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.

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Date Sort ascending	Respondents
April 15, 1997	Stephen J. Sogin and Steven N. Weiss Release No. 34-38508 File Number: 3-9136
April 15, 1997	Michael D. Gibson, Gregory C. Moore, and Jay D. Liebowitz, andDavid McClure Release No. 33-7414 File Number: 3-9124
April 14, 1997	H. Ralph Sylvester, Donald R. Krueger and John C. Hawver Release No. 3438500 File Number: 3-9103
April 11, 1997	J. M. Levy & Co. , Sol Greenbaum, and David Cohen Release No. 34-38498 File Number: 3-9295
April 10, 1997	Janak C. Patel Release No. 34-38496
April 10, 1997	Lynn K. Blattman Release No. 34-38493 File Number: 3-9291
April 10, 1997	Philip S. Present II, and William J. Scanlon Release No. 34-38494 File Number: 3-9292
April 10, 1997	Dennis T. Palmeri, Sr. Release No. 34-38497 File Number: 3-9294
April 10, 1997	Historic Hotel Holdings, Inc. Release No. 3438492
April 4, 1997	Steven K. Clark Release No. 34-38476 File Number: 3-9287
April 4, 1997	Ronald W. Daw and J. Weston Daw Release No. 34-38477 File Number: 3-9286
April 3, 1997	Jaron Equities Corp.. Sheridan Manhattan Group. Inc. and Dermot Sheridan Release No. 34-38475 File Number: 3-9285
April 3, 1997	Sky Scientific, Inc., W.A. Dorow, Jr., Jerry L. Foster, Gilbert Marshall & Co., Inc., Michael A. Usher, Strategic Resource Management, Inc., William A. Moler, Daniel R. Lehl, Thomas Patrick Meehan, Douglas A. Glaser, Smith, Benton & Hughes, Inc., Michael Zaman, George T. Hellen, Robert Schlien, American Capital Network, Inc., Philip M. Georgeson, Melvin L. Levine, and William David Jones; Robert G. Mahony, Administrative Law Judge Release No. 33-7412 File Number: 3-9201
April 1, 1997	Quality Products, Inc. Release No. 33-7410 File Number: 3-9186
April 1, 1997	Robert D. Gersh Release No. 34-38459 File Number: 3-9284
March 31, 1997	Brooklyn Capital & Securities Trading, Inc., and DavidRybstein Release No. 3438454 File Number: 3-8952
March 27, 1997	Sheldon S. Traube and George F. Sweeney Release No. 33-7409 File Number: 3-9283
March 26, 1997	Robert C. White Release No. 34-38441 File Number: 3-9282
March 25, 1997	Michael P. Sweeney Release No. 34-38436 File Number: 3-9280
March 24, 1997	Matt Matson; Lillian A. McEwen, Administrative Law Judge Release No. 34-38433 File Number: 3-9279
March 24, 1997	Peter Tosto, Investor Relations, Inc. Release No. 33-7406 File Number: 3-9104
March 20, 1997	Michael J. Markowski Release No. 34-38424
March 20, 1997	Joseph Riccio Release No. 34-38425 File Number: 3-9278
March 18, 1997	H.P. Hambrick Co., Inc. and Henry P. Hambrick Release No. IA-1622 File Number: 3-9275
March 17, 1997	Vigil Asset Management Group, Inc. and Thomas Batterman Release No. IA-1621 File Number: 3-9128
March 17, 1997	Robert Pierce and Carrie L. Williams Pierce Release No. IA-1620 File Number: 3-9273
March 13, 1997	Danny G. Pinkerton and Kevin N. Campbell; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7402 File Number: 3-8805
March 13, 1997	Duane V. Midgley Release No. 34-38395 File Number: 3-9272
March 12, 1997	Merle S. Finkel Release No. 33-7401 File Number: 3-9271
March 11, 1997	Jon D. Aldrich Release No. 34-38382
March 5, 1997	Garcis U.S.A., Inc. Release No. 34-38367
March 5, 1997	Pace American Group, Inc. Release No. 34-38368 File Number: 3-9268
March 4, 1997	John Thomas Royall Release No. 34-38358 File Number: 3-9264
March 4, 1997	Robert Jarkow Release No. 34-38359 File Number: 3-9265
March 4, 1997	Michael Anthony Pierce Release No. 34-38361 File Number: 3-9266
Feb. 28, 1997	Anthony J. Negus Release No. IC-22535 File Number: 3-8934
Feb. 27, 1997	David Gore, Robert Puetz, William McClure, Robert P. Murphy Release No. 34-38343 File Number: 3-9262
Feb. 27, 1997	Twenty First Century Health, Inc. Release No. 34-38345
Feb. 27, 1997	David Schaen Release No. 34-38347 File Number: 3-9261
Feb. 26, 1997	David P. Schwartz Release No. 34-38335 File Number: 3-9216
Feb. 26, 1997	DeSoto Broadcasting, Inc. and Danford Sawyer, Jr. Release No. 33-7397 File Number: 3-9191
Feb. 26, 1997	Selheimer & Co. and Perry A. Selheimer Release No. 34-38337 File Number: 3-9260
Feb. 24, 1997	Vincent Poliseno Release No. 34-38327 File Number: 3-9256
Feb. 24, 1997	Norman Gelman Release No. 34-38325 File Number: 3-9255
Feb. 21, 1997	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. 33-7395 File Number: 3-8772
Feb. 20, 1997	Philip Greifeld Release No. 34-38316 File Number: 3-9135
Feb. 18, 1997	William D. Kyle Release No. 34-38297 File Number: 3-9247
Feb. 18, 1997	Linda A. Hodge Release No. 34-38301 File Number: 3-9251
Feb. 18, 1997	Kent A. Ahrens Release No. IA-1615 File Number: 3-9249
Feb. 18, 1997	Alan D. Rosskamm Release No. 33-7389 File Number: 3-9248
Feb. 18, 1997	Milton Weinger Release No. 34-38300 File Number: 3-9250
Feb. 11, 1997	Marsh Block & Co., Inc., Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller Release No. 34-38263
Feb. 11, 1997	Howard F. Rubin Release No. 34-38264 File Number: 3-9245
Feb. 10, 1997	Twenty First Century Health, Inc. Release No. 34-38260
Feb. 10, 1997	Oakwood Counselors, Inc. and Paul J. Sherman Release No. IA-1614 File Number: 3-9243
Feb. 7, 1997	Lyle Moss Release No. 34-38258 File Number: 3-9242
Feb. 6, 1997	William T. Manak Release No. 33-7387 File Number: 3-9240
Feb. 6, 1997	Daniel C. Langford, Daniel C. Langford, Jr., Stephanus A. de Kockand and Peter P. Irby Release No. 34-38249 File Number: 3-9238
Feb. 6, 1997	Harry T. Couch Release No. 34-38250 File Number: 3-9239
Feb. 5, 1997	Frederick R. Grant Release No. 34-38239 File Number: 3-9236
Feb. 3, 1997	Jerry Silva Release No. 34-38228 File Number: 3-9234
Feb. 3, 1997	James Zimmerman and Old Naples Securities, Inc. Release No. 34-38227 File Number: 3-9233
Jan. 31, 1997	Benjamin Franklin Bush, III and Ben Bush Investment Management, Inc. Release No. IA-1612 File Number: 3-9232
Jan. 30, 1997	Jon Edelman Release No. 34-38220 File Number: 3-8950
Jan. 30, 1997	David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge Release No. 33-7385 File Number: 3-8955
Jan. 29, 1997	David Keery Release No. 34-38217 File Number: 3-9231
Jan. 28, 1997	Halsey Drug Company, Inc. Release No. 34-38210 File Number: 3-9230
Jan. 24, 1997	Ronald M. Zook Release No. IA-1611 File Number: 3-9059
Jan. 23, 1997	Cecil H. Suter Release No. IA-1610 File Number: 3-9228
Jan. 22, 1997	Cortland First Financial Corporation, Donald S. Ames, andFrederick G. Compagni, Sr. Release No. 34-38192 File Number: 3-9227
Jan. 21, 1997	Norman L. Yu & Co., Inc., and Norman L. Yu Release No. IA-1607 File Number: 3-9226
Jan. 16, 1997	Brian J. McCahery Release No. 34-38176
Jan. 16, 1997	Bernard Zelenka Release No. 34-38178 File Number: 3-9130
Jan. 16, 1997	Robert Albert Merrifield Release No. 34-38177 File Number: 3-9225
Jan. 15, 1997	Mark Anthony and Michelle Suppes Release No. 34-38171 File Number: 3-9220
Jan. 15, 1997	Suppes Securities, Inc. Release No. 33-7381 File Number: 3-9221
Jan. 15, 1997	Royal Alliance Associates, Inc. Release No. 34-38174 File Number: 3-9223
Jan. 15, 1997	GKN Securities Corp. and Robert H. Gladstone Release No. 34-38173 File Number: 3-9222
Jan. 13, 1997	Michael Coxon, Alan Michael Sergy, World Money Managersand World Money Securities, Inc. Release No. 33-7379
Jan. 13, 1997	Ronald V. Speaker and Janus Capital Corporation Release No. C-22461 File Number: 3-9219
Jan. 10, 1997	National Financial Services Corporation Release No. 34-38150 File Number: 3-9217
Jan. 8, 1997	Republic International Corporation Release No. 34-38137 File Number: 3-9112
Jan. 8, 1997	David P. Schwartz Release No. 34-38135 File Number: 3-9216
Jan. 8, 1997	Carolyn Safer Kenner Release No. 33-7378 File Number: 3-9110
Jan. 8, 1997	Peter C. Tosto Release No. 34-38136 File Number: 3-9178
Jan. 6, 1997	Matthew E. Klenovic Release No. 34-38121 File Number: 3-9213
Jan. 6, 1997	R. E. Anderson Cain Release No. 34-38122 File Number: 3-9214
Dec. 31, 1996	Mark S. Ferber Release No. 34-38102 File Number: 3-9211
Dec. 26, 1996	Dennis Lindsay Helliwell Release No. 34-38088
Dec. 24, 1996	Michael Donald McGahee Release No. 34-38083 File Number: 3-9209
Dec. 23, 1996	Stanley L. Swoyer Release No. 34-38074 File Number: 3-9090
Dec. 19, 1996	Dale E. Barlage Release No. 34-38061 File Number: 3-9207
Dec. 18, 1996	Peter M. Harrington Release No. 34-38055
Dec. 16, 1996	Sky Scientific, Inc., W.A. Dorow, Jr., Jerry L. Foster, Gilbert Marshall & Co., Inc., Michael A. Usher, Strategic Resource Management, Inc., William A. Moler, Daniel R. Lehl, Thomas Patrick Meehan, Douglas A. Glaser, Smith, Benton & Hughes, Inc., Michael Zaman, George T. Hellen, Robert Schlien, American Capital Network, Inc., Philip M. Georgeson, Melvin L. Levine, and William David Jones; Robert G. Mahony, Administrative Law Judge Release No. 33-7372 File Number: 3-9201
Dec. 16, 1996	Ernest W. Grendi Release No. 33-7374 File Number: 3-9202
Dec. 10, 1996	Frederick V. Dona, Jr. Release No. 34-38037 File Number: 3-9126
Dec. 10, 1996	Robert Tatarowicz Release No. 33-7370 File Number: 3-9200
Dec. 10, 1996	Michael Goodbread Release No. 34-38035 File Number: 3-9199
Dec. 9, 1996	Shaner & Company, Inc. and Mark S. Shaner Release No. 34-38027 File Number: 3-9197
Dec. 9, 1996	Steven A. Lapper Release No. 34-38028 File Number: 3-9198

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