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: Dec. 1, 1997	Respondents: Robert Gossett and Ronald Langos Release No. 34-39377, AAER-992 File Number: 3-9493
Date: Dec. 1, 1997	Respondents: Eric S. Blumen, Ira A. Boshnack, Andrew S. Friedman, Jordan I. Shamah and Irving Stitsky, all former principals and registered representatives ("RRs"), and Douglas C. Miller, a former RR, at Stratton Oakmont, Inc. Release No. 33-7477, 34-39375 File Number: 3-9491
Date: Dec. 1, 1997	Respondents: Stephen P. Morin, CPA Release No. 34-39376, AAER-991 File Number: 3-9492
Date: Nov. 26, 1997	Respondents: Anthony S. Battaglia, Jr. Release No. 34-39360 File Number: 3-9489
Date: Nov. 26, 1997	Respondents: Freeman B. Irby III Release No. 34-39362 File Number: 3-9490
Date: Nov. 18, 1997	Respondents: Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 34-39335 File Number: 3-9125
Date: Nov. 17, 1997	Respondents: Bausch & Lomb Incorporated, Harold O. Johnson, Ermin Ianacone, and Kurt Matsumoto Release No. 34-39329, AAER-987 File Number: 3-9488
Date: Nov. 7, 1997	Respondents: 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. 33-7474, 34-39310 File Number: 3-9201
Date: Nov. 7, 1997	Respondents: Russo Securities, Inc., Patrick Russo, and Kimberly Kent; G. Marvin Bober, Administrative Law Judge Release No. 34-39312 File Number: 3-9484
Date: Nov. 7, 1997	Respondents: Kenneth O'Neal, Donald White, and George Christopher Bleier Release No. 34-39314 File Number: 3-9485
Date: Nov. 4, 1997	Respondents: Dickinson & Co. and T. Marshall Swartwood Release No. 33-7473, 34-39293 File Number: 3-9321
Date: Nov. 3, 1997	Respondents: Orlando Super Card, Inc. Release No. 34-39290
Date: Oct. 29, 1997	Respondents: Ronald J. Viemont Release No. 34-39283 File Number: 3-9363
Date: Oct. 27, 1997	Respondents: Bradbury Financial Group, Inc., and Randall E. Bradbury Release No. 34-39279, IA-1680 File Number: 3-9482
Date: Oct. 22, 1997	Respondents: 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. 33-7471, 34-39263 File Number: 3-9201
Date: Oct. 20, 1997	Respondents: Lawrence A. Krause, Kw Financial Services, Inc., KW Securities Corp., Lawrence A. Krause & Associates, Inc. Release No. 33-7469, IA-1678 File Number: 3-9477
Date: Oct. 16, 1997	Respondents: John L. Bridges, Jr. Release No. 34-39243 File Number: 3-9370
Date: Oct. 7, 1997	Respondents: Duane Green Release No. 34-39210 File Number: 3-9475
Date: Oct. 7, 1997	Respondents: Mark E. Gatch Release No. 34-39212IA-1677 File Number: 3-9476
Date: Oct. 7, 1997	Respondents: United States Properties, Inc. ("USPI") Release No. 34-39215
Date: Oct. 7, 1997	Respondents: Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 33-7468, 34-39209 File Number: 3-9125
Date: Oct. 7, 1997	Respondents: Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 33-7466, 34-39207 File Number: 3-9125
Date: Oct. 7, 1997	Respondents: Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 33-7467, 34-39208 File Number: 3-9125
Date: Oct. 3, 1997	Respondents: Pinnacle Micro, Inc., Scott A. Blum, and Lilia Craig Release No. 34-39194AAE-975 File Number: 3-9473
Date: Sept. 30, 1997	Respondents: W.R. Grace and Co. Release No. 34-39156 File Number: 3-9460
Date: Sept. 30, 1997	Respondents: Diversified Capital Resources, Inc. and Angel Lorie Release No. 34-39161 File Number: 3-9463
Date: Sept. 30, 1997	Respondents: Paul Francis Mabry Release No. 34-39163 File Number: 3-9464
Date: Sept. 30, 1997	Respondents: Mark A. Ritacco Release No. 34-39164 File Number: 3-9465
Date: Sept. 30, 1997	Respondents: Laser Photonics, Inc. Release No. 33-746334-39166AAE-971 File Number: 3-9467
Date: Sept. 30, 1997	Respondents: John R. Alfson Release No. 33-746434-39167AAE-972 File Number: 3-9468
Date: Sept. 30, 1997	Respondents: Philip Mcinnes Release No. AAE-96834-39147 File Number: 3-9450
Date: Sept. 30, 1997	Respondents: Mary Brennan Release No. AAE-96934-39148 File Number: 3-9451
Date: Sept. 30, 1997	Respondents: The City Of Syracuse, New York, Warren D. Simpson, andEdward D. Polgreen Release No. 33-746034-39149AAE-970 File Number: 3-9452
Date: Sept. 30, 1997	Respondents: Mark Coleman Graves Release No. 34-39152 File Number: 3-9455
Date: Sept. 30, 1997	Respondents: Schuylkill Capital Management, Ltd. and Howard A. Trauger Release No. IA-1675 File Number: 3-9457
Date: Sept. 30, 1997	Respondents: Sam Moore Release No. 34-39155 File Number: 3-9459
Date: Sept. 30, 1997	Respondents: Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation; Carol Fox Foelak, Administrative Law Judge Release No. 33-746234-39158 File Number: 3-9461
Date: Sept. 30, 1997	Respondents: Joseph P. Greenwald Release No. 34-39160 File Number: 3-9462
Date: Sept. 30, 1997	Respondents: Frank Klaus Release No. 34-39165 File Number: 3-9466
Date: Sept. 30, 1997	Respondents: Helen A. Roy, Christopher E. Beimel, William P. Hogan,Bruce W. Batley, Daniel D. Beimel, and John W. Ford Release No. 34-39168 File Number: 3-9470
Date: Sept. 30, 1997	Respondents: Marion Bass Securities Corp. ("MBSC"), and Gerald P. Chandik("Chandik") Release No. 33-746534-39170
Date: Sept. 30, 1997	Respondents: Christopher Laporte and Government Securities Corporation Release No. 34-39171 File Number: 3-9472
Date: Sept. 30, 1997	Respondents: William H. Malek Release No. 34-39150 File Number: 3-9453
Date: Sept. 30, 1997	Respondents: Michael L. Cooperstock Release No. 34-39151 File Number: 3-9454
Date: Sept. 30, 1997	Respondents: Sandra Simpson and Daphne Pattee; Robert G. Mahony, Administrative Law Judge Release No. 34-39154 File Number: 3-9458
Date: Sept. 29, 1997	Respondents: Cary S. Greene Release No. 34-39141 File Number: 3-9445
Date: Sept. 29, 1997	Respondents: LDF Management, Inc. and Laura D. Fletcher Release No. 33-7458;34-39142 File Number: 3-9446
Date: Sept. 29, 1997	Respondents: Curtis L. Dally Release No. 34-39144AAE-967 File Number: 3-9447
Date: Sept. 29, 1997	Respondents: Abraham and Sons Capital, Inc. and Brett G. Brubaker; Robert G. Mahony, Administrative Law Judge Release No. 33-745934-39145IA-1673 File Number: 3-9448
Date: Sept. 29, 1997	Respondents: Mark S. Chanko Release No. 34-39146IA-1674 File Number: 3-9449
Date: Sept. 26, 1997	Respondents: Kent T.Black, Joel L. Hurst, David E. Lynch, Larry E.Muller, and Robert L. McCook Release No. 34-39134
Date: Sept. 26, 1997	Respondents: A. Monzione, and Arthur R. Lapka Release No. 34-39135 File Number: 3-9441
Date: Sept. 26, 1997	Respondents: Virgil Dean Damhof Release No. 34-39136IA-1671 File Number: 3-9442
Date: Sept. 26, 1997	Respondents: Cortlandt Capital Corp., Mayer Amsel, and Joseph MichaelGuccione Release No. 34-39138
Date: Sept. 26, 1997	Respondents: Advisors, Inc. f/k/a Public Employees Financial Advisors,Inc. and Thomas Leroy Brown Release No. IA-1672 File Number: 3-9443
Date: Sept. 25, 1997	Respondents: Michael J. Oberholzer Release No. 34-39127 File Number: 3-9434
Date: Sept. 25, 1997	Respondents: Herbert Moskowitz; Carol Fox Foelak, Administrative Law Judge Release No. 34-39128AAE-965 File Number: 3-9435
Date: Sept. 25, 1997	Respondents: David M. Carmichael, Anthony Kohl, and Chris Adams Release No. 34-39130 File Number: 3-9436
Date: Sept. 25, 1997	Respondents: Stephen D. Gellas Release No. 34-39132 File Number: 3-9437
Date: Sept. 25, 1997	Respondents: Joseph F. Reese; Carol Fox Foelak, Administrative Law Judge Release No. 33-7457 File Number: 3-9439
Date: Sept. 25, 1997	Respondents: Edward Christian Farni Release No. 34-39133 File Number: 3-9438
Date: Sept. 24, 1997	Respondents: Richard Milbrodt Release No. 33-7455;34-39121 File Number: 3-9429
Date: Sept. 24, 1997	Respondents: Dwight Allen Release No. 33-745634-39122 File Number: 3-9430
Date: Sept. 24, 1997	Respondents: Gerald P. Hirsch Release No. 34-39123 File Number: 3-9431
Date: Sept. 24, 1997	Respondents: Elliot Stumacher Release No. 34-39124AAE-963 File Number: 3-9432
Date: Sept. 24, 1997	Respondents: Nycal Corp Release No. 34-39125 File Number: 3-9433
Date: Sept. 23, 1997	Respondents: Smith Barney, Inc. Release No. 34-39118 File Number: 3-9426
Date: Sept. 22, 1997	Respondents: Michael C. Robertson and M.C. Robertson & Associates, Inc. Release No. 33-7453;34-39107;IA-1669;IC-22829 File Number: 3-9100
Date: Sept. 22, 1997	Respondents: Gary L. Hamby and Gary B. Ross Release No. 34-39102,IA-1668 File Number: 3-9422
Date: Sept. 22, 1997	Respondents: Dennis Murray Bissell Release No. 34-39108 File Number: 3-9423
Date: Sept. 22, 1997	Respondents: J.M. Dickinson Bransford Release No. 33-7454 File Number: 3-9424
Date: Sept. 22, 1997	Respondents: ProFinancial Advisors, Inc., and W. Ralph Wills, III Release No. IA-1670 File Number: 3-9425
Date: Sept. 22, 1997	Respondents: Michael C. Robertson and M.C. Robertson & Associates, Inc. Release No. 33-745334-39107IA-1669IC-22829 File Number: 3-9100
Date: Sept. 19, 1997	Respondents: Joseph B. Johnson Release No. 34-39097;IA-1667 File Number: 3-9421
Date: Sept. 18, 1997	Respondents: David Hersh, CPA Release No. 34-39089;AAE-962 File Number: 3-9416
Date: Sept. 18, 1997	Respondents: A. David Hengstler Release No. 33-7451;34-39090 File Number: 3-9417
Date: Sept. 18, 1997	Respondents: George Garcy Release No. 33-7452;34-39091 File Number: 3-9419
Date: Sept. 17, 1997	Respondents: Freddie Don Stewart Release No. 34-39085 File Number: 3-9415
Date: Sept. 16, 1997	Respondents: D.L. Gresty & Company, Inc., David Lee Gresty, and Marcia A.Gresty Release No. IA-1665 File Number: 3-9412
Date: Sept. 16, 1997	Respondents: Stephens Inc. Release No. IA-1666 File Number: 3-9413
Date: Sept. 16, 1997	Respondents: Century Technologies Inc. Release No. 34-39081,AAE-961 File Number: 3-9411
Date: Sept. 15, 1997	Respondents: Michael D. Gibson Release No. 33-7450,34-39061
Date: Sept. 15, 1997	Respondents: Legend Sports, Inc. Release No. .34-39072
Date: Sept. 15, 1997	Respondents: John D. MacKenzie Release No. IA-1662,34-39073 File Number: 3-9407
Date: Sept. 15, 1997	Respondents: Vilis Pasts, Bts/Bond Timing, Inc., Bond Timing SecuritiesCorp. and Adonis Berzins Release No. 34-39074,IA-1663,IC-22820 File Number: 3-9408
Date: Sept. 15, 1997	Respondents: James R. Bryan, CPA Release No. AAE-960,34-39077 File Number: 3-9409
Date: Sept. 15, 1997	Respondents: Rodney B. Hedges Release No. 34-39078 File Number: 3-9410
Date: Sept. 12, 1997	Respondents: Edward M. Collins Release No. 34-39062
Date: Sept. 11, 1997	Respondents: Douglas R. Coates, CPA Release No. 34-39052,AAE-958 File Number: 3-9405
Date: Sept. 11, 1997	Respondents: Monroe Parker Securities, Inc. Release No. 34-39057 File Number: 3-9174
Date: Sept. 11, 1997	Respondents: Robert A. Quiel Release No. 3439056 File Number: 3-9196
Date: Sept. 10, 1997	Respondents: Mickie E. Higgins-Hallke, CPA, CPA Release No. 34-39039,AAE-952 File Number: 3-9396
Date: Sept. 10, 1997	Respondents: Wyatt Gene Ross Release No. 34-39040,AAE-953 File Number: 3-9397
Date: Sept. 10, 1997	Respondents: Lynn K. Ross Release No. 34-39041,AAE-954 File Number: 3-9398
Date: Sept. 10, 1997	Respondents: Juergens Otto Winkler Release No. 33-7449,34-39042 File Number: 3-9399
Date: Sept. 10, 1997	Respondents: William B. Sanders, CPA Release No. 34-39045,AAE-955 File Number: 3-9400
Date: Sept. 10, 1997	Respondents: Carol A. Hamby and David W. Stepanek Release No. 34-39046,IA-1661 File Number: 3-9401
Date: Sept. 10, 1997	Respondents: Euro-Atlantic Securities, Inc., Brian A. Schmidt, Darlan E.Gordon, John T. Madden, William Aven, and John Aristotle DilworthII Release No. 34-39047
Date: Sept. 9, 1997	Respondents: Frank P. Meadows, III, and The Nottingham Co., Inc. d/b/aThe Nottingham Management Co., Inc., d/b/a TNC, Inc., d/b/a F.P.Meadows & Co andd/b/a The Nottingham Co. Release No. 34-39034,IA-1660,IC-22813 File Number: 3-9395
Date: Sept. 8, 1997	Respondents: Jocelyn Jane O'Rourke Release No. 34-39027,IA-1659 File Number: 3-9393