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: Jan. 11, 1996	Respondents: William F. Moody, Jr. Release No. 34-36700 File Number: 3-8921
Date: Jan. 9, 1996	Respondents: First Fidelity Securities Group Release No. 34-36694 File Number: 3-8917
Date: Jan. 9, 1996	Respondents: Edward A. Cerullo Release No. 34-36695 File Number: 3-8918
Date: Jan. 9, 1996	Respondents: Orlando Joseph Jett and Melvin Mullin Release No. 34-36696
Date: Jan. 4, 1996	Respondents: Robert D. Carl, III Release No. 34-36678 File Number: 3-8915
Date: Jan. 4, 1996	Respondents: Bradford P. Gillingham Release No. 34-36679 File Number: 3-8916
Date: Jan. 3, 1996	Respondents: Florio Fiorini Release No. 34-36669 File Number: 3-8910
Date: Jan. 3, 1996	Respondents: Fernando Cappuccio Release No. 34-36670 File Number: 3-8911
Date: Jan. 3, 1996	Respondents: William W. Krueger Release No. 34-36672 File Number: 3-8913
Date: Jan. 3, 1996	Respondents: Edmund C. Lipinski Release No. 34-36673 File Number: 3-8914
Date: Dec. 28, 1995	Respondents: Steen Ronlov Release No. IA-1544 File Number: 3-8904
Date: Dec. 27, 1995	Respondents: David Sims and Louis Kurtz Release No. 34-36641
Date: Dec. 27, 1995	Respondents: Daniel L. Osborn Release No. 34-36642 File Number: 3-8903
Date: Dec. 20, 1995	Respondents: James A. Pearce Release No. 34-36608 File Number: 3-8900
Date: Dec. 20, 1995	Respondents: Johnston Kent Securities, Inc., and George R. Johnston Release No. 34-36614
Date: Dec. 18, 1995	Respondents: John Francis D'Acquisto Release No. IA-1541
Date: Dec. 7, 1995	Respondents: Urohealth Systems, Inc., formerly known as DavstarIndustries, Ltd. Release No. 34-36560 File Number: 3-8891
Date: Dec. 7, 1995	Respondents: Charles E. Michael, Jr. Release No. 34-36561 File Number: 3-8892
Date: Dec. 6, 1995	Respondents: Richard A. Anders Release No. 34-36553 File Number: 3-8836
Date: Dec. 6, 1995	Respondents: John McMillan Release No. 34-36554 File Number: 3-8780
Date: Nov. 28, 1995	Respondents: Jerry Revalee, Kelly F. Molton, and Hermann GeraldDworschak Release No. 7244;34-36519;3-8886 File Number: 3-8886
Date: Nov. 28, 1995	Respondents: Roswitha Klement-Francis and William Antenorcruz Release No. 7245;34-36520;3-8887 File Number: 3-8887
Date: Nov. 27, 1995	Respondents: The Feldman Investment Group, Inc. Release No. IA-1538 File Number: 3-8884
Date: Nov. 9, 1995	Respondents: James W. Bullard, Jr. Release No. 34-36471 File Number: 3-8615
Date: Nov. 8, 1995	Respondents: Timothy A. Hills Release No. 34-36463 File Number: 3-8708
Date: Nov. 6, 1995	Respondents: Keypoint Financial Corporation and Michael R. Warren Release No. IA-1534 File Number: 3-8881
Date: Nov. 6, 1995	Respondents: Everlast Filtration, Corp. Release No. 34-36459 File Number: 3-8880
Date: Nov. 3, 1995	Respondents: Michael W. Adams, Donald H. Stringer, Victor G. Campana andSaint Clair Ainsley Knight, Jr. Release No. 34-36454 File Number: 3-8878
Date: Nov. 2, 1995	Respondents: Rhema Foundation and Haskell D. Stratton Release No. 33-7239 File Number: 3-8877
Date: Oct. 31, 1995	Respondents: Brian Jeffrey Sheen Release No. IC-1533 File Number: 3-8874
Date: Oct. 31, 1995	Respondents: Robert O. Glau Release No. 34-36438 File Number: 3-8875
Date: Oct. 31, 1995	Respondents: Calvin Shenkir, Jr. Release No. 34-36446 File Number: 3-8876
Date: Oct. 30, 1995	Respondents: Nicholas P. Howard Release No. 34-36433
Date: Oct. 26, 1995	Respondents: Lazard Freres & Co. LLC, and Merrill Lynch, Pierce, Fenner& Smith Inc. Release No. 34-36419 File Number: 3-8872
Date: Oct. 23, 1995	Respondents: Michael H. Novick and M.H. Novick and Company Release No. 34-36408 File Number: 3-8790
Date: Oct. 17, 1995	Respondents: Gary E. Stern Release No. 34-36382 File Number: 3-8867
Date: Oct. 13, 1995	Respondents: Garcis U.S.A., Inc. Temporary Suspension; Release No. 34-36366
Date: Oct. 11, 1995	Respondents: Gibson Greetings, Inc., Ward A. Cavanaugh and James H.Johnsen Release No. 34-36357 File Number: 3-8866
Date: Oct. 5, 1995	Respondents: Dickinson & Co. and John Laurienti Release No. 34-36338 File Number: 3-8865
Date: Oct. 4, 1995	Respondents: French American Banking Corporation Release No. 34-36333 File Number: 3-8863
Date: Oct. 4, 1995	Respondents: Lewco Securities Corporation Release No. 34-36334 File Number: 3-8864
Date: Sept. 19, 1995	Respondents: John R. Moysey Release No. 34-36247;3-8818 File Number: 3-8818