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ALJ Decisions & Orders:
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| Release No. | Date | Respondents |
| 264 | Oct. 12, 2004 | Initial Decision: Cybergate, Inc., Cyber Tennis, Inc., Cyberwholesale, Inc., Cathayone, Inc., elocity Networks, Inc., Golden Opportunity Development Corp., J. A. B. Int'l, Inc., Maxx Int'l, Inc., Oasis Resorts Int'l, Inc., Rollerball Int'l, Inc., U.S. Homes & Properties, Inc., Wichita Development Corp., Youthline USA, Inc., and ATC II, Inc.
Lillian A. McEwen, Administrative Law Judge File No. 3-11512 PDF version |
| 263 | Oct. 12, 2004 | Currency Trading International, Inc., Craig A. Cunningham, James R. Kelsall, and Christian J. Weber
James T. Kelly, Administrative Law Judge File No. 3-11503 PDF version |
| 262 | Oct. 8, 2004 | Steven E. Muth, Richard J. Rouse, and Bruce J. Bates
Brenda P. Murray, Administrative Law Judge File No. 3-11346 PDF version |
| 261 | Sep. 30, 2004 | OTC Live, Inc. and Mark A. Suleymanov
Lillian A. McEwen, Administrative Law Judge File No. 3-11309 PDF version |
| 260 | Sep. 29, 2004 | Clarke T. Blizzard
Carol Fox Foelak, Administrative Law Judge File No. 3-10007-EAJA PDF version |
| 259 | Sep. 27, 2004 | Rita J. McConville and Kevin M. Harris, C.P.A.
Brenda P. Murray, Chief Administrative Law Judge File No. 3-11330 PDF version |
| 258 | Sep. 23, 2004 | Jose P. Zollino
Carol Fox Foelak, Administrative Law Judge File No. 3-11229 PDF version |
| 257 | Sep. 22, 2004 | Alcohol Sensors Int'l, Ltd., Beachport Entertainment Corp., Biosonics, Inc., Compressent, Inc., Eye Cash Networks, Inc., Hamilton-Biophile Companies, Holly Holdings, Inc., Intelligent Decision Systems, Inc., Long Distance Direct Holdings, Inc., LRG Restaurant Group, Inc., Nevada Manhattan Group, Inc., Parallel Technologies, Inc., Quadratech, Inc., Redneck Foods, Inc., Safetech Industries, Inc., Viking Resources Int'l, Inc., and Xavier Corp.
Brenda P. Murray, Chief Administrative Law Judge File No. 3-11513 Correction PDF version |
| 256 | Sep. 21, 2004 | Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
James T. Kelly, Administrative Law Judge File No. 3-11084 PDF version |
| 255 | Aug. 17, 2004 | Douglas W. Powell, Charles D. Elliott, III, and Russell S. Tarbett
Robert G. Mahony, Administrative Law Judge File No. 3-11086 PDF version (Note: Finality Order) |
| 254 | Jul. 27, 2004 | Ian L. Renert
Robert G. Mahony, Administrative Law Judge File No. 3-11519 (Note: Finality Order) PDF version |
| 253 | Jun. 28, 2004 | Michael Puorro, Walter Dorow, James C. Parrish, Geoffrey W. Gazda, Melvin L. Levine, Michael T. Reiter, Bruce Bertman, Jerry Poole, and Larry W. Kerschenbaum
Brenda P. Murray, Administrative Law Judge File No. 3-11419 (Note: Finality Order) PDF version |
| 252 | June 3, 2004 | Edward Becker
James T. Kelly, Administrative Law Judge File No. 3-11367 (Note: Finality Order) PDF version |
| 251 | May 17, 2004 | Philip L. Pascale, CPA
Lillian A. McEwen, Administrative Law Judge File No. 3-11194 PDF version |
| 250 | May 11, 2004 | Lorsin, Inc., Loretta M. Lockhart, Craig K. Hjalmarson, Russell Management, Inc., George R. Siembida, Harold Engel, Jr., Microcap Marketing, Inc., and Shane M. Nelson
Robert G. Mahony, Administrative Law Judge File No. 3-11310 (Note: Order Modifying Disgorgement Schedule and Summarily Affirming; Order Modifying Finality Order; Finality Order) PDF version |
| 249 | Apr. 16, 2004 | Ernst & Young LLP
Brenda P. Murray, Chief Administrative Law Judge File No. 3-10933 (Note: Finality Order; Letter from SEC Chief Accountant to Ernst & Young) PDF version |
| 614 | Apr. 7, 2004 | Putnam Investment Management, LLC
James T. Kelly, Administrative Law Judge File No. 3-11317 |
| 248 | Apr. 6, 2004 | Robert W. Armstrong, III
Carol Fox Foelak, Administrative Law Judge File No. 3-9793 (Note: Order denying disqualification of Commission) |
| 613 | Mar. 26, 2004 | Putnam Investment Management, LLC
James T. Kelly, Administrative Law Judge File No. 3-11317 |
| 247 | Mar. 4, 2004 | e-Smart Technologies, Inc. f/k/a Plainview Laboratories, Inc.
Lillian A. McEwen, Administrative Law Judge File No. 3-10977 (Note: Order for Summary Affairmance and Filing Opposing Petition for Review) (Note: Order Remanding Proceeding) ) |
| 246 | Feb. 12, 2004 | Michael Batterman and Randall B. Batterman III James T. Kelly, Administrative Law Judge File No. 3-11259 PDF version |
| 245 | Jan. 30, 2004 | Larry R. Crowder and John R. Powell
Robert G. Mahony, Administrative Law Judge File No. 3-11287 (Note: Finality Order) |
| 244 | Jan. 23, 2004 | Castle Securities Corp. and Michael T. Studer
Lillian A. McEwen, Administrative Law Judge File No. 3-11229 |
| 243 | Jan. 16, 2004 | Kevin H. Goldstein and Jackwest Corporation James T. Kelly, Administrative Law Judge File No. 3-11010 PDF version (Note: Finality Order) |
| 242 | Dec. 4, 2003 | Roger M. Detrano James T. Kelly, Administrative Law Judge File No. 3-11169 (Note: Finality Order) |
| 241 | Nov. 24, 2003 | Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.
James T. Kelly, Administrative Law Judge File No. 3-9784-EAJA (Note: Opinion) PDF version |
| 240 | Nov. 24, 2003 | Investco, Inc.
Robert G. Mahony, Administrative Law Judge File No. 3-11228 PDF version (Note: Finality Order) |
| 239 | Oct. 23, 2003 | J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr, Emanuele A. Scarso, Michael B. Scott
James T. Kelly, Administrative Law Judge File No. 3-10765 (Note: Opinion; ID-233) |
| 238 | Oct. 21, 2003 | Leslie A. Arouh
Carol Fox Foelak, Administrative Law Judge File No. 3-10884 PDF version |
| 237 | Sep. 30, 2003 | Richard P. Callipari and Thomas J. Connolly
Carol Fox Foelak, Administrative Law Judge File No. 3-11205 (Note: Finality Order) |
| 236 | Sep. 26, 2003 | Salvatore Piazza, et al.
Robert G. Mahony, Administrative Law Judge File No. 3-10229 (Note: Finality Order) |
| 235 | Sep. 8, 2003 | James F. Glaza d/b/a Falcon Financial Services, Inc.
Robert G. Mahony, Administrative Law Judge File No. 3-11012 |
| 234 | Sep. 3, 2003 | Peter C. Lybrand f/k/a Peter C. Tosto
Lillian A. McEwen, Administrative Law Judge File No. 3-11028 (Note: Finality Order) |
| 233 | Jul. 23, 2003 | J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott
James T. Kelly, Administrative Law Judge File No. 3-10765 (Note: Finality Order; ID-239) |
| 232 | Jul. 14, 2003 | Stansbury Holdings Corporation
James T. Kelly, Administrative Law Judge File No. 3-11108 (Note: Finality Order) |
| 231 | Jun. 27, 2003 | A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9933 (Note: Opinion (Stuart E. Winkler); Opinion (Charles Trento) |
| 230 | Jun. 17, 2003 | John Christopher McCamey and Sierra Equity Partners, LP
Robert G. Mahony, Administrative Law Judge File No. 3-10911 (Note: Finality Order) |
| 229 | Jun. 13, 2003 | Clarke T. Blizzard and Rudolph Abel
Carol Fox Foelak, Administrative Law Judge File No. 3-10007 (Note: Opinion; Order Granting Interlocutory Review) |
| 228 | May 20, 2003 | Nano World Projects Corporation
Robert G. Mahony, Administrative Law Judge File No. 3-11066 (Note: Finality Order) |
| 227 | May 15, 2003 | Freedom Golf Corporation
Carol Fox Foelak, Administrative Law Judge File No. 3-11082 (Note: Finality Order) |
| 226 | May 8, 2003 | Dennis E. Ward
Lillian A. McEwen, Administrative Law Judge File No. 3-10485 (Note: Finality Order) |
| 225 | Mar. 19, 2003 | Chris Woessner
Robert G. Mahony, Administrative Law Judge File No. 3-10607 (Note: Order Permitting Withdrawal) |
| 224 | Feb. 25, 2003 | Michael D. Richmond
Robert G. Mahony, Administrative Law Judge File No. 3-10848 (Note: Finality Order) |
| 223 | Feb. 24, 2003 | Hamilton Bancorp, Inc.
Robert G. Mahony, Administrative Law Judge File No. 3-10976 (Note: Finality Order) |
| 222 | Feb. 6, 2003 | Applications of Enron Corp.
Brenda P. Murray, Chief Administrative Law Judge File No. 3-10909 (Note: Opinion) |
| 221 | Feb. 5, 2003 | Dale E. Frey, Roger A. Rawlings, and William C. Piontek
Lillian A. McEwen, Administrative Law Judge File No. 3-10310 (Note: Opinion (William C. Piontek)) |
| 220 | Jan. 29, 2003 | Zion Capital Management LLC, and Ricky A. Lang
Carol Fox Foelak, Administrative Law Judge File No. 3-10659 (Note: Opinion) |
| 219 | Dec. 12, 2002 | Scott E. Edwards, CPA
Lillian A. McEwen, Administrative Law Judge File No. 3-10220 (Note: Finality Order) |
| 601 | Dec. 11, 2002 | Jeffrey D. Pokross Carol Fox Foelak, Administrative Law Judge File No. 3-9161 |
| 218 | Dec. 9, 2002 | F.X.C. Investors Corp. and Francis X. Curzio
James T. Kelly, Administrative Law Judge File No. 3-10625 (Note: Finality Order) |
| 217 | Nov. 8, 2002 | Steven J. Erlsten, William H. Clark, Derek L. DuBois, and Aaron Finkelstein
Lillian A. McEwen, Administrative Law Judge File No. 3-10033 (Note: Finality Order; Opinion (Derek L. DuBois)) |
| 216 | Sept. 30, 2002 | Annable Turner & Co., Inc. and Roger E. Turner
Lillian A. McEwen, Administrative Law Judge File No. 3-10004 (Note: Finality Order) |
| 215 | Sep. 24, 2002 | G. Bradley Taylor
Lillian A. McEwen, Administrative Law Judge File No. 3-9955 (Note: Finality Order) |
| 214 | Sep. 19, 2002 | Robert Bruce Lohmann
James T. Kelly, Administrative Law Judge File No. 3-10611 (Note: Opinion) |
| 213 | Aug. 13, 2002 | James Thomas McCurdy, CPA
Carol Fox Foelak, Administrative Law Judge File No. 3-10509 (Note: Opinion) |
| 212 | Aug. 13, 2002 | Huber Hogan Consulting, Inc., Russon Financial Service, Inc. and Robert C. Sears
Lillian A. McEwen, Administrative Law Judge File No. 3-9985 (Note: Finality Order) |
| 211 | Aug. 9, 2002 | H. J. Meyers & Co., Inc., Robert Setteducati, William Masucci, Michael Vanechanos, and James Alan Villa
James T. Kelly, Administrative Law Judge File No. 3-10140 (Note: Opinion (Robert Setteducati)) |
| 210 | Aug. 2, 2002 | Robert M. Fuller
Brenda P. Murray, Chief Administrative Law Judge File No. 3-10576 (Note: Opinion) |
| 209 | Jul. 9, 2002 | Brett L. Bouchy and Richard C. Whelan
Robert G. Mahony, Administrative Law Judge File No. 3-10627 (Note: Finality Order) |
| 600 | Jul. 2, 2002 | Ernst & Young, LLP
Brenda P. Murray, Administrative Law Judge File No. 3-10786 (Note: Commission order vacating) |
| 208 | Jul. 2, 2002 | Horton & Company and Edward C. Horton
Carol Fox Foelak, Administrative Law Judge File No. 3-10355 (Note: Finality Order) |
| 207 | Jun. 24, 2002 | Nolan W. Wade
Robert G. Mahony, Administrative Law Judge File No. 3-10650 (Note: Opinion) |
| 206 | Jun. 21, 2002 | The Barr Financial Group, Inc. and Alfred E. Barr
Lillian A. McEwen, Administrative Law Judge File No. 3-9918 (Note: Opinion) |
| 205 | May 21, 2002 | Robert L. McCook
Lillian A. McEwen , Administrative Law Judge File No. 3-9440-EAJA (Note: Opinion) |
| 204 | May 8, 2002 | WSF Corporation
James T. Kelly, Administrative Law Judge File No. 3-10668 (Note: Finality Order) |
| 203 | Apr. 30, 2002 | Mark David Anderson
Lillian A. McEwen, Administrative Law Judge File No. 3-9499 (Note: Opinion) |
| 202 | Apr. 1, 2002 | Alpha Tech Stock Transfer, and James W. Farrell
Brenda P. Murray, Chief Administrative Law Judge File No. 3-10456 (Note: Finality Order) |
| 201 | Mar. 18, 2002 | Richmark Capital Corporation and Doyle Mark White
Robert G. Mahony, Administrative Law Judge File No. 3-9954 (Note: Order Making Sanction Effective (Doyle Mark White); Opinion (Doyle Mark White)) |
| 200 | Feb. 20, 2002 | Charles K. Seavey
Carol Fox Foelak, Administrative Law Judge File No. 3-10336 (Note: Opinion) |
| 199 | Feb. 4, 2002 | Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks
James T. Kelly, Administrative Law Judge File No. 3-9952 (Note: Opinion (Robert G. Weeks); Order entering default judgment and summarily affirming initial decision) |
| 198 | Jan. 8, 2002 | Toks Inc.
Brenda P. Murray, Chief Administrative Law Judge File No. 3-10635 (Note: Finality Order) |
| 197 | Dec. 31, 2001 | Kent T. Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook
Lillian A. McEwen, Administrative Law Judge File No. 3-9440 (Note: Finality Order; Opinion) |
| 196 | Dec. 20, 2001 | Jeffrey M. Steinberg and John Geron
Robert G. Mahony, Administrative Law Judge File No. 3-9608 |
| 195 | Nov. 26, 2001 | Laurie Jones Canady
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8531 D |
| 194 | Oct. 31, 2001 | Clarence Z. Wurts
Carol Fox Foelak, Administrative Law Judge File No. 3-9114 (Note: Opinion) |
| 193 | Sept. 28, 2001 | Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward
Lillian A. McEwen, Administrative Law Judge File No. 3-9327 (Note: Opinion) |
| 192 | Sept. 25, 2001 | Jerome M. Wenger
Carol Fox Foelak, Administrative Law Judge File No. 3-10444 |
| 191 | Sept. 21, 2001 | Michael J. Marrie, CPA and Brian L. Berry, CPA
James T. Kelly, Administrative Law Judge File No. 3-9966 (Note: Opinion) |
| 190 | Sept. 14, 2001 | Christopher A. Lowry
Brenda P. Murray, Chief Administrative Law Judge File No. 3-10390 |
| 189 | Sep. 5, 2001 | John L. Banach, f/k/a/ J. Leo Lawson, Robert Thomas Clawson, Trent David Gribben, Tariq Samad Khan, Terry Lee Lewis, Ronald Troy Mikulka, Reagan Burton Richmond, Randle William Villa, Woodbridge & Associates, Kevin Lee Woodbridge, and 381143 Alberta Ltd.
Robert G. Mahony, Administrative Law Judge File No. 3-9208 (Note: Opinion) |
| 188 | Aug. 14, 2001 | Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, Matthew R. Jennings, Philip S. Brandon, and Jai Chaudhuri
Carol Fox Foelak, Administrative Law Judge File No. 3-9959 (Note: Modifying Order and Finality Order; Opinion) ) |
| 187 | Aug. 7, 2001 | Joseph P. Galluzzi
James T. Kelly, Administrative Law Judge File No. 3-10209 |
| 186 | Jul. 27, 2001 | Kevin G. Quinn
Robert G. Mahony, Administrative Law Judge File No. 3-10098 (Note: Finality Order) |
| 185 | Jun. 22, 2001 | The City of Miami, Florida, Cesar Odio and Manohar Surana; Brenda P. Murray, Chief Administrative Law Judge
File No. 3-10022 (Note: Opinion) |
| 184 | May 22, 2001 | Albert Glenn Yesner, CPA;
Robert G. Mahony, Administrative Law Judge File No. 3-9586 (Note: Finality Order) |
| 183 | May 3, 2001 | Barry C. Scutillo, CPA, and Mark F. Jensen, CPA;
James T. Kelly, Administrative Law Judge File No. 3-9863 (Note: Opinion) |
| 182 | Mar. 23, 2001 | Shirley A. McKinney, Darlan Gordon, Michael J. McEvoy, Francis A. Taylor, IV, Douglas Parks, and John S. Brownson;
Carol Fox Foelak, Administrative Law Judge File No. 3-10295 (Note: Finality Order; Opinion) |
| 181 | Mar. 9, 2001 | The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9615 (Note: Order denying motion for reconsideration; Opinion) |
| 180 | Jan. 29, 2001 | Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation;
Carol Fox Foelak, Administrative Law Judge File No. 3-9461 (Note: Opinion) |
| 179 | Jan. 22, 2001 | Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson;
Robert G. Mahony, Administrative Law Judge File No. 3-9686 (Note: Finality Order) |
| 178 | Dec. 18, 2000 | Carroll A. Wallace, CPA;
James T. Kelly, Administrative Law Judge File No. 3-9862 (Note: Opinion) |
| 177 | Dec. 7, 2000 | Charles F. Kirby, Gene C. Geiger, Alfred Peeper, and Edward H. Price;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9602 (Note: Opinion) |
| 176 | Nov. 30, 2000 | Richard J. Adams;
Lillian A. McEwen, Administrative Law Judge File No. 3-8327-EAJA (Note: Opinion) |
| 175 | Nov. 30, 2000 | Piper Capital Management, Inc., Worth V. Bruntjen, Marijo A. Goldstein, Robert H. Nelson, Amy K. Johnson, Molly Destro and Edward J. Kohler;
H. Peter Young, Administrative Law Judge File No. 3-9657 (Note: Finality Order; Opinion) |
| 174 | Nov. 21, 2000 | Ralph W. LeBlanc;
Robert G. Mahony, Administrative Law Judge File No. 3-10065 (Note: Opinion) |
| 173 | Oct. 6, 2000 | WHX Corporation;
Carol Fox Foelak, Administrative Law Judge File No. 3-9634 (Note: Opinion) |
| 172 | Sep. 14, 2000 | Erik W. Chan;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9697 (Note: Opinion) |
| 171 | Aug. 31, 2000 | Michael Lapp and William Lucas;
Robert G. Mahony, Administrative Law Judge File No. 3-9144 |
| 170 | Jul. 27, 2000 | David T. Barr;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9585 (Note: Finality Order) |
| 169 | Jul. 7, 2000 | Marshall E. Melton and Asset Management & Research, Inc.;
James T. Kelly, Administrative Law Judge File No. 3-9865 (Note: Opinion) |
| 168 | Jun. 27, 2000 | Kirk Montgomery;
Carol Fox Foelak, Administrative Law Judge File No. 3-9786-EAJA (Note: Opinion) |
| 167 | Jun. 1, 2000 | Byron G. Borgardt and Eric M. Banhazl;
James T. Kelly, Administrative Law Judge File No. 3-9730 (Note: Opinion) |
| 166 | May 31, 2000 | Jerry W. Anderson and Robert M. Kerns;
Robert G. Mahony, Administrative Law Judge File No. 3-10027 |
| 165 | May 16, 2000 | Feeley and Willcox Asset Management Corporation and Michael J. Feeley;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9571 (Note: Opinion) |
| 164 | May 8, 2000 | Brad Haddy;
Carol Fox Foelak, Administrative Law Judge File No. 3-10125 |
| 163 | Apr. 26, 2000 | Herbert Moskowitz;
Carol Fox Foelak, Administrative Law Judge File No. 3-9435 (Note: Opinion) |
| 162 | Mar. 27, 2000 | Monetta Financial Services, Inc., Robert S. Bacarella, William M. Valiant, Paul W. Henry, and Richard D. Russo;
Brenda P. Murrary, Chief Administrative Law Judge File No. 3-9546 (Note: Finality Order; Opinion) |
| 161 | Feb. 25, 2000 | Euro-Atlantic Securities, Inc. Brian A. Schmidt, Darlan E. Gordon, John T. Madden, William Avent, and John Aristotle Dilworth II;
Robert G. Mahony, Administrative Law Judge File No. 3-9402 (Note: Finality Order; Opinion) |
| 160 | Jan. 31, 2000 | Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.;
James T. Kelly, Administrative Law Judge File No. 3-9784 (Note: Opinion) |
| 159 | Jan. 28, 2000 | Sandra Logay;
Lillian A. McEwen, Administrative Law Judge File No. 3-8969 (Note: Finality Order) |
| 158 | Jan. 27, 2000 | Richard Hoffman and Kirk Montgomery;
Carol Fox Foelak, Administrative Law Judge File No. 3-9786 (Note: Finality Order) |
| 157 | Jan. 21, 2000 | KPMG Peat Marwick L.L.P.;
Robert G. Mahony, Administrative Law Judge File No. 3-9500 Note: Erratum (File name: id157a.htm); Opinion) |
| 156 | Jan. 12, 2000 | MGSI Securities, Inc., Bradford A. Orosey, Larry J. Bagwell, Connie L. Bally, Joseph O. Fallin, and James W. Ogg;
William J. Cowan, Administrative Law Judge File No. 3-9702 (Note: Finality Order; Modification of Finality Order) |
| 155 | Dec. 17, 1999 | Wheat First Securities Inc. F/K/A First Union Capital Markets Corp.; Teressa L. Cawley; Herbert Grossman, Administrative Law Judge
File Nos. 3-9688 and 3-9794 Note: Erratum (File name: id155a.htm); Opinion) |
| 154 | Dec. 8, 1999 | Ronnie R. Neihart;
Robert G. Mahony, Administrative Law Judge File No. 3-9982 (Note: Finality Order) |
| 153 | Oct. 29, 1999 | County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge
File No. 3-9542 (Note: Finality Order) |
| 152 | Oct. 28, 1999 | George J. Kolar;
James T. Kelly, Administrative Law Judge File No. 3-9570 (Note: Opinion) |
| 151 | Sep. 30, 1999 | Richardt-Alyn & Co., Richard B. Feinberg, and Alan S. Feinberg;
Carol Fox Foelak, Administrative Law Judge File No. 3-9099 |
| 150 | Sep. 27, 1999 | Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.;
Lillian A. McEwen, Administrative Law Judge File No. 3-9309 (Note: Order granting reconsideration and dismissing proceeding; Opinion) |
| 149 | Sep. 21, 1999 | Seaboard Investment Advisers, Inc. and Eugene W. Hansen;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9725 (Note: Opinion) |
| 148 | Sep. 21, 1999 | Sandra Simpson and Daphne Pattee;
Robert G. Mahony, Administrative Law Judge File No. 3-9458 (Note: Opinion) |
| 147 | Aug. 6, 1999 | John J. Kenny and Nicholson/Kenny Capital Management, Inc.;
Stephen L. Grossman, Administrative Law Judge File No. 3-9611 (Note: Erratum (File name: id147a.htm); Opinion) |
| 146 | Aug. 2, 1999 | Certain Broker-Dealers who failed to file all or part of Form BD-Y2K;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9759 (Note: Finality Order; Opinion) |
| 145 | Jul. 26, 1999 | Alfred Avasso and Robert Schulman;
Robert G. Mahony, Administrative Law Judge File No. 3-9162 (Note: Finality Order) |
| 144 | Jul. 22, 1999 | Fu-Sung Peter Wu;
Lillian A. McEwen, Administrative Law Judge File No. 3-9024 (Note: Opinion) |
| 143 | Jun. 9, 1999 | D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, and Duncan E. Wine;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8543 |
| 142 | May 6, 1999 | Joseph F. Reese; Carol Fox Foelak, Administrative Law Judge
File No. 3-9439 (Note: Finality Order) |
| 141 | Apr. 12, 1999 | Quest Capital Strategies, Inc., and David Chen Yu;
Lillian A. McEwen, Administrative Law Judge File No. 3-8966 (Note: Opinion) |
| 140 | Apr. 1, 1999 | Terence Michael Coxon, Alan Michael Sergy, World Money Managers, and World Money Securities, Inc.;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9218 (Note: Opinion) |
| 139 | Mar. 30, 1999 | Hudson Investors Fund, Inc., Hudson Advisers, Inc., Javed Anvar Latef, and Larry Alan Stockett;
G. Marvin Bober, Administrative Law Judge File No. 3-9374 (Note: Finality Order; Opinion) |
| 138 | Mar. 24, 1999 | Nicholas P. Howard;
Carol Fox Foelak, Administrative Law Judge File No. 3-8873 (Note: Opinion) |
| 137 | Mar. 5, 1999 | Sky Scientific, Inc., W.A. Dorow, Jr., Jerry L. Foster, Gilbert Marshall & Co., Inc., Michael A. Usher, Strategic Resource Management, Inc., William A. Moler, Daniel R. Lehl, Thomas Patrick Meehan, Douglas A. Glaser, Smith, Benton & Hughes, Inc., Michael Zaman, George T. Hellen, Robert Schlien, American Capital Network, Inc., Philip M. Georgeson, Melvin L. Levine, and William David Jones;
Robert G. Mahony, Administrative Law Judge File No. 3-9201 (Note: Opinion) |
| 136 | Mar. 2, 1999 | Russo Securities, Inc., Patrick Russo, and Kimberly Kent;
G. Marvin Bober, Administrative Law Judge File No. 3-9484 (Note: Opinion) |
| 135 | Jan. 28, 1999 | Abraham and Sons Capital, Inc. and Brett G. Brubaker;
Robert G. Mahony, Administrative Law Judge File No. 3-9448 (Note: Opinion) |
| 134 | Jan. 7, 1999 | Alfred M. Bauer and J.Stephen Stout;
Carol Fox Foelak, Administrative Law Judge File No. 3-9034 (Note: Opinion) |
| 133 | Sep. 29, 1998 | Terry T. Steen;
Carol Fox Foelak, Administrative Law Judge File No. 3-8798 (Note: Opinion) |
| 132 | Sep. 23, 1998 | Rita Villa;
Robert G. Mahony, Administrative Law Judge File No. 3-8527-EAJ (Note: Amended Order; Opinion); Opinion) |
| 131 | Sep. 3, 1998 | Parnassus Investments, Jerome L. Dodson, Marilyn Chou, and David L. Gibson;
Robert G. Mahony, Administrative Law Judge File No. 3-9317 |
| 130 | Aug. 11, 1998 | Stires & Co., Inc. and Sidney H. Stires;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9120 (Note: Finality Order) |
| 129 | Aug. 3, 1998 | Michael J. Markowski;
Lillian A. McEwen, Administrative Law Judge File No. 3-9277 (Note: Opinion) |
| 128 | Jul. 23, 1998 | Patricia Ann Bellows;
Lillian A. McEwen, Administrative Law Judge File No. 3-8951 |
| 127 | Jul. 21, 1998 | Orlando Joseph Jett;
Carol Fox Foelak, Administrative Law Judge File No. 3-8919 (Note: Opinion) |
| 126 | May 29, 1998 | First Jersey Securities, Inc. and Robert E. Brennan;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8699 (Note: Finality Order; Opinion) |
| 125 | Apr. 15, 1998 | Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9181 (Note: Finality Order) |
| 124 | Mar. 24, 1998 | Martin Kaiden;
Robert G. Mahony, Administrative Law Judge File No.3-9403 |
| 123 | Mar. 20, 1998 | Philadelphia Investors, Ltd. and Clarence Z. Wurts;
G. Marvin Bober, Administrative Law Judge File No. 3-9114 (Note: Finality Order; Opinion) |
| 122 | Mar. 9, 1998 | Russo Securities, Inc., and Ferdinand Russo;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8573 |
| 121 | Feb. 24, 1998 | Al Rizek;
G. Marvin Bober, Administrative Law Judge File No.3-9041 (Note: Opinion) |
| 120 | Feb. 9, 1998 | Ted Harold Westerfield;
G. Marvin Bober, Administrative Law Judge File No. 3-9355 (Note: Opinion) |
| 119 | Jan. 12, 1998 | IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave and Jerome B. Vernazza;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9042 (Note: Opinion) |
| 118 | Oct. 10, 1997 | Robert Sayegh, Thomas Core, and John J. Cranley, Jr.;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9019 (Note: Finality Order; Opinion) |
| 117 | Sep. 25, 1997 | Matt Matson;
Lillian A. McEwen, Administrative Law Judge File No. 3-9279 (Note: Finality Order) |
| 116 | Sep. 9, 1997 | Ira William Scott;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9105 (Note: Finality Order; Opinion) |
| 115 | Aug. 18, 1997 | Warren G. Trepp;
Carol Fox Foelak, Administrative Law Judge File No. 3-8833 |
| 114 | Aug. 18, 1997 | Douglas W. Osborne;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9008 |
| 113 | Aug. 6, 1997 | Frederick C. Gartz;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9060 (Note: Finality Order) |
| 112 | Aug. 5, 1997 | Marc N. Geman;
G. Marvin Bober, Administrative Law Judge File No. 3-9032 (Note: Opinion) |
| 111 | Jul. 2, 1997 | Valicenti Advisory Services, Inc. and Vincent R. Valicenti;
Carol Fox Foelak, Administrative Law Judge File No. 3-8854 (Note: Opinion) |
| 110 | Apr. 10, 1997 | Kenneth J. Schulte;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9051 |
| 109 | Mar. 25, 1997 | James Thornton, Payne Thornton, Inc., d/b/a Retirement Investment Group;
Brenda P. Murray, Chief Administrative Law Judge File No.3-9046 (Note: Opinion) |
| 108 | Mar. 19, 1997 | David L. Arnold, W. David East, and Jerry Payne;
Lillian A. McEwen, Administrative Law Judge File No. 3-8955 |
| 107 | Mar. 7, 1997 | Terry T. Steen and Rodger E. Thornton;
Carol Fox Foelak, Administrative Law Judge File No. 3-8232 (Note: Opinion) |
| 106 | Feb. 25, 1997 | M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Auriello Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, III, Alex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III;
Lillian A. McEwen, Administrative Law Judge File No. 3-8772 (Note: Finality Order) |
| 105 | Feb. 7, 1997 | James J. Pasztor;
Carol Fox Foelak, Administrative Law Judge File No. 3-8511 (Note: Opinion) |
| 104 | Dec. 31, 1996 | William F. Lincoln;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8998 |
| 103 | Dec. 13, 1996 | John Francis D'Acquisto;
Lillian A. McEwen, Administrative Law Judge File No. 3-8899 (Note: Finality Order; Opinion) |
| 102 | Dec. 4, 1996 | Russell Ponce;
Lillian A. McEwen, Administrative Law Judge File No.3-8944 (Note: Opinion) |
| 101 | Nov. 12, 1996 | Joseph J. Barbato, Neal C. Harper and Frederick J. Krause;
Burton S. Kolko, Administrative Law Judge File No. 3-8575 (Note: Opinion) |
| 100 | Nov. 7, 1996 | Daniel D. Dietrich and Robert J. Judge;
Carol Fox Foelak, Administrative Law Judge File No. 3-9050 (Note: Finality Order |
| 99 | Nov. 4, 1996 | James A. Sehn and Samuel O Forson;
Lillian A. McEwen, Administrative Law Judge File No. 3-8234 |
| 98 | Oct. 18, 1996 | Danny G. Pinkerton and Kevin N. Campbell;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8805 |
| 97 | Sep. 27, 1996 | Greg G. Anderson and Russell G. Koch;
Carol Fox Foelak, Administrative Law Judge File No. 3-8832 (Note: Opinion) |
| 96 | Aug. 20, 1996 | Frederick Entman, Norman B. Rothstein, Frank Louis Palumbo, Jacob Wonsover, Howard Richard Perles, M. Rimson & Co., Inc., and Moshe Rimson;
Burton S. Kolko, Administrative Law Judge File No. 3-8584 (Note: Opinion) |
| 95 | Aug. 12, 1996 | Milton Puryear;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8766 |
| 94 | Aug. 2, 1996 | Daniel L. Zessinger;
Carol Fox Foelak, Administrative Law Judge File No. 3-8838 |
| 93 | Jul. 22, 1996 | William Edwin Somdahl;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8698 |
| 92 | Jun. 27, 1996 | Richard J. Adams;
Lillian A. McEwen, Administrative Law Judge File No. 3-8327 (Note: Order Dismissing Proceedings) |
| 91 | Jun. 19, 1996 | Alan E. Rosenthal;
Brenda P. Murray, Administrative Law Judge File No. 3-8642 (Note: Opinion) |
| 90 | Jun. 5, 1996 | Norsul Oil & Mining, Ltd., and Wayne E. Fowler;
Brenda P. Murray, Chief Administrative Law Judge |
| 89 | May 28, 1996 | Robert I. Moses;
Carol Fox Foelak, Administrative Law Judge (Note: Opinion) |
| 88 | May 2, 1996 | Thorn, Alvis, Welch, Inc., John E. Thorn, Jr., Derryl W. Peden;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8400 |
| 87 | Apr. 1, 1996 | Demitrios Julius Shiva;
Carol Fox Foelak, Administrative Law Judge File No. 3-8803 (Note: Opinion) |
| 86 | Mar. 11, 1996 | Benjamin G. Sprecher;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8230 (Note: Opinion) |
| 85 | Jan. 26, 1996 | Robin Rushing And Harold ("B.J.") Gallison, Jr.;
Burton S. Kolko, Administrative Law Judge File No. 3-8593 |
| 84 | Jan. 4, 1996 | Gary A. Smith;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8755 |
| 83 | Jan. 3, 1996 | F.N. Wolf & Co., Inc., Hibbard Brown & Co., Inc., L.C. Wegard & Co., Inc., Franklin N. Wolf, Richard P. Brown, And Leonard B. Greer;
Glenn Robert Lawrence, Administrative Law Judge File No. 3-8533 (Note: Opinion) |
| 82 | Dec. 28, 1995 | Sharon M. Graham, Stephen C. Voss, James J. Pasztor;
Glenn Robert Lawrence, Administrative Law Judge File No. 3-8511 (Note: Opinion) |
| 81 | Dec. 22, 1995 | Bank Of Boston Corp.;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8270 |
| 80 | Dec. 11, 1995 | Ferdinand Russo, Russo Securities, Inc., Lawrence I. Mascera, Mascera & Company, Inc.;
Glenn Robert Lawrence, Administrative Law Judge File No. 3-8573 |
| 79 | Dec. 8, 1995 | D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, And Duncan E. Wine;
Glenn Robert Lawrence, Administrative Law Judge File No. 3-8543 (Note: Opinion; Opinion; ID-143 (Supplemental Decision)) |
| 78 | Nov. 24, 1995 | Carole L. Haynes;
Glenn Robert Lawrence, Administrative Law Judge File No. 3-8512 |
| 77 | Nov. 14, 1995 | Victor H. Strevel;
Glenn Robert Lawrence, Administrative Law Judge File No. 3-8727 |
| 76 | Oct. 31, 1995 | Laurie Jones Canady;
Glenn Robert Lawrence, Administrative Law Judge File No. 3-8531 (Note: Opinion) |
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