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
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 C. Morris Release No. 34-40986
Jan. 28, 1999	James Bogner, CPA Release No. 34-40987 File Number: 3-9478
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	RichardMar.ese Release No. 34-40966 File Number: 3-9817
Jan. 22, 1999	Eric Monchecourt Release No. 34-40964
Jan. 22, 1999	William Masucci Release No. 34-40965 File Number: 3-9816
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	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. 13, 1999	Livent Inc. Release No. 34-40937 File Number: 3-9806
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. 34-40901 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
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40915 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40911 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40907 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40920 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40916 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40912 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40908 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40904 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. 34-40930 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40926 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40922 File Number: 3-9803
Jan. 11, 1999	Craig S. Vanucci and Brian K. Andrew Release No. 33-7625 File Number: 3-9804
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40927 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40923 File Number: 3-9803
Jan. 11, 1999	John E. Backlund, John H. Hankins, Howard L. Peterson, and John G. Guffey Release No. 33-7626 File Number: 3-9805
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40928 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40924 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40929 File Number: 3-9803
Jan. 11, 1999	Certain market making activities on NASDAQ Release No. 34-40925 File Number: 3-9803
Jan. 7, 1999	H.J. Meyers & Co., Inc. and Tobin J. Senefeld Release No. 34-40892 File Number: 3-9754
Jan. 7, 1999	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
Jan. 7, 1999	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
Jan. 7, 1999	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
Jan. 7, 1999	Joel Pensley Release No. 34-40890 File Number: 3-9800
Jan. 6, 1999	Jean Costanza Release No. 33-7621 File Number: 3-9799
Dec. 29, 1998	Cesar A. Montilla Release No. 34-40855 File Number: 3-9669
Dec. 29, 1998	Michael W. Roberts, C.P.A. Release No. 34-40860 File Number: 3-9798
Dec. 29, 1998	Steven M. Gross Release No. 34-40859 File Number: 3-9797
Dec. 28, 1998	Meridian Investment Management Corporation, Michael J. Hart, and Craig T. Callahan Release No. 33-1779 File Number: 3-9796
Dec. 23, 1998	Teressa L. Cawley Release No. 34-40827 File Number: 3-9794
Dec. 23, 1998	Wayne T. Drinkwine Release No. 34-40831 File Number: 3-9795
Dec. 23, 1998	Sean P. Brennan and Keith E. Walsh Release No. 33-7619 File Number: 3-9716
Dec. 22, 1998	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
Dec. 21, 1998	William C. Bethea Release No. 34-40818 File Number: 3-9792
Dec. 14, 1998	Keith Youngswick Release No. 34-40787 File Number: 3-9789
Dec. 14, 1998	Marisa Baridis Release No. 34-40788 File Number: 3-9790
Dec. 10, 1998	City of Moorhead, Mississippi Release No. 33-7616, 34-40770 File Number: 3-9724
Dec. 10, 1998	Michael P. Traba Release No. 33-7617, 34-40772, IC-23595 File Number: 3-9788
Dec. 10, 1998	Anthony J. Bruno and James A. Bruno Release No. 34-40769 File Number: 3-9787
Dec. 9, 1998	Richard Hoffman and Kirk Montgomery; Carol Fox Foelak, Administrative Law Judge Release No. 33-7615, 34-40766 File Number: 3-9786
Dec. 9, 1998	FSC Securities Corporation Release No. 34-40765 File Number: 3-9785
Dec. 9, 1998	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
Nov. 30, 1998	First Fidelity Securities Group Release No. 4-40724 File Number: 3-8917
Nov. 30, 1998	Francis C. Decabia Release No. 34-40725 File Number: 3-9783
Nov. 25, 1998	Robert J. Smith Release No. 40-1775 File Number: 3-9782
Nov. 23, 1998	Stephens Inc. Release No. 33-7612, 34-40699 File Number: 3-9781
Nov. 23, 1998	Stephens Inc. Release No. 613
Nov. 20, 1998	H. Thomas Fehn Release No. 34-40697 File Number: 3-9518
Nov. 19, 1998	James R. Frith, Jr. Release No. 34-40691 File Number: 3-9780
Nov. 16, 1998	Leandro Javier Obenauer and Brian Lynch Release No. 34-40682 File Number: 3-9779
Nov. 13, 1998	Howe, Solomon and Hall and Christopher J. Hall Release No. 34-40677 File Number: 3-9613
Nov. 12, 1998	William Sedkey Saydein Release No. 34-40664 File Number: 3-9777
Nov. 12, 1998	Maynard Matt Smith Release No. 33-7610 File Number: 3-9770
Nov. 12, 1998	Westcap Securities, L.P. Release No. 34-40661 File Number: 3-8947
Nov. 9, 1998	Lawrence M. Knapp Release No. 34-40650 File Number: 3-9774
Nov. 4, 1998	Terry T. Steen; Carol Fox Foelak, Administrative Law Judge Release No. 3440640 File Number: 3-8798
Nov. 2, 1998	Ira William Scott; Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1773 File Number: 3-9105
Oct. 27, 1998	The High Growth Publishing Group and Everett Gust Release No. 33-7595 File Number: 3-9762
Oct. 27, 1998	Russell Klein Release No. 33-7596 File Number: 3-9763
Oct. 27, 1998	O'Brien Partners, Inc. Release No. 33-7594, IA-1772 File Number: 3-9761
Oct. 27, 1998	TKO International, Inc. and Leonard A. Turano Release No. 33-7602 File Number: 3-9769
Oct. 27, 1998	Core Communications Group, Inc. and Joshua Z. Levine Release No. 33-7598 File Number: 3-9765
Oct. 27, 1998	Maynard Matt Smith Release No. 33-7603 File Number: 3-9770
Oct. 27, 1998	National Investors Council and Skip Nordstrom Release No. 33-7600 File Number: 3-9766
Oct. 27, 1998	IBJ Publications, Inc. Release No. 33-7604 File Number: 3-9771
Oct. 27, 1998	Eugene B. Martineau Release No. 33-7599 File Number: 3-9767
Oct. 27, 1998	Global Information Services, Inc. d/b/a Investment Hotlines and James E. Grady Release No. 33-7605 File Number: 3-9772
Oct. 27, 1998	David A. Wood, Jr. and ICS Communications, Inc. Release No. 33-7601 File Number: 3-9768

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