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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

 

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Modified: 10/14/2004