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: Feb. 6, 2001	Respondents: D. E. Wine Investments, W. Randal Miller and Duncan E. Wine; Release No. 34-43929 File Number: 3-8543
Date: Jan. 26, 2001	Respondents: Steven D. Goodman Release No. 34-43889 File Number: 3-10116
Date: Jan. 25, 2001	Respondents: Jean-Paul Bolduc, Brian J. Smith, CPA, Richard N. Sukenik, CPA, Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, CPA Release No. 34-43884 File Number: 3-9793
Date: Jan. 19, 2001	Respondents: KPMG Peat Marwick LLP Release No. 34-43862 See Also: Court of Appeals Opinion File Number: 3-9500
Date: Jan. 16, 2001	Respondents: Clarence Wurts Release No. 34-43842 File Number: 3-9114
Date: Jan. 10, 2001	Respondents: Seaboard Investment Advisers, Inc. and Eugene W. Hansen Release No. ia-1918 File Number: 3-9725
Date: Dec. 20, 2000	Respondents: Tony R. Smith Release No. 34-43748 File Number: 3-9775
Date: Dec. 8, 2000	Respondents: William D. Hirsh Release No. 34-43691 File Number: 3-10129
Date: Nov. 21, 2000	Respondents: Keith S. Perkins Release No. 34-43599 File Number: 3-10109
Date: Nov. 14, 2000	Respondents: Stephen Keidaish Release No. 34-43555 File Number: 3-10111
Date: Nov. 7, 2000	Respondents: Joseph S. Barbera Release No. 34-43528 File Number: 3-10076
Date: Nov. 6, 2000	Respondents: Joseph Dillon & Company, Inc. Release No. 34-43523 File Number: 3-10190
Date: Oct. 25, 2000	Respondents: East/West Securities Company and Leslie U. Harris Release No. 34-43479 File Number: 3-10052
Date: Oct. 5, 2000	Respondents: Gordon Kerr Release No. 34-43418 File Number: 3-10133
Date: Oct. 4, 2000	Respondents: Robin Bruce McNabb Release No. 34-43411 File Number: 3-9886
Date: Oct. 4, 2000	Respondents: J. Stephen Stout Release No. 34-43410 File Number: 3-9034
Date: Sept. 27, 2000	Respondents: Sundra Escott-Russell Release No. 34-43363 File Number: 3-9812
Date: Sept. 15, 2000	Respondents: Kevin Lee Otto Release No. 34-43296
Date: Sept. 7, 2000	Respondents: Michael J. Markowski and Joseph F. Riccio Release No. 34-43259 File Number: 3-9671
Date: Aug. 31, 2000	Respondents: Russell Ponce Release No. 34-43235, AAER-1297 File Number: 3-8944
Date: May 18, 2000	Respondents: Maximo Justo Guevara Release No. 34-42793 File Number: 3-9838
Date: May 11, 2000	Respondents: Jeffrey Ainley Hayden Release No. 34-42772 File Number: 3-9649
Date: March 8, 2000	Respondents: Rita C. Villa Release No. 34-42502
Date: Jan. 28, 2000	Respondents: Joseph G. Chiulli Release No. 34-42359 File Number: 3-9776
Date: Jan. 24, 2000	Respondents: John A. Chepak Release No. 34-42356 File Number: 3-9684
Date: Jan. 4, 2000	Respondents: The American Stock Exchange, Inc. Release No. 34-42312 File Number: 3-9756
Date: Dec. 20, 1999	Respondents: Harry Gliksman and William J. Gallagher Release No. 34-42255 File Number: 3-9891
Date: Nov. 16, 1999	Respondents: Keith L. Mohn Release No. 34-42144 File Number: 3-9832
Date: Nov. 10, 1999	Respondents: Russo Securities, Inc. Release No. 34-42121 File Number: 3-8573-EAJ
Date: Oct. 26, 1999	Respondents: Healthtech International, Inc. Release No. 34-42060 File Number: 3-9667
Date: Oct. 14, 1999	Respondents: James J. Pasztor Release No. 34-42008 File Number: 3-8511
Date: Oct. 7, 1999	Respondents: Coastline Financial, Inc., and Donald Allyson Williams Release No. 34-41989 File Number: 3-9276
Date: Sept. 29, 1999	Respondents: Jonathan Feins Release No. 34-41943 File Number: 3-8721
Date: Sept. 1, 1999	Respondents: Rafael Pinchas Release No. 34-41816 File Number: 3-9639
Date: Sept. 1, 1999	Respondents: SC&T International, Inc. Release No. 34-41815 File Number: 3-9593
Date: Aug. 31, 1999	Respondents: Jacob Adoni Release No. 34-41813 File Number: 3-9700
Date: Aug. 27, 1999	Respondents: William J. Murphy Release No. 34-41804 File Number: 3-9682
Date: Aug. 23, 1999	Respondents: Donald R. Gates Release No. 34-41777 File Number: 3-8580
Date: Aug. 18, 1999	Respondents: La Jolla Capital Corporation and Harold B. Gallison, Jr. Release No. 34-41755 File Number: 3-9557
Date: Aug. 11, 1999	Respondents: Al Rizek Release No. 34-41725 File Number: 3-9041
Date: July 21, 1999	Respondents: Imaging Diagnostic Systems, Inc. Release No. 34-41633 File Number: 3-9624
Date: July 20, 1999	Respondents: Martin R. Kaiden Release No. 34-41629 File Number: 3-9403
Date: July 20, 1999	Respondents: Stephen J. Gluckman Release No. 34-41628 File Number: 3-9545
Date: April 26, 1999	Respondents: Sierra Nevada Securities, Inc. Release No. 34-41330 File Number: 3-9623
Date: April 14, 1999	Respondents: Jon G. Symon and J.G. Symon & Companies Release No. 34-41285 File Number: 3-9609
Date: April 13, 1999	Respondents: Transnet Corporation Release No. 34-41278 File Number: 3-9637
Date: April 5, 1999	Respondents: Laurie Jones Canady Release No. 34-41250 See Also: Court of Appeals Opinion File Number: 3-8531
Date: March 30, 1999	Respondents: Eliezer Gurfel Release No. 34-41229 See Also: Court of Appeals Opinion File Number: 3-9651
Date: March 30, 1999	Respondents: Robert Sayegh Release No. 34-41226 File Number: 3-9019
Date: March 1, 1999	Respondents: Ted Harold Westerfield Release No. 34-41126 File Number: 3-9355
Date: March 1, 1999	Respondents: Jacob Wonsover Release No. 34-41123 See Also: Court of Appeals Opinion File Number: 3-8584
Date: Feb. 10, 1999	Respondents: Joseph J. Barbato Release No. 34-41034 File Number: 3-8575
Date: Feb. 1, 1999	Respondents: Kenneth C. Krull Release No. 34-41008 File Number: 3-9394
Date: Feb. 1, 1999	Respondents: James Harvey Thornton and Payne & Thornton, Inc. Release No. 34-41007 File Number: 3-9046
Date: Dec. 10, 1998	Respondents: Kenneth C. Krull Release No. 34-40768 File Number: 3-9394
Date: Dec. 2, 1998	Respondents: Lance E. Van Alstyne Release No. 34-40738 File Number: 3-9575
Date: Nov. 30, 1998	Respondents: Sharon M. Graham and Stephen C. Voss Release No. 34-40727 See Also: Court of Appeals Opinion File Number: 3-8511
Date: Nov. 30, 1998	Respondents: Adrian C. Havill Release No. 34-40726 File Number: 3-8510
Date: Nov. 30, 1998	Respondents: Richard D. Chema Release No. 34-40719 File Number: 3-8508
Date: Nov. 19, 1998	Respondents: Russell A. Simpson Release No. 34-40690 File Number: 3-9510
Date: Nov. 18, 1998	Respondents: Valicenti Advisory Services, Inc., Vincent R. Valicenti Investment Release No. IA-1774 File Number: 3-8854
Date: Nov. 12, 1998	Respondents: William J. Haberman Release No. 34-40673 See Also: Court of Appeals Opinion File Number: 3-9554
Date: Nov. 12, 1998	Respondents: Stephen B. Carlson Release No. 34-40672 File Number: 3-9481
Date: Nov. 12, 1998	Respondents: Richard T. Sullivan Release No. 34-40671 File Number: 3-9324
Date: Nov. 12, 1998	Respondents: Shamrock Partners, Ltd. Release No. 34-40663 File Number: 3-9389
Date: Nov. 10, 1998	Respondents: Robert L. Wallace Release No. 34-40654 File Number: 3-9549
Date: Nov. 9, 1998	Respondents: Rocky Mountain Power Company Release No. 34-40648 File Number: 3-9494
Date: Nov. 9, 1998	Respondents: James S. Pritula Release No. 34-40647 File Number: 3-9555
Date: Nov. 9, 1998	Respondents: Scattered Corporation and Leon Aaron Greenblatt, III, Andrew Alvin Jahelka, Richard Owen Nichols, and Laura Bryant Release No. 34-40646 File Number: 3-9212
Date: Nov. 4, 1998	Respondents: William H. Gerhauser, Sr. and William C. Gerhauser, Jr. Release No. 34-40639 File Number: 3-9519
Date: Nov. 3, 1998	Respondents: Cathy Jean Krause Kirkpatrick Release No. 34-40630 File Number: 3-9529
Date: Nov. 3, 1998	Respondents: Warren R. Schreiber Release No. 34-40629 File Number: 3-9378
Date: Oct. 26, 1998	Respondents: Steven P. Sanders and Daniel M. Porush Release No. 34-40600 File Number: 3-9195
Date: Sept. 24, 1998	Respondents: John M. W. Crute Release No. 34-40474 File Number: 3-9428
Date: Sept. 15, 1998	Respondents: Ira William Scott Release No. IA-1752 File Number: 3-9105
Date: Sept. 14, 1998	Respondents: Joseph Patrick Hannan Release No. 34-40438 File Number: 3-9392
Date: Sept. 14, 1998	Respondents: First Colorado Financial Services Company, Inc. Release No. 34-40436 File Number: 3-9298
Date: Sept. 2, 1998	Respondents: Richard H. Morrow Release No. 34-40392 File Number: 3-8304
Date: Sept. 1, 1998	Respondents: Alan E. Rosenthal Release No. 34-40387 File Number: 3-8642
Date: Aug. 19, 1998	Respondents: Justine Susan Fischer Release No. 34-40335 File Number: 3-9346
Date: Aug. 3, 1998	Respondents: Sidney C. Eng Release No. 34-40297 File Number: 3-9308
Date: July 22, 1998	Respondents: Kevin Eric Shaughnessy Release No. 34-40244 File Number: 3-9332
Date: July 22, 1998	Respondents: Daniel C. Montano Release No. 34-40243 File Number: 3-9259
Date: July 21, 1998	Respondents: Frank R. Rubba Release No. 34-40238 File Number: 3-9480
Date: July 21, 1998	Respondents: Richard R. Pendleton Release No. 34-40237 File Number: 3-9501
Date: June 2, 1998	Respondents: Terry T. Steen Release No. 34-40055 File Number: 3-8798
Date: May 29, 1998	Respondents: L.C. Wegard & Co., Inc. Release No. 34-40046 File Number: 3-8533
Date: May 20, 1998	Respondents: Boleslaw Wolny Release No. 34-40013 File Number: 3-9241
Date: May 20, 1998	Respondents: Victor Teicher & Co., L.P., Ross S. Frankel Release No. 34-40010 See Also: Court of Appeals Opinion File Number: 3-8394
Date: May 18, 1998	Respondents: John P. Goldsworthy Release No. 34-40000 File Number: 3-9339
Date: May 18, 1998	Respondents: Castle Securities Corporation Release No. 34-39999 File Number: 3-9188
Date: May 17, 1998	Respondents: Leonard John Ialeggio Release No. 34-40028 File Number: 3-8925
Date: March 25, 1998	Respondents: Eagle Supply Group, Inc. Release No. 34-39800 File Number: 3-9313
Date: March 25, 1998	Respondents: James A. Goetz Release No. 34-39796 File Number: 3-9206
Date: March 17, 1998	Respondents: Interactive Brokers LLC Release No. 34-39765 File Number: 3-9237
Date: Feb. 11, 1998	Respondents: Richard J. Adams Release No. 34-39645 File Number: 3-8327
Date: Jan. 22, 1998	Respondents: Gerald James Stoiber Release No. 34-39565 File Number: 3-8992
Date: Jan. 21, 1998	Respondents: John Francis D'Acquisto Release No. IA-1696 File Number: 3-8899
Date: Jan. 13, 1998	Respondents: John J. Fiero Release No. 34-39544 File Number: 3-9274
Date: Jan. 13, 1998	Respondents: Hattier, Sanford & Reynoir, Gus A. Reynoir, and Vance G. Reynoir Release No. 34-39543 See Also: Court of Appeals Opinion File Number: 3-9190