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. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

E-mail Updates

To sign up for updates, please enter your e-mail address below.

Administrative Proceedings RSS Feed


Date Sort ascending	Respondents
Sept. 4, 1996	Philip Forma, Sr., Alan Herr, Herbert Herr, and Stanley Mindel Release No. 34-37634 File Number: 3-9068
Aug. 19, 1996	Global Timber Corporation Release No. 34-37580
Aug. 15, 1996	Cabot Money Management, Inc. and Robert T. Lutts Release No. IA-1577 File Number: 3-9063
Aug. 8, 1996	Richard Jenkins Release No. 34-37545 File Number: 3-9058
Aug. 8, 1996	Ronald M. Zook Release No. IA-1576 File Number: 3-9059
Aug. 8, 1996	National Association of Securities Dealers, Inc. Release No. 34-37538 File Number: 3-9056
Aug. 8, 1996	Frank Duca Release No. 34-37544 File Number: 3-9057
Aug. 6, 1996	Douglas L. Blair Release No. IA-1574 File Number: 3-9053
Aug. 6, 1996	Robert J. Dantone Release No. 34-37530 File Number: 3-9052
Aug. 6, 1996	Refco Securities, Inc. Release No. 34-37531 File Number: 3-9054
Aug. 2, 1996	A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin Release No. 34-37514 File Number: 3-9010
Aug. 1, 1996	Terry T. Steen; Carol Fox Foelak, Administrative Law Judge Release No. 33-7318 File Number: 3-8798
July 30, 1996	John Silseth Release No. 33-7317 File Number: 3-9001
July 30, 1996	James A. Sehn and Samuel O Forson; Lillian A. McEwen, Administrative Law Judge Release No. 34-37498 File Number: 3-8234
July 30, 1996	Kenneth J. Schulte; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-37494 File Number: 3-9051
July 26, 1996	Daniel D. Dietrich and Robert J. Judge; Carol Fox Foelak, Administrative Law Judge Release No. 34-37486 File Number: 3-9050
July 26, 1996	Robert K. Williams and College Planning Services, Inc. Release No. 33-7315 File Number: 3-9007
July 26, 1996	Stephen J. Kandel Release No. 34-37483 File Number: 3-9048
July 26, 1996	Victor L. Kashner and Kashner Davidson Securities Corporation Release No. 34-37485 File Number: 8-14684
July 25, 1996	Payne & Thornton, Inc. d/b/a Retirement Investment Group Release No. 33-7313 File Number: 3-8703
July 25, 1996	Payne & Thornton, Inc. d/b/a Retirement Investment Group Release No. 34-37477
July 24, 1996	Peter C. Ferraro and William G. Stayduhar Release No. 33-7312 File Number: 3-9045
July 23, 1996	David Lee Printy Release No. 34-37468 File Number: 3-9044
July 16, 1996	McKenzie Walker Investment Management, Inc. and Richard C. McKenzie, Jr. Release No. IA-1571 File Number: 3-9043
July 11, 1996	Al Rizek Release No. 34-37422
July 11, 1996	Alexander Sheshunoff, Sr. Release No. 34-37419 File Number: 3-9040
July 2, 1996	Hein + Associates LLP and Duane C. Knight Release No. 34-37396 File Number: 3-9035
June 28, 1996	Alfred Bauer and J. Stephen Stout Release No. 33-7309
June 27, 1996	Portfolio Management Consultants, Inc. Release No. 33-7308 File Number: 3-9033
June 27, 1996	Marc N. Geman; G. Marvin Bober, Administrative Law Judge Release No. 33-7307 File Number: 3-9032
June 25, 1996	Vytas Jonusas Release No. 33-7305 File Number: 3-9031
June 25, 1996	Danny G. Pinkerton and Kevin N. Campbell; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7306 File Number: 3-8805
June 24, 1996	Richard D. Propper Release No. 34-37354 File Number: 3-9030
June 24, 1996	Jack Olshansky Release No. 34-37353 File Number: 3-9029
June 21, 1996	Harry D. Sweeney Release No. 34-37350
June 20, 1996	Michael J. Eberle,Robert D. Hodge,Thomas L. Costello,DonaldH. Gilliland, Thomas J. VanEcho and Thomas J. Williamson Release No. 34-37340 File Number: 3-9027
June 11, 1996	Gary S. Missner Release No. 33-7304 File Number: 3-9025
June 11, 1996	Fu-Sung Peter Wu; Lillian A. McEwen, Administrative Law Judge Release No. 34-37300 File Number: 3-9024
June 11, 1996	Dorothy J. Brenna Release No. IA-1566 File Number: 3-8954
June 11, 1996	Henry P. Becker Release No. 33-7303 File Number: 3-9022
June 10, 1996	The Home Link Corporation Release No. 34-37292
June 7, 1996	Benjamin Rex Moses Release No. 34-37286 File Number: 3-9021
June 4, 1996	Robert Sayegh, Thomas Core, and John J. Cranley Release No. 34-37272
June 4, 1996	Transcorp Pension Services, Inc. Release No. 34-37278 File Number: 3-9020
June 3, 1996	Mark S. Tague Release No. 34-37270 File Number: 3-9018
June 3, 1996	Jon R. Erickson Release No. 34-37269 File Number: 3-9017
May 30, 1996	Greenway Capital Corporation and Joseph M. Guccione Release No. 34-37254 File Number: 3-9014
May 29, 1996	A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin Release No. 34-37248 File Number: 3-9010
May 24, 1996	Churchill Securities, Inc. and Gerald P. Hirsch Release No. 33-7298 File Number: 3-9012
May 23, 1996	A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin Release No. 34-37240 File Number: 3-9010
May 21, 1996	Robert K. Williams and College Planning Services, Inc. Release No. 33-7295 File Number: 3-9007
May 21, 1996	Douglas W. Osborne Release No. 34-37232
May 21, 1996	Voucher Investment Fund RUSS-INVEST Release No. 33-7294 File Number: 3-9006
May 21, 1996	Anthony J. Benincasa Release No. 33-7296 File Number: 3-8825
May 20, 1996	Orlando Joseph Jett; Carol Fox Foelak, Administrative Law Judge Release No. 34-37226 File Number: 3-8919
May 16, 1996	Milton Mermelstein and Frank E. Stephan, Jr. Release No. 34-37222 File Number: 3-9004
May 14, 1996	Comparator Systems Corp. Release No. 34-37209
May 13, 1996	John Silseth Release No. 33-7291 File Number: 3-9001
May 13, 1996	David Anderson Release No. 33-7292 File Number: 3-9002
May 10, 1996	M. Susan Soltis and Steven T. Hiratsuka Release No. 34-37194 File Number: 3-9000
May 10, 1996	Stuart, Coleman & Co., Inc. Release No. 33-7290 File Number: 3-8781
May 9, 1996	Platinum Software Corporation, John F. Keane and William B.Falk Release No. 34-37185 File Number: 3-8999
May 6, 1996	William F. Lincoln; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-37168 File Number: 3-8998
May 3, 1996	Kenneth A. Zak Release No. 34-37164 File Number: 3-8961
May 3, 1996	Lawrence R. Hartz and Stephen S. Knepp Release No. 34-37167 File Number: 3-8997
April 30, 1996	Kevin Bartholomew Release No. 34-37153 File Number: 3-8995
April 30, 1996	Brian Jeffrey Sheen Release No. IA-1561 File Number: 3-8874
April 29, 1996	Thomas J. Maccormack Release No. 34-37147 File Number: 3-8993
April 23, 1996	Eugene Konev Release No. 33-7284 File Number: 3-8957
April 19, 1996	Charles W. Wallin Release No. 34-37127 File Number: 3-8987
April 19, 1996	Centuri, Inc. Release No. 34-37128 File Number: 3-8988
April 19, 1996	Linda J. Bustin Release No. 34-37129 File Number: 3-8989
April 12, 1996	P. Michael Goodman Release No. 34-37111 File Number: 3-8931
April 12, 1996	Carl E. Lovell and Danna Wale Lovell Release No. 34-37108 File Number: 3-8985
April 9, 1996	Gruntal & Co., Inc. Release No. 33-7278 File Number: 3-8983
April 9, 1996	Gruntal & Co., Inc. and Gruntal Financial Corp. Release No. 33-7279 File Number: 3-8984
April 8, 1996	Calvin L. Word Release No. 34-37082 File Number: 3-8835
April 4, 1996	Flagship Securities, Inc., Dennis G. Milewitz and Noreen M.Barrington Release No. 34-37065
April 3, 1996	George J. Conway Release No. 34-37063 File Number: 3-8929
April 3, 1996	Michael J. Randy Release No. 34-37064 File Number: 3-8930
March 29, 1996	BT Securities Corporation Release No. 33-7276 File Number: 3-8579
March 29, 1996	The Enstar Group, Inc. Release No. 34-37043
March 29, 1996	Bernard H. Levy Release No. 34-37041 File Number: 3-8979
March 28, 1996	John Dankovich and Linda Dankovich Release No. 34-37039 File Number: 3-8978
March 27, 1996	David Sims and Lewis Kurtz Release No. 34-37031 File Number: 3-8902
March 25, 1996	David F. Smith Release No. 34-37018 File Number: 3-8976
March 25, 1996	Becky A. Swanston Release No. 34-37019 File Number: 3-8977
March 15, 1996	Seth R. Roberts Release No. 33-7274 File Number: 3-8974
March 14, 1996	Dorothy J. Brenna Release No. 34-36974 File Number: 3-8954
March 14, 1996	Richard G. Wiwi and Oracle Partners Release No. 33-7273 File Number: 3-8819
March 13, 1996	Stuart, Coleman & Co., Inc. Release No. 34-36962 File Number: 3-8781
March 13, 1996	Stuart, Coleman & Co., Inc. Release No. 34-36963 File Number: 3-8781
March 11, 1996	Louis R. Weiss Release No. 34-36949 File Number: 3-8972
March 7, 1996	FAIC Securities, Inc. Release No. 34-36937 File Number: 3-8970
March 7, 1996	M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, III, Alex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III; Lillian A. McEwen, Administrative Law Judge Release No. 34-36941 File Number: 3-8772
March 6, 1996	Robert M. Simpson Release No. 34-36928 File Number: 3-8968
March 6, 1996	Sandra Logay; Lillian A. McEwen, Administrative Law Judge Release No. 34-36929 File Number: 3-8969
March 5, 1996	John M. Goldberger and C. Kirk French Release No. 3-8967 File Number: 3-8967
March 1, 1996	Investors Income Systems of Florida, Inc. Release No. IA-1557 File Number: 3-8924
Feb. 29, 1996	Mitchell A. Vazquez Release No. 34-36906 File Number: 3-8965

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in this Section

Breadcrumb

Administrative Proceedings

E-mail Updates