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. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

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Date Sort ascending	Respondents
March 29, 2000	Seth P. Joseph Release No. 34-42588, AAER-1244 File Number: 3-10169
March 23, 2000	Jill Pitts and Janet Hanson Release No. 34-42569, AAER-1240 File Number: 3-10166
March 21, 2000	Tuschner & Company, Inc. Release No. 34-42556
March 20, 2000	Laser Technology, Inc. Release No. 34-42549, AAER-1237 File Number: 3-10163
March 20, 2000	H. DeWorth Williams Release No. 34-42547, AAER-1235 File Number: 3-10161
March 20, 2000	Jeremy G. Dunne Release No. 34-42548, AAER-1236 File Number: 3-10162
March 17, 2000	David C. Erickson Release No. 33-7813, 34-42540 File Number: 3-10159
March 17, 2000	Vincent E. Serhan Release No. 33-7814, 34-42541 File Number: 3-10160
March 15, 2000	Paul A. Barrios Release No. 33-7810, 34-42531 File Number: 3-10157
March 15, 2000	Joseph J. Laferty Release No. 33-7811 File Number: 3-10158
March 15, 2000	Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks James T. Kelly, Administrative Law Judge Release No. 33-7812 File Number: 3-9952
March 15, 2000	Steven P.Erlich Release No. 34-42530 File Number: 3-10156
March 14, 2000	Brian T. Lenihan Release No. IA-1861 File Number: 3-10155
March 9, 2000	Apodaca Investment Group, Inc., Brower Financial Services, Inc., Ethical Investments, Inc., Ronald Allan McDow, Van Cleef Asset Management, Inc. and WWW Advisors, Inc Release No. IA-1860 File Number: 3-9888
March 9, 2000	David Scott Heredia Release No. 34-42513 File Number: 3-10025
March 2, 2000	Huber Hogan Consulting, Inc., Russon Financial Service, Inc. and Robert C. Sears Lillian A. McEwen, Administrative Law Judge Release No. IA-1858 File Number: 3-9985
March 2, 2000	Terence Michael Coxon, Alan Michael Sergy, World Money Managers, and World Money Securities, Inc.; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7806 File Number: 3-9218
March 2, 2000	Kenneth Terrell, Jason Wyckoff, Adam Altman, and Joanne Colt Release No. 34-42483 File Number: 3-10154
March 2, 2000	BSN Gestion De Patrimonios SA SGC, and Asset Timing Corp. Release No. IA-1799A File Number: 3-9887
Feb. 29, 2000	Robert J. Meledandri, Jr. Release No. 33-7805 File Number: 3-9723
Feb. 28, 2000	Joseph E. Stephenson, individually and doing business as Stephenson Investment Opportunities Release No. 33-7804 File Number: 3-10153
Feb. 22, 2000	Orlando Super Card, Inc. Release No. 34-42445, 33-7802
Feb. 22, 2000	All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish Release No. 34-42446 File Number: 3-10150
Feb. 22, 2000	Investment Street Company, Dynamic Trading of Miami, Inc., Emilio Sardi and Javier Saenz Release No. 34-42447 File Number: 3-10151
Feb. 22, 2000	Michael L. Kinney Release No. 34-42448 File Number: 3-10152
Feb. 18, 2000	Cypress Bioscience Inc. and Alex P. De Soto Release No. 34-42438, AAER-1232 File Number: 3-9085
Feb. 16, 2000	Danny R. Auerbach, Michael L. Glaser, and James Montgomery, II Release No. 34-42432, AAER-1230 File Number: 3-10042
Feb. 14, 2000	Donald J. Martineau Release No. 34-42422 File Number: 3-10147
Feb. 14, 2000	Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks James T. Kelly, Administrative Law Judge Release No. 34-42420, AAER-1228 File Number: 3-9952
Feb. 14, 2000	Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, Matthew R. Jennings, Philip S. Brandon, and Jai Chaudhuri Carol Fox Foelak, Administrative Law Judge Release No. 34-42421 File Number: 3-9959
Feb. 11, 2000	Frank J. Cannata Release No. 34-42416 File Number: 3-10146
Feb. 11, 2000	MGSI Securities, Inc., Bradford A. Orosey, Larry J. Bagwell, Connie L. Bally, Joseph O. Fallin, and James W. Ogg; William J. Cowan, Administrative Law Judge Release No. 34-42425 File Number: 3-9702
Feb. 10, 2000	Joseph E. Williams Release No. 34-42412, 33-7798, AAER-1225 File Number: 3-10145
Feb. 10, 2000	Joseph M. Morris, CPA Release No. 34-42410, AAER-1223 File Number: 3-10144
Feb. 7, 2000	H.J. Meyers & Co., Inc., James A. Villa and James C. Witzel Release No. 34-42394, AAER-1221 File Number: 3-10141
Feb. 7, 2000	Waltzer and Associates, Lewis N. Waltzer, and Karney E. Waltzer Release No. 34-42395, IA-1854, 33-7796 File Number: 3-10142
Feb. 7, 2000	Roy E. Matlock Release No. 34-42391
Feb. 7, 2000	Robert L. Norton Release No. 34-42399, 33-7797, AAER-1222 File Number: 3-10143
Feb. 7, 2000	William L. Clancy Release No. 34-42392, AAER-1220 File Number: 3-10139
Feb. 7, 2000	H. J. Meyers & Co., Inc., Robert Setteducati, William Masucci, Michael Vanechanos, and James Alan Villa James T. Kelly, Administrative Law Judge Release No. 34-42393, 33-7795 File Number: 3-10140
Feb. 4, 2000	PricewaterhouseCoopers LLP Release No. 34-42387, AAER-1219 File Number: 3-9809
Feb. 2, 2000	J. Scott Eskind Release No. IA-1852 File Number: 3-10053
Feb. 2, 2000	Thomas J. Parker and Jack C. Herndon, Jr. Release No. 34-42375, IA-1853 File Number: 3-10136
Feb. 2, 2000	Kevin James Quinn Release No. 34-42380 File Number: 3-10137
Jan. 27, 2000	S. Jay Goldinger Release No. 34-42358 File Number: 3-10135
Jan. 24, 2000	Edward Welch Release No. 34-42355, AAER-1217 File Number: 3-10134
Jan. 13, 2000	Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester Release No. 34-42339, 33-7792 File Number: 3-9345
Jan. 11, 2000	Informix Corporation Release No. 34-42326, 33-7788, AAER-1215 File Number: 3-10130
Jan. 5, 2000	Model Imperial, Inc. Release No. 34-42316, AAER-1214 File Number: 3-10043
Jan. 3, 2000	Kevin J. Kirkbride Release No. 34-42305 File Number: 3-10128
Dec. 27, 1999	Robert A. Schatz Release No. 34-42278 File Number: 3-10126
Dec. 27, 1999	Ronald A. Martini Release No. 34-42275 File Number: 3-10123
Dec. 27, 1999	John F. LaSala Release No. 34-42276 File Number: 3-10124
Dec. 27, 1999	Brad Haddy; Carol Fox Foelak, Administrative Law Judge Release No. 34-42277 File Number: 3-10125
Dec. 22, 1999	Scudder Kemper Investments, Inc. and Gary Paul Johnson Release No. IA-1848 File Number: 3-10121
Dec. 22, 1999	Michael T. Sullivan, III Release No. IA-1849 File Number: 3-10122
Dec. 21, 1999	Peachtree Stock Transfer and Robert J. Crain, Jr. Release No. 34-42262 File Number: 3-9989
Dec. 21, 1999	Taft Womack and Frank Gaines Release No. 34-42261 File Number: 3-10064
Dec. 17, 1999	Alan B. Schlussel Release No. 34-42243, 33-7785 File Number: 3-10118
Dec. 17, 1999	John H. Kim Release No. 34-42244, 33-7786 File Number: 3-10119
Dec. 17, 1999	Robert J. Strauss Release No. 34-42245 File Number: 3-10120
Dec. 15, 1999	Brian D. O'Toole, d/b/a O'Toole Capital Management, Spectrum Securities Inc., and Steven D. Pirrone Release No. 34-42237 File Number: 3-10018
Dec. 14, 1999	Jose E. Rivera, CPA Release No. 34-42229, AAER-1212 File Number: 3-10117
Dec. 14, 1999	William A. Fain, Jr. Release No. 34-42234
Dec. 10, 1999	Michael L. Pitts Release No. 33-7784 File Number: 3-10115
Dec. 10, 1999	Richard J. Michael Release No. 33-7783 File Number: 3-10114
Dec. 9, 1999	Ronald A. Knittle and Gregory G. Vernon Release No. 34-42211 File Number: 3-10056
Dec. 7, 1999	Scott A. Rude Release No. 34-42206 File Number: 10b-5
Dec. 6, 1999	Paschal Gene Allen Release No. 34-42204 File Number: 3-10110
Dec. 3, 1999	Paul Thomas Fink, C.P.A. Release No. 34-42199, 33-7782, AAER-1211 File Number: 3-10045
Dec. 2, 1999	Thomas Gaeton Scalzo, Jr. Release No. 34-42196 File Number: 3-10108
Dec. 2, 1999	County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-42197 File Number: 3-9542
Nov. 29, 1999	Eugene Laff, Stanley Aslanian, Jr., and Lawrence Caito Release No. 34-42182 File Number: 3-9654
Nov. 29, 1999	Eugene Laff, Stanley Aslanian, Jr., and Lawrence Caito Release No. 34-42181 File Number: 3-9654
Nov. 23, 1999	Americorp Securities, Inc. and Drew Edgar Schaefer Release No. 33-7781 File Number: 3-9367
Nov. 23, 1999	Rodger Evans Rees Release No. 34-42172 File Number: 3-9854
Nov. 22, 1999	Windswept Environmental Group, Inc. Release No. 33-7780 File Number: 3-10107
Nov. 19, 1999	Michael J. Hooper, CPA Release No. 34-42157, AAER-1210 File Number: 3-10104
Nov. 19, 1999	Kenneth R. Starnes Release No. 34-42158 File Number: 3-10105
Nov. 18, 1999	Minotaur Capital, Inc. and David J. Feingold Release No. 33-7779 File Number: 3-10103
Nov. 17, 1999	HDI, Inc. and. Dennis E. Thiemann Release No. 33-7777 File Number: 3-10102
Nov. 17, 1999	BT Alex. Brown Incorporated Release No. 33-7778
Nov. 17, 1999	JMS Associates, Inc. and John M. Seidman Release No. 33-7776 File Number: 3-10101
Nov. 16, 1999	City of Anaheim, City of Irvine, Irvine Unified School District, North Orange County Community College District, and Orange County Board Of Education Release No. 34-42140 File Number: 3-9739
Nov. 15, 1999	The Cronos Group Release No. 34-42139, AAER-1208 File Number: 3-10096
Nov. 10, 1999	Jimmy L. Duckworth, CPA Release No. 34-42124, AAER-1205 File Number: 3-10094
Nov. 10, 1999	Joseph Salamon Release No. 34-42125
Nov. 5, 1999	Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks James T. Kelly, Administrative Law Judge Release No. 34-42109, AAER-1201 File Number: 3-9952
Nov. 4, 1999	Michael W. Rehtorik Release No. 34-42097 File Number: 3-10090
Nov. 4, 1999	Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez Release No. 34-42103
Nov. 4, 1999	Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez Release No. 34-42104
Nov. 4, 1999	Robert W. Armstrong, III Carol Fox Foelak, Administrative Law Judge Release No. 34-42096, AAER-1202 File Number: 3-9793
Nov. 4, 1999	Lawrence J. Penna, Herman Epstein and Douglas J. Mangan Release No. 34-42106 File Number: 3-10091
Nov. 4, 1999	Jerry C. Berman Release No. 34-42107 File Number: 3-10092
Nov. 4, 1999	Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez Release No. 34-42105 File Number: 3-9168
Nov. 1, 1999	Jamie T. Tsutsui Release No. 34-42085 File Number: 3-10089
Nov. 1, 1999	Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl Release No. 34-42082, AAER-1200 File Number: 3-9846
Nov. 1, 1999	Robert J. Carucci and R.M. Carucci Corp. Release No. 34-42083 File Number: 3-10087
Nov. 1, 1999	Apodaca Investment Group, Inc., Brower Financial Services, Inc., Ethical Investments, Inc., Ronald Allan McDow, Van Cleef Asset Management, Inc. and WWW Advisors, Inc Release No. IA-1844 File Number: 3-9888
Nov. 1, 1999	Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl Release No. 34-42079, AAER-1198 File Number: 3-9846

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