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, 1996	Respondents: Bernard Zelenka Release No. 34-37760
Date: Sept. 30, 1996	Respondents: Monte S. Colbert Release No. 34-37761 File Number: 3-9131
Date: Sept. 30, 1996	Respondents: Richard J. Line Release No. 34-3776 File Number: 3-9134
Date: Sept. 30, 1996	Respondents: Philip Greifeld Release No. 34-37765 File Number: 3-9135
Date: Sept. 30, 1996	Respondents: Stephen J. Sogin and Steven N. Weiss Release No. 34-37766 File Number: 3-9136
Date: Sept. 30, 1996	Respondents: Vigil Asset Management Group, Inc. and Thomas Batterman Release No. IA-1588 File Number: 3-9128
Date: Sept. 30, 1996	Respondents: Domenic P. Ferrante Release No. IA-1589 File Number: 3-9133
Date: Sept. 30, 1996	Respondents: M. Charles Zanaty Release No. 33-7346 File Number: 3-9119
Date: Sept. 30, 1996	Respondents: American Financial Partners, Ltd. and Jeffrey S. Rosenberg Release No. 33-7349 File Number: 3-9129
Date: Sept. 30, 1996	Respondents: The O.N. Equities Sales Company Release No. 34-37755 File Number: 3-9123
Date: Sept. 30, 1996	Respondents: Michael D. Gibson, Gregory C. Moore, and Jay D. Liebowitz, andDavid McClure Release No. 34-37756 File Number: 3-9124
Date: Sept. 30, 1996	Respondents: Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 34-37757 File Number: 3-9125
Date: Sept. 30, 1996	Respondents: Frederick V. Dona, Jr. Release No. 34-37758 File Number: 3-9126
Date: Sept. 30, 1996	Respondents: Octagon, Inc. Release No. 34-37762 File Number: 3-9132
Date: Sept. 30, 1996	Respondents: Anthony Sarivola Release No. 34-37768 File Number: 3-9137
Date: Sept. 27, 1996	Respondents: Gerald Johnson Release No. 34-377737 File Number: 3-9106
Date: Sept. 27, 1996	Respondents: Frederick W. Smith Release No. 34-37738 File Number: 3-9108
Date: Sept. 27, 1996	Respondents: Republic International Corporation Release No. 34-37741 File Number: 3-9112
Date: Sept. 27, 1996	Respondents: Michael G. Cohen Release No. 34-37742 File Number: 3-9113
Date: Sept. 27, 1996	Respondents: Patricia Owen-Michael Release No. IA-1584 File Number: 3-9107
Date: Sept. 27, 1996	Respondents: Concord Investment Company Release No. IA-1585 File Number: 3-9109
Date: Sept. 27, 1996	Respondents: Carolyn Safer Kenner Release No. 33-7341 File Number: 3-9110
Date: Sept. 27, 1996	Respondents: Norman L. Sirak Release No. 33-7342 File Number: 3-9111
Date: Sept. 27, 1996	Respondents: Philadelphia Investors, LTD. and Clarence Z. Wurts; G. Marvin Bober, Administrative Law Judge Release No. 34-37743 File Number: 3-9114
Date: Sept. 27, 1996	Respondents: Milton Puryear; Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1586 File Number: 3-8766
Date: Sept. 26, 1996	Respondents: Richardt-Alyn & Co., and Richard B. Fienberg Release No. 34-37727 File Number: 3-9099
Date: Sept. 26, 1996	Respondents: Michael C. Robertson and M.C. Robertson & Associates, Inc. Release No. 33-7337
Date: Sept. 26, 1996	Respondents: Broad Capital Associates, Inc. and Murray Arron Huberfeld Release No. 33-7338 File Number: 3-9101
Date: Sept. 26, 1996	Respondents: Advanced Micro Devices, Inc. Release No. 34-37730 File Number: 3-9102
Date: Sept. 26, 1996	Respondents: H. Ralph Sylvester, Donald R. Krueger and John C. Hawver Release No. 34-37733 File Number: 3-9103
Date: Sept. 26, 1996	Respondents: Peter Tosto, Investor Relations, Inc., George Panagiotou, MarkSavage and Dean Verrigni Release No. 33-7339
Date: Sept. 26, 1996	Respondents: Ira William Scott; Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1582 File Number: 3-9105
Date: Sept. 25, 1996	Respondents: David G. Batu Release No. 33-7335 File Number: 3-9097
Date: Sept. 25, 1996	Respondents: Jeffrey L. Dunn Release No. 33-7336 File Number: 3-9098
Date: Sept. 24, 1996	Respondents: James Warren Release No. 34-37715 File Number: 3-9093
Date: Sept. 24, 1996	Respondents: Robert McClernon Release No. 34-37716 File Number: 3-9094
Date: Sept. 24, 1996	Respondents: Wilshire Technologies, Inc. Release No. 34-37719 File Number: 3-9095
Date: Sept. 24, 1996	Respondents: Moors & Cabot, Inc. Release No. 34-37720 File Number: 3-9096
Date: Sept. 23, 1996	Respondents: Howe Barnes Investments, Inc. Release No. 34-37707 File Number: 3-9088
Date: Sept. 23, 1996	Respondents: Monness, Crespi, Hardt & Co., Inc., and Neil Crespi Release No. 33-7334 File Number: 3-9092
Date: Sept. 23, 1996	Respondents: George C. Bergleitner, Jr. Release No. 34-37708 File Number: 3-9089
Date: Sept. 23, 1996	Respondents: Stanley L. Swoyer Release No. 34-37709 File Number: 3-9090
Date: Sept. 23, 1996	Respondents: Kimberly D. Goodman Release No. 34-37710 File Number: 3-9091
Date: Sept. 20, 1996	Respondents: Richard S. Berger Release No. 34-37705 File Number: 3-9087
Date: Sept. 19, 1996	Respondents: Vincent P. Loban and First Capital Marketing Group Release No. 33-7332 File Number: 3-9084
Date: Sept. 19, 1996	Respondents: Cypress Bioscience Inc. and Alex P. De Soto Release No. 33-7333 File Number: 3-9085
Date: Sept. 19, 1996	Respondents: Eli Buchalter and the Eli Buchalter Accountancy Corporation Release No. 34-37702 File Number: 3-9086
Date: Sept. 19, 1996	Respondents: Wayne A. Maki Release No. IA-1580 File Number: 3-9047
Date: Sept. 18, 1996	Respondents: Paul Stansberry Release No. 34-37689 File Number: 3-9083
Date: Sept. 16, 1996	Respondents: JMDC Global Corp. Release No. 34-37681
Date: Sept. 16, 1996	Respondents: Domenick M. Schina Release No. 34-37685 File Number: 3-9082
Date: Sept. 16, 1996	Respondents: Raul N. Rodriguez Release No. 34-37682 File Number: 3-9080
Date: Sept. 16, 1996	Respondents: William Scott Smith Release No. 34-37683 File Number: 3-9081
Date: Sept. 13, 1996	Respondents: Payne & Thornton, Inc. d/b/a Retirement Investment Group Release No. 33-7330 File Number: 3-8703
Date: Sept. 12, 1996	Respondents: Tudor Investment Corporation Release No. 34-37669 File Number: 3-9077
Date: Sept. 12, 1996	Respondents: Lehman Brothers Inc., as the successor to Shearson LehmanBrothers Inc. Release No. 34-37673 File Number: 3-9079
Date: Sept. 12, 1996	Respondents: Stephen M. Jordan, Douglas A. Burnip,Dennis A. Dunlap, TinaM. Applegate,Miguel A. Lucas and Larry R. Ryan Release No. 34-37671 File Number: 3-9078
Date: Sept. 12, 1996	Respondents: Michael J. Eberle,Robert D. Hodge,Thomas L. Costello,DonaldH. Gilliland, Thomas J. VanEcho and Thomas J. Williamson Release No. 34-37674 File Number: 3-9027
Date: Sept. 10, 1996	Respondents: Stephen R. Parker Release No. 34-37664 File Number: 3-9074
Date: Sept. 9, 1996	Respondents: F. Otto Busot Release No. 34-37660 File Number: 3-9071
Date: Sept. 9, 1996	Respondents: Jeffrey Weisman and Martin Weisman Release No. 34-37661 File Number: 3-9072
Date: Sept. 9, 1996	Respondents: Robert Gilbert, Alan Weissman and Daniel Felter Release No. 34-37662 File Number: 3-9073
Date: Sept. 5, 1996	Respondents: Advanced Medical Products, Inc., Clarence P. Groff and James H. Brown Release No. 33-7327 File Number: 3-9070
Date: Sept. 5, 1996	Respondents: Food Research Corporation Release No. 34-37641 File Number: 3-9069
Date: Sept. 4, 1996	Respondents: Philip Forma, Sr., Alan Herr, Herbert Herr, and Stanley Mindel Release No. 34-37634 File Number: 3-9068
Date: Aug. 19, 1996	Respondents: Global Timber Corporation Release No. 34-37580
Date: Aug. 15, 1996	Respondents: Cabot Money Management, Inc. and Robert T. Lutts Release No. IA-1577 File Number: 3-9063
Date: Aug. 8, 1996	Respondents: National Association of Securities Dealers, Inc. Release No. 34-37538 File Number: 3-9056
Date: Aug. 8, 1996	Respondents: Frank Duca Release No. 34-37544 File Number: 3-9057
Date: Aug. 8, 1996	Respondents: Richard Jenkins Release No. 34-37545 File Number: 3-9058
Date: Aug. 8, 1996	Respondents: Ronald M. Zook Release No. IA-1576 File Number: 3-9059
Date: Aug. 6, 1996	Respondents: Robert J. Dantone Release No. 34-37530 File Number: 3-9052
Date: Aug. 6, 1996	Respondents: Refco Securities, Inc. Release No. 34-37531 File Number: 3-9054
Date: Aug. 6, 1996	Respondents: Douglas L. Blair Release No. IA-1574 File Number: 3-9053
Date: Aug. 2, 1996	Respondents: A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin Release No. 34-37514 File Number: 3-9010
Date: Aug. 1, 1996	Respondents: Terry T. Steen; Carol Fox Foelak, Administrative Law Judge Release No. 33-7318 File Number: 3-8798
Date: July 30, 1996	Respondents: Kenneth J. Schulte; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-37494 File Number: 3-9051
Date: July 30, 1996	Respondents: John Silseth Release No. 33-7317 File Number: 3-9001
Date: July 30, 1996	Respondents: James A. Sehn and Samuel O Forson; Lillian A. McEwen, Administrative Law Judge Release No. 34-37498 File Number: 3-8234
Date: July 26, 1996	Respondents: Stephen J. Kandel Release No. 34-37483 File Number: 3-9048
Date: July 26, 1996	Respondents: Victor L. Kashner and Kashner Davidson Securities Corporation Release No. 34-37485 File Number: 8-14684
Date: July 26, 1996	Respondents: Daniel D. Dietrich and Robert J. Judge; Carol Fox Foelak, Administrative Law Judge Release No. 34-37486 File Number: 3-9050
Date: July 26, 1996	Respondents: Robert K. Williams and College Planning Services, Inc. Release No. 33-7315 File Number: 3-9007
Date: July 25, 1996	Respondents: Payne & Thornton, Inc. d/b/a Retirement Investment Group Release No. 33-7313 File Number: 3-8703
Date: July 25, 1996	Respondents: Payne & Thornton, Inc. d/b/a Retirement Investment Group Release No. 34-37477
Date: July 24, 1996	Respondents: Peter C. Ferraro and William G. Stayduhar Release No. 33-7312 File Number: 3-9045
Date: July 23, 1996	Respondents: David Lee Printy Release No. 34-37468 File Number: 3-9044
Date: July 16, 1996	Respondents: McKenzie Walker Investment Management, Inc. and Richard C. McKenzie, Jr. Release No. IA-1571 File Number: 3-9043
Date: July 11, 1996	Respondents: Alexander Sheshunoff, Sr. Release No. 34-37419 File Number: 3-9040
Date: July 11, 1996	Respondents: Al Rizek Release No. 34-37422
Date: July 2, 1996	Respondents: Hein + Associates LLP and Duane C. Knight Release No. 34-37396 File Number: 3-9035
Date: June 28, 1996	Respondents: Alfred Bauer and J. Stephen Stout Release No. 33-7309
Date: June 27, 1996	Respondents: Marc N. Geman; G. Marvin Bober, Administrative Law Judge Release No. 33-7307 File Number: 3-9032
Date: June 27, 1996	Respondents: Portfolio Management Consultants, Inc. Release No. 33-7308 File Number: 3-9033
Date: June 25, 1996	Respondents: Vytas Jonusas Release No. 33-7305 File Number: 3-9031
Date: June 25, 1996	Respondents: Danny G. Pinkerton and Kevin N. Campbell; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7306 File Number: 3-8805
Date: June 24, 1996	Respondents: Jack Olshansky Release No. 34-37353 File Number: 3-9029
Date: June 24, 1996	Respondents: Richard D. Propper Release No. 34-37354 File Number: 3-9030
Date: June 21, 1996	Respondents: Harry D. Sweeney Release No. 34-37350
Date: June 20, 1996	Respondents: Michael J. Eberle,Robert D. Hodge,Thomas L. Costello,DonaldH. Gilliland, Thomas J. VanEcho and Thomas J. Williamson Release No. 34-37340 File Number: 3-9027