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.

Date	Respondents
Date: Jan. 7, 1999	Respondents: H.J. Meyers & Co., Inc. and Tobin J. Senefeld Release No. 34-40892 File Number: 3-9754
Date: Jan. 7, 1999	Respondents: Corporate Planners, Inc., CSJ Limited Liability Company, Davidson Trust Co., Ivy Mackenzie Services Corp., and National Stock Transfer and Accounting, Inc. Release No. 34-40895 File Number: 3-9801
Date: Jan. 7, 1999	Respondents: Alpha Tech Stock Transfer Trust, Greenfield Fund, Inc., Manor Investment Funds, Inc., and United Stock Transfer, Inc. Release No. 34-40899 File Number: 3-9802
Date: Jan. 7, 1999	Respondents: Euro-Atlantic Securities, Inc. Brian A. Schmidt, Darlan E. Gordon, John T. Madden, William Avent, and John Aristotle Dilworth II; Robert G. Mahony, Administrative Law Judge Release No. 34-40891 File Number: 3-9402
Date: Jan. 6, 1999	Respondents: Jean Costanza Release No. 33-7621 File Number: 3-9799
Date: Dec. 29, 1998	Respondents: Cesar A. Montilla Release No. 34-40855 File Number: 3-9669
Date: Dec. 29, 1998	Respondents: Michael W. Roberts, C.P.A. Release No. 34-40860 File Number: 3-9798
Date: Dec. 29, 1998	Respondents: Steven M. Gross Release No. 34-40859 File Number: 3-9797
Date: Dec. 28, 1998	Respondents: Meridian Investment Management Corporation, Michael J. Hart, and Craig T. Callahan Release No. 33-1779 File Number: 3-9796
Date: Dec. 23, 1998	Respondents: Teressa L. Cawley Release No. 34-40827 File Number: 3-9794
Date: Dec. 23, 1998	Respondents: Wayne T. Drinkwine Release No. 34-40831 File Number: 3-9795
Date: Dec. 23, 1998	Respondents: Sean P. Brennan and Keith E. Walsh Release No. 33-7619 File Number: 3-9716
Date: Dec. 22, 1998	Respondents: Jean-Paul Bolduc, Brian J. Smith, CPA, Richard N. Sukenik, CPA, Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, CPA Release No. 34-40819
Date: Dec. 21, 1998	Respondents: William C. Bethea Release No. 34-40818 File Number: 3-9792
Date: Dec. 14, 1998	Respondents: Keith Youngswick Release No. 34-40787 File Number: 3-9789
Date: Dec. 14, 1998	Respondents: Marisa Baridis Release No. 34-40788 File Number: 3-9790
Date: Dec. 10, 1998	Respondents: City of Moorhead, Mississippi Release No. 33-7616, 34-40770 File Number: 3-9724
Date: Dec. 10, 1998	Respondents: Michael P. Traba Release No. 33-7617, 34-40772, IC-23595 File Number: 3-9788
Date: Dec. 10, 1998	Respondents: Anthony J. Bruno and James A. Bruno Release No. 34-40769 File Number: 3-9787
Date: Dec. 9, 1998	Respondents: Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.; James T. Kelly, Administrative Law Judge Release No. 33-7614, 34-40764, IA-1776 File Number: 3-9784
Date: Dec. 9, 1998	Respondents: Richard Hoffman and Kirk Montgomery; Carol Fox Foelak, Administrative Law Judge Release No. 33-7615, 34-40766 File Number: 3-9786
Date: Dec. 9, 1998	Respondents: FSC Securities Corporation Release No. 34-40765 File Number: 3-9785
Date: Nov. 30, 1998	Respondents: First Fidelity Securities Group Release No. 4-40724 File Number: 3-8917
Date: Nov. 30, 1998	Respondents: Francis C. Decabia Release No. 34-40725 File Number: 3-9783
Date: Nov. 25, 1998	Respondents: Robert J. Smith Release No. 40-1775 File Number: 3-9782
Date: Nov. 23, 1998	Respondents: Stephens Inc. Release No. 33-7612, 34-40699 File Number: 3-9781
Date: Nov. 23, 1998	Respondents: Stephens Inc. Release No. 613
Date: Nov. 20, 1998	Respondents: H. Thomas Fehn Release No. 34-40697 File Number: 3-9518
Date: Nov. 19, 1998	Respondents: James R. Frith, Jr. Release No. 34-40691 File Number: 3-9780
Date: Nov. 16, 1998	Respondents: Leandro Javier Obenauer and Brian Lynch Release No. 34-40682 File Number: 3-9779
Date: Nov. 13, 1998	Respondents: Howe, Solomon and Hall and Christopher J. Hall Release No. 34-40677 File Number: 3-9613
Date: Nov. 12, 1998	Respondents: Westcap Securities, L.P. Release No. 34-40661 File Number: 3-8947
Date: Nov. 12, 1998	Respondents: William Sedkey Saydein Release No. 34-40664 File Number: 3-9777
Date: Nov. 12, 1998	Respondents: Maynard Matt Smith Release No. 33-7610 File Number: 3-9770
Date: Nov. 9, 1998	Respondents: Lawrence M. Knapp Release No. 34-40650 File Number: 3-9774
Date: Nov. 4, 1998	Respondents: Terry T. Steen; Carol Fox Foelak, Administrative Law Judge Release No. 3440640 File Number: 3-8798
Date: Nov. 2, 1998	Respondents: Ira William Scott; Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1773 File Number: 3-9105
Date: Oct. 27, 1998	Respondents: The High Growth Publishing Group and Everett Gust Release No. 33-7595 File Number: 3-9762
Date: Oct. 27, 1998	Respondents: Russell Klein Release No. 33-7596 File Number: 3-9763
Date: Oct. 27, 1998	Respondents: Donald A. Baillargeon, individually and d/b/a Emerging Company Report Release No. 33-7597 File Number: 3-9764
Date: Oct. 27, 1998	Respondents: Core Communications Group, Inc. and Joshua Z. Levine Release No. 33-7598 File Number: 3-9765
Date: Oct. 27, 1998	Respondents: National Investors Council and Skip Nordstrom Release No. 33-7600 File Number: 3-9766
Date: Oct. 27, 1998	Respondents: Eugene B. Martineau Release No. 33-7599 File Number: 3-9767
Date: Oct. 27, 1998	Respondents: David A. Wood, Jr. and ICS Communications, Inc. Release No. 33-7601 File Number: 3-9768
Date: Oct. 27, 1998	Respondents: TKO International, Inc. and Leonard A. Turano Release No. 33-7602 File Number: 3-9769
Date: Oct. 27, 1998	Respondents: Maynard Matt Smith Release No. 33-7603 File Number: 3-9770
Date: Oct. 27, 1998	Respondents: IBJ Publications, Inc. Release No. 33-7604 File Number: 3-9771
Date: Oct. 27, 1998	Respondents: Global Information Services, Inc. d/b/a Investment Hotlines and James E. Grady Release No. 33-7605 File Number: 3-9772
Date: Oct. 27, 1998	Respondents: O'Brien Partners, Inc. Release No. 33-7594, IA-1772 File Number: 3-9761
Date: Oct. 26, 1998	Respondents: Daniel J. Bubalo Release No. 34-40601
Date: Oct. 20, 1998	Respondents: Certain Broker-Dealers Who Failed To File All or Part of Form BD-Y2K Release No. 34-40573 File Number: 3-9758
Date: Oct. 20, 1998	Respondents: Certain Broker-Dealers who failed to file all or part of Form BD-Y2K; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-40574 File Number: 3-9759
Date: Oct. 13, 1998	Respondents: Thomas B. O'Connell Release No. 33-7592, 34-40544, IA-1770 File Number: 3-9572
Date: Oct. 8, 1998	Respondents: Matthew Thomas Burgason Release No. 34-40531 File Number: 3-9757
Date: Sept. 30, 1998	Respondents: William N. Briggs Release No. 34-40506 File Number: 3-9361
Date: Sept. 30, 1998	Respondents: Allen Weinstein Release No. 34-40501 File Number: 3-9745
Date: Sept. 30, 1998	Respondents: Douglas C. Selander Release No. 34-40502 File Number: 3-9746
Date: Sept. 30, 1998	Respondents: John Marsala Release No. 34-40503 File Number: 3-9747
Date: Sept. 30, 1998	Respondents: Irwin Frankel Release No. 34-40504 File Number: 3-9748
Date: Sept. 30, 1998	Respondents: J. David Glover, Jr. Release No. 34-40508 File Number: 3-9752
Date: Sept. 30, 1998	Respondents: Michelle Sotnikow Release No. 34-40509 File Number: 3-9753
Date: Sept. 30, 1998	Respondents: H.J. Meyers & Co., Inc. and Tobin J. Senefeld Release No. 34-40510 File Number: 3-9754
Date: Sept. 30, 1998	Respondents: Schuylkill Capital Management, Ltd. and Howard A. Trauger Release No. IA-1766 File Number: 3-9457
Date: Sept. 30, 1998	Respondents: Abn Amro-Nsm International Funds Management, B.V. Release No. IA-1767 File Number: 3-9751
Date: Sept. 30, 1998	Respondents: Craig Leibold, Jeffrey Oetting, Tom Pollard, and Mark Salter Release No. 33-7591, 34-40507 File Number: 3-9750
Date: Sept. 30, 1998	Respondents: Bell Capital Management, Inc., Ronnie H. Bell, Thomas C. Comsudes, and Mark S. Palmer Release No. IA-1768
Date: Sept. 29, 1998	Respondents: Donna Laubscher, CPA and Sherald Griffin, CPA Release No. 34-40495 File Number: 3-9740
Date: Sept. 29, 1998	Respondents: Newport-Mesa Unified School District Release No. 33-7589 File Number: 3-9738
Date: Sept. 29, 1998	Respondents: City of Anaheim, City of Irvine, Irvine Unified School District, North Orange County Community College District, and Orange County Board Of Education Release No. 33-7590 File Number: 3-9739
Date: Sept. 29, 1998	Respondents: Finarc, LLC and Catherine F. White Release No. IA-1763 File Number: 801-37761
Date: Sept. 29, 1998	Respondents: Profitek, Inc. and Edward G. Smith Release No. IA-1764 File Number: 3-9743
Date: Sept. 29, 1998	Respondents: Rhumbline Advisers and John D. Nelson Release No. IA-1765 File Number: 3-9744
Date: Sept. 29, 1998	Respondents: Mike Zaman Release No. 34-40494 File Number: 3-9737
Date: Sept. 28, 1998	Respondents: Byron G. Borgardt and Eric M. Banhazl; James T. Kelly, Administrative Law Judge Release No. 33-7587, IC-23468 File Number: 3-9730
Date: Sept. 28, 1998	Respondents: Reid Rutherford Release No. 33-7588, IC-23469 File Number: 3-9731
Date: Sept. 28, 1998	Respondents: Concord Growth Corporation Release No. IC-23470 File Number: 3-9732
Date: Sept. 28, 1998	Respondents: Rupay-Barrington Investment Advisory Services, Inc. and Frederick A. Wolf Release No. IA-1761, IC-23471 File Number: 3-9734
Date: Sept. 28, 1998	Respondents: Christopher M. Pedersen Release No. 34-40490 File Number: 3-9635
Date: Sept. 28, 1998	Respondents: Nancy A. Swoffer Release No. 34-40488 File Number: 3-9735
Date: Sept. 28, 1998	Respondents: Patricia S. Gale Release No. 34-40489 File Number: 3-9736
Date: Sept. 25, 1998	Respondents: Ted C. Beattie and Linda Beattie Release No. 34-40480 File Number: 3-9726
Date: Sept. 25, 1998	Respondents: Randy Depoister Release No. 34-40483, IA-1759 File Number: 3-9728
Date: Sept. 25, 1998	Respondents: Pankowski Associates, Inc. and Joseph R. Pankowski Release No. IA-1758 File Number: 3-9727
Date: Sept. 25, 1998	Respondents: Seaboard Investment Advisers, Inc. and Eugene W. Hansen; Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1757 File Number: 3-9725
Date: Sept. 25, 1998	Respondents: John W. Gillette, Jr. Release No. 34-40484, IA-1760 File Number: 3-9729
Date: Sept. 24, 1998	Respondents: Corrpro Companies, Inc., Richard K. Harr Release No. 34-40476 File Number: 3-9722
Date: Sept. 24, 1998	Respondents: Global Casinos, Inc. and William P. Martindale Release No. 33-7586, 34-40469 File Number: 3-9719
Date: Sept. 24, 1998	Respondents: Joseph W. Pellechia Release No. 34-40468 File Number: 3-9718
Date: Sept. 24, 1998	Respondents: Ronald Bajorek, Jr. Release No. 34-40470 File Number: 3-9720
Date: Sept. 24, 1998	Respondents: John Von Der Lieth, III, and Daniel F. Dugan Release No. 34-40471 File Number: 3-9721
Date: Sept. 24, 1998	Respondents: Robert J. Meledandri, Jr. Release No. 34-40477 File Number: 3-9723
Date: Sept. 24, 1998	Respondents: City of Moorhead, Mississippi Release No. 33-7585, 34-40478 File Number: 3-9724
Date: Sept. 23, 1998	Respondents: Nylife Securities Inc. Release No. 34-40459 File Number: 3-9712
Date: Sept. 23, 1998	Respondents: John T. Fortier Release No. 34-40460
Date: Sept. 23, 1998	Respondents: Daniel L. Gotthilf, C.P.A. Release No. 34-40461
Date: Sept. 23, 1998	Respondents: David E. Freitag Release No. 34-40462 File Number: 3-9714
Date: Sept. 23, 1998	Respondents: Raymond R. Newberg Release No. 33-7582, 34-40464 File Number: 3-9456
Date: Sept. 23, 1998	Respondents: CS First Boston Investment Management Corporation Release No. 33-7583, 34-40465, IA-1754 File Number: 3-9715
Date: Sept. 23, 1998	Respondents: Sean P. Brennan and Keith E. Walsh Release No. 33-7584, 34-40466, IA-1755, IC-23463 File Number: 3-9716
Date: Sept. 23, 1998	Respondents: Nicholas C. Bogard Release No. 34-40467, IA-1756 File Number: 3-9717