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: Feb. 6, 1997	Respondents: William T. Manak Release No. 33-7387 File Number: 3-9240
Date: Feb. 6, 1997	Respondents: Daniel C. Langford, Daniel C. Langford, Jr., Stephanus A. de Kockand and Peter P. Irby Release No. 34-38249 File Number: 3-9238
Date: Feb. 6, 1997	Respondents: Harry T. Couch Release No. 34-38250 File Number: 3-9239
Date: Feb. 5, 1997	Respondents: Frederick R. Grant Release No. 34-38239 File Number: 3-9236
Date: Feb. 3, 1997	Respondents: Jerry Silva Release No. 34-38228 File Number: 3-9234
Date: Feb. 3, 1997	Respondents: James Zimmerman and Old Naples Securities, Inc. Release No. 34-38227 File Number: 3-9233
Date: Jan. 31, 1997	Respondents: Benjamin Franklin Bush, III and Ben Bush Investment Management, Inc. Release No. IA-1612 File Number: 3-9232
Date: Jan. 30, 1997	Respondents: Jon Edelman Release No. 34-38220 File Number: 3-8950
Date: Jan. 30, 1997	Respondents: David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge Release No. 33-7385 File Number: 3-8955
Date: Jan. 29, 1997	Respondents: David Keery Release No. 34-38217 File Number: 3-9231
Date: Jan. 28, 1997	Respondents: Halsey Drug Company, Inc. Release No. 34-38210 File Number: 3-9230
Date: Jan. 24, 1997	Respondents: Ronald M. Zook Release No. IA-1611 File Number: 3-9059
Date: Jan. 23, 1997	Respondents: Cecil H. Suter Release No. IA-1610 File Number: 3-9228
Date: Jan. 22, 1997	Respondents: Cortland First Financial Corporation, Donald S. Ames, andFrederick G. Compagni, Sr. Release No. 34-38192 File Number: 3-9227
Date: Jan. 21, 1997	Respondents: Norman L. Yu & Co., Inc., and Norman L. Yu Release No. IA-1607 File Number: 3-9226
Date: Jan. 16, 1997	Respondents: Robert Albert Merrifield Release No. 34-38177 File Number: 3-9225
Date: Jan. 16, 1997	Respondents: Brian J. McCahery Release No. 34-38176
Date: Jan. 16, 1997	Respondents: Bernard Zelenka Release No. 34-38178 File Number: 3-9130
Date: Jan. 15, 1997	Respondents: Royal Alliance Associates, Inc. Release No. 34-38174 File Number: 3-9223
Date: Jan. 15, 1997	Respondents: GKN Securities Corp. and Robert H. Gladstone Release No. 34-38173 File Number: 3-9222
Date: Jan. 15, 1997	Respondents: Mark Anthony and Michelle Suppes Release No. 34-38171 File Number: 3-9220
Date: Jan. 15, 1997	Respondents: Suppes Securities, Inc. Release No. 33-7381 File Number: 3-9221
Date: Jan. 13, 1997	Respondents: Michael Coxon, Alan Michael Sergy, World Money Managersand World Money Securities, Inc. Release No. 33-7379
Date: Jan. 13, 1997	Respondents: Ronald V. Speaker and Janus Capital Corporation Release No. C-22461 File Number: 3-9219
Date: Jan. 10, 1997	Respondents: National Financial Services Corporation Release No. 34-38150 File Number: 3-9217
Date: Jan. 8, 1997	Respondents: David P. Schwartz Release No. 34-38135 File Number: 3-9216
Date: Jan. 8, 1997	Respondents: Carolyn Safer Kenner Release No. 33-7378 File Number: 3-9110
Date: Jan. 8, 1997	Respondents: Peter C. Tosto Release No. 34-38136 File Number: 3-9178
Date: Jan. 8, 1997	Respondents: Republic International Corporation Release No. 34-38137 File Number: 3-9112
Date: Jan. 6, 1997	Respondents: Matthew E. Klenovic Release No. 34-38121 File Number: 3-9213
Date: Jan. 6, 1997	Respondents: R. E. Anderson Cain Release No. 34-38122 File Number: 3-9214
Date: Dec. 31, 1996	Respondents: Mark S. Ferber Release No. 34-38102 File Number: 3-9211
Date: Dec. 26, 1996	Respondents: Dennis Lindsay Helliwell Release No. 34-38088
Date: Dec. 24, 1996	Respondents: Michael Donald McGahee Release No. 34-38083 File Number: 3-9209
Date: Dec. 23, 1996	Respondents: Stanley L. Swoyer Release No. 34-38074 File Number: 3-9090
Date: Dec. 19, 1996	Respondents: Dale E. Barlage Release No. 34-38061 File Number: 3-9207
Date: Dec. 18, 1996	Respondents: Peter M. Harrington Release No. 34-38055
Date: Dec. 16, 1996	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. 33-7372 File Number: 3-9201
Date: Dec. 16, 1996	Respondents: Ernest W. Grendi Release No. 33-7374 File Number: 3-9202
Date: Dec. 10, 1996	Respondents: Michael Goodbread Release No. 34-38035 File Number: 3-9199
Date: Dec. 10, 1996	Respondents: Frederick V. Dona, Jr. Release No. 34-38037 File Number: 3-9126
Date: Dec. 10, 1996	Respondents: Robert Tatarowicz Release No. 33-7370 File Number: 3-9200
Date: Dec. 9, 1996	Respondents: Shaner & Company, Inc. and Mark S. Shaner Release No. 34-38027 File Number: 3-9197
Date: Dec. 9, 1996	Respondents: Steven A. Lapper Release No. 34-38028 File Number: 3-9198
Date: Dec. 6, 1996	Respondents: Stratton Oakmont, Inc. and Daniel M. Porush Release No. 34-38026 File Number: 3-9195
Date: Dec. 4, 1996	Respondents: Westcap Securities, L.P. Release No. 34-38016 File Number: 3-8947
Date: Dec. 4, 1996	Respondents: Portfolio Management Consultants, Inc. Release No. 33-7368 File Number: 3-9033
Date: Dec. 2, 1996	Respondents: Stuart, Coleman & Co., Inc. Release No. 34-38001 File Number: 3-8781
Date: Dec. 2, 1996	Respondents: David Anderson Release No. 34-38002 File Number: 3-9002
Date: Dec. 2, 1996	Respondents: James W. Adams Release No. 34-38003 File Number: 3-9193
Date: Dec. 2, 1996	Respondents: Philip S. Sindler Release No. 33-7367 File Number: 3-9194
Date: Nov. 26, 1996	Respondents: DeSoto Broadcasting, Inc. and Danford Sawyer, Jr. Release No. 33-7366 File Number: 3-9191
Date: Nov. 25, 1996	Respondents: Alliance Industries, Inc. Release No. 34-37984
Date: Nov. 19, 1996	Respondents: OmniGene Diagnostics, Inc. Release No. 34-37966
Date: Nov. 18, 1996	Respondents: Carmel Equity Partners, Richard L. Goodrich, Lawrence D.Isen, Peter P. Kim, Bruce E. Mesnekoff, John B. Morris, and KelseyVan Deventer Release No. 33-7365 File Number: 3-9187
Date: Nov. 14, 1996	Respondents: Quality Products, Inc. Release No. 33-7364 File Number: 3-9186
Date: Nov. 12, 1996	Respondents: Karl G. Wassmann III Release No. 34-37938 File Number: 3-9184
Date: Nov. 12, 1996	Respondents: George R. Johnston and Johnston Kent Securities, Inc. Release No. 33-7363 File Number: 3-8901
Date: Nov. 12, 1996	Respondents: Fox-Pitt, Kelton, Inc. Release No. 34-37940 File Number: 3-9185
Date: Nov. 8, 1996	Respondents: Atlantis Group, Inc. (formerly known as Microterra, Inc.), Richard Fox and James E. Sidbury Release No. 34-37932 File Number: 3-9127
Date: Nov. 6, 1996	Respondents: Robert Gann Release No. 33-7362 File Number: 3-9180
Date: Nov. 6, 1996	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. 34-37926 File Number: 3-9181
Date: Oct. 31, 1996	Respondents: Peter C. Tosto Release No. 34-37898 File Number: 3-9178
Date: Oct. 31, 1996	Respondents: Troy Lee Wood Release No. 34-37905 File Number: 3-9179
Date: Oct. 31, 1996	Respondents: Gruntal & Co., Inc. Release No. 33-7359 File Number: 3-8983
Date: Oct. 31, 1996	Respondents: Gruntal & Co., Inc. and Gruntal Financial Corp. Release No. 33-7360 File Number: 3-8984
Date: Oct. 29, 1996	Respondents: International Energy, Development Coproation and Jerome B. Richter Release No. 34-37889 File Number: 3-9176
Date: Oct. 29, 1996	Respondents: Richard K. Steele, Sr. Release No. 34-37892 File Number: 3-9177
Date: Oct. 28, 1996	Respondents: Alan G. Lewis Release No. 34-37879 File Number: 3-9175
Date: Oct. 22, 1996	Respondents: Midisoft Corporation Release No. 34-37847 File Number: 3-9172
Date: Oct. 22, 1996	Respondents: Calvin M. Dyer Release No. 34-37848 File Number: 3-9173
Date: Oct. 21, 1996	Respondents: Greg Steven Kaplan Release No. 34-37843 File Number: 3-9171
Date: Oct. 17, 1996	Respondents: A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin Release No. 34-37830 File Number: 3-9010
Date: Oct. 17, 1996	Respondents: A.R. Baron & Co., Inc. Release No. 34-37831 File Number: 3-9167
Date: Oct. 17, 1996	Respondents: Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez Release No. 34-37832 File Number: 3-9168
Date: Oct. 17, 1996	Respondents: Calamos Asset Management, Inc. and John P. Calamos Release No. IA-1594 File Number: 3-9166
Date: Oct. 17, 1996	Respondents: Nir Kantor Release No. 34-37834 File Number: 3-9170
Date: Oct. 17, 1996	Respondents: Cambridge Biotech Corporation Release No. 33-7358 File Number: 3-9169
Date: Oct. 15, 1996	Respondents: Greenway Capital Corporation and Joseph M. Guccione Release No. 34-37804 File Number: 3-9014
Date: Oct. 15, 1996	Respondents: Novatek International, Inc. Release No. 34-37819
Date: Oct. 15, 1996	Respondents: Flagship Securities, Inc., Dennis G. Milewitz And Noreen M.Barrington Release No. 34-37820 File Number: 3-8981
Date: Oct. 15, 1996	Respondents: Alfred M. Bauer and J.Stephen Stout; Carol Fox Foelak, Administrative Law Judge Release No. 34-37821 File Number: 3-9034
Date: Oct. 15, 1996	Respondents: George A. Rotelli Release No. 34-37822
Date: Oct. 11, 1996	Respondents: Paul L. Parshall Release No. 34-37814 File Number: 3-9163
Date: Oct. 10, 1996	Respondents: Roland Acevedo, Alfred P. Avasso, George Badger, Steve Bingaman, IraBlackey, Thomas J. Browne, Daryl Buerge, Richard Cedrone, Cary Cimino, DaleEyman, John Fasano, Bartholomew Haring, Theodore Heitzman, Gary Hrycyk, RichardLangley, Jr., Michael Lapp, Gerald Larder, Norman Lescht, Miron Leshem, WilliamLucas, Richard Mallion, James Manas, Gamal Ashraf Marwan, Gerald Cash Mcneil,Gary Mitchell, Robert Mitchell, Gregory John Mouen, Timothy Murray, EdwardPadnos, George Panagiotou, Joseph Pignatiello, Jeff Pokross, Alexander Ruge,Blake Marshall Russ, Mark Anthony Savage, Robert Schulman, Andrew Scudiero, SySiegel, Bertram Slutsky, Jeffry Szur, Jeff Trenk, Dean Christopher Verrigni,Trung Vugia, Edward Williamson, Allen Wolfson John Chapman; Release No. 33-7357
Date: Oct. 9, 1996	Respondents: Richard Cannistraro Release No. 34-37798
Date: Oct. 7, 1996	Respondents: Systems of Excellence, Inc. Release No. 34-37791
Date: Oct. 4, 1996	Respondents: William Edwin Somdahl; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-37785 File Number: 3-8698
Date: Oct. 2, 1996	Respondents: Aura Systems Inc., Zvi Kurtzman, Francis T. Phalen andJoseph Bevacqua Release No. 33-7352 File Number: 3-9138
Date: Oct. 2, 1996	Respondents: Peacock, Hislop, Staley & Given, Inc. and Larry S. Given Release No. 33-7353 File Number: 3-9139
Date: Oct. 2, 1996	Respondents: Maricopa County Release No. 33-7354 File Number: 3-9118
Date: Oct. 2, 1996	Respondents: Daniel D. Dietrich and Robert J. Judge; Carol Fox Foelak, Administrative Law Judge Release No. 34-37775 File Number: 3-9050
Date: Sept. 30, 1996	Respondents: Stires & Co., Inc., and Sidney H. Stires Release No. 33-7347
Date: Sept. 30, 1996	Respondents: Curtis Lynch and David Hollander Release No. 33-7348 File Number: 3-9121
Date: Sept. 30, 1996	Respondents: Lawrence M. Gress Release No. 33-7343 File Number: 3-9116
Date: Sept. 30, 1996	Respondents: Maricopa County Release No. 33-7345 File Number: 3-9118
Date: Sept. 30, 1996	Respondents: Fahnestock and Co., Inc. and William E. Bierlin, Jr. Release No. 34-37754 File Number: 3-9122
Date: Sept. 30, 1996	Respondents: 3Net Systems, Inc. Release No. 33-7344 File Number: 3-9117
Date: Sept. 30, 1996	Respondents: Rom N. De Guzman Release No. 34-37747 File Number: 3-9115
Date: Sept. 30, 1996	Respondents: Atlantis Group, Inc. (formerly known as Microterra, Inc.), Richard Fox and James E. Sidbury Release No. 34-37749 File Number: 3-9127