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: Sept. 30, 1998	Respondents: Allen Weinstein Release No. 34-40501 File Number: 3-9745
Date: Sept. 30, 1998	Respondents: Douglas C. Selander Release No. 34-40502 File Number: 3-9746
Date: Sept. 30, 1998	Respondents: John Marsala Release No. 34-40503 File Number: 3-9747
Date: Sept. 30, 1998	Respondents: Irwin Frankel Release No. 34-40504 File Number: 3-9748
Date: Sept. 30, 1998	Respondents: J. David Glover, Jr. Release No. 34-40508 File Number: 3-9752
Date: Sept. 30, 1998	Respondents: Michelle Sotnikow Release No. 34-40509 File Number: 3-9753
Date: Sept. 30, 1998	Respondents: H.J. Meyers & Co., Inc. and Tobin J. Senefeld Release No. 34-40510 File Number: 3-9754
Date: Sept. 30, 1998	Respondents: Schuylkill Capital Management, Ltd. and Howard A. Trauger Release No. IA-1766 File Number: 3-9457
Date: Sept. 30, 1998	Respondents: Abn Amro-Nsm International Funds Management, B.V. Release No. IA-1767 File Number: 3-9751
Date: Sept. 30, 1998	Respondents: Craig Leibold, Jeffrey Oetting, Tom Pollard, and Mark Salter Release No. 33-7591, 34-40507 File Number: 3-9750
Date: Sept. 30, 1998	Respondents: Bell Capital Management, Inc., Ronnie H. Bell, Thomas C. Comsudes, and Mark S. Palmer Release No. IA-1768
Date: Sept. 29, 1998	Respondents: Donna Laubscher, CPA and Sherald Griffin, CPA Release No. 34-40495 File Number: 3-9740
Date: Sept. 29, 1998	Respondents: Newport-Mesa Unified School District Release No. 33-7589 File Number: 3-9738
Date: Sept. 29, 1998	Respondents: City of Anaheim, City of Irvine, Irvine Unified School District, North Orange County Community College District, and Orange County Board Of Education Release No. 33-7590 File Number: 3-9739
Date: Sept. 29, 1998	Respondents: Finarc, LLC and Catherine F. White Release No. IA-1763 File Number: 801-37761
Date: Sept. 29, 1998	Respondents: Profitek, Inc. and Edward G. Smith Release No. IA-1764 File Number: 3-9743
Date: Sept. 29, 1998	Respondents: Rhumbline Advisers and John D. Nelson Release No. IA-1765 File Number: 3-9744
Date: Sept. 29, 1998	Respondents: Mike Zaman Release No. 34-40494 File Number: 3-9737
Date: Sept. 28, 1998	Respondents: Byron G. Borgardt and Eric M. Banhazl; James T. Kelly, Administrative Law Judge Release No. 33-7587, IC-23468 File Number: 3-9730
Date: Sept. 28, 1998	Respondents: Reid Rutherford Release No. 33-7588, IC-23469 File Number: 3-9731
Date: Sept. 28, 1998	Respondents: Concord Growth Corporation Release No. IC-23470 File Number: 3-9732
Date: Sept. 28, 1998	Respondents: Rupay-Barrington Investment Advisory Services, Inc. and Frederick A. Wolf Release No. IA-1761, IC-23471 File Number: 3-9734
Date: Sept. 28, 1998	Respondents: Christopher M. Pedersen Release No. 34-40490 File Number: 3-9635
Date: Sept. 28, 1998	Respondents: Nancy A. Swoffer Release No. 34-40488 File Number: 3-9735
Date: Sept. 28, 1998	Respondents: Patricia S. Gale Release No. 34-40489 File Number: 3-9736
Date: Sept. 25, 1998	Respondents: Ted C. Beattie and Linda Beattie Release No. 34-40480 File Number: 3-9726
Date: Sept. 25, 1998	Respondents: Randy Depoister Release No. 34-40483, IA-1759 File Number: 3-9728
Date: Sept. 25, 1998	Respondents: Pankowski Associates, Inc. and Joseph R. Pankowski Release No. IA-1758 File Number: 3-9727
Date: Sept. 25, 1998	Respondents: Seaboard Investment Advisers, Inc. and Eugene W. Hansen; Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1757 File Number: 3-9725
Date: Sept. 25, 1998	Respondents: John W. Gillette, Jr. Release No. 34-40484, IA-1760 File Number: 3-9729
Date: Sept. 24, 1998	Respondents: Corrpro Companies, Inc., Richard K. Harr Release No. 34-40476 File Number: 3-9722
Date: Sept. 24, 1998	Respondents: Global Casinos, Inc. and William P. Martindale Release No. 33-7586, 34-40469 File Number: 3-9719
Date: Sept. 24, 1998	Respondents: Joseph W. Pellechia Release No. 34-40468 File Number: 3-9718
Date: Sept. 24, 1998	Respondents: Ronald Bajorek, Jr. Release No. 34-40470 File Number: 3-9720
Date: Sept. 24, 1998	Respondents: John Von Der Lieth, III, and Daniel F. Dugan Release No. 34-40471 File Number: 3-9721
Date: Sept. 24, 1998	Respondents: Robert J. Meledandri, Jr. Release No. 34-40477 File Number: 3-9723
Date: Sept. 24, 1998	Respondents: City of Moorhead, Mississippi Release No. 33-7585, 34-40478 File Number: 3-9724
Date: Sept. 23, 1998	Respondents: Nylife Securities Inc. Release No. 34-40459 File Number: 3-9712
Date: Sept. 23, 1998	Respondents: John T. Fortier Release No. 34-40460
Date: Sept. 23, 1998	Respondents: Daniel L. Gotthilf, C.P.A. Release No. 34-40461
Date: Sept. 23, 1998	Respondents: David E. Freitag Release No. 34-40462 File Number: 3-9714
Date: Sept. 23, 1998	Respondents: Raymond R. Newberg Release No. 33-7582, 34-40464 File Number: 3-9456
Date: Sept. 23, 1998	Respondents: CS First Boston Investment Management Corporation Release No. 33-7583, 34-40465, IA-1754 File Number: 3-9715
Date: Sept. 23, 1998	Respondents: Sean P. Brennan and Keith E. Walsh Release No. 33-7584, 34-40466, IA-1755, IC-23463 File Number: 3-9716
Date: Sept. 23, 1998	Respondents: Nicholas C. Bogard Release No. 34-40467, IA-1756 File Number: 3-9717
Date: Sept. 22, 1998	Respondents: Innovative Consulting Services, Inc. and Richard W. Mchenry Release No. 34-40452 File Number: 3-9709
Date: Sept. 22, 1998	Respondents: Meda Belle McKinney Release No. 33-7581, 34-40453 File Number: 3-9711
Date: Sept. 22, 1998	Respondents: Orlando R. Landa Release No. IA-1753 File Number: 3-9710
Date: Sept. 18, 1998	Respondents: Brian M. Cohen Release No. 34-40450 File Number: 3-9708
Date: Sept. 17, 1998	Respondents: Audre Recognition Systems, Inc., Beverly E. Johnston, and Nick R. Avila Release No. 34-40446 File Number: 3-9707
Date: Sept. 16, 1998	Respondents: Stanley Berk, Bay Area Management, Armor Pension Managers and Marine Midland Bank Release No. 33-7580
Date: Sept. 14, 1998	Respondents: Stephen H. Brown Release No. 33-7579, 34-40435, IA-1751, IC-23434 File Number: 3-9704
Date: Sept. 14, 1998	Respondents: Ellen Griggs Release No. IA-1750 File Number: 3-9703
Date: Sept. 10, 1998	Respondents: Olde Discount Corp., Ernest J. Olde, Stanley A. Snider, and Daniel D. Katzman Release No. 33-7577, 34-40423 File Number: 3-9699
Date: Sept. 10, 1998	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. 33-7578, 34-40429 File Number: 3-9702
Date: Sept. 10, 1998	Respondents: Andrew Paul Tomasko Release No. 34-40425 File Number: 3-9701
Date: Sept. 9, 1998	Respondents: Steven M. Scarano, CPA Release No. 33-7572, 34-40413 File Number: 3-9694
Date: Sept. 9, 1998	Respondents: Charles N. Lipton, CPA Release No. 33-7573, 34-40414 File Number: 3-9695
Date: Sept. 9, 1998	Respondents: Donald E. Whorl Release No. 33-7574, 34-40415 File Number: 3-9696
Date: Sept. 9, 1998	Respondents: Erik W. Chan Release No. 33-7575, 34-40416
Date: Sept. 9, 1998	Respondents: Gilbert Mintz and Pearle G. Mintz Release No. 33-7576, 34-40417 File Number: 3-9698
Date: Sept. 3, 1998	Respondents: Kuo-Chang Wong Release No. 33-7570, 34-40394
Date: Sept. 3, 1998	Respondents: Kevin C. Speranza, and Robert A. Maggi Release No. 33-7571, 34-40396 File Number: 3-9693
Date: Sept. 1, 1998	Respondents: Joseph P. Tufo Release No. 33-7569, 34-40388
Date: Sept. 1, 1998	Respondents: Janis A. Patterson Release No. 34-40389 File Number: 3-9691
Date: Aug. 27, 1998	Respondents: The Nikko Securities Co. International, Inc., Masao Ebina, Tadao Osada, and Toshiyuki Sagiuchi Release No. 34-40375 File Number: 3-9687
Date: Aug. 27, 1998	Respondents: Wheat First Securities Inc. F/K/A First Union Capital Markets Corp.; Teressa L. Cawley; Herbert Grossman, Administrative Law Judge Release No. 34-40376 File Number: 3-9688
Date: Aug. 26, 1998	Respondents: Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson Release No. 34-40366
Date: Aug. 25, 1998	Respondents: Jacqueline Badger Mars Release No. 34-40362 File Number: 3-9685
Date: Aug. 24, 1998	Respondents: Merrill Lynch, Pierce, Fenner & Smith Inc. Release No. 33-7566, 34-40352 File Number: 3-9683
Date: Aug. 20, 1998	Respondents: David L. Chandler Release No. 34-40346 File Number: 3-9680
Date: Aug. 20, 1998	Respondents: Oliver Williams Release No. 34-40347 File Number: 3-9681
Date: Aug. 19, 1998	Respondents: William J. Ferry Release No. IA-1747 File Number: 3-9679
Date: Aug. 19, 1998	Respondents: Frank Palumbo Release No. 34-40336 File Number: 3-9678
Date: Aug. 18, 1998	Respondents: Eric S. Blumen, Ira A. Boshnack, Andrew S. Friedman, Jordan I. Shamah and Irving Stitsky, all former principals and registered representatives ("RRs"), and Douglas C. Miller, a former RR, at Stratton Oakmont, Inc. Release No. 33-7564, 34-40332 File Number: 3-9491
Date: Aug. 18, 1998	Respondents: Eric S. Blumen, Ira A. Boshnack, Andrew S. Friedman, Jordan I. Shamah and Irving Stitsky, all former principals and registered representatives ("RRs"), and Douglas C. Miller, a former RR, at Stratton Oakmont, Inc. Release No. 33-7565, 34-40333 File Number: 3-9491
Date: Aug. 17, 1998	Respondents: George E. Brooks & Associates, Inc., Morehead Investment Advisors, Inc., and George E. Brooks Release No. 34-40329, IA-1746, IC-23392 File Number: 3-9589
Date: Aug. 13, 1998	Respondents: American Growth of The Investment Advisers Capital Corp. Release No. IA-1743 File Number: 3-9675
Date: Aug. 13, 1998	Respondents: Charles E. Duquette Release No. IA-1744 File Number: 3-9676
Date: Aug. 13, 1998	Respondents: Donna L. Snyder Release No. IA-1745 File Number: 3-9677
Date: Aug. 13, 1998	Respondents: Jeffrey A. Egan Release No. 34-40322, IA-1742 File Number: 3-9674
Date: Aug. 12, 1998	Respondents: Nicholas-Appelgate Capital Management Release No. IA-1741 File Number: 3-9673
Date: Aug. 10, 1998	Respondents: Frank P. Zitkevitz Release No. 4-40313 File Number: 3-9670
Date: Aug. 7, 1998	Respondents: Cesar A. Montilla Release No. 4-40309 File Number: 4-40309
Date: Aug. 6, 1998	Respondents: Spacedev, Inc. and James W. Benson Release No. 33-7561, 34-40307 File Number: 3-9668
Date: Aug. 5, 1998	Respondents: Sony Corporation and Sumio Sano Release No. 34-40305 File Number: 3-9666
Date: July 31, 1998	Respondents: Maria Mei Wenner, CPA Release No. 34-40290 File Number: 3-9663
Date: July 31, 1998	Respondents: Peter F. Kuebler, CPA Release No. 34-40291 File Number: 3-9568
Date: July 31, 1998	Respondents: Prime Advisors, Inc., Norman Zadeh, and Jeffrey Goodstein Release No. 33-7560, 34-40292, IA-1739, IC-23368 File Number: 3-9664
Date: July 30, 1998	Respondents: Ivor R. Ellul and Joseph R. Summa Release No. 34-40279 File Number: 3-9659
Date: July 30, 1998	Respondents: Barbara J. Cavallo Release No. 34-40280 File Number: 3-9660
Date: July 30, 1998	Respondents: Incomnet, Inc., Joel W. Greenberg, and Stephen A. Caswell Release No. 34-40281 File Number: 3-9661
Date: July 30, 1998	Respondents: Amerivision Communications, Inc., Hebron Communications Corp., Tracy C. Freeny and Carl D. Thompson Release No. 33-7559, 34-40282 File Number: 3-9662
Date: July 28, 1998	Respondents: 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 Release No. 33-7557, 34-40267, IA-1737, IC-23333 File Number: 3-9657
Date: July 28, 1998	Respondents: PFS Investments, Inc. Release No. 34-40269 File Number: 3-9658
Date: July 27, 1998	Respondents: Rudy Crosswell and Paula G. Den Boer Release No. 34-40265 File Number: 3-9656
Date: July 23, 1998	Respondents: Eugene Laff, Stanley Aslanian, Jr., and Lawrence Caito Release No. 34-40256 File Number: 3-9654
Date: July 23, 1998	Respondents: Rosario Russell Ruggiero Release No. 34-40259 File Number: 3-9655
Date: July 17, 1998	Respondents: Brack Stanford and Associates, Inc. and Brack Stanford Release No. 34-40234, IA-1734 File Number: 3-9652
Date: July 13, 1998	Respondents: Coahoma County, MS, et al. Release No. 33-7554, 34-40194 File Number: 3-9650