett G. Brubaker |
34-44367 |
May 30, 2001 |
Whitehall Wellington Investments, Inc. |
34-44357 |
May 29, 2001 |
Michael B. Jawitz |
34-44329 |
May 21, 2001 |
Pasquale Schettino |
34-44328 |
May 21, 2001 |
A. S. Goldmen & Co., Inc. and Stuart E. Winkler |
34-44239 |
May 1, 2001 |
Morton Kantrowitz |
34-44224 |
Apr. 26, 2001 |
Martin Lee Eng |
34-44205 |
Apr. 19, 2001 |
Richard J. Adams |
34-44186 |
Apr. 17, 2001 |
Russo Securities, Inc., and Kimberly Kent |
34-44086 |
Mar. 20, 2001 |
Michael J. Markowski |
34-43991 |
Feb. 21, 2001 |
American Investment Services, Inc. |
34-43963 |
Feb. 14, 2001 |
Marc N. Geman |
34-43929 |
Feb. 6, 2001 |
D. E. Wine Investments, W. Randal Miller and Duncan E. Wine; |
34-43889 |
Jan. 26, 2001 |
Steven D. Goodman |
34-43884 |
Jan. 25, 2001 |
Jean-Paul Bolduc, Brian J. Smith, CPA, Richard N. Sukenik, CPA, Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, CPA
|
34-43862 |
Jan. 19, 2001 |
KPMG Peat Marwick LLP
(Note: Rehearing order available) |
34-43842 |
Jan. 16, 2001 |
Clarence Wurts |
ia-1918 |
Jan. 10, 2001 |
Seaboard Investment Advisers, Inc. and Eugene W. Hansen |
34-43748 |
Dec. 20, 2000 |
Tony R. Smith |
34-43691 |
Dec. 8, 2000 |
William D. Hirsh |
34-43599 |
Nov. 21, 2000 |
Keith S. Perkins |
34-43555 |
Nov. 14, 2000 |
Stephen Keidaish |
34-43528 |
Nov. 7, 2000 |
Joseph S. Barbera |
34-43523 |
Nov. 6, 2000 |
Joseph Dillon & Company, Inc. |
34-43479 |
Oct. 25, 2000 |
East/West Securities Company and Leslie U. Harris |
34-43418 |
Oct. 5, 2000 |
Gordon Kerr |
34-43411 |
Oct. 4, 2000 |
Robin Bruce McNabb |
34-43410 |
Oct. 4, 2000 |
J. Stephen Stout |
34-43363 |
Sep. 27, 2000 |
Sundra Escott-Russell |
34-43296 |
Sep. 15, 2000 |
Kevin Lee Otto |
34-43259 |
Sep. 7, 2000. |
Michael J. Markowski and Joseph F. Riccio |
34-43235 |
Aug. 31, 2000 |
Russell Ponce |
34-43033 |
Jul. 13, 2001 |
Mark E. Ross |
34-42793 |
May 18, 2000 |
Maximo Justo Guevara |
34-42772 |
May 11, 2000 |
Jeffrey Ainley Hayden |
34-42502 |
Mar. 8, 2000 |
Rita C. Villa |
34-42359 |
Jan. 28, 2000 |
Joseph G. Chiulli |
34-42356 |
Jan. 24, 2000 |
John A. Chepak |
34-42312 |
Jan. 4, 2000 |
The American Stock Exchange, Inc. |
34-42255 |
Dec. 20, 1999 |
Harry Gliksman and William J. Gallagher |
|
34-42144 |
Nov. 16, 1999 |
Keith L. Mohn |
34-42121 |
Nov. 10, 1999 |
Russo Securities, Inc. |
34-42060 |
Oct. 26, 1999 |
Healthtech International, Inc. |
34-42008 |
Oct. 14, 1999 |
James J. Pasztor |
34-41989 |
Oct. 7, 1999 |
Coastline Financial, Inc., and Donald Allyson Williams |
34-41943 |
Sep. 29, 1999 |
Jonathan Feins |
34-41816 |
Sep. 1, 1999 |
Rafael Pinchas |
34-41815 |
Sep. 1, 1999 |
SC&T International, Inc. |
34-41813 |
Aug. 31, 1999 |
Jacob Adoni |
34-41804 |
Aug. 27, 1999 |
William J. Murphy |
34-41777 |
Aug. 23, 1999 |
Donald R. Gates |
34-41755 |
Aug. 18, 1999 |
La Jolla Capital Corporation and Harold B. Gallison, Jr. |
34-41725 |
Aug. 11, 1999 |
Al Rizek |
34-41629 |
Jul. 20, 1999 |
Martin R. Kaiden |
34-41628 |
Jul. 20, 1999 |
Stephen J. Gluckman |
34-41633 |
Jul. 21, 1999 |
Imaging Diagnostic Systems, Inc. |
34-41330 |
Apr. 26, 1999 |
Sierra Nevada Securities, Inc. |
34-41285 |
Apr. 14, 1999 |
Jon G. Symon and J.G. Symon & Companies |
34-41278 |
Apr. 13, 1999 |
Transnet Corporation |
34-41250 |
Apr. 5, 1999 |
Laurie Jones Canady |
34-41226 |
Mar. 30, 1999 |
Robert Sayegh |
34-41229 |
Mar. 30, 1999 |
Eliezer Gurfel |
34-41126 |
Mar. 1, 1999 |
Ted Harold Westerfield |
34-41123 |
Mar. 1, 1999 |
Jacob Wonsover |
34-41034 |
Feb. 10, 1999 |
Joseph J. Barbato |
34-41008 |
Feb. 1, 1999 |
Kenneth C. Krull |
34-41007 |
Feb. 1, 1999 |
James Harvey Thornton and Payne & Thornton, Inc. |
34-40768 |
Dec. 10, 1998 |
Kenneth C. Krull |
34-40738 |
Dec. 2, 1998 |
Lance E. Van Alstyne |
34-40727 |
Nov. 30, 1998 |
Sharon M. Graham and Stephen C. Voss |
34-40726 |
Nov. 30, 1998 |
Adrian C. Havill |
34-40719 |
Nov. 30, 1998 |
Richard D. Chema |
34-40690 |
Nov. 19, 1998 |
Russell A. Simpson |
IA-1774 |
Nov. 18, 1998 |
Valicenti Advisory Services, Inc., Vincent R. Valicenti Investment |
34-40673 |
Nov. 12, 1998 |
William J. Haberman |
34-40672 |
Nov. 12, 1998 |
Stephen B. Carlson |
34-40671 |
Nov. 12, 1998 |
Richard T. Sullivan |
34-40663 |
Nov. 12, 1998 |
Shamrock Partners, Ltd. |
34-40654 |
Nov. 10, 1998 |
Robert L. Wallace |
34-40648 |
Nov. 9, 1998 |
Rocky Mountain Power Company |
34-40647 |
Nov. 9, 1998 |
James S. Pritula |
34-40646 |
Nov. 9, 1998 |
Scattered Corporation and Leon Aaron Greenblatt, III, Andrew Alvin Jahelka, Richard Owen Nichols, and Laura Bryant |
34-40639 |
Nov. 4, 1998 |
William H. Gerhauser, Sr. and William C. Gerhauser, Jr. |
34-40630 |
Nov. 3, 1998 |
Cathy Jean Krause Kirkpatrick |
34-40629 |
Nov. 3, 1998 |
Warren R. Schreiber |
34-40600 |
Oct. 26,1998 |
Steven P. Sanders and Daniel M. Porush |
34-40474 |
Sep. 24, 1998 |
John M. W. Crute |
34-40438 |
Sep. 14, 1998 |
Joseph Patrick Hannan |
34-40436 |
Sep. 14, 1998 |
First Colorado Financial Services Company, Inc. |
IA-1752 |
Sep. 15, 1998 |
Ira William Scott |
34-40392 |
Sep. 2, 1998 |
Richard H. Morrow |
34-40387 |
Sep. 1, 1998 |
Alan E. Rosenthal |
34-40335 |
Aug. 19, 1998 |
Justine Susan Fischer |
34-40297 |
Aug. 3, 1998 |
Sidney C. Eng |
34-40244 |
Jul. 22, 1998 |
Kevin Eric Shaughnessy |
34-40243 |
Jul. 22, 1998 |
Daniel C. Montano |
34-40237 |
Jul. 21, 1998 |
Richard R. Pendleton |
34-40238 |
Jul. 21, 1998 |
Frank R. Rubba |
34-40055 |
Jun. 2, 1998 |
Terry T. Steen |
34-40046 |
May 29, 1998 |
L.C. Wegard & Co., Inc. |
34-40013 |
May 20, 1998 |
Boleslaw Wolny |
34-40010 |
May 20, 1998 |
Victor Teicher & Co., L.P., Ross S. Frankel Release No. IA1722 |
34-40000 |
May 18, 1998 |
John P. Goldsworthy |
34-39999 |
May 18, 1998 |
Castle Securities Corporation |
34-40028 |
May 17, 1998 |
Leonard John Ialeggio |
34-39800 |
Mar. 25, 1998 |
Eagle Supply Group, Inc. |
34-39796 |
Mar. 25, 1998 |
James A. Goetz |
34-39765 |
Mar. 17, 1998 |
Interactive Brokers LLC |
34-39645 |
Feb. 11, 1998 |
Richard J. Adams |
34-39565 |
Jan. 22, 1998 |
Gerald James Stoiber |
IA-1696 |
Jan. 21, 1998 |
John Francis D'Acquisto |
34-39544 |
Jan. 13, 1998 |
John J. Fiero |
34-39543 |
Jan. 13, 1998 |
Hattier, Sanford & Reynoir, Gus A. Reynoir, and Vance G. Reynoir |
34-39520 |
Jan. 7, 1998 |
Equity Securities Trading Co., Inc., Nathan Newman, Laurence Stuart Zipkin |
34-39523 |
Jan. 7, 1998 |
Castle Securities Corp and Michael T. Studer |
34-39518 |
Jan. 6, 1998 |
Rita Villa |
34-39517 |
Jan. 6, 1998 |
D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, Duncan E. Wine |
34-39459 |
Dec. 17, 1997 |
Morgan Stanley & Co., Inc. |
34-39443 |
Dec. 11, 1997 |
KO Securities, Inc., and Terrance Y. Yoshikawa |
34-39298 |
Nov. 5, 1997 |
Revcon, Incorporated |
34-39297 |
Nov. 5, 1997 |
Robert L. Den Herder |
34-39296 |
Nov. 4, 1997 |
Excel Financial, Inc. , Gary R. Beynon, Robert L. Sperry |
34-39280 |
Oct. 27, 1997 |
Louis F. Albanese |
34-39242 |
Oct. 15, 1997 |
Martin J. Cunnane, Jr. |
34-39181 |
Oct. 1, 1997 |
Russo Securities Inc. and Ferdinand Russo |
34-39180 |
Oct. 1, 1997 |
Meyer Blinder |
34-39126 |
Sep. 24, 1997 |
Robert D. Potts, CPA |
34-39007 |
Sep. 3, 1997 |
Herbert Garrett Frey |
34-38999 |
Sep. 2, 1997 |
Ryan-Murphy Incorporated |
34-38893 |
Aug. 1, 1997 |
Raymond James & Associates, Inc. |
34-38815 |
Jul. 3, 1997 |
The Stuart-James Co., Inc., et al. |
34-38742 |
Jun. 17, 1997 |
Donald A. Roche |
34-38705 |
Jun. 2, 1997 |
Suzanne L. Cook |
34-38658 |
May 20, 1997 |
Russell G. Koch |
34-38657 |
May 20, 1997 |
Richard M. Kulak (order dismissing proceeding)
|
34-38570 |
May 5, 1997 |
William K. Cantrell |
34-38487 |
Apr. 8, 1997 |
Prime Investors, Inc, Kenneth James Wright and Michael Lyn Johnson |
34-38486 |
Apr. 8, 1997 |
Stephen Thorlief Rangen |
34-38485 |
Apr. 8, 1997 |
Benjamin G. Sprecher |
34-38440 |
Mar. 26,1997 |
Christopher J. Benz |
34-38423 |
Mar. 20, 1997 |
C. James Padgett, Stuart Graff, Robert E. Gibbs, Shaw Sullivan, John W. Sutton, John Beaird and Dirk Nye |
34-38418 |
Mar. 19, 1997 |
Henry Irvin Judy, Jr. |
34-38390 |
Mar. 12, 1997 |
Stratton Oakmont, Inc. |
34-38389 |
Mar. 12, 1997 |
Demitrios Julius Shiva |
34-38373 |
Mar. 7, 1997 |
Martin B. Sloate |
34-38183 |
Jan. 21, 1997 |
David J. Checkosky and Norman A. Aldrich |
34-38076 |
Dec. 23, 1996 |
McLaughlin Piven Vogel Securities, Inc. |
34-38029 |
Dec. 9, 1996 |
Bradford John Titus and Marcie Anne Milner |
34-37991 |
Nov. 26, 1996 |
Henry James Fargalli, Jr. |
34-37990 |
Nov. 26, 1996 |
New Allied Development Corporation |
34-37952 |
Nov. 15, 1996 |
William S. Mentis |
34-37955 |
Nov. 15, 1996 |
William Jackson Blalock |
34-37954 |
Nov. 15, 1996 |
Ashvin R. Shah |
34-37953 |
Nov. 15, 1996 |
Robert J. Sayegh |
34-37919a |
Nov. 6, 1996 |
Prairie Pacific Energy Corporation |
34-37910 |
Oct. 31, 1996 |
Leonard John Ialeggio |
34-37895 |
Oct. 30, 1996 |
Robert A. Grunberg |
34-37866 |
Oct. 25, 1996 |
Tiger Options |
34-37867 |
Oct. 25, 1996 |
Barry C. Wilson |
34-37865 |
Oct. 25, 1996 |
Micah C. Douglas |
34-37849 |
Oct. 22, 1996 |
Richard J. Puccio |
34-37835 |
Oct. 17, 1996 |
Larry Ira Klein |
34-37795 |
Oct. 8, 1997 |
Robert I. Moses |
34-37601 |
Aug. 26, 1996 |
Escalator Securities, Inc.,and Howard A. Scala |
34-37600 |
Aug. 26, 1996 |
Everest Securities, Inc. and Jeanne Alyce Kunkel |
34-37613 |
Aug. 28, 1996 |
David Post |
34-37611 |
Aug. 27, 1996 |
Creative Medical Development, Inc. |
34-37572 |
Aug. 14, 1996 |
Toney L. Reed |
34-37559 |
Aug. 13, 1996 |
Domestic Securities, Inc. |
34-37503 |
Jul. 31, 1996 |
Michael H. Novick |
34-37463 |
Jul. 22, 1996 |
James Alan Schneider |
34-37409 |
Jul. 8 1996 |
Charles E. French |
34-37351 |
Jun. 24, 1996 |
Ralph Joseph Presutti |
34-37305 |
Jun. 12, 1996 |
Herbert J. Burns |
3437259 |
May 30, 1996 |
First Jersey Securities, Inc. and Robert E. Brennan |
34-37218 |
May 14, 1996 |
Peter C. Bucchieri |
34-37217 |
May 14, 1996 |
John G. Pearce |
34-37170 |
May 8, 1996 |
Brian L. Gibbons |
34-37156 |
May 1, 1996 |
Jay Houston Meadows |
34-37092 |
Apr. 10, 1996 |
Mayer A. Amsel |
34-37091 |
Apr. 10, 1996 |
Jonathan Feins |
34-37075 |
Apr. 5, 1996 |
Eli Boggs Combs Admin. Proc. File No. 3-8654 |
34-37074 |
Apr. 5, 1996 |
Ronald H. V. Justiss Admin. Proc. File No. 3-8697 |
34-37073 |
Apr. 5, 1996 |
Gunther International Ltd. Admin. Proc. File No. 3-8792 |
34-37072 |
Apr. 5, 1996 |
Charles E. Kautz Admin. Proc. File No. 3-8768 |
34-37071 |
Apr. 5, 1996 |
Morton Kantrowitz Admin. Proc. File No. 3-8775 |
34-37070 |
Apr. 5, 1996 |
Rosario R. Ruggiero Admin. Proc. File No. 3-8751 |
34-37069 |
Apr. 5, 1996 |
DHB Capital Group, Inc. Admin. Proc. File No. 3-8676 |
http://www.sec.gov/litigation/opinions.shtml
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