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: July 9, 1998	Respondents: Robert G. Bettiga Release No. 33-7553, 34-40184
Date: July 9, 1998	Respondents: Susan L. Henry Release No. 34-40183 File Number: 3-9647
Date: July 8, 1998	Respondents: Charles T. Young, CPA Release No. 34-40181 File Number: 3-9646
Date: July 7, 1998	Respondents: Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation; Carol Fox Foelak, Administrative Law Judge Release No. 33-7552, 34-40175, IA-1729, IC-23304 File Number: 3-9461
Date: July 7, 1998	Respondents: J.W. Korth & Co. and James Wilder Korth Release No. 34-40173 File Number: 3-9644
Date: July 7, 1998	Respondents: Hernan Jose Perez Release No. 34-40174 File Number: 3-9645
Date: July 6, 1998	Respondents: My Dang Release No. 34-40168 File Number: 3-9640
Date: July 6, 1998	Respondents: Erick A. Gray Release No. 34-40169 File Number: 3-9641
Date: July 6, 1998	Respondents: Frank J. Cooney Release No. 34-40170 File Number: 3-9642
Date: July 6, 1998	Respondents: Gaston E. Oxman Release No. 34-40171 File Number: 3-9643
Date: June 29, 1998	Respondents: Venator Group, Inc., formerly known as Woolworth Corporation, E. Ronald Gamble and Laura T. Kirsner Release No. 34-40142 File Number: 3-9638
Date: June 26, 1998	Respondents: James Ray Ross Release No. 33-7551,34-40134 File Number: 3-9636
Date: June 25, 1998	Respondents: Frank Berger Release No. 34-40125 File Number: 3-9631
Date: June 25, 1998	Respondents: Jayne Kathryn Rand Release No. 34-40127 File Number: 3-9632
Date: June 25, 1998	Respondents: James D. Scott Release No. 34-40128 File Number: 3-9633
Date: June 25, 1998	Respondents: WHX Corporation; Carol Fox Foelak, Administrative Law Judge Release No. 34-40130 File Number: 3-9634
Date: June 25, 1998	Respondents: Christopher M. Pedersen Release No. 34-40131 File Number: 3-9635
Date: June 24, 1998	Respondents: Ian Fishman and Lawrence Fishman Release No. 33-7547, 34-40115 File Number: 3-9629
Date: June 24, 1998	Respondents: Betty Ann Rubin Release No. 34-40116 File Number: 3-9630
Date: June 22, 1998	Respondents: Paul R. Safronchik, CPA Release No. 34-40106 File Number: 3-9628
Date: June 19, 1998	Respondents: Cortlandt Capital Corp., Mayer Amsel, and Joseph Michael Guccione Release No. 34-40100 File Number: 3-9444
Date: June 19, 1998	Respondents: Cortlandt Capital Corp., Mayer Amsel, and Joseph Michael Guccione Release No. 34-40101 File Number: 3-9444
Date: June 17, 1998	Respondents: Thomas D. Leaper, CPA, William T. Wall, III, CPA, Fred S. Flax, CPA, and Kellogg & Andelson LLC Release No. 34-40098 File Number: 3-9627
Date: June 15, 1998	Respondents: Ted E. Mong Release No. 34-40093 File Number: 3-9626
Date: June 12, 1998	Respondents: Emmanuel A.U. Lagpacan Release No. 34-40084, IA-1725 File Number: 3-9625
Date: June 8, 1998	Respondents: Mark Muenster Release No. 34-40078 File Number: 3-9622
Date: June 5, 1998	Respondents: Michael Cardascia Release No. 34-40076 File Number: 3-9621
Date: June 4, 1998	Respondents: Eugene McCloskey Release No. 34-40067 File Number: 3-9619
Date: June 4, 1998	Respondents: Charles Meizoso Release No. 34-40068 File Number: 3-9620
Date: June 3, 1998	Respondents: David W. D'Andrea Release No. 34-40060 File Number: 3-9617
Date: June 3, 1998	Respondents: Joseph Miceli, Jr. Release No. 34-40061 File Number: 3-9618
Date: June 1, 1998	Respondents: The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power Release No. 34-40049, IC-23229
Date: May 27, 1998	Respondents: Lloyd John Newton Release No. 33-7543, 34-40027 File Number: 3-9391
Date: May 22, 1998	Respondents: Richard E. Tobin Release No. 33-7542, 34-40023 File Number: 3-9544
Date: May 20, 1998	Respondents: Paul C. Kettler Glenn Robert Lawrence, Administrative Law Judge Release No. 34-40011 File Number: 3-8206
Date: May 20, 1998	Respondents: Kerrigan Sean Weber Release No. 33-7540, 34-40012 File Number: 3-9523
Date: May 19, 1998	Respondents: Richard Valade, CPA Release No. 34-40002 File Number: 3-9607
Date: May 14, 1998	Respondents: David Walter Connochie Release No. 34-39993 File Number: 3-9605
Date: May 14, 1998	Respondents: George Craig Stayner, CPA Glenn Robert Lawrence, Administrative Law Judge Release No. 34-39994 File Number: 3-8330
Date: May 12, 1998	Respondents: Pepsi-Cola Puerto Rico Bottling Company Release No. 34-39984 File Number: 3-9603
Date: May 7, 1998	Respondents: Alfred Peeper, Charles F. Kirby, Gene C. Geiger, and Edward H. Price Release No. 33-7538, 34-39971
Date: May 6, 1998	Respondents: Paul I. Comi Release No. 34-39968
Date: May 6, 1998	Respondents: Jean M. Yawn Release No. 34-39961 File Number: 3-9600
Date: May 5, 1998	Respondents: Timothy J. Brannon, Jr. Release No. 33-7533, 34-39949 File Number: 3-9597
Date: May 5, 1998	Respondents: William D. Tetsworth, Jr. Release No. 34-39950 File Number: 3-9598
Date: May 5, 1998	Respondents: County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7537 File Number: 3-9542
Date: May 5, 1998	Respondents: County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7536 File Number: 3-9542
Date: May 5, 1998	Respondents: County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7535 File Number: 3-9542
Date: May 4, 1998	Respondents: NationsSecurities and NationsBank, N.A. Release No. 33-7532
Date: May 4, 1998	Respondents: John Gardner Black and Devon Capital Management, Inc. Release No. IA-1720 File Number: 3-9599
Date: May 1, 1998	Respondents: H. Beck, Inc. and Gary S. Hurvitz Release No. 34-39943 File Number: 3-9357
Date: April 30, 1998	Respondents: Leslie Danish Release No. 34-39931 File Number: 3-9594
Date: April 30, 1998	Respondents: Robert Francis Buchheit, Sr. Release No. 33-7531, 34-39932 File Number: 3-9595
Date: April 29, 1998	Respondents: Schneider Securities, Inc., Barry D. Tull, and Paul E. Pinholster Release No. 33-7530, 34-39929 File Number: 3-9591
Date: April 29, 1998	Respondents: Raymond A. Basile Release No. 34-39930 File Number: 3-9592
Date: April 28, 1998	Respondents: R. James Brower Release No. 34-39926 File Number: 3-9590
Date: April 27, 1998	Respondents: Albert Glenn Yesner, CPA; Robert G. Mahony, Administrative Law Judge Release No. 33-7528 File Number: 3-9586
Date: April 27, 1998	Respondents: Thomas F. Ferris Release No. 33-7529 File Number: 3-9587
Date: April 27, 1998	Respondents: A. Morgan Maree, Jr. & Associates, Inc., and Hugh Duff Robertson Release No. 34-39917 File Number: 3-9497
Date: April 27, 1998	Respondents: Joseph Sanfellipo Release No. 34-39919 File Number: 3-9588
Date: April 27, 1998	Respondents: George E. Brooks & Associates, Inc., Morehead Investment Advisors, Inc., and George E. Brooks Release No. 34-39921 File Number: 3-9589
Date: April 24, 1998	Respondents: David T. Barr; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7527 File Number: 3-9585
Date: April 24, 1998	Respondents: Reservoir Capital Management, Inc. and Roann Costin Release No. IA-1717 File Number: 3-9584
Date: April 23, 1998	Respondents: Meridian Securities, Inc., CoreStates Capital Markets and Martin J. Stallone Release No. 33-7525 File Number: 3-9582
Date: April 23, 1998	Respondents: Steven T. Snyder Release No. 33-7526 File Number: 3-9583
Date: April 22, 1998	Respondents: Jeffrey A. Lobel Release No. 34-39901 File Number: 3-9580
Date: April 22, 1998	Respondents: Michael W. Crow Release No. 34-39902
Date: April 13, 1998	Respondents: Rothschild Investment Corporation Release No. IA-1714 File Number: 3-9577
Date: April 13, 1998	Respondents: Steven L. Down Release No. IA-1715 File Number: 3-9578
Date: April 10, 1998	Respondents: Jamie Charles Spangler Release No. 34-39848 File Number: 3-9576
Date: April 9, 1998	Respondents: Lee Pharmaceuticals, Henry L. Lee, Jr., Ronald G. Lee and Michael L. Agresti Release No. 34-39843 File Number: 3-9573
Date: April 9, 1998	Respondents: Jeffrey Price and Michael Ostrach Release No. 34-39844 File Number: 3-9574
Date: April 6, 1998	Respondents: William P. Carroll Release No. 33-7522 File Number: 3-9364
Date: March 30, 1998	Respondents: Mitchell Hutchins Asset Management Inc. Release No. 33-7521, 34-39817, IA-1712, IC-23090 File Number: 3-9383
Date: March 27, 1998	Respondents: George J. Kolar Release No. 34-39812
Date: March 27, 1998	Respondents: Feeley and Willcox Asset Management Corporation and Michael J. Feeley; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7520 File Number: 3-9571
Date: March 26, 1998	Respondents: Jerry G. Allison Release No. 34-39807 File Number: 3-9569
Date: March 25, 1998	Respondents: Sensormatic Electronics Corporation Release No. 33-7518 File Number: 3-9563
Date: March 25, 1998	Respondents: Joy Lynn Schneider Green Release No. 34-39792 File Number: 3-9564
Date: March 25, 1998	Respondents: Thomas H. Pike Release No. 34-39793 File Number: 3-9565
Date: March 25, 1998	Respondents: Thomas Anthony Calise Release No. 34-39795 File Number: 3-9566
Date: March 25, 1998	Respondents: Holiday Stock Transfer, Inc. and Sharon M. Owen Release No. 33-7519 File Number: 3-9567
Date: March 25, 1998	Respondents: Peter F. Kuebler, CPA Release No. 34-39801 File Number: 3-9568
Date: March 23, 1998	Respondents: Paul D. Blasetti Release No. 33-7517 File Number: 3-9368
Date: March 18, 1998	Respondents: Eugene Bilotti Release No. 33-7515 File Number: 3-9517
Date: March 13, 1998	Respondents: James D. Rocco Release No. 34-39752 File Number: 3-9558
Date: March 13, 1998	Respondents: Scott S. Bell and Theta Group, LLC Release No. 34-39753 File Number: 3-9559
Date: March 10, 1998	Respondents: Jerry Stone Release No. 34-39737 File Number: 3-9556
Date: March 4, 1998	Respondents: Paul L. Nieto Release No. 34-39714 File Number: 3-9552
Date: March 3, 1998	Respondents: Kuslima Shogen, Stanislaw Mikulski and Allen Siegel Release No. 34-39710 File Number: 3-9550
Date: Feb. 27, 1998	Respondents: Robert Hardy Release No. 34-39702 File Number: 3-9547
Date: Feb. 27, 1998	Respondents: Daniel E. Goodman Release No. 34-39703 File Number: 3-9548
Date: Feb. 26, 1998	Respondents: Monetta Financial Services, Inc., Robert S. Bacarella, William M. Valiant, Paul W. Henry, and Richard D. Russo; Brenda P. Murrary, Chief Administrative Law Judge Release No. 33-7510, 34-39701, IA-1702, IC-23048 File Number: 3-9546
Date: Feb. 20, 1998	Respondents: Michael Lissack Release No. 34-39687
Date: Feb. 11, 1998	Respondents: David P. Silver Release No. 34-39642 File Number: 3-9358
Date: Feb. 9, 1998	Respondents: William F. Lincoln; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-39629 File Number: 3-8998
Date: Feb. 2, 1998	Respondents: County of Nevada (Calif.), City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay Release No. 33-7503, 34-39612
Date: Feb. 2, 1998	Respondents: Alexander Ruge, Bertram Slutzky, Jeffrey Szur, and Andrew Scudiero Release No. 34-39605
Date: Jan. 30, 1998	Respondents: Pacific Matrix Financial Group, Inc. Release No. 33-7501, 34-39600 File Number: 3-9539
Date: Jan. 30, 1998	Respondents: Dean McDermott, Stephen Compos and Daniel Shaffer Release No. 33-7502 File Number: 3-9540