Commission Opinions and Adjudicatory Orders

The Commission recently amended its Rules of Practice to include new electronic filing requirements.

The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

Opinions and Adjudicatory Orders RSS Feed


Date Sort ascending	Respondents
Dec. 2, 2005	Vladislav Steven Zubkis Release No. 34-52876
Dec. 2, 2005	Ira Weiss Release No. 33-8641 See Also: Court of Appeals Opinion
Nov. 30, 2005	Paul K. Grassi, Jr. Release No. 34-52858
Oct. 28, 2005	Fox & Company Investments, Inc., and James W. Moldermaker Release No. 34-52697
Oct. 28, 2005	Paz Securities, Inc. and Joseph Mizrachi Release No. 34-52693 See Also: Court of Appeals Opinion
Oct. 13, 2005	Mark F. Mizenko Release No. 34-52600
Oct. 11, 2005	Castle Securities Corp. Release No. 34-52580
Oct. 7, 2005	Jeffrey A. King Release No. 34-52571
Oct. 4, 2005	Monetta Financial Services, Inc. Release No. IA-2438 File Number: 3-9546
Oct. 3, 2005	Steven E. Muth and Richard J. Rouse Release No. 33-8622, 34-52551
Sept. 19, 2005	Frederick W. Wall Release No. 34-52467
Aug. 5, 2005	Anthony Johnson and Ara Proudian Release No. 34-52215
July 29, 2005	Clarke T. Blizzard Release No. IA-2409 File Number: 3-10007-EAJA
July 22, 2005	Ko Securities, Inc. and Terrance Y. Yoshikawa Release No. 34-52106
July 6, 2005	Robert J. Prager and James Alexander Release No. 34-51974 File Number: 3-11627
June 30, 2005	Rita J. McConville Release No. 34-51950, AAER-2271 See Also: Court of Appeals Decision , Court of Appeals Order Supplementing Decision
June 30, 2005	Larry A. Saylor Release No. 34-51949
June 24, 2005	Robert W. Armstrong, III Release No. 34-51920, AAER-2264
June 17, 2005	SIG Specialists, Inc. f/k/a Susquehanna Specialists, Inc. and Thomas A. Caterina Release No. 34-51867
June 2, 2005	Davrey Financial Services, Inc. and Pravin R. Davrey Release No. 34-51780
May 23, 2005	Fundamental Portfolio Advisors, Inc., Lance M. Brofman and Fundamental Service Corporation Release No. 33-8574, 34-51725, IA-2389, IC-26875
May 5, 2005	James Thomas McCurdy, CPA Release No. 34-51660, AAER-2245 See Also: CPA Release No. AAER-1952 PDF version
April 29, 2005	Nicholas T. Avello Release No. 34-51633 See Also: Court of Appeals Decision
April 29, 2005	Jose P. Zollino Release No. 34-51632, IA-2381
April 15, 2005	Rooney A. Sahai Release No. 34-51549
April 6, 2005	E. Magnus Oppenheim & Co., Inc. Release No. 34-51479
April 1, 2005	Michael A. Rooms Release No. 34-51467 See Also: Court of Appeals Opinion
March 18, 2005	Philip L. Pascale, CPA Release No. 33-8555, 34-51393, AAER-2214
Feb. 25, 2005	Leslie A. Arouh Release No. 34-51254 See Also: Reconsideration Order File Number: 3-10884
Feb. 22, 2005	Morton Kantrowitz Release No. 34-51238 See Also: PDF version File Number: 3-11372
Feb. 22, 2005	Reuben D. Peters and Peters Securities Co., LP Release No. 34-51237 See Also: PDF version File Number: 3-11277
Feb. 22, 2005	Harry M. Richardson Release No. 34-51236 See Also: PDF version File Number: 3-11437
Jan. 14, 2005	Paul Joseph Benz Release No. 34-51046 See Also: PDF version File Number: 3-11523
Jan. 14, 2005	Guang Lu Release No. 34-51047 See Also: PDF version File Number: 3-11522
Dec. 22, 2004	Robert Langley Release No. 34-50917 See Also: PDF version File Number: 3-11511
Dec. 20, 2004	Leslie A. Arouh Release No. 34-50889 See Also: PDF version , Reconsideration Order File Number: 3-10884
Dec. 3, 2004	Michael Batterman and Randall B. Batterman III Release No. IA-2334 See Also: PDF version File Number: 3-11259
Nov. 30, 2004	Michael T. Studer and Castle Securities Corp. Release No. 34-50786 See Also: PDF version File Number: 3-11426
Nov. 30, 2004	Michael T. Studer and Castle Securities Corp. Release No. 34-50543A See Also: PDF version File Number: 3-11426
Nov. 24, 2004	PTR, Inc. and Dennis McBride Release No. 34-50737 See Also: Inc. and Dennis McBride PDF version , Court of Appeals Opinion File Number: 3-11470
Nov. 23, 2004	Daniel S. Lezak Release No. 34-50729, AAER-2149 PDF version See Also: PDF version File Number: 3-11675
Nov. 23, 2004	Mark S. Parnass Release No. 34-50730 See Also: PDF version File Number: 3-4393
Nov. 18, 2004	John A. Carley, et al. Release No. 34-50695 See Also: et al. PDF version File Number: 3-11626
Nov. 18, 2004	Joseph J. Vastano, Jr. Release No. 34-50691 See Also: Jr. PDF version File Number: 3-11376
Nov. 4, 2004	Nicholas P. Howard Release No. 34-50633 See Also: PDF version , Court of Appeals Opinion File Number: 3-8873
Oct. 20, 2004	Lee Gura Release No. 34-50570 See Also: PDF version File Number: 3-11414
Oct. 14, 2004	Michael T. Studer and Castle Securities Corp. Release No. 34-50543 See Also: PDF version File Number: 3-11426
Oct. 12, 2004	e-Smart Technologies, Inc. Release No. 34-50514 See Also: Inc. PDF version File Number: 3-10977
Oct. 12, 2004	Allen Douglas Securities, Inc. Release No. 34-50513 See Also: Inc. PDF version File Number: 3-11405
Sept. 30, 2004	Carroll A. Wallace, CPA Other No.: AAER-2119 See Opinion (public://migration/litigation/opinions/34-48372.htm) Release No. 34-50480 See Also: PDF version File Number: 3-9862
Sept. 30, 2004	James F. Glaza, d/b/a Falcon Financial Services, Inc. Other No.: 34-50474 Release No. 33-8498 See Also: PDF version File Number: 3-11012
Sept. 20, 2004	Michael T. Studer Release No. 34-50411 See Also: PDF version , Reconsideration order available File Number: 3-11229
Sept. 16, 2004	Scott E. Wiard Release No. 34-50393 See Also: PDF version File Number: 3-11402
Sept. 10, 2004	Marshall Financial, Inc. Release No. 34-50343 See Also: Inc. PDF version File Number: 3-11380, 3-11381
Sept. 7, 2004	Lek Securities Corp. and Samuel F. Lek Release No. 34-50324 See Also: PDF version File Number: 3-11383
Aug. 19, 2004	Joseph J. Vastano, Jr. Release No. 34-50219 See Also: Jr. PDF version File Number: 3-11376
Aug. 9, 2004	Russell W. Stein Release No. 34-50168 See Also: PDF version File Number: 3-9309
July 16, 2004	Chris Dinh Hartley Release No. 34-50031 See Also: PDF version File Number: 3-11369
July 16, 2004	e-Smart Technologies, Inc. f/k/a Plainview Laboratories, Inc. Release No. 34-50030 See Also: Inc. PDF version File Number: 3-10977
July 13, 2004	IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter Release No. 34-50008, 33-8252 See Also: and David Ledbetter PDF version , Release No. 33-8252 File Number: 3-11179
July 13, 2004	MicroCap Marketing, Inc. and Shane M. Nelson Release No. 33-8441 See Also: Inc. and Shane M. Nelson PDF version File Number: 3-11310
July 7, 2004	Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc. Release No. 33-8437 See Also: Inc. PDF version File Number: 3-9784-EAJA
July 6, 2004	Edgar B. Alacan Release No. 33-8436 See Also: PDF version File Number: 3-10765
June 23, 2004	Clarke T. Blizzard and Rudolph Abel Release No. IA-2253 See Also: PDF version File Number: 3-10007
June 18, 2004	Peter F. Comas Release No. 34-49894 See Also: PDF version File Number: 3-9803
June 7, 2004	Reuben D. Peters and Peters Securities Co., LP Release No. 34-49819 See Also: LP PDF version File Number: 3-11277
June 1, 2004	The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power Release No. 34-49788 See Also: and John C. Power PDF version File Number: 3-9615
May 19, 2004	Gina M. Guzzone Release No. 34-49727 See Also: PDF version File Number: 3-11358
May 7, 2004	Citadel Securities Corp. Release No. 34-49666 See Also: PDF version File Number: 3-11329
April 30, 2004	RichMark Capital Corporation and Doyle Mark White Release No. 33-8417 See Also: PDF version File Number: 3-9954
April 8, 2004	Anthony H. Barkate Release No. 34-49542 See Also: PDF version File Number: 3-11250
March 10, 2004	Amr Elgindy and Key West Securities, Inc. Release No. 34-49389 See Also: Inc. PDF version File Number: 3-11145
March 8, 2004	Bearcat, Inc., Seth Diamond, and Peter Fineberg Release No. 34-49375 See Also: and Peter Fineberg PDF version File Number: 3-11004
March 5, 2004	Orlando Joseph Jett Release No. 33-8395, 34-49366 PDF version See Also: PDF version File Number: 3-8919
Feb. 23, 2004	Charles Trento Release No. 33-8391 File Number: 3-9933
Feb. 13, 2004	Toni Valentino Release No. 34-49255 See Also: PDF version File Number: 3-11191
Feb. 13, 2004	Mark H. Love Release No. 34-49248 See Also: PDF version File Number: 3-11164
Feb. 10, 2004	Dane S. Faber Release No. 34-49216 See Also: PDF version File Number: 3-11156
Feb. 4, 2004	James Thomas McCurdy, CPA Release No. 34-49182, AAER-1952 PDF version See Also: CPA Release No. AAER-1952 PDF version File Number: 3-10509
Jan. 14, 2004	Bloomberg L.P. Release No. 34-49076 See Also: PDF version File Number: 3-11129
Jan. 12, 2004	Stephen Michael Sohmer and Spyder Securities, Inc. Release No. 34-49052 See Also: Inc. PDF version File Number: 3-11101
Dec. 29, 2003	Enron Corporation Release No. 35-27782 See Also: PDF version File Number: 3-10909
Dec. 29, 2003	Edward I. Frankel Release No. 34-49002 File Number: 3-2783
Dec. 29, 2003	Ciro Cozzolino Release No. 34-49001 File Number: 3-4403
Dec. 29, 2003	Stephen S. Wien Release No. 34-49000 File Number: 3-6102
Dec. 17, 2003	Stuart E. Winkler Release No. 33-8348 See Also: PDF version File Number: 3-9933
Dec. 16, 2003	Calvin David Fox Release No. 34-48927, 34-54840 See Also: PDF version File Number: 3-11062
Dec. 12, 2003	Marshall Financial, Inc. Release No. 34-48917 See Also: Inc. PDF version File Number: 3-11073
Dec. 11, 2003	William C. Piontek Release No. 33-8344, 34-48903 PDF version See Also: PDF version File Number: 3-10310
Dec. 11, 2003	Zion Capital Management LLC and Ricky A. Lang Release No. 33-8345A, 34-48904A, IC-26289A, IA-2200A PDF version See Also: IA-2200A PDF version File Number: 3-10659
Dec. 3, 2003	Nicholas T. Avello Release No. 34-48866 See Also: PDF version File Number: 3-10391
Nov. 7, 2003	David M. Levine and Triple J Partners, Inc. Release No. 34-48760 See Also: Inc. PDF version , Court of Appeals Opinion File Number: 3-10816
Nov. 7, 2003	RichMark Capital Corporation and Doyle Mark White Release No. 33-8333, 34-48758 PDF version See Also: PDF version File Number: 3-9954
Nov. 7, 2003	Robert J. Setteducati Release No. 33-8334 See Also: PDF version
Oct. 31, 2003	Calvin David Fox Release No. 34-48731, 34-54840 See Also: PDF version File Number: 3-11062
Oct. 28, 2003	Richard Kwiatkowski Release No. 34-48707 See Also: PDF version File Number: 3-10864
Oct. 24, 2003	Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, and Matthew R. Jennings Release No. 33-8314, 34-48691 PDF version See Also: and Matthew R. Jennings Release No. 34-48691 PDF version , Reconsideration order available File Number: 3-9959
Oct. 23, 2003	Robert G. Weeks Release No. 33-8313, 34-48684 PDF version See Also: PDF version File Number: 3-9952
Oct. 9, 2003	Anthony A. Adonnino and Thomas Cannizzaro Release No. 34-48618 See Also: Court of Appeals Opinion File Number: 3-10916
Oct. 2, 2003	The Barr Financial Group, Inc. and Alfred E. Barr Release No. IA-2179 See Also: Reconsideration order available File Number: 3-9918

Rules & Regulations

Enforcement & Litigation

Compliance

Commission Opinions and Adjudicatory Orders

More in this Section

Breadcrumb

Commission Opinions and Adjudicatory Orders