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 11, 1996	Respondents: Henry P. Becker Release No. 33-7303 File Number: 3-9022
Date: June 11, 1996	Respondents: Gary S. Missner Release No. 33-7304 File Number: 3-9025
Date: June 11, 1996	Respondents: Fu-Sung Peter Wu; Lillian A. McEwen, Administrative Law Judge Release No. 34-37300 File Number: 3-9024
Date: June 11, 1996	Respondents: Dorothy J. Brenna Release No. IA-1566 File Number: 3-8954
Date: June 10, 1996	Respondents: The Home Link Corporation Release No. 34-37292
Date: June 7, 1996	Respondents: Benjamin Rex Moses Release No. 34-37286 File Number: 3-9021
Date: June 4, 1996	Respondents: Robert Sayegh, Thomas Core, and John J. Cranley Release No. 34-37272
Date: June 4, 1996	Respondents: Transcorp Pension Services, Inc. Release No. 34-37278 File Number: 3-9020
Date: June 3, 1996	Respondents: Jon R. Erickson Release No. 34-37269 File Number: 3-9017
Date: June 3, 1996	Respondents: Mark S. Tague Release No. 34-37270 File Number: 3-9018
Date: May 30, 1996	Respondents: Greenway Capital Corporation and Joseph M. Guccione Release No. 34-37254 File Number: 3-9014
Date: May 29, 1996	Respondents: A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin Release No. 34-37248 File Number: 3-9010
Date: May 24, 1996	Respondents: Churchill Securities, Inc. and Gerald P. Hirsch Release No. 33-7298 File Number: 3-9012
Date: May 23, 1996	Respondents: A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin Release No. 34-37240 File Number: 3-9010
Date: May 21, 1996	Respondents: Douglas W. Osborne Release No. 34-37232
Date: May 21, 1996	Respondents: Voucher Investment Fund RUSS-INVEST Release No. 33-7294 File Number: 3-9006
Date: May 21, 1996	Respondents: Anthony J. Benincasa Release No. 33-7296 File Number: 3-8825
Date: May 21, 1996	Respondents: Robert K. Williams and College Planning Services, Inc. Release No. 33-7295 File Number: 3-9007
Date: May 20, 1996	Respondents: Orlando Joseph Jett; Carol Fox Foelak, Administrative Law Judge Release No. 34-37226 File Number: 3-8919
Date: May 16, 1996	Respondents: Milton Mermelstein and Frank E. Stephan, Jr. Release No. 34-37222 File Number: 3-9004
Date: May 14, 1996	Respondents: Comparator Systems Corp. Release No. 34-37209
Date: May 13, 1996	Respondents: John Silseth Release No. 33-7291 File Number: 3-9001
Date: May 13, 1996	Respondents: David Anderson Release No. 33-7292 File Number: 3-9002
Date: May 10, 1996	Respondents: M. Susan Soltis and Steven T. Hiratsuka Release No. 34-37194 File Number: 3-9000
Date: May 10, 1996	Respondents: Stuart, Coleman & Co., Inc. Release No. 33-7290 File Number: 3-8781
Date: May 9, 1996	Respondents: Platinum Software Corporation, John F. Keane and William B.Falk Release No. 34-37185 File Number: 3-8999
Date: May 6, 1996	Respondents: William F. Lincoln; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-37168 File Number: 3-8998
Date: May 3, 1996	Respondents: Kenneth A. Zak Release No. 34-37164 File Number: 3-8961
Date: May 3, 1996	Respondents: Lawrence R. Hartz and Stephen S. Knepp Release No. 34-37167 File Number: 3-8997
Date: April 30, 1996	Respondents: Kevin Bartholomew Release No. 34-37153 File Number: 3-8995
Date: April 30, 1996	Respondents: Brian Jeffrey Sheen Release No. IA-1561 File Number: 3-8874
Date: April 29, 1996	Respondents: Thomas J. Maccormack Release No. 34-37147 File Number: 3-8993
Date: April 23, 1996	Respondents: Eugene Konev Release No. 33-7284 File Number: 3-8957
Date: April 19, 1996	Respondents: Charles W. Wallin Release No. 34-37127 File Number: 3-8987
Date: April 19, 1996	Respondents: Centuri, Inc. Release No. 34-37128 File Number: 3-8988
Date: April 19, 1996	Respondents: Linda J. Bustin Release No. 34-37129 File Number: 3-8989
Date: April 12, 1996	Respondents: Carl E. Lovell and Danna Wale Lovell Release No. 34-37108 File Number: 3-8985
Date: April 12, 1996	Respondents: P. Michael Goodman Release No. 34-37111 File Number: 3-8931
Date: April 9, 1996	Respondents: Gruntal & Co., Inc. Release No. 33-7278 File Number: 3-8983
Date: April 9, 1996	Respondents: Gruntal & Co., Inc. and Gruntal Financial Corp. Release No. 33-7279 File Number: 3-8984
Date: April 8, 1996	Respondents: Calvin L. Word Release No. 34-37082 File Number: 3-8835
Date: April 4, 1996	Respondents: Flagship Securities, Inc., Dennis G. Milewitz and Noreen M.Barrington Release No. 34-37065
Date: April 3, 1996	Respondents: George J. Conway Release No. 34-37063 File Number: 3-8929
Date: April 3, 1996	Respondents: Michael J. Randy Release No. 34-37064 File Number: 3-8930
Date: March 29, 1996	Respondents: Bernard H. Levy Release No. 34-37041 File Number: 3-8979
Date: March 29, 1996	Respondents: BT Securities Corporation Release No. 33-7276 File Number: 3-8579
Date: March 29, 1996	Respondents: The Enstar Group, Inc. Release No. 34-37043
Date: March 28, 1996	Respondents: John Dankovich and Linda Dankovich Release No. 34-37039 File Number: 3-8978
Date: March 27, 1996	Respondents: David Sims and Lewis Kurtz Release No. 34-37031 File Number: 3-8902
Date: March 25, 1996	Respondents: David F. Smith Release No. 34-37018 File Number: 3-8976
Date: March 25, 1996	Respondents: Becky A. Swanston Release No. 34-37019 File Number: 3-8977
Date: March 15, 1996	Respondents: Seth R. Roberts Release No. 33-7274 File Number: 3-8974
Date: March 14, 1996	Respondents: Richard G. Wiwi and Oracle Partners Release No. 33-7273 File Number: 3-8819
Date: March 14, 1996	Respondents: Dorothy J. Brenna Release No. 34-36974 File Number: 3-8954
Date: March 13, 1996	Respondents: Stuart, Coleman & Co., Inc. Release No. 34-36962 File Number: 3-8781
Date: March 13, 1996	Respondents: Stuart, Coleman & Co., Inc. Release No. 34-36963 File Number: 3-8781
Date: March 11, 1996	Respondents: Louis R. Weiss Release No. 34-36949 File Number: 3-8972
Date: March 7, 1996	Respondents: FAIC Securities, Inc. Release No. 34-36937 File Number: 3-8970
Date: March 7, 1996	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. 34-36941 File Number: 3-8772
Date: March 6, 1996	Respondents: Robert M. Simpson Release No. 34-36928 File Number: 3-8968
Date: March 6, 1996	Respondents: Sandra Logay; Lillian A. McEwen, Administrative Law Judge Release No. 34-36929 File Number: 3-8969
Date: March 5, 1996	Respondents: John M. Goldberger and C. Kirk French Release No. 3-8967 File Number: 3-8967
Date: March 1, 1996	Respondents: Investors Income Systems of Florida, Inc. Release No. IA-1557 File Number: 3-8924
Date: Feb. 29, 1996	Respondents: Mitchell A. Vazquez Release No. 34-36906 File Number: 3-8965
Date: Feb. 29, 1996	Respondents: Quest Capital Strategies, Inc., and David Chen Yu; Lillian A. McEwen, Administrative Law Judge Release No. 34-36909 File Number: 3-8966
Date: Feb. 28, 1996	Respondents: Greg M. Anderson and Russell G. Koch Release No. 34-36898
Date: Feb. 27, 1996	Respondents: Continental Capital & Equity Corp. and John R. Manion Release No. 34-36886 File Number: 3-8963
Date: Feb. 27, 1996	Respondents: Richard A. Knight Release No. 34-36893 File Number: 3-8964
Date: Feb. 27, 1996	Respondents: R. Marvin Mears Release No. IC-21790 File Number: 3-8845
Date: Feb. 27, 1996	Respondents: R. Marvin Mears Release No. IC-21783 File Number: 3-8845
Date: Feb. 27, 1996	Respondents: Professional Management-St. Louis Inc. and Wayne B. Conwell Release No. IA-1554 File Number: 3-8827
Date: Feb. 26, 1996	Respondents: Ralph E. McKittrick Release No. 34-36878 File Number: 3-8960
Date: Feb. 23, 1996	Respondents: Diagnostek, Inc., Joseph Sanginiti and Dennis Evans Release No. 34-36877 File Number: 3-8959
Date: Feb. 23, 1996	Respondents: Kenneth A. Zak Release No. 34-36879 File Number: 3-8961
Date: Feb. 22, 1996	Respondents: Dorothy J. Brenna Release No. IA-1553 File Number: 3-8954
Date: Feb. 22, 1996	Respondents: David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge Release No. 34-36870 File Number: 3-8955
Date: Feb. 22, 1996	Respondents: John S. Griffin Release No. 34-36872 File Number: 3-8956
Date: Feb. 22, 1996	Respondents: Eugene Konev Release No. 34-36873 File Number: 3-8957
Date: Feb. 21, 1996	Respondents: Candie's, Inc., Response USA, Inc., Salvatore Mazzeo andSchneck Weltzman Hashmall & Mischel Release No. 34-36865 File Number: 3-8953
Date: Feb. 16, 1996	Respondents: Patricia Ann Bellows; Lillian A. McEwen, Administrative Law Judge Release No. 34-36854 File Number: 3-8951
Date: Feb. 16, 1996	Respondents: American Aricraft Corporation Release No. 34-36855 File Number: 3-8920
Date: Feb. 14, 1996	Respondents: Westcap Securities, L.P. Release No. 34-36845 File Number: 3-8947
Date: Feb. 14, 1996	Respondents: Roc C. Hatfield Release No. 34-36846 File Number: 3-8948
Date: Feb. 14, 1996	Respondents: Jon Edelman Release No. 34-36847 File Number: 3-8950
Date: Feb. 13, 1996	Respondents: Russell Ponce; Lillian A. McEwen, Administrative Law Judge Release No. 34-36835 File Number: 3-8944
Date: Feb. 13, 1996	Respondents: John L. Fauls III Release No. 34-36838 File Number: 3-8945
Date: Feb. 13, 1996	Respondents: Patrick J. Doherty Release No. 34-36839 File Number: 3-8946
Date: Feb. 12, 1996	Respondents: James S. Small Release No. 34-36829 File Number: 3-8943
Date: Feb. 5, 1996	Respondents: Charles Joseph Bazarian Release No. 34-36808 File Number: 3-8799
Date: Feb. 1, 1996	Respondents: Kerkhoff Industries, Inc., John Russell Wells and Mark J.Wells Release No. 34-36800 File Number: 3-8812
Date: Feb. 1, 1996	Respondents: Raymond Charles Gross and James Eugene Hammonds Release No. 34-36802 File Number: 3-8810
Date: Feb. 1, 1996	Respondents: Ronald A. Romito Release No. 34-36803 File Number: 3-8942
Date: Feb. 1, 1996	Respondents: Valerie Jensen Release No. 34-36804 File Number: 3-8898
Date: Feb. 1, 1996	Respondents: Robert E. Lindley Release No. 34-36805
Date: Jan. 30, 1996	Respondents: William Cho Release No. 34-36787 File Number: 3-8941
Date: Jan. 26, 1996	Respondents: Robert Vecchioni Release No. 34-36779 File Number: 3-8940
Date: Jan. 25, 1996	Respondents: Stanley Peter Kerry Release No. 33-7261 File Number: 3-8826
Date: Jan. 25, 1996	Respondents: Joseph M. Arron Release No. 34-36768 File Number: 3-8938
Date: Jan. 25, 1996	Respondents: The Robinson-Humphrey Company, Inc. and William L. Effinger,III Release No. 34-36773 File Number: 3-8939
Date: Jan. 24, 1996	Respondents: (Orange County) 21a Report Release No. 34-36761