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 4, 1996	Flagship Securities, Inc., Dennis G. Milewitz and Noreen M.Barrington Release No. 34-37065
April 3, 1996	George J. Conway Release No. 34-37063 File Number: 3-8929
April 3, 1996	Michael J. Randy Release No. 34-37064 File Number: 3-8930
March 29, 1996	The Enstar Group, Inc. Release No. 34-37043
March 29, 1996	Bernard H. Levy Release No. 34-37041 File Number: 3-8979
March 29, 1996	BT Securities Corporation Release No. 33-7276 File Number: 3-8579
March 28, 1996	John Dankovich and Linda Dankovich Release No. 34-37039 File Number: 3-8978
March 27, 1996	David Sims and Lewis Kurtz Release No. 34-37031 File Number: 3-8902
March 25, 1996	Becky A. Swanston Release No. 34-37019 File Number: 3-8977
March 25, 1996	David F. Smith Release No. 34-37018 File Number: 3-8976
March 15, 1996	Seth R. Roberts Release No. 33-7274 File Number: 3-8974
March 14, 1996	Richard G. Wiwi and Oracle Partners Release No. 33-7273 File Number: 3-8819
March 14, 1996	Dorothy J. Brenna Release No. 34-36974 File Number: 3-8954
March 13, 1996	Stuart, Coleman & Co., Inc. Release No. 34-36962 File Number: 3-8781
March 13, 1996	Stuart, Coleman & Co., Inc. Release No. 34-36963 File Number: 3-8781
March 11, 1996	Louis R. Weiss Release No. 34-36949 File Number: 3-8972
March 7, 1996	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. 34-36941 File Number: 3-8772
March 7, 1996	FAIC Securities, Inc. Release No. 34-36937 File Number: 3-8970
March 6, 1996	Robert M. Simpson Release No. 34-36928 File Number: 3-8968
March 6, 1996	Sandra Logay; Lillian A. McEwen, Administrative Law Judge Release No. 34-36929 File Number: 3-8969
March 5, 1996	John M. Goldberger and C. Kirk French Release No. 3-8967 File Number: 3-8967
March 1, 1996	Investors Income Systems of Florida, Inc. Release No. IA-1557 File Number: 3-8924
Feb. 29, 1996	Mitchell A. Vazquez Release No. 34-36906 File Number: 3-8965
Feb. 29, 1996	Quest Capital Strategies, Inc., and David Chen Yu; Lillian A. McEwen, Administrative Law Judge Release No. 34-36909 File Number: 3-8966
Feb. 28, 1996	Greg M. Anderson and Russell G. Koch Release No. 34-36898
Feb. 27, 1996	Continental Capital & Equity Corp. and John R. Manion Release No. 34-36886 File Number: 3-8963
Feb. 27, 1996	Professional Management-St. Louis Inc. and Wayne B. Conwell Release No. IA-1554 File Number: 3-8827
Feb. 27, 1996	Richard A. Knight Release No. 34-36893 File Number: 3-8964
Feb. 27, 1996	R. Marvin Mears Release No. IC-21790 File Number: 3-8845
Feb. 27, 1996	R. Marvin Mears Release No. IC-21783 File Number: 3-8845
Feb. 26, 1996	Ralph E. McKittrick Release No. 34-36878 File Number: 3-8960
Feb. 23, 1996	Diagnostek, Inc., Joseph Sanginiti and Dennis Evans Release No. 34-36877 File Number: 3-8959
Feb. 23, 1996	Kenneth A. Zak Release No. 34-36879 File Number: 3-8961
Feb. 22, 1996	Dorothy J. Brenna Release No. IA-1553 File Number: 3-8954
Feb. 22, 1996	David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge Release No. 34-36870 File Number: 3-8955
Feb. 22, 1996	John S. Griffin Release No. 34-36872 File Number: 3-8956
Feb. 22, 1996	Eugene Konev Release No. 34-36873 File Number: 3-8957
Feb. 21, 1996	Candie's, Inc., Response USA, Inc., Salvatore Mazzeo andSchneck Weltzman Hashmall & Mischel Release No. 34-36865 File Number: 3-8953
Feb. 16, 1996	Patricia Ann Bellows; Lillian A. McEwen, Administrative Law Judge Release No. 34-36854 File Number: 3-8951
Feb. 16, 1996	American Aricraft Corporation Release No. 34-36855 File Number: 3-8920
Feb. 14, 1996	Roc C. Hatfield Release No. 34-36846 File Number: 3-8948
Feb. 14, 1996	Jon Edelman Release No. 34-36847 File Number: 3-8950
Feb. 14, 1996	Westcap Securities, L.P. Release No. 34-36845 File Number: 3-8947
Feb. 13, 1996	Patrick J. Doherty Release No. 34-36839 File Number: 3-8946
Feb. 13, 1996	Russell Ponce; Lillian A. McEwen, Administrative Law Judge Release No. 34-36835 File Number: 3-8944
Feb. 13, 1996	John L. Fauls III Release No. 34-36838 File Number: 3-8945
Feb. 12, 1996	James S. Small Release No. 34-36829 File Number: 3-8943
Feb. 5, 1996	Charles Joseph Bazarian Release No. 34-36808 File Number: 3-8799
Feb. 1, 1996	Raymond Charles Gross and James Eugene Hammonds Release No. 34-36802 File Number: 3-8810
Feb. 1, 1996	Ronald A. Romito Release No. 34-36803 File Number: 3-8942
Feb. 1, 1996	Valerie Jensen Release No. 34-36804 File Number: 3-8898
Feb. 1, 1996	Robert E. Lindley Release No. 34-36805
Feb. 1, 1996	Kerkhoff Industries, Inc., John Russell Wells and Mark J.Wells Release No. 34-36800 File Number: 3-8812
Jan. 30, 1996	William Cho Release No. 34-36787 File Number: 3-8941
Jan. 26, 1996	Robert Vecchioni Release No. 34-36779 File Number: 3-8940
Jan. 25, 1996	The Robinson-Humphrey Company, Inc. and William L. Effinger,III Release No. 34-36773 File Number: 3-8939
Jan. 25, 1996	Stanley Peter Kerry Release No. 33-7261 File Number: 3-8826
Jan. 25, 1996	Joseph M. Arron Release No. 34-36768 File Number: 3-8938
Jan. 24, 1996	(Orange County) 21a Report Release No. 34-36761
Jan. 24, 1996	County of Orange, California, the Orange County FloodControl District and the County of Orange, California Board ofSupervisors Release No. 33-7260 File Number: 3-8937
Jan. 22, 1996	Anthony J. Negus Release No. 33-7259 File Number: 3-8934
Jan. 19, 1996	William V. Giordano Release No. 34-36742 File Number: 3-8933
Jan. 18, 1996	George J. Conway Release No. 34-36734 File Number: 3-8929
Jan. 18, 1996	Michael J. Randy Release No. 34-36735 File Number: 3-8930
Jan. 18, 1996	P. Michael Goodman Release No. 34-36736 File Number: 3-8931
Jan. 17, 1996	PaineWebber Incorporated Release No. 34-34724 File Number: 3-8928
Jan. 16, 1996	Joseph Edwin Giewartowski Release No. IA-1546 File Number: 3-8923
Jan. 16, 1996	Investors Income Systems of Florida, Inc. Release No. IA-1547 File Number: 3-8924
Jan. 15, 1996	Ronald Effren, Andrew S. Fink and Lee L.Engel Release No. 34-36713 File Number: 3-8662
Jan. 11, 1996	American Aricraft Corporation Release No. 34-36699 File Number: 3-8920
Jan. 11, 1996	William F. Moody, Jr. Release No. 34-36700 File Number: 3-8921
Jan. 9, 1996	Orlando Joseph Jett and Melvin Mullin Release No. 34-36696
Jan. 9, 1996	First Fidelity Securities Group Release No. 34-36694 File Number: 3-8917
Jan. 9, 1996	Edward A. Cerullo Release No. 34-36695 File Number: 3-8918
Jan. 4, 1996	Robert D. Carl, III Release No. 34-36678 File Number: 3-8915
Jan. 4, 1996	Bradford P. Gillingham Release No. 34-36679 File Number: 3-8916
Jan. 3, 1996	Fernando Cappuccio Release No. 34-36670 File Number: 3-8911
Jan. 3, 1996	William W. Krueger Release No. 34-36672 File Number: 3-8913
Jan. 3, 1996	Edmund C. Lipinski Release No. 34-36673 File Number: 3-8914
Jan. 3, 1996	Florio Fiorini Release No. 34-36669 File Number: 3-8910
Dec. 28, 1995	Steen Ronlov Release No. IA-1544 File Number: 3-8904
Dec. 27, 1995	David Sims and Louis Kurtz Release No. 34-36641
Dec. 27, 1995	Daniel L. Osborn Release No. 34-36642 File Number: 3-8903
Dec. 20, 1995	James A. Pearce Release No. 34-36608 File Number: 3-8900
Dec. 20, 1995	Johnston Kent Securities, Inc., and George R. Johnston Release No. 34-36614
Dec. 18, 1995	John Francis D'Acquisto Release No. IA-1541
Dec. 7, 1995	Urohealth Systems, Inc., formerly known as DavstarIndustries, Ltd. Release No. 34-36560 File Number: 3-8891
Dec. 7, 1995	Charles E. Michael, Jr. Release No. 34-36561 File Number: 3-8892
Dec. 6, 1995	John McMillan Release No. 34-36554 File Number: 3-8780
Dec. 6, 1995	Richard A. Anders Release No. 34-36553 File Number: 3-8836
Nov. 28, 1995	Jerry Revalee, Kelly F. Molton, and Hermann GeraldDworschak Release No. 7244;34-36519;3-8886 File Number: 3-8886
Nov. 28, 1995	Roswitha Klement-Francis and William Antenorcruz Release No. 7245;34-36520;3-8887 File Number: 3-8887
Nov. 27, 1995	The Feldman Investment Group, Inc. Release No. IA-1538 File Number: 3-8884
Nov. 9, 1995	James W. Bullard, Jr. Release No. 34-36471 File Number: 3-8615
Nov. 8, 1995	Timothy A. Hills Release No. 34-36463 File Number: 3-8708
Nov. 6, 1995	Keypoint Financial Corporation and Michael R. Warren Release No. IA-1534 File Number: 3-8881
Nov. 6, 1995	Everlast Filtration, Corp. Release No. 34-36459 File Number: 3-8880
Nov. 3, 1995	Michael W. Adams, Donald H. Stringer, Victor G. Campana andSaint Clair Ainsley Knight, Jr. Release No. 34-36454 File Number: 3-8878
Nov. 2, 1995	Rhema Foundation and Haskell D. Stratton Release No. 33-7239 File Number: 3-8877
Oct. 31, 1995	Brian Jeffrey Sheen Release No. IC-1533 File Number: 3-8874

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