Commission Opinions and Adjudicatory Orders

This page features opinions and orders issued by the Commission in connection with its adjudication of administrative proceedings, appeals from initial decisions of ALJs, and appeals from SRO or PCAOB action.

The links below direct you to the docket pages for such adjudicatory proceedings 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: April 11, 2008	Respondents: Paz Securities, Inc. and Joseph Mizrachi Release No. 34-57656 See Also: Court of Appeals Opinion
Date: April 11, 2008	Respondents: Dennis Todd Lloyd Gordon and Sterling Scott Lee Release No. 34-57655
Date: March 11, 2008	Respondents: Gregory O. Trautman Release No. 33-8902, 34-57475, IA-2719, IC-28194
Date: March 4, 2008	Respondents: Robert E. Strong Release No. 34-57426
Date: Feb. 21, 2008	Respondents: Euro Capital Incorporated Release No. 33-8898
Date: Feb. 4, 2008	Respondents: Jeffrey L. Gibson Release No. 34-57266, IA-2700
Date: Jan. 31, 2008	Respondents: Gregory M. Dearlove Release No. 34-57244, AAER-2779
Date: Jan. 31, 2008	Respondents: John A. Carley, Eugene C. Geiger, Thomas A. Kaufmann, Edward H. Price, and Christopher H. Zacharias Release No. 33-8888, 34-57246 See Also: Court of Appeals Opinion
Date: Jan. 31, 2008	Respondents: Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot (Order Denying Motion for Extension) Release No. 33-8887, 34-57243, IA-2699, IC-28138
Date: Jan. 16, 2008	Respondents: Warwick Capital Management, Inc. and Carl Lawrence Release No. IA-2694 File Number: 3-12357
Date: Jan. 14, 2008	Respondents: Wedbush Morgan Securities, Inc. (Order Dismissing Proceedings) Release No. 34-57138
Date: Dec. 21, 2007	Respondents: Richard L. Sacks (Order Denying Stay) Release No. 34-57028, 34-55604, 34-56540 See Also: Request for Immediate Stay of Effective Date of Approval Order , Rel. No. 34-55604 , Release No. 34-56540
Date: Dec. 21, 2007	Respondents: David Henry Disraeli and Lifeplan Associates, Inc. Release No. 33-8880, 34-57027, IA-2686
Date: Dec. 13, 2007	Respondents: Perpetual Securities, Inc. and Youwei P. Xu (Order Denying Motion for Reconsideration) Release No. 34-56962, 34-56613 See Also: Rel. No. 34-56613
Date: Dec. 13, 2007	Respondents: Salvatore F. Sodano (Order Denying Motion for Summary Affirmation) Release No. 34-56961
Date: Dec. 5, 2007	Respondents: Laminaire Corp. (n/k/a Cavico Corp.), TAM Restaurants, Inc. (n/k/a Aerofoam Metals, Inc.), and Upside Development, Inc. (n/k/a Amorocorp) (Order Granting Extension) Release No. 34-56912
Date: Dec. 3, 2007	Respondents: Stephen J. Horning Release No. 34-56886
Date: Nov. 30, 2007	Respondents: Michael Sassano, Dogan Baruh, Robert Okin, and R. Scott Abry Release No. 33-8865, 34-56874, IA-2679, IC-28070
Date: Nov. 15, 2007	Respondents: Laminaire Corp. (n/k/a Cavico Corp.), TAM Restaurants, Inc. (n/k/a Aerofoam Metals, Inc.), and Upside Development, Inc. (n/k/a Amorocorp) (Order Denying Motion for Reconsideration) Release No. 34-56789
Date: Nov. 13, 2007	Respondents: Tudor Investment Corporation Release No. 34-56782
Date: Nov. 8, 2007	Respondents: Charles C. Fawcett, IV Release No. 34-56770
Date: Nov. 8, 2007	Respondents: Navistar International Corporation Release No. 34-56769
Date: Nov. 8, 2007	Respondents: Morton Bruce Erenstein Release No. 34-56768 See Also: Court of Appeals Opinion
Date: Nov. 6, 2007	Respondents: David A. Finnerty, Donald R. Foley, II, Scott G. Hunt, Thomas M. Murphy, Jr., Kevin M. Fee, Frank A. Delaney, IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. (Order Denying Motion to Sever) Release No. 34-56756
Date: Nov. 5, 2007	Respondents: Victor Teicher (Order Denying Petition to Modify Administrative Bar Order) Release No. 34-56744
Date: Nov. 5, 2007	Respondents: Sisung Securities Corporation and Lawrence J. Sisung, Jr. Release No. 34-56741
Date: Oct. 22, 2007	Respondents: Laminaire Corp. (n/k/a Cavico Corp.), TAM Restaurants, Inc. (n/k/a Aerofoam Metals, Inc.), and Upside Development, Inc. (n/k/a Amorocorp) (Order Denying Motion to Amend Order Instituting Proceedings) Release No. 34-56685
Date: Oct. 12, 2007	Respondents: James E. Franklin Release No. 34-56649
Date: Oct. 4, 2007	Respondents: Perpetual Securities, Inc. and Youwei P. Xu Release No. 34-56613, 34-56962
Date: Sept. 26, 2007	Respondents: Conrad P. Seghers Release No. IA-2656 File Number: 3-12433
Date: Aug. 31, 2007	Respondents: The Rockies Fund, Inc. (Order Denying Motion for Reconsideration) Release No. 34-56344, IC-27961, 34-54892, 34-48590 See Also: Court of Appeals Opinion , Rel. No. 34-54892 , Opinion: Rel. No. 34-48590
Date: Aug. 9, 2007	Respondents: Warren Lammert, Lars Soderberg, and Lance Newcomb Release No. 33-8833, 34-56233, IA-2629, IC-27927
Date: July 26, 2007	Respondents: Terry Harris Release No. IA-2622 File Number: 3-12171
Date: July 19, 2007	Respondents: Gregg Heinze Release No. 34-56100
Date: July 13, 2007	Respondents: John M. Lucarelli Release No. 34-56075
Date: July 11, 2007	Respondents: David Henry Disraeli and Lifeplan Associates, Inc. Release No. 33-8824, 34-56045, IA-2618
Date: July 5, 2007	Respondents: David Henry Disraeli and Lifeplan Associates, Inc. Release No. 34-56012
Date: June 29, 2007	Respondents: Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot Release No. 34-55989, IA-2613, IC-27880
Date: June 29, 2007	Respondents: Richard F. Kresge Release No. 34-55988
Date: June 29, 2007	Respondents: Kevin Hall, CPA and Rosemary Meyer, CPA Release No. 34-55987, AAER-2627
Date: June 28, 2007	Respondents: Florence Sarah Pollard (Order Dismissing Appeal) Release No. 34-55978
Date: June 22, 2007	Respondents: Warren E. Turk Release No. 34-55942
Date: June 6, 2007	Respondents: America's Sports Voice, Inc., n/k/a Milagro Holdings, Inc (Order Denying Motion for Reconsideration) Release No. 34-55867, 34-55511 See Also: Opinion
Date: June 5, 2007	Respondents: FuelNation, Inc. Release No. 34-55863
Date: June 1, 2007	Respondents: Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot Release No. 34-55848
Date: May 30, 2007	Respondents: Sky Capital LLC Release No. 34-55828
Date: May 16, 2007	Respondents: Bradley T. Smith Release No. 34-55771
Date: May 9, 2007	Respondents: Hans N. Beerbaum and Beerbaum & Beerbaum Financial and Insurance Services, Inc. Release No. 34-55731
Date: May 4, 2007	Respondents: Howard Brett Berger Release No. 34-55706
Date: April 6, 2007	Respondents: Dennis A. Pearson, Jr. Release No. 34-55597A, 34-54913 See Also: Release No. 34-54913
Date: March 30, 2007	Respondents: Phlo Corporation, James B. Hovis, and Anne P. Hovis Release No. 34-55562
Date: March 22, 2007	Respondents: America's Sports Voice, Inc., n/k/a Milagro Holdings, Inc. Release No. 34-55511, 34-55867
Date: March 13, 2007	Respondents: Calvin David Fox Release No. 34-55452, 34-54840 See Also: Court of Appeals Opinion
Date: Feb. 20, 2007	Respondents: Global Crown Capital, LLC, J&C Global Securities Investments, LLC, Rani T. Jarkas, and Antoine K. Chaya Release No. 34-55318, IA-2591
Date: Feb. 20, 2007	Respondents: Donner Corporation International, Jeffery L. Baclet, Vincent M. Uberti, and Paul A. Runyon Release No. 34-55313
Date: Feb. 13, 2007	Respondents: Navistar International Corporation (Order Denying Stay) Release No. 34-55304
Date: Feb. 2, 2007	Respondents: Raghavan Sathianathan Release No. 34-55227, 34-54722 See Also: Court of Appeals Opinion
Date: Jan. 16, 2007	Respondents: Jose P. Zollino Release No. 34-55107, IA-2579
Date: Jan. 5, 2007	Respondents: Rooney A. Sahai Release No. 34-55046
Date: Dec. 21, 2006	Respondents: Philip A. Lehman Release No. 34-54991, IA-2574, 34-54660 See Also: Opinion: Release No. 34-54660
Date: Dec. 11, 2006	Respondents: Dennis A. Pearson, Jr. Release No. 34-54913 See Also: Reconsideration Order
Date: Dec. 7, 2006	Respondents: The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, and Clifford C. Thygesen Release No. 34-54892, IC-27593 See Also: Court of Appeals Opinion , Reconsideration Order
Date: Nov. 30, 2006	Respondents: Calvin David Fox Release No. 34-54840, 34-55452 See Also: 34-55452 , and 34-48927 , and 34-48731
Date: Nov. 28, 2006	Respondents: Kenneth W. Haver, CPA Release No. 34-54824, AAER-2517
Date: Nov. 8, 2006	Respondents: Philippe N. Keyes Release No. 34-54723
Date: Nov. 8, 2006	Respondents: Raghavan Sathianathan Release No. 34-54722, 34-55227 See Also: Court of Appeals Opinion
Date: Nov. 6, 2006	Respondents: May Capital Group, LLC and Melvin Rokeach Release No. 34-54711, 34-53796
Date: Nov. 3, 2006	Respondents: James T. Patten Release No. 34-54710
Date: Nov. 3, 2006	Respondents: Irfan Mohammed Amanat Release No. 34-54708
Date: Nov. 3, 2006	Respondents: Justin F. Ficken Release No. 34-54699
Date: Oct. 27, 2006	Respondents: Philip A. Lehman Release No. 34-54660, IA-2565
Date: Oct. 13, 2006	Respondents: Lawrence Gage Release No. 34-54600
Date: Sept. 22, 2006	Respondents: David C. Ho. Release No. 34-54481 See Also: Court of Appeals Order
Date: Sept. 13, 2006	Respondents: PennMont Securities Release No. 34-54434
Date: Aug. 30, 2006	Respondents: Arthur James Niebauer Release No. 34-54384
Date: Aug. 25, 2006	Respondents: Jay Alan Ochanpaugh Release No. 34-54363
Date: Aug. 7, 2006	Respondents: Morton Kantrowitz Release No. 34-54278
Date: July 13, 2006	Respondents: Dolphin and Bradbury, Incorporated and Robert J. Bradbury Release No. 33-8721, 34-54143 See Also: Court of Appeals Opinion
Date: July 11, 2006	Respondents: IFG Network Securities, Inc., William Kissinger, and David Ledbetter Release No. 34-54127, IA-2533
Date: July 5, 2006	Respondents: Eagletech Communications, Inc. Release No. 34-54095
Date: June 8, 2006	Respondents: Ryan R. Henry Release No. 34-53957
Date: May 31, 2006	Respondents: Gateway International Holdings, Inc. and Lawrence A. Consalvi Release No. 34-53907
Date: May 12, 2006	Respondents: May Capital Group, LLC and Melvin Rokeach Release No. 34-53796
Date: April 26, 2006	Respondents: Terrance Yoshikawa Release No. 34-53731
Date: April 14, 2006	Respondents: Vladlen "Larry" Vindman Release No. 33-8679, 34-53654
Date: April 13, 2006	Respondents: Vladislav Steven Zubkis Release No. 34-53651, 34-52876
Date: April 13, 2006	Respondents: Registration Statement of Apollo Publication Corporation Release No. 33-8678
Date: March 24, 2006	Respondents: Frank P. Quattrone Release No. 34-53547
Date: Jan. 31, 2006	Respondents: Schield Management Company and Marshall Schield Release No. 34-53201, IA-2477
Date: Jan. 19, 2006	Respondents: Baunita M. Greer Release No. 34-53146
Date: Jan. 19, 2006	Respondents: Elliot M. Hershberg Release No. 34-53145
Date: Jan. 18, 2006	Respondents: Alvin W. Gebhart, Jr. and Donna T. Gebhart Release No. 34-53136
Date: Jan. 13, 2006	Respondents: Application of The Nasdaq Stock Market LLC for Registration as a National Securities Exchange Release No. 34-53128
Date: Jan. 13, 2006	Respondents: Harold F. Harris and Ronald E. Crews Release No. 34-53122A
Date: Jan. 6, 2006	Respondents: Joseph Abbondante Release No. 34-53066
Date: Dec. 21, 2005	Respondents: Fog Cutter Capital Group, Inc. Release No. 34-52993 See Also: Court of Appeals Opinion
Date: Dec. 5, 2005	Respondents: Thomas J. Donovan Release No. 34-52883
Date: Dec. 2, 2005	Respondents: Vladislav Steven Zubkis Release No. 34-52876
Date: Dec. 2, 2005	Respondents: Ira Weiss Release No. 33-8641 See Also: Court of Appeals Opinion
Date: Nov. 30, 2005	Respondents: Paul K. Grassi, Jr. Release No. 34-52858