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.

E-mail Updates

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

Administrative Proceedings RSS Feed


Date Sort ascending	Respondents
Dec. 4, 1997	KPMG Peat Marwick L.L.P.; Robert G. Mahony, Administrative Law Judge Release No. 34-39400, AAER-994 File Number: 3-9500
Dec. 4, 1997	Mark David Anderson Lillian A. McEwen, Administrative Law Judge Release No. 33-7483, 34-39399 File Number: 3-9499
Dec. 3, 1997	Lazard Freres & Co. LLC Release No. 33-7480, 34-39388 File Number: 3-9495
Dec. 3, 1997	Brent W. Berry Release No. 33-7481, 34-39396 File Number: 3-9496
Dec. 1, 1997	Robert Gossett and Ronald Langos Release No. 34-39377, AAER-992 File Number: 3-9493
Dec. 1, 1997	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
Dec. 1, 1997	Stephen P. Morin, CPA Release No. 34-39376, AAER-991 File Number: 3-9492
Nov. 26, 1997	Freeman B. Irby III Release No. 34-39362 File Number: 3-9490
Nov. 26, 1997	Anthony S. Battaglia, Jr. Release No. 34-39360 File Number: 3-9489
Nov. 18, 1997	Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 34-39335 File Number: 3-9125
Nov. 17, 1997	Bausch & Lomb Incorporated, Harold O. Johnson, Ermin Ianacone, and Kurt Matsumoto Release No. 34-39329, AAER-987 File Number: 3-9488
Nov. 7, 1997	Russo Securities, Inc., Patrick Russo, and Kimberly Kent; G. Marvin Bober, Administrative Law Judge Release No. 34-39312 File Number: 3-9484
Nov. 7, 1997	Kenneth O'Neal, Donald White, and George Christopher Bleier Release No. 34-39314 File Number: 3-9485
Nov. 7, 1997	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
Nov. 4, 1997	Dickinson & Co. and T. Marshall Swartwood Release No. 33-7473, 34-39293 File Number: 3-9321
Nov. 3, 1997	Orlando Super Card, Inc. Release No. 34-39290
Oct. 29, 1997	Ronald J. Viemont Release No. 34-39283 File Number: 3-9363
Oct. 27, 1997	Bradbury Financial Group, Inc., and Randall E. Bradbury Release No. 34-39279, IA-1680 File Number: 3-9482
Oct. 22, 1997	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
Oct. 20, 1997	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
Oct. 16, 1997	John L. Bridges, Jr. Release No. 34-39243 File Number: 3-9370
Oct. 7, 1997	Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 33-7468, 34-39209 File Number: 3-9125
Oct. 7, 1997	Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 33-7466, 34-39207 File Number: 3-9125
Oct. 7, 1997	Duane Green Release No. 34-39210 File Number: 3-9475
Oct. 7, 1997	Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 33-7467, 34-39208 File Number: 3-9125
Oct. 7, 1997	Mark E. Gatch Release No. 34-39212IA-1677 File Number: 3-9476
Oct. 7, 1997	United States Properties, Inc. ("USPI") Release No. 34-39215
Oct. 3, 1997	Pinnacle Micro, Inc., Scott A. Blum, and Lilia Craig Release No. 34-39194AAE-975 File Number: 3-9473
Sept. 30, 1997	W.R. Grace and Co. Release No. 34-39156 File Number: 3-9460
Sept. 30, 1997	Diversified Capital Resources, Inc. and Angel Lorie Release No. 34-39161 File Number: 3-9463
Sept. 30, 1997	Paul Francis Mabry Release No. 34-39163 File Number: 3-9464
Sept. 30, 1997	Mark A. Ritacco Release No. 34-39164 File Number: 3-9465
Sept. 30, 1997	Sandra Simpson and Daphne Pattee; Robert G. Mahony, Administrative Law Judge Release No. 34-39154 File Number: 3-9458
Sept. 30, 1997	Marion Bass Securities Corp. ("MBSC"), and Gerald P. Chandik("Chandik") Release No. 33-746534-39170
Sept. 30, 1997	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
Sept. 30, 1997	The City Of Syracuse, New York, Warren D. Simpson, andEdward D. Polgreen Release No. 33-746034-39149AAE-970 File Number: 3-9452
Sept. 30, 1997	Laser Photonics, Inc. Release No. 33-746334-39166AAE-971 File Number: 3-9467
Sept. 30, 1997	Christopher Laporte and Government Securities Corporation Release No. 34-39171 File Number: 3-9472
Sept. 30, 1997	Joseph P. Greenwald Release No. 34-39160 File Number: 3-9462
Sept. 30, 1997	Mark Coleman Graves Release No. 34-39152 File Number: 3-9455
Sept. 30, 1997	John R. Alfson Release No. 33-746434-39167AAE-972 File Number: 3-9468
Sept. 30, 1997	William H. Malek Release No. 34-39150 File Number: 3-9453
Sept. 30, 1997	Frank Klaus Release No. 34-39165 File Number: 3-9466
Sept. 30, 1997	Schuylkill Capital Management, Ltd. and Howard A. Trauger Release No. IA-1675 File Number: 3-9457
Sept. 30, 1997	Philip Mcinnes Release No. AAE-96834-39147 File Number: 3-9450
Sept. 30, 1997	Michael L. Cooperstock Release No. 34-39151 File Number: 3-9454
Sept. 30, 1997	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
Sept. 30, 1997	Sam Moore Release No. 34-39155 File Number: 3-9459
Sept. 30, 1997	Mary Brennan Release No. AAE-96934-39148 File Number: 3-9451
Sept. 29, 1997	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
Sept. 29, 1997	Mark S. Chanko Release No. 34-39146IA-1674 File Number: 3-9449
Sept. 29, 1997	Cary S. Greene Release No. 34-39141 File Number: 3-9445
Sept. 29, 1997	LDF Management, Inc. and Laura D. Fletcher Release No. 33-7458;34-39142 File Number: 3-9446
Sept. 29, 1997	Curtis L. Dally Release No. 34-39144AAE-967 File Number: 3-9447
Sept. 26, 1997	Virgil Dean Damhof Release No. 34-39136IA-1671 File Number: 3-9442
Sept. 26, 1997	Cortlandt Capital Corp., Mayer Amsel, and Joseph MichaelGuccione Release No. 34-39138
Sept. 26, 1997	Kent T.Black, Joel L. Hurst, David E. Lynch, Larry E.Muller, and Robert L. McCook Release No. 34-39134
Sept. 26, 1997	A. Monzione, and Arthur R. Lapka Release No. 34-39135 File Number: 3-9441
Sept. 26, 1997	Advisors, Inc. f/k/a Public Employees Financial Advisors,Inc. and Thomas Leroy Brown Release No. IA-1672 File Number: 3-9443
Sept. 25, 1997	Herbert Moskowitz; Carol Fox Foelak, Administrative Law Judge Release No. 34-39128AAE-965 File Number: 3-9435
Sept. 25, 1997	David M. Carmichael, Anthony Kohl, and Chris Adams Release No. 34-39130 File Number: 3-9436
Sept. 25, 1997	Michael J. Oberholzer Release No. 34-39127 File Number: 3-9434
Sept. 25, 1997	Edward Christian Farni Release No. 34-39133 File Number: 3-9438
Sept. 25, 1997	Stephen D. Gellas Release No. 34-39132 File Number: 3-9437
Sept. 25, 1997	Joseph F. Reese; Carol Fox Foelak, Administrative Law Judge Release No. 33-7457 File Number: 3-9439
Sept. 24, 1997	Elliot Stumacher Release No. 34-39124AAE-963 File Number: 3-9432
Sept. 24, 1997	Nycal Corp Release No. 34-39125 File Number: 3-9433
Sept. 24, 1997	Richard Milbrodt Release No. 33-7455;34-39121 File Number: 3-9429
Sept. 24, 1997	Dwight Allen Release No. 33-745634-39122 File Number: 3-9430
Sept. 24, 1997	Gerald P. Hirsch Release No. 34-39123 File Number: 3-9431
Sept. 23, 1997	Smith Barney, Inc. Release No. 34-39118 File Number: 3-9426
Sept. 22, 1997	Michael C. Robertson and M.C. Robertson & Associates, Inc. Release No. 33-745334-39107IA-1669IC-22829 File Number: 3-9100
Sept. 22, 1997	Gary L. Hamby and Gary B. Ross Release No. 34-39102,IA-1668 File Number: 3-9422
Sept. 22, 1997	Dennis Murray Bissell Release No. 34-39108 File Number: 3-9423
Sept. 22, 1997	J.M. Dickinson Bransford Release No. 33-7454 File Number: 3-9424
Sept. 22, 1997	ProFinancial Advisors, Inc., and W. Ralph Wills, III Release No. IA-1670 File Number: 3-9425
Sept. 22, 1997	Michael C. Robertson and M.C. Robertson & Associates, Inc. Release No. 33-7453;34-39107;IA-1669;IC-22829 File Number: 3-9100
Sept. 19, 1997	Joseph B. Johnson Release No. 34-39097;IA-1667 File Number: 3-9421
Sept. 18, 1997	David Hersh, CPA Release No. 34-39089;AAE-962 File Number: 3-9416
Sept. 18, 1997	A. David Hengstler Release No. 33-7451;34-39090 File Number: 3-9417
Sept. 18, 1997	George Garcy Release No. 33-7452;34-39091 File Number: 3-9419
Sept. 17, 1997	Freddie Don Stewart Release No. 34-39085 File Number: 3-9415
Sept. 16, 1997	Century Technologies Inc. Release No. 34-39081,AAE-961 File Number: 3-9411
Sept. 16, 1997	D.L. Gresty & Company, Inc., David Lee Gresty, and Marcia A.Gresty Release No. IA-1665 File Number: 3-9412
Sept. 16, 1997	Stephens Inc. Release No. IA-1666 File Number: 3-9413
Sept. 15, 1997	Vilis Pasts, Bts/Bond Timing, Inc., Bond Timing SecuritiesCorp. and Adonis Berzins Release No. 34-39074,IA-1663,IC-22820 File Number: 3-9408
Sept. 15, 1997	James R. Bryan, CPA Release No. AAE-960,34-39077 File Number: 3-9409
Sept. 15, 1997	Michael D. Gibson Release No. 33-7450,34-39061
Sept. 15, 1997	Rodney B. Hedges Release No. 34-39078 File Number: 3-9410
Sept. 15, 1997	Legend Sports, Inc. Release No. .34-39072
Sept. 15, 1997	John D. MacKenzie Release No. IA-1662,34-39073 File Number: 3-9407
Sept. 12, 1997	Edward M. Collins Release No. 34-39062
Sept. 11, 1997	Douglas R. Coates, CPA Release No. 34-39052,AAE-958 File Number: 3-9405
Sept. 11, 1997	Monroe Parker Securities, Inc. Release No. 34-39057 File Number: 3-9174
Sept. 11, 1997	Robert A. Quiel Release No. 3439056 File Number: 3-9196
Sept. 10, 1997	Carol A. Hamby and David W. Stepanek Release No. 34-39046,IA-1661 File Number: 3-9401
Sept. 10, 1997	Wyatt Gene Ross Release No. 34-39040,AAE-953 File Number: 3-9397
Sept. 10, 1997	Lynn K. Ross Release No. 34-39041,AAE-954 File Number: 3-9398
Sept. 10, 1997	Juergens Otto Winkler Release No. 33-7449,34-39042 File Number: 3-9399
Sept. 10, 1997	William B. Sanders, CPA Release No. 34-39045,AAE-955 File Number: 3-9400

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in About

Breadcrumb

Administrative Proceedings

E-mail Updates