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.

Date	Respondents
Date: Sept. 8, 1997	Respondents: Fahnestock and Co., Inc. and William E. Bierlin, Jr. Release No. 34-39029 File Number: 3-9122
Date: Sept. 5, 1997	Respondents: Lloyd John Newton Release No. 33-7447,34-39023 File Number: 3-9391
Date: Sept. 4, 1997	Respondents: Willy Kerzinger, D/B/A Commodity Pool Service Release No. 33-7446,34-39015,IA-1658,IC-22809 File Number: 3-9390
Date: Sept. 3, 1997	Respondents: Walter Herbert Moore, Jr. Release No. 34-39006,IA-1657
Date: Sept. 2, 1997	Respondents: S. Donald Sussman Release No. IA-1653,AAE-948 File Number: 3-9382
Date: Sept. 2, 1997	Respondents: Mitchell Hutchins Asset Management Inc. Release No. 33-7444,34-39001,IA-1654,IC-22805 File Number: 3-9383
Date: Sept. 2, 1997	Respondents: Simon Dominic Baier Release No. 34-39003 File Number: 3-9385
Date: Sept. 2, 1997	Respondents: Barbara B. Nolan Release No. 34-39002,IA-1655 File Number: 3-9384
Date: Sept. 2, 1997	Respondents: Aug. Mezzetta Release No. 34-39005,IA-1656 File Number: 3-9387
Date: Aug. 29, 1997	Respondents: Robert Thomas Beatty Release No. 34-38994 File Number: 3-9380
Date: Aug. 29, 1997	Respondents: David Scott Rossman Release No. 34-38995 File Number: 3-9381
Date: Aug. 28, 1997	Respondents: Ngai King Tak, Evelyn A. Wong, and Haroutioun K. Aydjian Release No. AAE-946,34-38988,33-7443 File Number: 3-9379
Date: Aug. 27, 1997	Respondents: Derek Washington Release No. 33-7442,34-38978
Date: Aug. 27, 1997	Respondents: Willie Daniels Release No. 33-7441,34-38977 File Number: 3-9375
Date: Aug. 27, 1997	Respondents: Peter S. Alsop Release No. IA-1652 File Number: 3-9377
Date: Aug. 26, 1997	Respondents: Hudson Investors Fund, Inc., Hudson Advisers, Inc., JavedAnver Latef and Larry Alan Stockett Release No. 33-7440,34-38976,IC-22799,IA-1651
Date: Aug. 26, 1997	Respondents: Robert Alan Denton, Jeffrey Peter Morrison, Lee MichaelRough, Marc David Siden and Kenneth Thomas Tripoli Release No. 33-7439,34-38970 File Number: 3-9373
Date: Aug. 21, 1997	Respondents: John L. Bridges, Jr. Release No. 34-38957 File Number: 3-9370
Date: Aug. 18, 1997	Respondents: William P. Carroll Release No. 34-38942
Date: Aug. 18, 1997	Respondents: Gary W. Berus Release No. 34-38944
Date: Aug. 18, 1997	Respondents: Americorp Securities, Inc. and Drew Edgar Schaefer Release No. 33-7436,34-38947
Date: Aug. 18, 1997	Respondents: Thomas John Cloutier Release No. 34-38946 File Number: 3-9366
Date: Aug. 13, 1997	Respondents: Combined Companies International Corp. Release No. 34-38931 File Number: 3-9322
Date: Aug. 13, 1997	Respondents: First Capital Strategists, Robert E. Frith Jr., Keith H.Cunningham, Paul J. Gangemi, and John J. McCollum Release No. IA-1648 File Number: 3-9362
Date: Aug. 11, 1997	Respondents: H. Beck, Inc. and Gary S. Hurvitz Release No. 34-38913
Date: Aug. 11, 1997	Respondents: David P. Silver Release No. 34-38914 File Number: 3-9358
Date: Aug. 11, 1997	Respondents: Timothy J. Guiheen Release No. 34-38917 File Number: 3-9359
Date: Aug. 11, 1997	Respondents: Stock Clearing Corp Of Philadelphia andPhiladelphia Depository Trust Co. Release No. 34-38918 File Number: 3-9360
Date: Aug. 11, 1997	Respondents: William N. Briggs Release No. 34-38919 File Number: 3-9361
Date: Aug. 6, 1997	Respondents: Ted Harold Westerfield; G. Marvin Bober, Administrative Law Judge Release No. 34-38904 File Number: 3-9355
Date: Aug. 6, 1997	Respondents: Robert Pierce and Carrie L. Williams Pierce Release No. IA-1647 File Number: 3-9273
Date: Aug. 5, 1997	Respondents: Robert L. Gresham, CPA Release No. 34-38902,AAE-943 File Number: 3-9353
Date: Aug. 5, 1997	Respondents: James P. Brown Release No. 34-38903,AAE-944 File Number: 3-9354
Date: July 29, 1997	Respondents: Ronald J. Mitchellette Release No. IA-1646,IC-22768 File Number: 3-9352
Date: July 28, 1997	Respondents: Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-38877,IA-22766 File Number: 3-9181
Date: July 28, 1997	Respondents: Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-38880,IA-22767 File Number: 3-9181
Date: July 28, 1997	Respondents: William D. Kyle Release No. 34-38876,AAE-941 File Number: 3-9247
Date: July 28, 1997	Respondents: Stuart Gregory Smith, Capital Investment Managers, Inc., andCapital Fund Managers, Inc. Release No. 34-38878,IA-1645 File Number: 3-9351
Date: July 23, 1997	Respondents: Thomas J. Fox Release No. 34-38863 File Number: 3-9350
Date: July 22, 1997	Respondents: 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. 34-38857 File Number: 3-8772
Date: July 22, 1997	Respondents: Ponder Industries, Inc., Mack Ponder, Charles E. Greenwood,and Michael A. Dupre Release No. 34-38858,AAE-938 File Number: 3-9349
Date: July 21, 1997	Respondents: Refco Securities, Inc. Release No. 34-38855 File Number: 3-9054
Date: July 18, 1997	Respondents: LBS Capital Management, Inc. Release No. IA-1644 File Number: 3-9348
Date: July 17, 1997	Respondents: Dennis Klein Release No. 34-38844,AAE-937 File Number: 3-9347
Date: July 11, 1997	Respondents: Dennis Lindsay Helliwell Release No. 34-38832 File Number: 3-9210
Date: July 3, 1997	Respondents: Brian J. McCahery Release No. 34-38814 File Number: 3-9224
Date: July 1, 1997	Respondents: Helen T. Chalut and Saleem Noorani Release No. 33-7428 File Number: 3-9344
Date: July 1, 1997	Respondents: Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester Release No. 33-7429 File Number: 3-9345
Date: July 1, 1997	Respondents: Stephen J. Sogin and Steven N. Weiss Release No. 34-38802 File Number: 3-9136
Date: July 1, 1997	Respondents: Stephen J. Sogin and Steven N. Weiss Release No. 34-38803 File Number: 3-9136
Date: June 25, 1997	Respondents: Vincent Poliseno Release No. 34-38770 File Number: 3-9256
Date: June 25, 1997	Respondents: National Partnership Investments Corporation, NationalPartnership Equities, Inc., National Corporate Tax Credit Fund,Century Hillcreste Apartment Investors, L.P., Alan I. Casden,Charles H. Boxenbaum, and Bruce E. Nelson Release No. 33-7425 File Number: 3-9340
Date: June 25, 1997	Respondents: Spectrum Information Technologies, Incorporated Release No. 33-7426 File Number: 3-9341
Date: June 25, 1997	Respondents: First Montauk Securities Corp. Release No. 34-38775 File Number: 3-9342
Date: June 24, 1997	Respondents: Gary A. Prince Release No. 34-38765 File Number: 3-9338
Date: June 24, 1997	Respondents: Kenneth F. Richey Release No. 34-38762 File Number: 3-9337
Date: June 24, 1997	Respondents: Pendleton C. Waugh Release No. 34-38761 File Number: 3-9336
Date: June 23, 1997	Respondents: George W. Meyers, Gregory W. Meyers, Tax Exempt Fund,Municipal Fund, and Fox, Reusch & Co., Inc. Release No. 34-38754 File Number: 3-9335
Date: June 20, 1997	Respondents: Steven Ira Wertman, Robert Bruce Orkin, Edward CharlesWilliam Donner, III and Earl Seth David Release No. 34-38751 File Number: 3-9334
Date: June 18, 1997	Respondents: GFL Ultra Fund, Inc. Note includes dissenting opinion from Commissioner Steven M.H.Wallman Release No. 3-9333 File Number: 3-9333
Date: June 13, 1997	Respondents: Oakwood Counselors, Inc. and Paul J. Sherman Release No. IA-1636 File Number: 3-9243
Date: June 10, 1997	Respondents: Kyle Weston Release No. 4-38726 File Number: 3-9329
Date: June 10, 1997	Respondents: B.J. Thomas Release No. 34-38727 File Number: 3-9331
Date: June 6, 1997	Respondents: McKenzie Walker Investment Management, Inc. and Richard C. McKenzie, Jr. Release No. IA-1635 File Number: 3-9043
Date: June 4, 1997	Respondents: Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward Lillian A. McEwen, Administrative Law Judge Release No. 34-38714,33-7421 File Number: 3-9327
Date: June 3, 1997	Respondents: Steven F. Broadbent Release No. 34-38713,AAE-921 File Number: 3-9326
Date: May 30, 1997	Respondents: Christopher D. Jennings Release No. 34-38696 File Number: 3-9323
Date: May 30, 1997	Respondents: Amquest International, Ltd. Release No. 34-38695
Date: May 29, 1997	Respondents: Combined Companies International Corp. Release No. 34-38691,AAE-919 File Number: 3-9322
Date: May 28, 1997	Respondents: Dickinson & Co. and T. Marshall Swartwood Release No. 33-742034-38689 File Number: 3-9321
Date: May 28, 1997	Respondents: Steven W. Koinis Release No. 34-38688AAE-917 File Number: 3-9320
Date: May 28, 1997	Respondents: Jeffrey F. Green Release No. 34-38685 File Number: 3-9319
Date: May 28, 1997	Respondents: Joseph Latona Release No. 34-38684 File Number: 3-9318
Date: May 28, 1997	Respondents: Parnassus Investments, Jerome L. Dodson, Marilyn Chou, and David L. Gibson; Robert G. Mahony, Administrative Law Judge Release No. IA-1634, IC-22685 File Number: 3-9317
Date: May 27, 1997	Respondents: Litwin Securities, Inc., Harold A. Litwin Release No. 34-38673 File Number: 3-8991
Date: May 27, 1997	Respondents: Richard K. Steele, Jr. Release No. 34-38676 File Number: 3-9315
Date: May 27, 1997	Respondents: Arthur A. Graves, III Release No. 34-38674 File Number: 3-9314
Date: May 22, 1997	Respondents: Herbert G. Brown, George W. Cook, Jared D. Brown, and Robert G. Brown Release No. 34-38666 File Number: 3-9312
Date: May 21, 1997	Respondents: James G. Freeman Release No. 34-38661 File Number: 3-9311
Date: May 19, 1997	Respondents: Combined Companies International Corp. Release No. 4-38653 File Number: 4-38653
Date: May 19, 1997	Respondents: Thomas H. Ehrlich Release No. 34-38652 File Number: 3-9310
Date: May 17, 1997	Respondents: William Rossi Release No. 34-38677 File Number: 3-9316
Date: May 9, 1997	Respondents: Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.; Lillian A. McEwen, Administrative Law Judge Release No. 34-38596 File Number: 3-9309
Date: May 8, 1997	Respondents: Kenneth J. Schulte; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-38583 File Number: 3-9051
Date: May 7, 1997	Respondents: Gary J. Divall and Paul E. Magnuson Release No. 34-38578 File Number: 3-9306
Date: May 7, 1997	Respondents: Douglas R. Damon, Robert M. Davis, and Kenneth C. Klovitz Release No. 34-38579 File Number: 3-9307
Date: May 5, 1997	Respondents: Nicholas J. Pace Release No. 34-38572 File Number: 3-9305
Date: April 30, 1997	Respondents: Richard J. Lajoie, Jr. Release No. 34-38559 File Number: 3-9303
Date: April 30, 1997	Respondents: Ronald H. Hoffman Release No. 34-38560 File Number: 3-9304
Date: April 29, 1997	Respondents: Dorothea Bossio, Michael Imbriale and Rocco Leone Release No. 34-38555 File Number: 3-9302
Date: April 28, 1997	Respondents: Alliance Capital Management L.P. Release No. IA-1630 File Number: 3-9301
Date: April 22, 1997	Respondents: Gregory C. Moore Release No. 34-38538
Date: April 22, 1997	Respondents: David McClure Release No. 34-38539
Date: April 21, 1997	Respondents: Stanley J. Feminella Release No. 34-38529 File Number: 3-9300
Date: April 18, 1997	Respondents: James L. D'Angelo Release No. 34-38524 File Number: 3-9299
Date: April 17, 1997	Respondents: Peter M. Harrington Release No. 34-38518 File Number: 3-9205
Date: April 16, 1997	Respondents: Joseph P. Brooks Release No. 34-38517 File Number: 3-9215
Date: April 15, 1997	Respondents: Stephen J. Sogin and Steven N. Weiss Release No. 34-38508 File Number: 3-9136
Date: April 15, 1997	Respondents: Michael D. Gibson, Gregory C. Moore, and Jay D. Liebowitz, andDavid McClure Release No. 33-7414 File Number: 3-9124
Date: April 15, 1997	Respondents: Donald Spinks and CDS Financial Services Release No. 34-38510 File Number: 3-9297