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: May 20, 1997	Respondents: Russell G. Koch Release No. 34-38658 File Number: 3-8832
Date: May 20, 1997	Respondents: Richard M. Kulak (order dismissing proceeding) Release No. 34-38657 File Number: 3-8509
Date: May 5, 1997	Respondents: William K. Cantrell Release No. 34-38570 File Number: 3-9023
Date: April 8, 1997	Respondents: Prime Investors, Inc, Kenneth James Wright and Michael Lyn Johnson Release No. 34-38487 File Number: 3-8820
Date: April 8, 1997	Respondents: Stephen Thorlief Rangen Release No. 34-38486 File Number: 3-8994
Date: April 8, 1997	Respondents: Benjamin G. Sprecher Release No. 34-38485 File Number: 3-8230
Date: March 26, 1997	Respondents: Christopher J. Benz Release No. 34-38440 File Number: 3-8986
Date: March 20, 1997	Respondents: C. James Padgett, Stuart Graff, Robert E. Gibbs, Shaw Sullivan, John W. Sutton, John Beaird and Dirk Nye Release No. 34-38423, 34-38815 File Number: 3-7164
Date: March 19, 1997	Respondents: Henry Irvin Judy, Jr. Release No. 34-38418 File Number: 3-9039
Date: March 12, 1997	Respondents: Stratton Oakmont, Inc. Release No. 34-38390 File Number: 3-9005
Date: March 12, 1997	Respondents: Demitrios Julius Shiva Release No. 34-38389 File Number: 3-8803
Date: March 7, 1997	Respondents: Martin B. Sloate Release No. 34-38373 File Number: 3-8232
Date: Jan. 21, 1997	Respondents: David J. Checkosky and Norman A. Aldrich Release No. 34-38183 See Also: Court of Appeals Opinion File Number: 3-6776
Date: Dec. 23, 1996	Respondents: McLaughlin Piven Vogel Securities, Inc. Release No. 34-38076 File Number: 3-8889
Date: Dec. 9, 1996	Respondents: Bradford John Titus and Marcie Anne Milner Release No. 34-38029 File Number: 3-8936
Date: Nov. 26, 1996	Respondents: Henry James Fargalli, Jr. Release No. 34-37991 File Number: 3-8639
Date: Nov. 26, 1996	Respondents: New Allied Development Corporation Release No. 34-37990 File Number: 3-8395
Date: Nov. 15, 1996	Respondents: William Jackson Blalock Release No. 34-37955 File Number: 3-8990
Date: Nov. 15, 1996	Respondents: Ashvin R. Shah Release No. 34-37954 File Number: 3-8893
Date: Nov. 15, 1996	Respondents: Robert J. Sayegh Release No. 34-37953 File Number: 3-8971
Date: Nov. 15, 1996	Respondents: William S. Mentis Release No. 34-37952 File Number: 3-8962
Date: Nov. 6, 1996	Respondents: Prairie Pacific Energy Corporation Release No. 34-37919A File Number: 3-8868
Date: Oct. 31, 1996	Respondents: Leonard John Ialeggio Release No. 34-37910 File Number: 3-8925
Date: Oct. 30, 1996	Respondents: Robert A. Grunberg Release No. 34-37895 File Number: 3-8982
Date: Oct. 25, 1996	Respondents: Barry C. Wilson Release No. 34-37867 File Number: 3-8958
Date: Oct. 25, 1996	Respondents: Tiger Options Release No. 34-37866 File Number: 3-8926
Date: Oct. 25, 1996	Respondents: Micah C. Douglas Release No. 34-37865 File Number: 3-8870
Date: Oct. 22, 1996	Respondents: Richard J. Puccio Release No. 34-37849 File Number: 3-8438
Date: Oct. 17, 1996	Respondents: Larry Ira Klein Release No. 34-37835 File Number: 3-8761
Date: Aug. 28, 1996	Respondents: David Post Release No. 34-37613 File Number: 3-8912
Date: Aug. 27, 1996	Respondents: Creative Medical Development, Inc. Release No. 34-37611 File Number: 3-8871
Date: Aug. 26, 1996	Respondents: Escalator Securities, Inc.,and Howard A. Scala Release No. 34-37601 File Number: 3-8650
Date: Aug. 26, 1996	Respondents: Everest Securities, Inc. and Jeanne Alyce Kunkel Release No. 34-37600 See Also: Court of Appeals Opinion File Number: 3-8519
Date: Aug. 14, 1996	Respondents: Toney L. Reed Release No. 34-37572 File Number: 3-8013
Date: Aug. 13, 1996	Respondents: Domestic Securities, Inc. Release No. 34-37559 File Number: 3-8702
Date: July 31, 1996	Respondents: Michael H. Novick Release No. 34-37503 File Number: 3-8927
Date: July 22, 1996	Respondents: James Alan Schneider Release No. 34-37463 File Number: 3-8894
Date: July 8, 1996	Respondents: Charles E. French Release No. 34-37409 File Number: 3-8725
Date: June 24, 1996	Respondents: Ralph Joseph Presutti Release No. 34-37351 File Number: 3-8521
Date: June 12, 1996	Respondents: Herbert J. Burns Release No. 34-37305 File Number: 3-8722
Date: May 30, 1996	Respondents: First Jersey Securities, Inc. and Robert E. Brennan Release No. 3437259 File Number: 3-8699
Date: May 14, 1996	Respondents: Peter C. Bucchieri Release No. 34-37218 File Number: 3-8706
Date: May 14, 1996	Respondents: John G. Pearce Release No. 34-37217 File Number: 3-8807
Date: May 8, 1996	Respondents: Brian L. Gibbons Release No. 34-37170 File Number: 3-8888
Date: May 1, 1996	Respondents: Jay Houston Meadows Release No. 34-37156 File Number: 3-8257
Date: April 10, 1996	Respondents: May er A. Amsel Release No. 34-37092 File Number: 3-8743
Date: April 10, 1996	Respondents: Jonathan Feins Release No. 34-37091 File Number: 3-8721
Date: April 5, 1996	Respondents: Eli Boggs Combs Admin. Proc. Release No. 34-37075 File Number: 3-8654
Date: April 5, 1996	Respondents: Ronald H. V. Justiss Admin. Proc. Release No. 34-37074 File Number: 3-8697
Date: April 5, 1996	Respondents: Gunther International Ltd. Admin. Proc. Release No. 34-37073 File Number: 3-8792
Date: April 5, 1996	Respondents: Charles E. Kautz Admin. Proc. Release No. 34-37072 File Number: 3-8768
Date: April 5, 1996	Respondents: Morton Kantrowitz Admin. Proc. Release No. 34-37071 File Number: 3-8775
Date: April 5, 1996	Respondents: Rosario R. Ruggiero Admin. Proc. Release No. 34-37070 File Number: 3-8751
Date: April 5, 1996	Respondents: DHB Capital Group, Inc. Admin. Proc. Release No. 34-37069 File Number: 3-8676