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
March 20, 2001	Michael J. Markowski Release No. 34-44086
Feb. 21, 2001	American Investment Services, Inc. Release No. 34-43991 File Number: 3-10001
Feb. 14, 2001	Marc N. Geman Release No. 34-43963 See Also: Court of Appeals Opinion File Number: 3-9032
Feb. 6, 2001	D. E. Wine Investments, W. Randal Miller and Duncan E. Wine; Release No. 34-43929 File Number: 3-8543
Jan. 26, 2001	Steven D. Goodman Release No. 34-43889 File Number: 3-10116
Jan. 25, 2001	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. 34-43884 File Number: 3-9793
Jan. 19, 2001	KPMG Peat Marwick LLP Release No. 34-43862 See Also: Court of Appeals Opinion File Number: 3-9500
Jan. 16, 2001	Clarence Wurts Release No. 34-43842 File Number: 3-9114
Jan. 10, 2001	Seaboard Investment Advisers, Inc. and Eugene W. Hansen Release No. ia-1918 File Number: 3-9725
Dec. 20, 2000	Tony R. Smith Release No. 34-43748 File Number: 3-9775
Dec. 8, 2000	William D. Hirsh Release No. 34-43691 File Number: 3-10129
Nov. 21, 2000	Keith S. Perkins Release No. 34-43599 File Number: 3-10109
Nov. 14, 2000	Stephen Keidaish Release No. 34-43555 File Number: 3-10111
Nov. 7, 2000	Joseph S. Barbera Release No. 34-43528 File Number: 3-10076
Nov. 6, 2000	Joseph Dillon & Company, Inc. Release No. 34-43523 File Number: 3-10190
Oct. 25, 2000	East/West Securities Company and Leslie U. Harris Release No. 34-43479 File Number: 3-10052
Oct. 5, 2000	Gordon Kerr Release No. 34-43418 File Number: 3-10133
Oct. 4, 2000	Robin Bruce McNabb Release No. 34-43411 File Number: 3-9886
Oct. 4, 2000	J. Stephen Stout Release No. 34-43410 File Number: 3-9034
Sept. 27, 2000	Sundra Escott-Russell Release No. 34-43363 File Number: 3-9812
Sept. 15, 2000	Kevin Lee Otto Release No. 34-43296
Sept. 7, 2000	Michael J. Markowski and Joseph F. Riccio Release No. 34-43259 File Number: 3-9671
Aug. 31, 2000	Russell Ponce Release No. 34-43235, AAER-1297 File Number: 3-8944
May 18, 2000	Maximo Justo Guevara Release No. 34-42793 File Number: 3-9838
May 11, 2000	Jeffrey Ainley Hayden Release No. 34-42772 File Number: 3-9649
March 8, 2000	Rita C. Villa Release No. 34-42502
Jan. 28, 2000	Joseph G. Chiulli Release No. 34-42359 File Number: 3-9776
Jan. 24, 2000	John A. Chepak Release No. 34-42356 File Number: 3-9684
Jan. 4, 2000	The American Stock Exchange, Inc. Release No. 34-42312 File Number: 3-9756
Dec. 20, 1999	Harry Gliksman and William J. Gallagher Release No. 34-42255 File Number: 3-9891
Nov. 16, 1999	Keith L. Mohn Release No. 34-42144 File Number: 3-9832
Nov. 10, 1999	Russo Securities, Inc. Release No. 34-42121 File Number: 3-8573-EAJ
Oct. 26, 1999	Healthtech International, Inc. Release No. 34-42060 File Number: 3-9667
Oct. 14, 1999	James J. Pasztor Release No. 34-42008 File Number: 3-8511
Oct. 7, 1999	Coastline Financial, Inc., and Donald Allyson Williams Release No. 34-41989 File Number: 3-9276
Sept. 29, 1999	Jonathan Feins Release No. 34-41943 File Number: 3-8721
Sept. 1, 1999	Rafael Pinchas Release No. 34-41816 File Number: 3-9639
Sept. 1, 1999	SC&T International, Inc. Release No. 34-41815 File Number: 3-9593
Aug. 31, 1999	Jacob Adoni Release No. 34-41813 File Number: 3-9700
Aug. 27, 1999	William J. Murphy Release No. 34-41804 File Number: 3-9682
Aug. 23, 1999	Donald R. Gates Release No. 34-41777 File Number: 3-8580
Aug. 18, 1999	La Jolla Capital Corporation and Harold B. Gallison, Jr. Release No. 34-41755 File Number: 3-9557
Aug. 11, 1999	Al Rizek Release No. 34-41725 File Number: 3-9041
July 21, 1999	Imaging Diagnostic Systems, Inc. Release No. 34-41633 File Number: 3-9624
July 20, 1999	Martin R. Kaiden Release No. 34-41629 File Number: 3-9403
July 20, 1999	Stephen J. Gluckman Release No. 34-41628 File Number: 3-9545
April 26, 1999	Sierra Nevada Securities, Inc. Release No. 34-41330 File Number: 3-9623
April 14, 1999	Jon G. Symon and J.G. Symon & Companies Release No. 34-41285 File Number: 3-9609
April 13, 1999	Transnet Corporation Release No. 34-41278 File Number: 3-9637
April 5, 1999	Laurie Jones Canady Release No. 34-41250 See Also: Court of Appeals Opinion File Number: 3-8531
March 30, 1999	Robert Sayegh Release No. 34-41226 File Number: 3-9019
March 30, 1999	Eliezer Gurfel Release No. 34-41229 See Also: Court of Appeals Opinion File Number: 3-9651
March 1, 1999	Ted Harold Westerfield Release No. 34-41126 File Number: 3-9355
March 1, 1999	Jacob Wonsover Release No. 34-41123 See Also: Court of Appeals Opinion File Number: 3-8584
Feb. 10, 1999	Joseph J. Barbato Release No. 34-41034 File Number: 3-8575
Feb. 1, 1999	Kenneth C. Krull Release No. 34-41008 File Number: 3-9394
Feb. 1, 1999	James Harvey Thornton and Payne & Thornton, Inc. Release No. 34-41007 File Number: 3-9046
Dec. 10, 1998	Kenneth C. Krull Release No. 34-40768 File Number: 3-9394
Dec. 2, 1998	Lance E. Van Alstyne Release No. 34-40738 File Number: 3-9575
Nov. 30, 1998	Sharon M. Graham and Stephen C. Voss Release No. 34-40727 See Also: Court of Appeals Opinion File Number: 3-8511
Nov. 30, 1998	Adrian C. Havill Release No. 34-40726 File Number: 3-8510
Nov. 30, 1998	Richard D. Chema Release No. 34-40719 File Number: 3-8508
Nov. 19, 1998	Russell A. Simpson Release No. 34-40690 File Number: 3-9510
Nov. 18, 1998	Valicenti Advisory Services, Inc., Vincent R. Valicenti Investment Release No. IA-1774 File Number: 3-8854
Nov. 12, 1998	William J. Haberman Release No. 34-40673 See Also: Court of Appeals Opinion File Number: 3-9554
Nov. 12, 1998	Stephen B. Carlson Release No. 34-40672 File Number: 3-9481
Nov. 12, 1998	Richard T. Sullivan Release No. 34-40671 File Number: 3-9324
Nov. 12, 1998	Shamrock Partners, Ltd. Release No. 34-40663 File Number: 3-9389
Nov. 10, 1998	Robert L. Wallace Release No. 34-40654 File Number: 3-9549
Nov. 9, 1998	Scattered Corporation and Leon Aaron Greenblatt, III, Andrew Alvin Jahelka, Richard Owen Nichols, and Laura Bryant Release No. 34-40646 File Number: 3-9212
Nov. 9, 1998	Rocky Mountain Power Company Release No. 34-40648 File Number: 3-9494
Nov. 9, 1998	James S. Pritula Release No. 34-40647 File Number: 3-9555
Nov. 4, 1998	William H. Gerhauser, Sr. and William C. Gerhauser, Jr. Release No. 34-40639 File Number: 3-9519
Nov. 3, 1998	Cathy Jean Krause Kirkpatrick Release No. 34-40630 File Number: 3-9529
Nov. 3, 1998	Warren R. Schreiber Release No. 34-40629 File Number: 3-9378
Oct. 26, 1998	Steven P. Sanders and Daniel M. Porush Release No. 34-40600 File Number: 3-9195
Sept. 24, 1998	John M. W. Crute Release No. 34-40474 File Number: 3-9428
Sept. 15, 1998	Ira William Scott Release No. IA-1752 File Number: 3-9105
Sept. 14, 1998	First Colorado Financial Services Company, Inc. Release No. 34-40436 File Number: 3-9298
Sept. 14, 1998	Joseph Patrick Hannan Release No. 34-40438 File Number: 3-9392
Sept. 2, 1998	Richard H. Morrow Release No. 34-40392 File Number: 3-8304
Sept. 1, 1998	Alan E. Rosenthal Release No. 34-40387 File Number: 3-8642
Aug. 19, 1998	Justine Susan Fischer Release No. 34-40335 File Number: 3-9346
Aug. 3, 1998	Sidney C. Eng Release No. 34-40297 File Number: 3-9308
July 22, 1998	Kevin Eric Shaughnessy Release No. 34-40244 File Number: 3-9332
July 22, 1998	Daniel C. Montano Release No. 34-40243 File Number: 3-9259
July 21, 1998	Richard R. Pendleton Release No. 34-40237 File Number: 3-9501
July 21, 1998	Frank R. Rubba Release No. 34-40238 File Number: 3-9480
June 2, 1998	Terry T. Steen Release No. 34-40055 File Number: 3-8798
May 29, 1998	L.C. Wegard & Co., Inc. Release No. 34-40046 File Number: 3-8533
May 20, 1998	Victor Teicher & Co., L.P., Ross S. Frankel Release No. 34-40010 See Also: Court of Appeals Opinion File Number: 3-8394
May 20, 1998	Boleslaw Wolny Release No. 34-40013 File Number: 3-9241
May 18, 1998	John P. Goldsworthy Release No. 34-40000 File Number: 3-9339
May 18, 1998	Castle Securities Corporation Release No. 34-39999 File Number: 3-9188
May 17, 1998	Leonard John Ialeggio Release No. 34-40028 File Number: 3-8925
March 25, 1998	Eagle Supply Group, Inc. Release No. 34-39800 File Number: 3-9313
March 25, 1998	James A. Goetz Release No. 34-39796 File Number: 3-9206
March 17, 1998	Interactive Brokers LLC Release No. 34-39765 File Number: 3-9237
Feb. 11, 1998	Richard J. Adams Release No. 34-39645 File Number: 3-8327
Jan. 22, 1998	Gerald James Stoiber Release No. 34-39565 File Number: 3-8992

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