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 24, 1997	Respondents: Kenneth F. Richey Release No. 34-38762 File Number: 3-9337
Date: June 24, 1997	Respondents: Pendleton C. Waugh Release No. 34-38761 File Number: 3-9336
Date: June 23, 1997	Respondents: George W. Meyers, Gregory W. Meyers, Tax Exempt Fund,Municipal Fund, and Fox, Reusch & Co., Inc. Release No. 34-38754 File Number: 3-9335
Date: June 20, 1997	Respondents: Steven Ira Wertman, Robert Bruce Orkin, Edward CharlesWilliam Donner, III and Earl Seth David Release No. 34-38751 File Number: 3-9334
Date: June 18, 1997	Respondents: GFL Ultra Fund, Inc. Note includes dissenting opinion from Commissioner Steven M.H.Wallman Release No. 3-9333 File Number: 3-9333
Date: June 13, 1997	Respondents: Oakwood Counselors, Inc. and Paul J. Sherman Release No. IA-1636 File Number: 3-9243
Date: June 10, 1997	Respondents: Kyle Weston Release No. 4-38726 File Number: 3-9329
Date: June 10, 1997	Respondents: B.J. Thomas Release No. 34-38727 File Number: 3-9331
Date: June 6, 1997	Respondents: McKenzie Walker Investment Management, Inc. and Richard C. McKenzie, Jr. Release No. IA-1635 File Number: 3-9043
Date: June 4, 1997	Respondents: Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward Lillian A. McEwen, Administrative Law Judge Release No. 34-38714,33-7421 File Number: 3-9327
Date: June 3, 1997	Respondents: Steven F. Broadbent Release No. 34-38713,AAE-921 File Number: 3-9326
Date: May 30, 1997	Respondents: Christopher D. Jennings Release No. 34-38696 File Number: 3-9323
Date: May 30, 1997	Respondents: Amquest International, Ltd. Release No. 34-38695
Date: May 29, 1997	Respondents: Combined Companies International Corp. Release No. 34-38691,AAE-919 File Number: 3-9322
Date: May 28, 1997	Respondents: Dickinson & Co. and T. Marshall Swartwood Release No. 33-742034-38689 File Number: 3-9321
Date: May 28, 1997	Respondents: Steven W. Koinis Release No. 34-38688AAE-917 File Number: 3-9320
Date: May 28, 1997	Respondents: Jeffrey F. Green Release No. 34-38685 File Number: 3-9319
Date: May 28, 1997	Respondents: Joseph Latona Release No. 34-38684 File Number: 3-9318
Date: May 28, 1997	Respondents: Parnassus Investments, Jerome L. Dodson, Marilyn Chou, and David L. Gibson; Robert G. Mahony, Administrative Law Judge Release No. IA-1634, IC-22685 File Number: 3-9317
Date: May 27, 1997	Respondents: Litwin Securities, Inc., Harold A. Litwin Release No. 34-38673 File Number: 3-8991
Date: May 27, 1997	Respondents: Richard K. Steele, Jr. Release No. 34-38676 File Number: 3-9315
Date: May 27, 1997	Respondents: Arthur A. Graves, III Release No. 34-38674 File Number: 3-9314
Date: May 22, 1997	Respondents: Herbert G. Brown, George W. Cook, Jared D. Brown, and Robert G. Brown Release No. 34-38666 File Number: 3-9312
Date: May 21, 1997	Respondents: James G. Freeman Release No. 34-38661 File Number: 3-9311
Date: May 19, 1997	Respondents: Combined Companies International Corp. Release No. 4-38653 File Number: 4-38653
Date: May 19, 1997	Respondents: Thomas H. Ehrlich Release No. 34-38652 File Number: 3-9310
Date: May 17, 1997	Respondents: William Rossi Release No. 34-38677 File Number: 3-9316
Date: May 9, 1997	Respondents: Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.; Lillian A. McEwen, Administrative Law Judge Release No. 34-38596 File Number: 3-9309
Date: May 8, 1997	Respondents: Kenneth J. Schulte; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-38583 File Number: 3-9051
Date: May 7, 1997	Respondents: Gary J. Divall and Paul E. Magnuson Release No. 34-38578 File Number: 3-9306
Date: May 7, 1997	Respondents: Douglas R. Damon, Robert M. Davis, and Kenneth C. Klovitz Release No. 34-38579 File Number: 3-9307
Date: May 5, 1997	Respondents: Nicholas J. Pace Release No. 34-38572 File Number: 3-9305
Date: April 30, 1997	Respondents: Richard J. Lajoie, Jr. Release No. 34-38559 File Number: 3-9303
Date: April 30, 1997	Respondents: Ronald H. Hoffman Release No. 34-38560 File Number: 3-9304
Date: April 29, 1997	Respondents: Dorothea Bossio, Michael Imbriale and Rocco Leone Release No. 34-38555 File Number: 3-9302
Date: April 28, 1997	Respondents: Alliance Capital Management L.P. Release No. IA-1630 File Number: 3-9301
Date: April 22, 1997	Respondents: Gregory C. Moore Release No. 34-38538
Date: April 22, 1997	Respondents: David McClure Release No. 34-38539
Date: April 21, 1997	Respondents: Stanley J. Feminella Release No. 34-38529 File Number: 3-9300
Date: April 18, 1997	Respondents: James L. D'Angelo Release No. 34-38524 File Number: 3-9299
Date: April 17, 1997	Respondents: Peter M. Harrington Release No. 34-38518 File Number: 3-9205
Date: April 16, 1997	Respondents: Joseph P. Brooks Release No. 34-38517 File Number: 3-9215
Date: April 15, 1997	Respondents: Stephen J. Sogin and Steven N. Weiss Release No. 34-38508 File Number: 3-9136
Date: April 15, 1997	Respondents: Michael D. Gibson, Gregory C. Moore, and Jay D. Liebowitz, andDavid McClure Release No. 33-7414 File Number: 3-9124
Date: April 15, 1997	Respondents: Donald Spinks and CDS Financial Services Release No. 34-38510 File Number: 3-9297
Date: April 15, 1997	Respondents: Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 33-7416 File Number: 3-9125
Date: April 14, 1997	Respondents: H. Ralph Sylvester, Donald R. Krueger and John C. Hawver Release No. 3438500 File Number: 3-9103
Date: April 11, 1997	Respondents: J. M. Levy & Co. , Sol Greenbaum, and David Cohen Release No. 34-38498 File Number: 3-9295
Date: April 10, 1997	Respondents: Lynn K. Blattman Release No. 34-38493 File Number: 3-9291
Date: April 10, 1997	Respondents: Philip S. Present II, and William J. Scanlon Release No. 34-38494 File Number: 3-9292
Date: April 10, 1997	Respondents: Dennis T. Palmeri, Sr. Release No. 34-38497 File Number: 3-9294
Date: April 10, 1997	Respondents: Historic Hotel Holdings, Inc. Release No. 3438492
Date: April 10, 1997	Respondents: Janak C. Patel Release No. 34-38496
Date: April 4, 1997	Respondents: Steven K. Clark Release No. 34-38476 File Number: 3-9287
Date: April 4, 1997	Respondents: Ronald W. Daw and J. Weston Daw Release No. 34-38477 File Number: 3-9286
Date: April 3, 1997	Respondents: Jaron Equities Corp.. Sheridan Manhattan Group. Inc. and Dermot Sheridan Release No. 34-38475 File Number: 3-9285
Date: April 3, 1997	Respondents: 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 Release No. 33-7412 File Number: 3-9201
Date: April 1, 1997	Respondents: Quality Products, Inc. Release No. 33-7410 File Number: 3-9186
Date: April 1, 1997	Respondents: Robert D. Gersh Release No. 34-38459 File Number: 3-9284
Date: March 31, 1997	Respondents: Brooklyn Capital & Securities Trading, Inc., and DavidRybstein Release No. 3438454 File Number: 3-8952
Date: March 27, 1997	Respondents: Sheldon S. Traube and George F. Sweeney Release No. 33-7409 File Number: 3-9283
Date: March 26, 1997	Respondents: Robert C. White Release No. 34-38441 File Number: 3-9282
Date: March 25, 1997	Respondents: Michael P. Sweeney Release No. 34-38436 File Number: 3-9280
Date: March 24, 1997	Respondents: Peter Tosto, Investor Relations, Inc. Release No. 33-7406 File Number: 3-9104
Date: March 24, 1997	Respondents: Matt Matson; Lillian A. McEwen, Administrative Law Judge Release No. 34-38433 File Number: 3-9279
Date: March 20, 1997	Respondents: Michael J. Markowski Release No. 34-38424
Date: March 20, 1997	Respondents: Joseph Riccio Release No. 34-38425 File Number: 3-9278
Date: March 18, 1997	Respondents: H.P. Hambrick Co., Inc. and Henry P. Hambrick Release No. IA-1622 File Number: 3-9275
Date: March 17, 1997	Respondents: Vigil Asset Management Group, Inc. and Thomas Batterman Release No. IA-1621 File Number: 3-9128
Date: March 17, 1997	Respondents: Robert Pierce and Carrie L. Williams Pierce Release No. IA-1620 File Number: 3-9273
Date: March 13, 1997	Respondents: Danny G. Pinkerton and Kevin N. Campbell; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7402 File Number: 3-8805
Date: March 13, 1997	Respondents: Duane V. Midgley Release No. 34-38395 File Number: 3-9272
Date: March 12, 1997	Respondents: Merle S. Finkel Release No. 33-7401 File Number: 3-9271
Date: March 11, 1997	Respondents: Jon D. Aldrich Release No. 34-38382
Date: March 5, 1997	Respondents: Garcis U.S.A., Inc. Release No. 34-38367
Date: March 5, 1997	Respondents: Pace American Group, Inc. Release No. 34-38368 File Number: 3-9268
Date: March 4, 1997	Respondents: John Thomas Royall Release No. 34-38358 File Number: 3-9264
Date: March 4, 1997	Respondents: Robert Jarkow Release No. 34-38359 File Number: 3-9265
Date: March 4, 1997	Respondents: Michael Anthony Pierce Release No. 34-38361 File Number: 3-9266
Date: Feb. 28, 1997	Respondents: Anthony J. Negus Release No. IC-22535 File Number: 3-8934
Date: Feb. 27, 1997	Respondents: David Gore, Robert Puetz, William McClure, Robert P. Murphy Release No. 34-38343 File Number: 3-9262
Date: Feb. 27, 1997	Respondents: Twenty First Century Health, Inc. Release No. 34-38345
Date: Feb. 27, 1997	Respondents: David Schaen Release No. 34-38347 File Number: 3-9261
Date: Feb. 26, 1997	Respondents: Selheimer & Co. and Perry A. Selheimer Release No. 34-38337 File Number: 3-9260
Date: Feb. 26, 1997	Respondents: David P. Schwartz Release No. 34-38335 File Number: 3-9216
Date: Feb. 26, 1997	Respondents: DeSoto Broadcasting, Inc. and Danford Sawyer, Jr. Release No. 33-7397 File Number: 3-9191
Date: Feb. 24, 1997	Respondents: Vincent Poliseno Release No. 34-38327 File Number: 3-9256
Date: Feb. 24, 1997	Respondents: Norman Gelman Release No. 34-38325 File Number: 3-9255
Date: Feb. 21, 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. 33-7395 File Number: 3-8772
Date: Feb. 20, 1997	Respondents: Philip Greifeld Release No. 34-38316 File Number: 3-9135
Date: Feb. 18, 1997	Respondents: Alan D. Rosskamm Release No. 33-7389 File Number: 3-9248
Date: Feb. 18, 1997	Respondents: Milton Weinger Release No. 34-38300 File Number: 3-9250
Date: Feb. 18, 1997	Respondents: William D. Kyle Release No. 34-38297 File Number: 3-9247
Date: Feb. 18, 1997	Respondents: Linda A. Hodge Release No. 34-38301 File Number: 3-9251
Date: Feb. 18, 1997	Respondents: Kent A. Ahrens Release No. IA-1615 File Number: 3-9249
Date: Feb. 11, 1997	Respondents: Howard F. Rubin Release No. 34-38264 File Number: 3-9245
Date: Feb. 11, 1997	Respondents: Marsh Block & Co., Inc., Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller Release No. 34-38263
Date: Feb. 10, 1997	Respondents: Twenty First Century Health, Inc. Release No. 34-38260
Date: Feb. 10, 1997	Respondents: Oakwood Counselors, Inc. and Paul J. Sherman Release No. IA-1614 File Number: 3-9243
Date: Feb. 7, 1997	Respondents: Lyle Moss Release No. 34-38258 File Number: 3-9242