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.

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Date Sort ascending	Respondents
Oct. 2, 2003	The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, John C. Power Release No. 34-48590 File Number: 3-9615
Sept. 30, 2003	National Association of Securities Dealers, Inc. and NASDAQ Stock Market, Inc. Release No. 34-48573 File Number: 3-10772
Sept. 26, 2003	Ko Securities, Inc. and Terrance Y. Yoshikawa Release No. 34-48550 File Number: 3-11000
Sept. 26, 2003	Edward John McCarthy Release No. 34-48554 See Also: Court of Appeals Opinion File Number: 3-10999
Sept. 10, 2003	Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams Release No. 34-48473 File Number: 3-11001
Sept. 3, 2003	Perpetual Securities, Inc. Rel. No. 34-48433 Release No. 34-48433 File Number: 3-10958
Aug. 26, 2003	Piper Capital Management, Inc., Marijo A. Goldstein, Robert H. Nelson, Amy K. Johnson, and Molly J. Destro Rel. Nos. 34-48409, IC-26167, IA-2163 Release No. 33-8276, 34-48409, IC-26167, IA-2163 See Also: Court of Appeals Opinion File Number: 3-9657
Aug. 25, 2003	Byron G. Borgardt and Eric M. Banhazl Rel. No. IC-26169 Release No. 33-8274, IC-26169 File Number: 3-9730
Aug. 25, 2003	Robert M. Fuller Rel. No. 34-48406 Release No. 33-8273, 34-48406 File Number: 3-10576
Aug. 21, 2003	Terence Michael Coxon, Alan Michael Sergyand World Money Managers Rel. Nos. 34-48385, IA-2161, IC-26165 Release No. 33-8271, 34-48385, IA-2161, IC-26165 File Number: 3-9218
Aug. 20, 2003	Carroll A. Wallace, C.P.A. Rel. No. AAER-1846 See Order (public://migration/litigation/opinions/34-50480.htm) Release No. 34-48372, AAER-1846 File Number: 3-9862
Aug. 20, 2003	Wheat, First Securities, Inc., f/k/a First Union Capital Markets Corp. and Teressa L. Cawley Release No. 34-48378
Aug. 15, 2003	Mark David Anderson Rel. No. 34-48352 Release No. 33-8265, 34-48352 File Number: 3-9499
Aug. 13, 2003	Derek L. DuBois Rel. No. 34-48332 Release No. 33-8264, 34-48332 File Number: 3-10033
Aug. 6, 2003	James L. Bari, Jr. Release No. 34-48292 File Number: 3-11048
July 30, 2003	Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc. Rel. No.: IA-2152 Release No. 34-48255, IA-2152 File Number: 3-9784
July 30, 2003	Ralph W. LeBlanc Release No. 34-48254 File Number: 3-10065
July 29, 2003	Michael J. Marrie, CPA and Brian L. Berry, CPA Rel. No.: AAER-1823 Release No. 34-48246, AAER-1823 File Number: 3-9966
July 29, 2003	Nolan Wayne Wade Release No. 34-48245 File Number: 3-10650
July 28, 2003	Barry C. Scutillo Rel. No.: AAER-1822 Release No. 34-48238, AAER-1822 File Number: 3-9863
July 25, 2003	Marshall E. Melton and Asset Management & Research, Inc. Rel. No.: 34-48228 Release No. IA-2151, 34-48228 File Number: 3-9865
July 15, 2003	Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation Release No. 33-8251 File Number: 3-9461
July 10, 2003	Feeley & Willcox Asset Management Corp. and Michael J. Feeley Rel. Nos.: 34-48162 , IA-2143 Release No. 33-8249, 34-48162, IA-2143 See Also: Reconsideration order available File Number: 3-9571
July 9, 2003	Richard J. Adams Release No. 34-48146 File Number: 3-8327-EAJ
July 9, 2003	Robert Thomas Clawson Release No. 34-48143 File Number: 3-9208
June 26, 2003	Robert Bruce Lohmann Release No. 34-48092 File Number: 3-10611
June 25, 2003	David I. Cassuto Release No. 34-48087 File Number: 3-10944
June 9, 2003	Monetta Financial Services, Inc., Robert S. Bacarella,and Richard D. Russo Release No. 33-8239, 34-48001, IA-2136, IC-26070 File Number: 3-9546
June 4, 2003	WHX Corporation Release No. 34-47980 File Number: 3-9634
May 14, 2003	Wendell D. Belden Release No. 34-47859 File Number: 3-10888
May 14, 2003	John J. Kenny and Nicholson/Kenny Capital Management, Inc. Release No. 33-8234 See Also: Court of Appeals Opinion File Number: 3-9611
May 2, 2003	Clarence Z. Wurts Release No. 34-47784 File Number: 3-9114-EAJ
April 3, 2003	John R. D'Alessio, and D'Alessio Securities, Inc. Release No. 34-47627 See Also: Reconsideration order available , Court of Appeals Opinion File Number: 3-10460
April 3, 2003	MFS Securities Corp. Release No. 34-47626 See Also: Court of Appeals Opinion File Number: 3-10696
March 27, 2003	Charles K. Seavey Release No. IA-2119 File Number: 3-10336
March 26, 2003	Robert L. McCook Release No. 34-47572 File Number: 3-9440-EAJA
March 21, 2003	The City of Miami, Florida Release No. 33-8213 File Number: 3-10022
March 20, 2003	Javed Anver Latef and Larry Alan Stockett Release No. 34-47542 File Number: 3-9374
March 19, 2003	Robert Tretiak Release No. 34-47534 File Number: 3-10424
March 19, 2003	Tower Trading, L.P. Release No. 34-47537 See Also: Reconsideration order available File Number: 3-10359
March 19, 2003	Kenneth R. Ward Release No. 33-8210, 34-47535 File Number: 3-9327
March 14, 2003	William J. Gallagher Release No. 34-47501 File Number: 3-10749
March 14, 2003	Russell W. Stein, Ford D. Albritton, Jr.,and Dover and Associates, Inc. Release No. 34-47504 File Number: 3-9309
March 14, 2003	John Roger Faherty Release No. 34-47502 File Number: 3-9778
March 10, 2003	James B. Chase Release No. 34-47476 File Number: 3-10586
March 7, 2003	Barry Wayne Blank Release No. 34-47461 File Number: 3-10671
Feb. 12, 2003	Nicholas P. Howard Release No. 34-47357 See Also: Court of Appeals Opinion File Number: 3-8873
Feb. 10, 2003	Jack H. Stein Release No. 34-47335 File Number: 3-10675
Jan. 22, 2003	John Montelbano, Gerard McMahon, and Michael Galasso, Jr. Release No. 34-47227 See Also: Reconsideration order available File Number: 3-10428
Jan. 9, 2003	Charles F. Kirby and Gene C. Geiger Release No. 33-8174 See Also: Court of Appeals Opinion File Number: 3-9602
Jan. 8, 2003	Michael F. Flannigan Release No. 34-47142 File Number: 3-10530
Nov. 7, 2002	Nicholas T. Avello Release No. 34-46780 File Number: 3-10391
Oct. 30, 2002	Frank Thomas Devine Release No. 34-46746 File Number: 3-10518
Oct. 23, 2002	Daniel D. Manoff Release No. 34-46708 File Number: 3-10499
Oct. 23, 2002	Ernst & Young LLP Release No. 34-46710, AAER-1654 File Number: 3-10786
Oct. 23, 2002	Warren B. Minton, Jr. Release No. 34-46709 File Number: 3-10636
Oct. 22, 2002	David A. Hesterman and Kenneth L. Weeks Release No. 33-8139, 34-46715 File Number: 3-9952
Sept. 18, 2002	Gary A. Fox Release No. 34-46511 File Number: 3-10787
Aug. 30, 2002	Christopher A. Lowry Release No. IA-2052 File Number: 3-10390
Aug. 30, 2002	David E. Lynch Release No. 34-46439 File Number: 3-9440
Aug. 23, 2002	Joseph P. Galluzzi Release No. 34-46405 File Number: 3-10209
July 26, 2002	Daniel Richard Howard Release No. 34-46269 See Also: Court of Appeals Opinion , and Reconsideration order File Number: 3-10392
July 3, 2002	John S. Brownson Release No. 34-46161 File Number: 3-10295
June 26, 2002	George J. Kolar Release No. 34-46127 File Number: 3-9570
May 17, 2002	Daniel R. Lehl, Robert Schlien, American Capital Network, Inc., Melvin L. Levine, William David Jones, and Philip M. Georgeson Release No. 33-8102 File Number: 3-9201
May 15, 2002	John P. Goldsworthy Release No. 34-45926 File Number: 3-9339
May 14, 2002	Sandra K. Simpson and Daphne Ann Pattee Release No. 34-45923 File Number: 3-9458
April 29, 2002	John R. D'Alessio, and D'Alessio Securities, Inc. Release No. 34-45846 File Number: 3-10460
April 23, 2002	Clarke T. Blizzard and Rudolph Abel Release No. IA-2032 File Number: 3-10007
April 23, 2002	Clarke T. Blizzard Release No. IA-2030 File Number: 3-10007
April 4, 2002	Howard R. Perles and Laurence M. Geller Release No. 34-45691 File Number: 3-10288
April 4, 2002	Fu-Sung Peter Wu Release No. 34-45694 File Number: 3-9024
April 4, 2002	Erik W. Chan Rel. No.: 34-45693 Release No. 33-8078, 34-45693 File Number: 3-9697
March 21, 2002	Herbert Moskowitz Release No. 34-45609 File Number: 3-9435
Feb. 13, 2002	Frank Kufrovich Release No. 34-45437 File Number: 3-10461
Feb. 13, 2002	Keith Springer Release No. 34-45439 See Also: Reconsideration order available File Number: 3-10247
Feb. 8, 2002	David Wong Release No. 34-45426 File Number: 3-10360
Jan. 24, 2002	Brian A. Schmidt, John Aristotle Dilworth, II, and Euro-Atlantic Securities, Inc. Rel. No.: 34-45330 Release No. 33-8061, 34-45330 File Number: 3-9402
Jan. 16, 2002	Kevin D. Kunz and Kunz and Cline Investment Mgmt., Inc. Release No. 34-45290 See Also: Court of Appeals Opinion File Number: 3-9960
Jan. 15, 2002	Michael Lubin Release No. 34-45281 File Number: 3-10183
Dec. 17, 2001	Kirk Montgomery Release No. 34-45161
Nov. 5, 2001	IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave, and Jerome B. Vernazza Release No. 33-8031 File Number: 3-9042
Oct. 19, 2001	Robert Fitzpatrick Release No. 34-44956 File Number: 3-9932r
Oct. 18, 2001	Hal S. Herman Release No. 34-44953 File Number: 3-10193
Oct. 18, 2001	Jim Newcomb Release No. 34-44945 File Number: 3-10393
Oct. 17, 2001	Outsource International, Inc. Release No. 34-44944 File Number: 3-10403
Oct. 15, 2001	Stonegate Securities, Inc. and J. W. Barclay & Co., Inc. Release No. 34-44933 File Number: 3-9759
Oct. 15, 2001	Quest Capital Strategies, Inc. and David Chen Yu Release No. 34-44935 File Number: 3-8966
Aug. 1, 2001	Brian Prendergast Release No. 34-44632 File Number: 3-9964
July 31, 2001	BFG Securities, Inc. Release No. 34-44627 File Number: 3-10202
July 31, 2001	Abraham and Sons Capital, Inc. and Brett G. Brubaker Release No. 34-44624 File Number: 3-9448
July 13, 2001	Mark E. Ross Release No. 34-43033 File Number: 3-4627
May 30, 2001	Whitehall Wellington Investments, Inc. Release No. 34-44367 File Number: 3-10250
May 29, 2001	Michael B. Jawitz Release No. 34-44357 File Number: 3-9941
May 21, 2001	A. S. Goldmen & Co., Inc. and Stuart E. Winkler Release No. 34-44328
May 21, 2001	Pasquale Schettino Release No. 34-44329 File Number: 3-9921
May 1, 2001	Morton Kantrowitz Release No. 34-44239 File Number: 3-10349
April 26, 2001	Martin Lee Eng Release No. 34-44224 File Number: 3-10009
April 19, 2001	Richard J. Adams Release No. 34-44205 See Also: Court of Appeals Opinion File Number: 3-8327-EAJ
April 17, 2001	Russo Securities, Inc., and Kimberly Kent Release No. 34-44186 File Number: 3-9484

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