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.

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Date Sort ascending	Respondents
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40912 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40908 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40904 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40929 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40925 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40930 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40926 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40922 File Number: 3-9803
Jan. 11, 1999	Craig S. Vanucci and Brian K. Andrew Release No. 33-7625 File Number: 3-9804
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40927 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40923 File Number: 3-9803
Jan. 11, 1999	John E. Backlund, John H. Hankins, Howard L. Peterson, and John G. Guffey Release No. 33-7626 File Number: 3-9805
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40928 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40924 File Number: 3-9803
Jan. 7, 1999	Euro-Atlantic Securities, Inc. Brian A. Schmidt, Darlan E. Gordon, John T. Madden, William Avent, and John Aristotle Dilworth II; Robert G. Mahony, Administrative Law Judge Release No. 34-40891 File Number: 3-9402
Jan. 7, 1999	Joel Pensley Release No. 34-40890 File Number: 3-9800
Jan. 7, 1999	H.J. Meyers & Co., Inc. and Tobin J. Senefeld Release No. 34-40892 File Number: 3-9754
Jan. 7, 1999	Corporate Planners, Inc., CSJ Limited Liability Company, Davidson Trust Co., Ivy Mackenzie Services Corp., and National Stock Transfer and Accounting, Inc. Release No. 34-40895 File Number: 3-9801
Jan. 7, 1999	Alpha Tech Stock Transfer Trust, Greenfield Fund, Inc., Manor Investment Funds, Inc., and United Stock Transfer, Inc. Release No. 34-40899 File Number: 3-9802
Jan. 6, 1999	Jean Costanza Release No. 33-7621 File Number: 3-9799
Dec. 29, 1998	Steven M. Gross Release No. 34-40859 File Number: 3-9797
Dec. 29, 1998	Cesar A. Montilla Release No. 34-40855 File Number: 3-9669
Dec. 29, 1998	Michael W. Roberts, C.P.A. Release No. 34-40860 File Number: 3-9798
Dec. 28, 1998	Meridian Investment Management Corporation, Michael J. Hart, and Craig T. Callahan Release No. 33-1779 File Number: 3-9796
Dec. 23, 1998	Sean P. Brennan and Keith E. Walsh Release No. 33-7619 File Number: 3-9716
Dec. 23, 1998	Teressa L. Cawley Release No. 34-40827 File Number: 3-9794
Dec. 23, 1998	Wayne T. Drinkwine Release No. 34-40831 File Number: 3-9795
Dec. 22, 1998	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. 34-40819
Dec. 21, 1998	William C. Bethea Release No. 34-40818 File Number: 3-9792
Dec. 14, 1998	Marisa Baridis Release No. 34-40788 File Number: 3-9790
Dec. 14, 1998	Keith Youngswick Release No. 34-40787 File Number: 3-9789
Dec. 10, 1998	City of Moorhead, Mississippi Release No. 33-7616, 34-40770 File Number: 3-9724
Dec. 10, 1998	Michael P. Traba Release No. 33-7617, 34-40772, IC-23595 File Number: 3-9788
Dec. 10, 1998	Anthony J. Bruno and James A. Bruno Release No. 34-40769 File Number: 3-9787
Dec. 9, 1998	Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.; James T. Kelly, Administrative Law Judge Release No. 33-7614, 34-40764, IA-1776 File Number: 3-9784
Dec. 9, 1998	Richard Hoffman and Kirk Montgomery; Carol Fox Foelak, Administrative Law Judge Release No. 33-7615, 34-40766 File Number: 3-9786
Dec. 9, 1998	FSC Securities Corporation Release No. 34-40765 File Number: 3-9785
Nov. 30, 1998	Francis C. Decabia Release No. 34-40725 File Number: 3-9783
Nov. 30, 1998	First Fidelity Securities Group Release No. 4-40724 File Number: 3-8917
Nov. 25, 1998	Robert J. Smith Release No. 40-1775 File Number: 3-9782
Nov. 23, 1998	Stephens Inc. Release No. 33-7612, 34-40699 File Number: 3-9781
Nov. 23, 1998	Stephens Inc. Release No. 613
Nov. 20, 1998	H. Thomas Fehn Release No. 34-40697 File Number: 3-9518
Nov. 19, 1998	James R. Frith, Jr. Release No. 34-40691 File Number: 3-9780
Nov. 16, 1998	Leandro Javier Obenauer and Brian Lynch Release No. 34-40682 File Number: 3-9779
Nov. 13, 1998	Howe, Solomon and Hall and Christopher J. Hall Release No. 34-40677 File Number: 3-9613
Nov. 12, 1998	Westcap Securities, L.P. Release No. 34-40661 File Number: 3-8947
Nov. 12, 1998	William Sedkey Saydein Release No. 34-40664 File Number: 3-9777
Nov. 12, 1998	Maynard Matt Smith Release No. 33-7610 File Number: 3-9770
Nov. 9, 1998	Lawrence M. Knapp Release No. 34-40650 File Number: 3-9774
Nov. 4, 1998	Terry T. Steen; Carol Fox Foelak, Administrative Law Judge Release No. 3440640 File Number: 3-8798
Nov. 2, 1998	Ira William Scott; Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1773 File Number: 3-9105
Oct. 27, 1998	The High Growth Publishing Group and Everett Gust Release No. 33-7595 File Number: 3-9762
Oct. 27, 1998	Russell Klein Release No. 33-7596 File Number: 3-9763
Oct. 27, 1998	Global Information Services, Inc. d/b/a Investment Hotlines and James E. Grady Release No. 33-7605 File Number: 3-9772
Oct. 27, 1998	David A. Wood, Jr. and ICS Communications, Inc. Release No. 33-7601 File Number: 3-9768
Oct. 27, 1998	Donald A. Baillargeon, individually and d/b/a Emerging Company Report Release No. 33-7597 File Number: 3-9764
Oct. 27, 1998	O'Brien Partners, Inc. Release No. 33-7594, IA-1772 File Number: 3-9761
Oct. 27, 1998	TKO International, Inc. and Leonard A. Turano Release No. 33-7602 File Number: 3-9769
Oct. 27, 1998	Core Communications Group, Inc. and Joshua Z. Levine Release No. 33-7598 File Number: 3-9765
Oct. 27, 1998	Maynard Matt Smith Release No. 33-7603 File Number: 3-9770
Oct. 27, 1998	National Investors Council and Skip Nordstrom Release No. 33-7600 File Number: 3-9766
Oct. 27, 1998	IBJ Publications, Inc. Release No. 33-7604 File Number: 3-9771
Oct. 27, 1998	Eugene B. Martineau Release No. 33-7599 File Number: 3-9767
Oct. 26, 1998	Daniel J. Bubalo Release No. 34-40601
Oct. 20, 1998	Certain Broker-Dealers who failed to file all or part of Form BD-Y2K; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-40574 File Number: 3-9759
Oct. 20, 1998	Certain Broker-Dealers Who Failed To File All or Part of Form BD-Y2K Release No. 34-40573 File Number: 3-9758
Oct. 13, 1998	Thomas B. O'Connell Release No. 33-7592, 34-40544, IA-1770 File Number: 3-9572
Oct. 8, 1998	Matthew Thomas Burgason Release No. 34-40531 File Number: 3-9757
Sept. 30, 1998	Allen Weinstein Release No. 34-40501 File Number: 3-9745
Sept. 30, 1998	William N. Briggs Release No. 34-40506 File Number: 3-9361
Sept. 30, 1998	Abn Amro-Nsm International Funds Management, B.V. Release No. IA-1767 File Number: 3-9751
Sept. 30, 1998	J. David Glover, Jr. Release No. 34-40508 File Number: 3-9752
Sept. 30, 1998	Craig Leibold, Jeffrey Oetting, Tom Pollard, and Mark Salter Release No. 33-7591, 34-40507 File Number: 3-9750
Sept. 30, 1998	Michelle Sotnikow Release No. 34-40509 File Number: 3-9753
Sept. 30, 1998	Douglas C. Selander Release No. 34-40502 File Number: 3-9746
Sept. 30, 1998	Bell Capital Management, Inc., Ronnie H. Bell, Thomas C. Comsudes, and Mark S. Palmer Release No. IA-1768
Sept. 30, 1998	H.J. Meyers & Co., Inc. and Tobin J. Senefeld Release No. 34-40510 File Number: 3-9754
Sept. 30, 1998	John Marsala Release No. 34-40503 File Number: 3-9747
Sept. 30, 1998	Schuylkill Capital Management, Ltd. and Howard A. Trauger Release No. IA-1766 File Number: 3-9457
Sept. 30, 1998	Irwin Frankel Release No. 34-40504 File Number: 3-9748
Sept. 29, 1998	Rhumbline Advisers and John D. Nelson Release No. IA-1765 File Number: 3-9744
Sept. 29, 1998	Newport-Mesa Unified School District Release No. 33-7589 File Number: 3-9738
Sept. 29, 1998	Mike Zaman Release No. 34-40494 File Number: 3-9737
Sept. 29, 1998	City of Anaheim, City of Irvine, Irvine Unified School District, North Orange County Community College District, and Orange County Board Of Education Release No. 33-7590 File Number: 3-9739
Sept. 29, 1998	Finarc, LLC and Catherine F. White Release No. IA-1763 File Number: 801-37761
Sept. 29, 1998	Profitek, Inc. and Edward G. Smith Release No. IA-1764 File Number: 3-9743
Sept. 29, 1998	Donna Laubscher, CPA and Sherald Griffin, CPA Release No. 34-40495 File Number: 3-9740
Sept. 28, 1998	Patricia S. Gale Release No. 34-40489 File Number: 3-9736
Sept. 28, 1998	Concord Growth Corporation Release No. IC-23470 File Number: 3-9732
Sept. 28, 1998	Rupay-Barrington Investment Advisory Services, Inc. and Frederick A. Wolf Release No. IA-1761, IC-23471 File Number: 3-9734
Sept. 28, 1998	Christopher M. Pedersen Release No. 34-40490 File Number: 3-9635
Sept. 28, 1998	Byron G. Borgardt and Eric M. Banhazl; James T. Kelly, Administrative Law Judge Release No. 33-7587, IC-23468 File Number: 3-9730
Sept. 28, 1998	Nancy A. Swoffer Release No. 34-40488 File Number: 3-9735
Sept. 28, 1998	Reid Rutherford Release No. 33-7588, IC-23469 File Number: 3-9731
Sept. 25, 1998	Seaboard Investment Advisers, Inc. and Eugene W. Hansen; Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1757 File Number: 3-9725
Sept. 25, 1998	Ted C. Beattie and Linda Beattie Release No. 34-40480 File Number: 3-9726
Sept. 25, 1998	Randy Depoister Release No. 34-40483, IA-1759 File Number: 3-9728
Sept. 25, 1998	Pankowski Associates, Inc. and Joseph R. Pankowski Release No. IA-1758 File Number: 3-9727
Sept. 25, 1998	John W. Gillette, Jr. Release No. 34-40484, IA-1760 File Number: 3-9729

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