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.

E-mail Updates

To sign up for updates, please enter your e-mail address below.

Administrative Proceedings RSS Feed


Date Sort ascending	Respondents
Oct. 28, 1999	Cery B. Perle Release No. 34-41069 File Number: 3-9991
Oct. 27, 1999	Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward Lillian A. McEwen, Administrative Law Judge Release No. 34-42063 File Number: 3-9327
Oct. 27, 1999	Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward Lillian A. McEwen, Administrative Law Judge Release No. 34-42062 File Number: 3-9327
Oct. 27, 1999	Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward Lillian A. McEwen, Administrative Law Judge Release No. 34-42064 File Number: 3-9327
Oct. 27, 1999	Geoffrey A. Newman Release No. 34-42065 File Number: 3-9992
Oct. 26, 1999	Joseph J. Barbato, Neal C. Harper and Frederick J. Krause; Burton S. Kolko, Administrative Law Judge Release No. 34-42059 File Number: 3-8575
Oct. 21, 1999	Lee R. Fontaine, CPA Release No. 34-42045, AAER-1194 File Number: 3-10083
Oct. 21, 1999	Rick W. Gossett, CPA Release No. 34-42046, AAER-1195 File Number: 3-10084
Oct. 21, 1999	Stephen J.Kesh, CPA Release No. 34-42047, AAER-1196 File Number: 3-10085
Oct. 20, 1999	John R. Hoff Release No. 33-7757 File Number: 3-10081
Oct. 20, 1999	Louis Sitaras Release No. 33-7758 File Number: 3-10082
Oct. 20, 1999	Richard L. Davis Release No. 33-7756 File Number: 3-10080
Oct. 19, 1999	Albert Glenn Yesner, CPA; Robert G. Mahony, Administrative Law Judge Release No. 34-42030, AAER-1193 File Number: 3-9586
Oct. 19, 1999	David E. Stevenson Release No. 34-42031, AAER-1192 File Number: 3-10079
Oct. 18, 1999	Thor Industries, Inc. Release No. 34-42021, AAER-1190 File Number: 3-10077
Oct. 18, 1999	Jerry M. Walker, CPA Release No. 34-42022, AAER-1191 File Number: 3-10078
Oct. 13, 1999	Scott P. Flynn and Strategic Network Development, Inc. Release No. 33-7753, 34-42000
Oct. 5, 1999	Peter W. Zent and Michael A. Cornblum Release No. 34-41976
Oct. 4, 1999	James William Fuller Release No. IA-1842 File Number: 3-10073
Oct. 4, 1999	Gordon Richard Taubenheim Release No. IA-1843 File Number: 3-10074
Sept. 30, 1999	Jeno K. Koch Release No. 34-41949 File Number: 3-10054
Sept. 30, 1999	Jeffrey Brommer Release No. IA-1840 File Number: 3-10062
Sept. 30, 1999	Madlyn L. Ferro and Dwight H. Stephens Release No. 34-41950
Sept. 30, 1999	Marvin & Palmer Associates, Inc., David F. Marvin, MacThom Associates, Inc. and Thomas E. Dubis Release No. IA-1841 File Number: 3-10072
Sept. 30, 1999	Bobby L. Rodgers Release No. 33-7747 File Number: 3-9896
Sept. 30, 1999	J. Scott Eskind Release No. IA-1838 File Number: 3-10053
Sept. 30, 1999	Derrick C. Johnson Release No. 33-7749 File Number: 3-9893
Sept. 30, 1999	Rupay-Barrington Investment Advisory Services, Inc. and Frederick A. Wolf Release No. IA-1839 File Number: 3-9734
Sept. 30, 1999	David E. Houge Release No. 34-41966 File Number: 3-10071
Sept. 30, 1999	Jerald F. Albin Release No. 34-41962
Sept. 30, 1999	Briant C. Patterson, Inc. and Briant Patterson Release No. 34-41957 File Number: 3-10063
Sept. 30, 1999	Amerivest Financial Group, Inc. Release No. 34-41953 File Number: 3-10058
Sept. 30, 1999	Legg Mason Wood Walker, Inc., Thomas M. Daly, and Joseph Sullivan Release No. 34-41963 File Number: 3-10068
Sept. 30, 1999	Frank Gaines Release No. 34-41958
Sept. 30, 1999	William J. Bramble, Jr. Release No. 34-41954
Sept. 30, 1999	Jeffrey A. Parker Release No. 34-41964 File Number: 3-10069
Sept. 30, 1999	Ralph W. LeBlanc; Robert G. Mahony, Administrative Law Judge Release No. 34-41959 File Number: 3-10065
Sept. 30, 1999	Seasongood & Mayer and Richard D. Reis Release No. 34-41955
Sept. 30, 1999	Ronald A. Knittle and Gregory G. Vernon Release No. 34-41951 File Number: 3-10056
Sept. 30, 1999	Michael Paul Green Release No. 34-41965 File Number: 3-10070
Sept. 30, 1999	Howard Zalkin and Barry E. Adelson Release No. 34-41960 File Number: 3-10066
Sept. 30, 1999	Frank Grillo Release No. 34-41956 File Number: 3-10061
Sept. 30, 1999	Michael Goldberg, CPA Release No. 34-41952 File Number: 3-10057
Sept. 29, 1999	Paul Page, Jr. and The Page Group Release No. 33-7746 File Number: 3-10051
Sept. 29, 1999	Sterling Foster & Company, Inc. and Adam Lieberman Release No. 34-41942 File Number: 3-10049
Sept. 29, 1999	Robert J. Smith Release No. IA-1837 File Number: 3-9782
Sept. 29, 1999	Christine A. Beyer Release No. 34-41944 File Number: 3-10050
Sept. 29, 1999	Mario Iacoviello Release No. 34-41940 File Number: 3-10047
Sept. 29, 1999	John Picardi Release No. 34-41945
Sept. 29, 1999	Charles D. Ledford Release No. 34-41941 File Number: 3-10048
Sept. 28, 1999	Danny R. Auerbach, Michael L. Glaser, and James Montgomery, II Release No. 34-41931 File Number: 3-10042
Sept. 28, 1999	Joseph A. Mathes Release No. 34-41927 File Number: 3-10038
Sept. 28, 1999	Ricky D. Barkley Release No. 34-41923
Sept. 28, 1999	Model Imperial, Inc. Release No. 34-41932 File Number: 3-10043
Sept. 28, 1999	Laura M. Drews Release No. 34-41928 File Number: 3-10039
Sept. 28, 1999	Steven R. Zemaitis and Julie Freisinger Release No. 34-41924 File Number: 3-10035
Sept. 28, 1999	Kenneth Schwartz and Joel Steinberg Release No. 34-41933 File Number: 3-10044
Sept. 28, 1999	Stephen J. Pace Release No. 34-41929 File Number: 3-10040
Sept. 28, 1999	Raintree Healthcare Corporation, formerly known as Unison HealthCare Corporation Release No. 34-41925 File Number: 3-10036
Sept. 28, 1999	Material Sciences Corporation Release No. 34-41930 File Number: 3-10041
Sept. 28, 1999	Robert S. Chamberlain Release No. 34-41926 File Number: 3-10037
Sept. 28, 1999	Peter Madsen and Mark Rafferty Release No. 34-41935 File Number: 3-10046
Sept. 28, 1999	Paul Thomas Fink, C.P.A. Release No. 34-41934 File Number: 3-10045
Sept. 27, 1999	William J. Lieberman Release No. IA-1835 File Number: 3-10031
Sept. 27, 1999	Ellen Griggs Release No. IA-1836 File Number: 3-9703
Sept. 27, 1999	Gary A. Rue Release No. 34-41915 File Number: 3-10032
Sept. 27, 1999	Steven J. Erlsten, William H. Clark, Derek L. DuBois, and Aaron Finkelstein Lillian A. McEwen, Administrative Law Judge Release No. 34-41919 File Number: 3-10033
Sept. 27, 1999	Harry Michael Schwartz Release No. IA-1833 File Number: 3-10029
Sept. 27, 1999	Capital Markets Research Company and Paul Edward Holl Release No. IA-1834 File Number: 3-10030
Sept. 24, 1999	Warren G. Trepp; Carol Fox Foelak, Administrative Law Judge Release No. 34-41913 File Number: 3-8833
Sept. 24, 1999	Bernard J. Krispinsky Release No. 34-41914, IA-1832 File Number: 3-10028
Sept. 24, 1999	Jerry W. Anderson and Robert M. Kerns; Robert G. Mahony, Administrative Law Judge Release No. 34-41911 File Number: 3-10027
Sept. 23, 1999	Marsh Block & Co., Inc, Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller Release No. 34-41909 File Number: 3-9244
Sept. 23, 1999	David Scott Heredia Release No. 34-41906 File Number: 3-10025
Sept. 23, 1999	First Colonial Securities Group, Inc., Michael E. Golden, and Steven D. Schwartz Release No. 34-41908
Sept. 22, 1999	Robin A. Heiney Release No. 34-41899
Sept. 22, 1999	Herbert Woll, C.P.A. Release No. 34-41894 File Number: 3-10020
Sept. 22, 1999	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. 34-41895 File Number: 3-9201
Sept. 22, 1999	Barry A. Bates Release No. 34-41893 File Number: 3-10019
Sept. 22, 1999	Gary L. Pittsford Release No. IA-1830 File Number: 3-10023
Sept. 22, 1999	The City of Miami, Florida, Cesar Odio and Manohar Surana; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-41896 File Number: 3-10022
Sept. 22, 1999	Philip A. Lehman and Tower Equities, Inc. Release No. 34-41898, 33-7742, IA-1831 File Number: 3-10024
Sept. 22, 1999	Edward Arnold Patterson Release No. IA-1829 File Number: 3-10021
Sept. 20, 1999	William McNamara Release No. 34-41885 File Number: 3-10016
Sept. 20, 1999	Dorthy A. Chikly Release No. 34-41887, IA-1827 File Number: 3-10017
Sept. 20, 1999	Brian D. O'Toole, d/b/a O'Toole Capital Management, Spectrum Securities Inc., and Steven D. Pirrone Release No. 34-41888, IA-1828 File Number: 3-10018
Sept. 15, 1999	Madison Group Associates, Inc. Release No. 34-41878 File Number: 3-9826
Sept. 14, 1999	Dominic Scacci Release No. 34-41873 File Number: 3-10012
Sept. 14, 1999	Kevin James Quinn Release No. 34-41876 File Number: 3-10013
Sept. 13, 1999	Kevin C. Samson Release No. 34-41865 File Number: 3-10011
Sept. 13, 1999	Engebretson Capital Management, Inc. and Lester W. Engebretson Release No. IA-1825 File Number: 3-10010
Sept. 10, 1999	Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 34-41853, 33-7738 File Number: 3-9125
Sept. 9, 1999	Clarke T. Blizzard and Rudolph Abel Carol Fox Foelak, Administrative Law Judge Release No. IA-1823 File Number: 3-10007
Sept. 9, 1999	Schield Management Company, Marshall L. Schield, and Troy Schield Release No. IA-1824 File Number: 3-10008
Sept. 9, 1999	Fleet Investment Advisors Inc. (as successor to Shawmut Investment Advisers, Inc.) Release No. IA-1821 File Number: 3-10005
Sept. 9, 1999	Karen Michalski and Christopher D. Sargent Release No. IA-1822 File Number: 3-10006
Sept. 8, 1999	Annable Turner & Co., Inc. and Roger E. Turner Lillian A. McEwen, Administrative Law Judge Release No. 34-41842 File Number: 3-10004
Sept. 8, 1999	Van Kampen Investment Advisory Corp. and Alan Sachtleben Release No. IA-1819 File Number: 3-10002
Sept. 8, 1999	Scott A. Rude Release No. 34-41841 File Number: 10b-5
Sept. 3, 1999	Steven G. Barkus Release No. 34-41835 File Number: 3-10000

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in this Section

Breadcrumb

Administrative Proceedings

E-mail Updates