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. 25, 1997	Respondents: Michael J. Oberholzer Release No. 34-39127 File Number: 3-9434
Date: Sept. 25, 1997	Respondents: Herbert Moskowitz; Carol Fox Foelak, Administrative Law Judge Release No. 34-39128AAE-965 File Number: 3-9435
Date: Sept. 25, 1997	Respondents: David M. Carmichael, Anthony Kohl, and Chris Adams Release No. 34-39130 File Number: 3-9436
Date: Sept. 25, 1997	Respondents: Stephen D. Gellas Release No. 34-39132 File Number: 3-9437
Date: Sept. 25, 1997	Respondents: Joseph F. Reese; Carol Fox Foelak, Administrative Law Judge Release No. 33-7457 File Number: 3-9439
Date: Sept. 25, 1997	Respondents: Edward Christian Farni Release No. 34-39133 File Number: 3-9438
Date: Sept. 24, 1997	Respondents: Richard Milbrodt Release No. 33-7455;34-39121 File Number: 3-9429
Date: Sept. 24, 1997	Respondents: Dwight Allen Release No. 33-745634-39122 File Number: 3-9430
Date: Sept. 24, 1997	Respondents: Gerald P. Hirsch Release No. 34-39123 File Number: 3-9431
Date: Sept. 24, 1997	Respondents: Elliot Stumacher Release No. 34-39124AAE-963 File Number: 3-9432
Date: Sept. 24, 1997	Respondents: Nycal Corp Release No. 34-39125 File Number: 3-9433
Date: Sept. 23, 1997	Respondents: Smith Barney, Inc. Release No. 34-39118 File Number: 3-9426
Date: Sept. 22, 1997	Respondents: Michael C. Robertson and M.C. Robertson & Associates, Inc. Release No. 33-7453;34-39107;IA-1669;IC-22829 File Number: 3-9100
Date: Sept. 22, 1997	Respondents: Gary L. Hamby and Gary B. Ross Release No. 34-39102,IA-1668 File Number: 3-9422
Date: Sept. 22, 1997	Respondents: Dennis Murray Bissell Release No. 34-39108 File Number: 3-9423
Date: Sept. 22, 1997	Respondents: J.M. Dickinson Bransford Release No. 33-7454 File Number: 3-9424
Date: Sept. 22, 1997	Respondents: ProFinancial Advisors, Inc., and W. Ralph Wills, III Release No. IA-1670 File Number: 3-9425
Date: Sept. 22, 1997	Respondents: Michael C. Robertson and M.C. Robertson & Associates, Inc. Release No. 33-745334-39107IA-1669IC-22829 File Number: 3-9100
Date: Sept. 19, 1997	Respondents: Joseph B. Johnson Release No. 34-39097;IA-1667 File Number: 3-9421
Date: Sept. 18, 1997	Respondents: David Hersh, CPA Release No. 34-39089;AAE-962 File Number: 3-9416
Date: Sept. 18, 1997	Respondents: A. David Hengstler Release No. 33-7451;34-39090 File Number: 3-9417
Date: Sept. 18, 1997	Respondents: George Garcy Release No. 33-7452;34-39091 File Number: 3-9419
Date: Sept. 17, 1997	Respondents: Freddie Don Stewart Release No. 34-39085 File Number: 3-9415
Date: Sept. 16, 1997	Respondents: D.L. Gresty & Company, Inc., David Lee Gresty, and Marcia A.Gresty Release No. IA-1665 File Number: 3-9412
Date: Sept. 16, 1997	Respondents: Stephens Inc. Release No. IA-1666 File Number: 3-9413
Date: Sept. 16, 1997	Respondents: Century Technologies Inc. Release No. 34-39081,AAE-961 File Number: 3-9411
Date: Sept. 15, 1997	Respondents: Michael D. Gibson Release No. 33-7450,34-39061
Date: Sept. 15, 1997	Respondents: Legend Sports, Inc. Release No. .34-39072
Date: Sept. 15, 1997	Respondents: John D. MacKenzie Release No. IA-1662,34-39073 File Number: 3-9407
Date: Sept. 15, 1997	Respondents: Vilis Pasts, Bts/Bond Timing, Inc., Bond Timing SecuritiesCorp. and Adonis Berzins Release No. 34-39074,IA-1663,IC-22820 File Number: 3-9408
Date: Sept. 15, 1997	Respondents: James R. Bryan, CPA Release No. AAE-960,34-39077 File Number: 3-9409
Date: Sept. 15, 1997	Respondents: Rodney B. Hedges Release No. 34-39078 File Number: 3-9410
Date: Sept. 12, 1997	Respondents: Edward M. Collins Release No. 34-39062
Date: Sept. 11, 1997	Respondents: Douglas R. Coates, CPA Release No. 34-39052,AAE-958 File Number: 3-9405
Date: Sept. 11, 1997	Respondents: Monroe Parker Securities, Inc. Release No. 34-39057 File Number: 3-9174
Date: Sept. 11, 1997	Respondents: Robert A. Quiel Release No. 3439056 File Number: 3-9196
Date: Sept. 10, 1997	Respondents: Mickie E. Higgins-Hallke, CPA, CPA Release No. 34-39039,AAE-952 File Number: 3-9396
Date: Sept. 10, 1997	Respondents: Wyatt Gene Ross Release No. 34-39040,AAE-953 File Number: 3-9397
Date: Sept. 10, 1997	Respondents: Lynn K. Ross Release No. 34-39041,AAE-954 File Number: 3-9398
Date: Sept. 10, 1997	Respondents: Juergens Otto Winkler Release No. 33-7449,34-39042 File Number: 3-9399
Date: Sept. 10, 1997	Respondents: William B. Sanders, CPA Release No. 34-39045,AAE-955 File Number: 3-9400
Date: Sept. 10, 1997	Respondents: Carol A. Hamby and David W. Stepanek Release No. 34-39046,IA-1661 File Number: 3-9401
Date: Sept. 10, 1997	Respondents: Euro-Atlantic Securities, Inc., Brian A. Schmidt, Darlan E.Gordon, John T. Madden, William Aven, and John Aristotle DilworthII Release No. 34-39047
Date: Sept. 9, 1997	Respondents: Frank P. Meadows, III, and The Nottingham Co., Inc. d/b/aThe Nottingham Management Co., Inc., d/b/a TNC, Inc., d/b/a F.P.Meadows & Co andd/b/a The Nottingham Co. Release No. 34-39034,IA-1660,IC-22813 File Number: 3-9395
Date: Sept. 8, 1997	Respondents: Jocelyn Jane O'Rourke Release No. 34-39027,IA-1659 File Number: 3-9393
Date: Sept. 8, 1997	Respondents: Fahnestock and Co., Inc. and William E. Bierlin, Jr. Release No. 34-39029 File Number: 3-9122
Date: Sept. 5, 1997	Respondents: Lloyd John Newton Release No. 33-7447,34-39023 File Number: 3-9391
Date: Sept. 4, 1997	Respondents: Willy Kerzinger, D/B/A Commodity Pool Service Release No. 33-7446,34-39015,IA-1658,IC-22809 File Number: 3-9390
Date: Sept. 3, 1997	Respondents: Walter Herbert Moore, Jr. Release No. 34-39006,IA-1657
Date: Sept. 2, 1997	Respondents: S. Donald Sussman Release No. IA-1653,AAE-948 File Number: 3-9382
Date: Sept. 2, 1997	Respondents: Mitchell Hutchins Asset Management Inc. Release No. 33-7444,34-39001,IA-1654,IC-22805 File Number: 3-9383
Date: Sept. 2, 1997	Respondents: Simon Dominic Baier Release No. 34-39003 File Number: 3-9385
Date: Sept. 2, 1997	Respondents: Barbara B. Nolan Release No. 34-39002,IA-1655 File Number: 3-9384
Date: Sept. 2, 1997	Respondents: Aug. Mezzetta Release No. 34-39005,IA-1656 File Number: 3-9387
Date: Aug. 29, 1997	Respondents: Robert Thomas Beatty Release No. 34-38994 File Number: 3-9380
Date: Aug. 29, 1997	Respondents: David Scott Rossman Release No. 34-38995 File Number: 3-9381
Date: Aug. 28, 1997	Respondents: Ngai King Tak, Evelyn A. Wong, and Haroutioun K. Aydjian Release No. AAE-946,34-38988,33-7443 File Number: 3-9379
Date: Aug. 27, 1997	Respondents: Derek Washington Release No. 33-7442,34-38978
Date: Aug. 27, 1997	Respondents: Willie Daniels Release No. 33-7441,34-38977 File Number: 3-9375
Date: Aug. 27, 1997	Respondents: Peter S. Alsop Release No. IA-1652 File Number: 3-9377
Date: Aug. 26, 1997	Respondents: Hudson Investors Fund, Inc., Hudson Advisers, Inc., JavedAnver Latef and Larry Alan Stockett Release No. 33-7440,34-38976,IC-22799,IA-1651
Date: Aug. 26, 1997	Respondents: Robert Alan Denton, Jeffrey Peter Morrison, Lee MichaelRough, Marc David Siden and Kenneth Thomas Tripoli Release No. 33-7439,34-38970 File Number: 3-9373
Date: Aug. 21, 1997	Respondents: John L. Bridges, Jr. Release No. 34-38957 File Number: 3-9370
Date: Aug. 18, 1997	Respondents: William P. Carroll Release No. 34-38942
Date: Aug. 18, 1997	Respondents: Gary W. Berus Release No. 34-38944
Date: Aug. 18, 1997	Respondents: Americorp Securities, Inc. and Drew Edgar Schaefer Release No. 33-7436,34-38947
Date: Aug. 18, 1997	Respondents: Thomas John Cloutier Release No. 34-38946 File Number: 3-9366
Date: Aug. 13, 1997	Respondents: Combined Companies International Corp. Release No. 34-38931 File Number: 3-9322
Date: Aug. 13, 1997	Respondents: First Capital Strategists, Robert E. Frith Jr., Keith H.Cunningham, Paul J. Gangemi, and John J. McCollum Release No. IA-1648 File Number: 3-9362
Date: Aug. 11, 1997	Respondents: H. Beck, Inc. and Gary S. Hurvitz Release No. 34-38913
Date: Aug. 11, 1997	Respondents: David P. Silver Release No. 34-38914 File Number: 3-9358
Date: Aug. 11, 1997	Respondents: Timothy J. Guiheen Release No. 34-38917 File Number: 3-9359
Date: Aug. 11, 1997	Respondents: Stock Clearing Corp Of Philadelphia andPhiladelphia Depository Trust Co. Release No. 34-38918 File Number: 3-9360
Date: Aug. 11, 1997	Respondents: William N. Briggs Release No. 34-38919 File Number: 3-9361
Date: Aug. 6, 1997	Respondents: Ted Harold Westerfield; G. Marvin Bober, Administrative Law Judge Release No. 34-38904 File Number: 3-9355
Date: Aug. 6, 1997	Respondents: Robert Pierce and Carrie L. Williams Pierce Release No. IA-1647 File Number: 3-9273
Date: Aug. 5, 1997	Respondents: Robert L. Gresham, CPA Release No. 34-38902,AAE-943 File Number: 3-9353
Date: Aug. 5, 1997	Respondents: James P. Brown Release No. 34-38903,AAE-944 File Number: 3-9354
Date: July 29, 1997	Respondents: Ronald J. Mitchellette Release No. IA-1646,IC-22768 File Number: 3-9352
Date: July 28, 1997	Respondents: Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-38877,IA-22766 File Number: 3-9181
Date: July 28, 1997	Respondents: Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-38880,IA-22767 File Number: 3-9181
Date: July 28, 1997	Respondents: William D. Kyle Release No. 34-38876,AAE-941 File Number: 3-9247
Date: July 28, 1997	Respondents: Stuart Gregory Smith, Capital Investment Managers, Inc., andCapital Fund Managers, Inc. Release No. 34-38878,IA-1645 File Number: 3-9351
Date: July 23, 1997	Respondents: Thomas J. Fox Release No. 34-38863 File Number: 3-9350
Date: July 22, 1997	Respondents: M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio 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 Release No. 34-38857 File Number: 3-8772
Date: July 22, 1997	Respondents: Ponder Industries, Inc., Mack Ponder, Charles E. Greenwood,and Michael A. Dupre Release No. 34-38858,AAE-938 File Number: 3-9349
Date: July 21, 1997	Respondents: Refco Securities, Inc. Release No. 34-38855 File Number: 3-9054
Date: July 18, 1997	Respondents: LBS Capital Management, Inc. Release No. IA-1644 File Number: 3-9348
Date: July 17, 1997	Respondents: Dennis Klein Release No. 34-38844,AAE-937 File Number: 3-9347
Date: July 11, 1997	Respondents: Dennis Lindsay Helliwell Release No. 34-38832 File Number: 3-9210
Date: July 3, 1997	Respondents: Brian J. McCahery Release No. 34-38814 File Number: 3-9224
Date: July 1, 1997	Respondents: Helen T. Chalut and Saleem Noorani Release No. 33-7428 File Number: 3-9344
Date: July 1, 1997	Respondents: Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester Release No. 33-7429 File Number: 3-9345
Date: July 1, 1997	Respondents: Stephen J. Sogin and Steven N. Weiss Release No. 34-38802 File Number: 3-9136
Date: July 1, 1997	Respondents: Stephen J. Sogin and Steven N. Weiss Release No. 34-38803 File Number: 3-9136
Date: June 25, 1997	Respondents: Vincent Poliseno Release No. 34-38770 File Number: 3-9256
Date: June 25, 1997	Respondents: National Partnership Investments Corporation, NationalPartnership Equities, Inc., National Corporate Tax Credit Fund,Century Hillcreste Apartment Investors, L.P., Alan I. Casden,Charles H. Boxenbaum, and Bruce E. Nelson Release No. 33-7425 File Number: 3-9340
Date: June 25, 1997	Respondents: Spectrum Information Technologies, Incorporated Release No. 33-7426 File Number: 3-9341
Date: June 25, 1997	Respondents: First Montauk Securities Corp. Release No. 34-38775 File Number: 3-9342
Date: June 24, 1997	Respondents: Gary A. Prince Release No. 34-38765 File Number: 3-9338