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 19, 1999	William Lowe Release No. 34-41308 File Number: 3-9875
April 19, 1999	Robert Grady Release No. 34-41309 File Number: 3-9876
April 15, 1999	Danny Lee Coomer Release No. 34-41295 File Number: 3-9874
April 14, 1999	Kevin E. Orton, CPA, and Orton & Company; Release No. 34-41283 File Number: 3-9872
April 14, 1999	Michael, Adest & Blumenkrantz, P.C., David Michael, CPA, and Paul Adest, CPA; Release No. 34-41284 File Number: 3-9873
April 13, 1999	Spacedev, Inc. and James W. Benson Release No. 34-41279 File Number: 3-9668
April 9, 1999	Clyde Morgan, Ross Blevins, and Doug Cuthbert Release No. 34-41268 File Number: 3-9870
April 9, 1999	Frank J. Greulich and John R. Rodeman Release No. 34-41269 File Number: 3-9871
April 9, 1999	Craig Freeman, William Lashbrook, and Robert Sewell Release No. 34-41267 File Number: 3-9869
April 9, 1999	Howe, Solomon and Hall and Christopher J. Hall Release No. 34-41266 File Number: 3-9613
April 8, 1999	Peter C. Bucchieri Release No. 34-41265 File Number: 3-9868
April 8, 1999	David S. Weil Release No. 34-41264 File Number: 3-9867
April 6, 1999	Marshall E. Melton and Asset Management & Research, Inc.; James T. Kelly, Administrative Law Judge Release No. 34-41258 File Number: 3-9865
April 5, 1999	Frederick R. Grant, CPA Release No. 34-41255 File Number: 3-9864
April 1, 1999	Charles E. Wessman Release No. 34-41239 File Number: 3-9861
April 1, 1999	Carroll A. Wallace, CPA; James T. Kelly, Administrative Law Judge Release No. 34-41240 File Number: 3-9862
April 1, 1999	Barry C. Scutillo, CPA, and Mark F. Jensen, CPA; James T. Kelly, Administrative Law Judge Release No. 34-41241 File Number: 3-9863
March 31, 1999	Eugene J. Yelverton, Jr. Release No. 33-7662 File Number: 3-9859
March 31, 1999	Thorn, Alvis, Welch, Inc., John E. Thorn, Jr., and Derryl W. Peden; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7663 File Number: 3-8400
March 30, 1999	Kidder, Peabody & Co.. Inc.; Release No. 34-41224 File Number: 3-9857
March 30, 1999	Peter W. Zent and Michael A. Cornblum Release No. 34-41225 File Number: 3-9858
March 30, 1999	Theodore Heitzman Release No. 34-41227
March 30, 1999	Robert Mitchell and Gary Mitchell Release No. 34-41228
March 29, 1999	Golf Ventures, Inc. Release No. 34-41221 File Number: 3-9856
March 23, 1999	Rodger Evans Rees Release No. 34-41202 File Number: 3-9854
March 23, 1999	Lawrence M. Knapp Release No. 34-41205 File Number: 3-9774
March 22, 1999	Gerard Burns Release No. 34-41198
March 22, 1999	Miron Leshem Release No. 34-41197
March 19, 1999	Olde Discount Corp., Ernest J. Olde, Stanley A. Snider, and Daniel D. Katzman Release No. 34-41190 File Number: 3-9699
March 18, 1999	Eugene Laff, Stanley Aslanian, Jr., and Lawrence Caito Release No. 34-41183 File Number: 3-9654
March 18, 1999	Robert S. Barton, CPA Release No. 34-41181 File Number: 3-9851
March 18, 1999	Jeffrey L. Streich Release No. 34-41182 File Number: 3-9852
March 17, 1999	Daniel L. Koehler Release No. 34-41178 File Number: 3-9849
March 17, 1999	Brian E. Farley Release No. 34-41179
March 12, 1999	Kent T. Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook Lillian A. McEwen, Administrative Law Judge Release No. 34-41166 File Number: 3-9440
March 12, 1999	Kent T. Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook Lillian A. McEwen, Administrative Law Judge Release No. 34-41165 File Number: 3-9440
March 11, 1999	Gerard W. King Release No. 34-41154 File Number: 3-9847
March 11, 1999	Charles Stember Release No. 34-41155 File Number: 3-9848
March 11, 1999	Janis A. Patterson Release No. 34-41156 File Number: 3-9691
March 10, 1999	Robert J. Smith Release No. IA-1793 File Number: 3-9782
March 8, 1999	Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson; Robert G. Mahony, Administrative Law Judge Release No. 34-41145 File Number: 3-9686
March 8, 1999	Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl Release No. 34-41146 File Number: 3-9846
March 5, 1999	Andrew L. O'Connell Release No. 34-41144 File Number: 3-9844
March 5, 1999	Eugene Bilotti Release No. 33-7652 File Number: 3-9517
March 3, 1999	Rodney W. Helm Release No. 34-41134 File Number: 3-9843
March 3, 1999	R. Scot Rubel Release No. 34-41129 File Number: 3-9839
March 3, 1999	Robin Heiney Release No. 34-41131 File Number: 3-9840
March 3, 1999	Robert D. Sichta Release No. 34-41132 File Number: 3-9841
March 3, 1999	Randal Y. Stevens Release No. 34-41133 File Number: 3-9842
March 1, 1999	Robert Cedrone Release No. 34-41125
Feb. 26, 1999	TKO International, Inc. and Leonard A. Turano Release No. 33-7650 File Number: 3-9769
Feb. 24, 1999	Sharon Longview, Christie Rockwood, Vicki Kranawetter, and Luther Dale Robinson Release No. 34-41097 File Number: 3-9834
Feb. 24, 1999	Hastings Communications Release No. 33-7643 File Number: 3-9837
Feb. 24, 1999	RCG Capital Markets Group, Inc. and Arthur Max Ramras Release No. 34-41101 File Number: 3-9836
Feb. 24, 1999	Scott P. Flynn and Strategic Network Development, Inc. Release No. 34-41102 File Number: 3-9835
Feb. 24, 1999	Sunrise Medical Inc. Release No. 34-41096 File Number: 3-9833
Feb. 17, 1999	Barrett R. Rochman Release No. 34-41061 File Number: 3-9829
Feb. 17, 1999	James V. Pannone Release No. 34-41065 File Number: 3-9830
Feb. 11, 1999	Micro Component Technology, Inc., DuaneAug. Wille, CPA, Steven David Turner, Jeff Allen Stewart, and Daniel James Hill Release No. 34-41043 File Number: 3-9828
Feb. 11, 1999	Stephen J. McErlain Release No. 34-41042 File Number: 3-9827
Feb. 10, 1999	Joseph W. Pellechia Release No. 34-41035 File Number: 3-9718
Feb. 10, 1999	Miguel A. Cabrera, Jr. and M.A. Cabrera & Co., P.A. Release No. 34-41038 File Number: 3-9825
Feb. 10, 1999	Madison Group Associates, Inc. Release No. 34-41039 File Number: 3-9826
Feb. 10, 1999	Certain Broker-Dealers who failed to file all or part of Form BD-Y2K; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-41040 File Number: 3-9759
Feb. 10, 1999	Republic New York Securities Corporation and James Edward Sweeney Release No. 34-41036 File Number: 3-9823
Feb. 10, 1999	Anthony J. Gentile Release No. 34-41037 File Number: 3-9824
Feb. 9, 1999	Randy Depoister Release No. 34-41031 File Number: 3-9728
Feb. 8, 1999	Marsh Block & Co., Inc, Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller Release No. 34-41024 File Number: 3-9244
Feb. 3, 1999	Certain Broker-Dealers who failed to file all or part of Form BD-Y2K; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-41020 File Number: 3-9759
Feb. 2, 1999	Donnkenny, Inc. Release No. 34-41012 File Number: 3-9822
Jan. 28, 1999	James Bogner, CPA Release No. 34-40987 File Number: 3-9478
Jan. 28, 1999	James C. Morris Release No. 34-40986
Jan. 27, 1999	Randall W. Nelson Release No. 34-40984 File Number: 3-9819
Jan. 26, 1999	Steven R. Schaefer and AMPG, Inc. Release No. 34-40977 File Number: 3-9818
Jan. 22, 1999	William Masucci Release No. 34-40965 File Number: 3-9816
Jan. 22, 1999	RichardMar.ese Release No. 34-40966 File Number: 3-9817
Jan. 22, 1999	Eric Monchecourt Release No. 34-40964
Jan. 21, 1999	Global Information Services, Inc. d/b/a Investment Hotlines and James E. Grady Release No. 33-7632 File Number: 3-9772
Jan. 21, 1999	Tony Fiorino Release No. 34-40958 File Number: 3-9814
Jan. 15, 1999	Frank E. Stephan, C.P.A. Release No. 40952
Jan. 14, 1999	PricewaterhouseCoopers LLP Release No. 40945 File Number: 3-9809
Jan. 14, 1999	Certain Broker-Dealers who failed to file all or part of Form BD-Y2K; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-40948 File Number: 3-9759
Jan. 14, 1999	Leifer Capital, Inc., Jeffrey Leifer, and David Leifer Release No. 7630 File Number: 3-9810
Jan. 13, 1999	Livent Inc. Release No. 34-40937 File Number: 3-9806
Jan. 13, 1999	Christopher Mark Craib Release No. 34-40938 File Number: 3-9807
Jan. 13, 1999	Gordon C. Eckstein Release No. 34-40939 File Number: 3-9808
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40901 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40902 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40903 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40900 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40921 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40917 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40913 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40909 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40905 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40918 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40914 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40910 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40906 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40919 File Number: 3-9803

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