Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Date	Respondents
Date: June 7, 1999	Respondents: Greenway Capital Corporation and Joseph M. Guccione Release No. 34-41484 File Number: 3-9014
Date: June 7, 1999	Respondents: Raul N. Rodriguez Release No. 34-41485 File Number: 3-9080
Date: May 27, 1999	Respondents: Jerome Edward Stockdale Release No. 34-41458 File Number: 3-9914
Date: May 25, 1999	Respondents: William A. Fain, Jr. Release No. 34-41443 File Number: 3-9909
Date: May 25, 1999	Respondents: Derrick P. Dumont Release No. 34-41447 File Number: 3-9912
Date: May 25, 1999	Respondents: H. Michael Richardson Release No. 34-41448 File Number: 3-9913
Date: May 25, 1999	Respondents: Michael D. Young Release No. 33-7688 File Number: 3-9911
Date: May 25, 1999	Respondents: Michael A. Perozzi Release No. 33-7687 File Number: 3-9910
Date: May 25, 1999	Respondents: 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 Release No. 33-7686 File Number: 3-9702
Date: May 21, 1999	Respondents: Asif Ameen and Bruce W. Bertsch Release No. 34-41433 File Number: 3-9906
Date: May 21, 1999	Respondents: Fred F. Liebau, Jr. Release No. 34-41434 File Number: 3-9907
Date: May 20, 1999	Respondents: Herbert Moskowitz; Carol Fox Foelak, Administrative Law Judge Release No. 34-41429 File Number: 3-9435
Date: May 20, 1999	Respondents: William E. Willoughby Release No. 34-41428 File Number: 3-9905
Date: May 19, 1999	Respondents: Charles E. Falk, CPA Release No. 34-41424 File Number: 3-9902
Date: May 19, 1999	Respondents: Moore Stephens, P.C., Linda F. O'Donnell, CPA, and Angelo J. Coppolino, CPA Release No. 34-41425 File Number: 3-9903
Date: May 19, 1999	Respondents: Dennis M. Gaito, CPA Release No. 34-41426 File Number: 3-9904
Date: May 18, 1999	Respondents: John F. Walsh, III Release No. 34-41416 File Number: 3-9900
Date: May 18, 1999	Respondents: Datek Online Brokerage Services Corp. and Moishe Zelcer Release No. 34-41417 File Number: 3-9901
Date: May 17, 1999	Respondents: Insignia Solutions PLC Release No. 34-41409 File Number: 3-9899
Date: May 14, 1999	Respondents: Gilbert A. Zwetsch Release No. 34-41405 File Number: 3-9898
Date: May 13, 1999	Respondents: Robert G. Bettiga Release No. 33-7682 File Number: 3-9648
Date: May 13, 1999	Respondents: Dominion Capital Corporation, Douglas Woodrow Powell, Charles Dewey Elliott, and William Carl Berry Release No. 33-7683 File Number: 3-9369
Date: May 11, 1999	Respondents: Gary J. Pierce and C.S.I. Ag. Release No. 33-7676 File Number: 3-9892
Date: May 11, 1999	Respondents: Derrick C. Johnson Release No. 33-7677 File Number: 3-9893
Date: May 11, 1999	Respondents: Lila Keith Release No. 33-7678, 34-41388 File Number: 3-9894
Date: May 11, 1999	Respondents: David V. Francis, II Release No. 33-7679 File Number: 3-9895
Date: May 11, 1999	Respondents: Bobby L. Rodgers Release No. 33-7680 File Number: 3-9896
Date: May 11, 1999	Respondents: Lawrence M. Artz, Neurotech Corp., Enhance Resources, Inc. and Bruce W. Lynch Release No. 33-7681 File Number: 3-9897
Date: May 4, 1999	Respondents: Market America, Inc. and Richard D. Hall, Jr. Release No. 33-7674, 34-41363 File Number: 3-9889
Date: May 4, 1999	Respondents: BSN Gestion De Patrimonios SA SGC, and Asset Timing Corp. Release No. IA-1799 File Number: 3-9887
Date: May 4, 1999	Respondents: Apodaca Investment Group, Inc., Brower Financial Services, Inc., Ethical Investments, Inc., Ronald Allan McDow, Van Cleef Asset Management, Inc. and WWW Advisors, Inc Release No. IA-1800 File Number: 3-9888
Date: April 30, 1999	Respondents: Rodd Buckle Release No. 34-41349 File Number: 3-9885
Date: April 30, 1999	Respondents: Report on Administrative Proceedings for October 1, 1998 through Mar. 31, 1999- Rule 900 of the Commission's Rules of Practice (17 CFR 201.900) requires the Commission's Office of the Secretary to publish in the SEC Docket each October and Apr. a status report on the Commission's administrative proceedings caseload. (Apr. 30, 1999. File name: 3441352.txt (https://www.sec.gov/news/studies/3441352.txt) [explanatory material only]; apst99-1.pdf (https://www.sec.gov/pdf/apst99-1.pdf) [report, in Adobe Acrobat (r) (https://www.sec.gov/about/acrobat.htm) format]) Release No. 3441352 See Also: apst99-1.pdf
Date: April 29, 1999	Respondents: Pryor, McClendon, Counts & Company, Inc., Raymond J. McClendon, Allen W. Counts, and Theresa A. Stanford; Release No. 34-41345 File Number: 3-9884
Date: April 28, 1999	Respondents: Joseph P. Tufo Release No. 33-7672 File Number: 3-9690
Date: April 26, 1999	Respondents: Peter Joseph Cammarano Release No. 34-41332 File Number: 3-9883
Date: April 22, 1999	Respondents: Wren Harold Hart Co. LLC; Release No. IA-1798 File Number: 3-9881
Date: April 22, 1999	Respondents: Paul J. Argy, C.P.A. Release No. 34-41321
Date: April 21, 1999	Respondents: Jeff Bergman Release No. 34-41316 File Number: 3-9879
Date: April 21, 1999	Respondents: Lazard Freres & Co. LLC Release No. 33-7670
Date: April 21, 1999	Respondents: Lazard Freres Co. LLC; Release No. 33-7671 File Number: 3-9880
Date: April 20, 1999	Respondents: Terex Corporation, KCS Industries, L.P., f/k/a KCS Industries, Inc. and Randolph W. Lenz Release No. 34-41312 File Number: 3-9877
Date: April 20, 1999	Respondents: Larry L. Skaff and John F. Liechty Release No. 34-41313 File Number: 3-9878
Date: April 19, 1999	Respondents: William Lowe Release No. 34-41308 File Number: 3-9875
Date: April 19, 1999	Respondents: Robert Grady Release No. 34-41309 File Number: 3-9876
Date: April 15, 1999	Respondents: Danny Lee Coomer Release No. 34-41295 File Number: 3-9874
Date: April 14, 1999	Respondents: Kevin E. Orton, CPA, and Orton & Company; Release No. 34-41283 File Number: 3-9872
Date: April 14, 1999	Respondents: Michael, Adest & Blumenkrantz, P.C., David Michael, CPA, and Paul Adest, CPA; Release No. 34-41284 File Number: 3-9873
Date: April 13, 1999	Respondents: Spacedev, Inc. and James W. Benson Release No. 34-41279 File Number: 3-9668
Date: April 9, 1999	Respondents: Howe, Solomon and Hall and Christopher J. Hall Release No. 34-41266 File Number: 3-9613
Date: April 9, 1999	Respondents: Clyde Morgan, Ross Blevins, and Doug Cuthbert Release No. 34-41268 File Number: 3-9870
Date: April 9, 1999	Respondents: Frank J. Greulich and John R. Rodeman Release No. 34-41269 File Number: 3-9871
Date: April 9, 1999	Respondents: Craig Freeman, William Lashbrook, and Robert Sewell Release No. 34-41267 File Number: 3-9869
Date: April 8, 1999	Respondents: David S. Weil Release No. 34-41264 File Number: 3-9867
Date: April 8, 1999	Respondents: Peter C. Bucchieri Release No. 34-41265 File Number: 3-9868
Date: April 6, 1999	Respondents: Marshall E. Melton and Asset Management & Research, Inc.; James T. Kelly, Administrative Law Judge Release No. 34-41258 File Number: 3-9865
Date: April 5, 1999	Respondents: Frederick R. Grant, CPA Release No. 34-41255 File Number: 3-9864
Date: April 1, 1999	Respondents: Charles E. Wessman Release No. 34-41239 File Number: 3-9861
Date: April 1, 1999	Respondents: Carroll A. Wallace, CPA; James T. Kelly, Administrative Law Judge Release No. 34-41240 File Number: 3-9862
Date: April 1, 1999	Respondents: Barry C. Scutillo, CPA, and Mark F. Jensen, CPA; James T. Kelly, Administrative Law Judge Release No. 34-41241 File Number: 3-9863
Date: March 31, 1999	Respondents: Eugene J. Yelverton, Jr. Release No. 33-7662 File Number: 3-9859
Date: March 31, 1999	Respondents: Thorn, Alvis, Welch, Inc., John E. Thorn, Jr., and Derryl W. Peden; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7663 File Number: 3-8400
Date: March 30, 1999	Respondents: Kidder, Peabody & Co.. Inc.; Release No. 34-41224 File Number: 3-9857
Date: March 30, 1999	Respondents: Peter W. Zent and Michael A. Cornblum Release No. 34-41225 File Number: 3-9858
Date: March 30, 1999	Respondents: Theodore Heitzman Release No. 34-41227
Date: March 30, 1999	Respondents: Robert Mitchell and Gary Mitchell Release No. 34-41228
Date: March 29, 1999	Respondents: Golf Ventures, Inc. Release No. 34-41221 File Number: 3-9856
Date: March 23, 1999	Respondents: Rodger Evans Rees Release No. 34-41202 File Number: 3-9854
Date: March 23, 1999	Respondents: Lawrence M. Knapp Release No. 34-41205 File Number: 3-9774
Date: March 22, 1999	Respondents: Miron Leshem Release No. 34-41197
Date: March 22, 1999	Respondents: Gerard Burns Release No. 34-41198
Date: March 19, 1999	Respondents: Olde Discount Corp., Ernest J. Olde, Stanley A. Snider, and Daniel D. Katzman Release No. 34-41190 File Number: 3-9699
Date: March 18, 1999	Respondents: Robert S. Barton, CPA Release No. 34-41181 File Number: 3-9851
Date: March 18, 1999	Respondents: Jeffrey L. Streich Release No. 34-41182 File Number: 3-9852
Date: March 18, 1999	Respondents: Eugene Laff, Stanley Aslanian, Jr., and Lawrence Caito Release No. 34-41183 File Number: 3-9654
Date: March 17, 1999	Respondents: Daniel L. Koehler Release No. 34-41178 File Number: 3-9849
Date: March 17, 1999	Respondents: Brian E. Farley Release No. 34-41179
Date: March 12, 1999	Respondents: Kent T. Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook Lillian A. McEwen, Administrative Law Judge Release No. 34-41165 File Number: 3-9440
Date: March 12, 1999	Respondents: Kent T. Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook Lillian A. McEwen, Administrative Law Judge Release No. 34-41166 File Number: 3-9440
Date: March 11, 1999	Respondents: Gerard W. King Release No. 34-41154 File Number: 3-9847
Date: March 11, 1999	Respondents: Charles Stember Release No. 34-41155 File Number: 3-9848
Date: March 11, 1999	Respondents: Janis A. Patterson Release No. 34-41156 File Number: 3-9691
Date: March 10, 1999	Respondents: Robert J. Smith Release No. IA-1793 File Number: 3-9782
Date: March 8, 1999	Respondents: Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson; Robert G. Mahony, Administrative Law Judge Release No. 34-41145 File Number: 3-9686
Date: March 8, 1999	Respondents: Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl Release No. 34-41146 File Number: 3-9846
Date: March 5, 1999	Respondents: Eugene Bilotti Release No. 33-7652 File Number: 3-9517
Date: March 5, 1999	Respondents: Andrew L. O'Connell Release No. 34-41144 File Number: 3-9844
Date: March 3, 1999	Respondents: Robin Heiney Release No. 34-41131 File Number: 3-9840
Date: March 3, 1999	Respondents: Robert D. Sichta Release No. 34-41132 File Number: 3-9841
Date: March 3, 1999	Respondents: Randal Y. Stevens Release No. 34-41133 File Number: 3-9842
Date: March 3, 1999	Respondents: Rodney W. Helm Release No. 34-41134 File Number: 3-9843
Date: March 3, 1999	Respondents: R. Scot Rubel Release No. 34-41129 File Number: 3-9839
Date: March 1, 1999	Respondents: Robert Cedrone Release No. 34-41125
Date: Feb. 26, 1999	Respondents: TKO International, Inc. and Leonard A. Turano Release No. 33-7650 File Number: 3-9769
Date: Feb. 24, 1999	Respondents: Hastings Communications Release No. 33-7643 File Number: 3-9837
Date: Feb. 24, 1999	Respondents: RCG Capital Markets Group, Inc. and Arthur Max Ramras Release No. 34-41101 File Number: 3-9836
Date: Feb. 24, 1999	Respondents: Scott P. Flynn and Strategic Network Development, Inc. Release No. 34-41102 File Number: 3-9835
Date: Feb. 24, 1999	Respondents: Sunrise Medical Inc. Release No. 34-41096 File Number: 3-9833
Date: Feb. 24, 1999	Respondents: Sharon Longview, Christie Rockwood, Vicki Kranawetter, and Luther Dale Robinson Release No. 34-41097 File Number: 3-9834
Date: Feb. 17, 1999	Respondents: Barrett R. Rochman Release No. 34-41061 File Number: 3-9829