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
Sept. 8, 1997	Jocelyn Jane O'Rourke Release No. 34-39027,IA-1659 File Number: 3-9393
Sept. 8, 1997	Fahnestock and Co., Inc. and William E. Bierlin, Jr. Release No. 34-39029 File Number: 3-9122
Sept. 5, 1997	Lloyd John Newton Release No. 33-7447,34-39023 File Number: 3-9391
Sept. 4, 1997	Willy Kerzinger, D/B/A Commodity Pool Service Release No. 33-7446,34-39015,IA-1658,IC-22809 File Number: 3-9390
Sept. 3, 1997	Walter Herbert Moore, Jr. Release No. 34-39006,IA-1657
Sept. 2, 1997	S. Donald Sussman Release No. IA-1653,AAE-948 File Number: 3-9382
Sept. 2, 1997	Mitchell Hutchins Asset Management Inc. Release No. 33-7444,34-39001,IA-1654,IC-22805 File Number: 3-9383
Sept. 2, 1997	Simon Dominic Baier Release No. 34-39003 File Number: 3-9385
Sept. 2, 1997	Barbara B. Nolan Release No. 34-39002,IA-1655 File Number: 3-9384
Sept. 2, 1997	Aug. Mezzetta Release No. 34-39005,IA-1656 File Number: 3-9387
Aug. 29, 1997	Robert Thomas Beatty Release No. 34-38994 File Number: 3-9380
Aug. 29, 1997	David Scott Rossman Release No. 34-38995 File Number: 3-9381
Aug. 28, 1997	Ngai King Tak, Evelyn A. Wong, and Haroutioun K. Aydjian Release No. AAE-946,34-38988,33-7443 File Number: 3-9379
Aug. 27, 1997	Willie Daniels Release No. 33-7441,34-38977 File Number: 3-9375
Aug. 27, 1997	Peter S. Alsop Release No. IA-1652 File Number: 3-9377
Aug. 27, 1997	Derek Washington Release No. 33-7442,34-38978
Aug. 26, 1997	Hudson Investors Fund, Inc., Hudson Advisers, Inc., JavedAnver Latef and Larry Alan Stockett Release No. 33-7440,34-38976,IC-22799,IA-1651
Aug. 26, 1997	Robert Alan Denton, Jeffrey Peter Morrison, Lee MichaelRough, Marc David Siden and Kenneth Thomas Tripoli Release No. 33-7439,34-38970 File Number: 3-9373
Aug. 21, 1997	John L. Bridges, Jr. Release No. 34-38957 File Number: 3-9370
Aug. 18, 1997	Thomas John Cloutier Release No. 34-38946 File Number: 3-9366
Aug. 18, 1997	William P. Carroll Release No. 34-38942
Aug. 18, 1997	Gary W. Berus Release No. 34-38944
Aug. 18, 1997	Americorp Securities, Inc. and Drew Edgar Schaefer Release No. 33-7436,34-38947
Aug. 13, 1997	Combined Companies International Corp. Release No. 34-38931 File Number: 3-9322
Aug. 13, 1997	First Capital Strategists, Robert E. Frith Jr., Keith H.Cunningham, Paul J. Gangemi, and John J. McCollum Release No. IA-1648 File Number: 3-9362
Aug. 11, 1997	David P. Silver Release No. 34-38914 File Number: 3-9358
Aug. 11, 1997	Timothy J. Guiheen Release No. 34-38917 File Number: 3-9359
Aug. 11, 1997	H. Beck, Inc. and Gary S. Hurvitz Release No. 34-38913
Aug. 11, 1997	Stock Clearing Corp Of Philadelphia andPhiladelphia Depository Trust Co. Release No. 34-38918 File Number: 3-9360
Aug. 11, 1997	William N. Briggs Release No. 34-38919 File Number: 3-9361
Aug. 6, 1997	Ted Harold Westerfield; G. Marvin Bober, Administrative Law Judge Release No. 34-38904 File Number: 3-9355
Aug. 6, 1997	Robert Pierce and Carrie L. Williams Pierce Release No. IA-1647 File Number: 3-9273
Aug. 5, 1997	Robert L. Gresham, CPA Release No. 34-38902,AAE-943 File Number: 3-9353
Aug. 5, 1997	James P. Brown Release No. 34-38903,AAE-944 File Number: 3-9354
July 29, 1997	Ronald J. Mitchellette Release No. IA-1646,IC-22768 File Number: 3-9352
July 28, 1997	Stuart Gregory Smith, Capital Investment Managers, Inc., andCapital Fund Managers, Inc. Release No. 34-38878,IA-1645 File Number: 3-9351
July 28, 1997	Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-38877,IA-22766 File Number: 3-9181
July 28, 1997	Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-38880,IA-22767 File Number: 3-9181
July 28, 1997	William D. Kyle Release No. 34-38876,AAE-941 File Number: 3-9247
July 23, 1997	Thomas J. Fox Release No. 34-38863 File Number: 3-9350
July 22, 1997	M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, III, Alex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III; Lillian A. McEwen, Administrative Law Judge Release No. 34-38857 File Number: 3-8772
July 22, 1997	Ponder Industries, Inc., Mack Ponder, Charles E. Greenwood,and Michael A. Dupre Release No. 34-38858,AAE-938 File Number: 3-9349
July 21, 1997	Refco Securities, Inc. Release No. 34-38855 File Number: 3-9054
July 18, 1997	LBS Capital Management, Inc. Release No. IA-1644 File Number: 3-9348
July 17, 1997	Dennis Klein Release No. 34-38844,AAE-937 File Number: 3-9347
July 11, 1997	Dennis Lindsay Helliwell Release No. 34-38832 File Number: 3-9210
July 3, 1997	Brian J. McCahery Release No. 34-38814 File Number: 3-9224
July 1, 1997	Stephen J. Sogin and Steven N. Weiss Release No. 34-38803 File Number: 3-9136
July 1, 1997	Helen T. Chalut and Saleem Noorani Release No. 33-7428 File Number: 3-9344
July 1, 1997	Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester Release No. 33-7429 File Number: 3-9345
July 1, 1997	Stephen J. Sogin and Steven N. Weiss Release No. 34-38802 File Number: 3-9136
June 25, 1997	First Montauk Securities Corp. Release No. 34-38775 File Number: 3-9342
June 25, 1997	Vincent Poliseno Release No. 34-38770 File Number: 3-9256
June 25, 1997	National Partnership Investments Corporation, NationalPartnership Equities, Inc., National Corporate Tax Credit Fund,Century Hillcreste Apartment Investors, L.P., Alan I. Casden,Charles H. Boxenbaum, and Bruce E. Nelson Release No. 33-7425 File Number: 3-9340
June 25, 1997	Spectrum Information Technologies, Incorporated Release No. 33-7426 File Number: 3-9341
June 24, 1997	Gary A. Prince Release No. 34-38765 File Number: 3-9338
June 24, 1997	Kenneth F. Richey Release No. 34-38762 File Number: 3-9337
June 24, 1997	Pendleton C. Waugh Release No. 34-38761 File Number: 3-9336
June 23, 1997	George W. Meyers, Gregory W. Meyers, Tax Exempt Fund,Municipal Fund, and Fox, Reusch & Co., Inc. Release No. 34-38754 File Number: 3-9335
June 20, 1997	Steven Ira Wertman, Robert Bruce Orkin, Edward CharlesWilliam Donner, III and Earl Seth David Release No. 34-38751 File Number: 3-9334
June 18, 1997	GFL Ultra Fund, Inc. Note includes dissenting opinion from Commissioner Steven M.H.Wallman Release No. 3-9333 File Number: 3-9333
June 13, 1997	Oakwood Counselors, Inc. and Paul J. Sherman Release No. IA-1636 File Number: 3-9243
June 10, 1997	Kyle Weston Release No. 4-38726 File Number: 3-9329
June 10, 1997	B.J. Thomas Release No. 34-38727 File Number: 3-9331
June 6, 1997	McKenzie Walker Investment Management, Inc. and Richard C. McKenzie, Jr. Release No. IA-1635 File Number: 3-9043
June 4, 1997	Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward Lillian A. McEwen, Administrative Law Judge Release No. 34-38714,33-7421 File Number: 3-9327
June 3, 1997	Steven F. Broadbent Release No. 34-38713,AAE-921 File Number: 3-9326
May 30, 1997	Christopher D. Jennings Release No. 34-38696 File Number: 3-9323
May 30, 1997	Amquest International, Ltd. Release No. 34-38695
May 29, 1997	Combined Companies International Corp. Release No. 34-38691,AAE-919 File Number: 3-9322
May 28, 1997	Parnassus Investments, Jerome L. Dodson, Marilyn Chou, and David L. Gibson; Robert G. Mahony, Administrative Law Judge Release No. IA-1634, IC-22685 File Number: 3-9317
May 28, 1997	Dickinson & Co. and T. Marshall Swartwood Release No. 33-742034-38689 File Number: 3-9321
May 28, 1997	Steven W. Koinis Release No. 34-38688AAE-917 File Number: 3-9320
May 28, 1997	Jeffrey F. Green Release No. 34-38685 File Number: 3-9319
May 28, 1997	Joseph Latona Release No. 34-38684 File Number: 3-9318
May 27, 1997	Litwin Securities, Inc., Harold A. Litwin Release No. 34-38673 File Number: 3-8991
May 27, 1997	Richard K. Steele, Jr. Release No. 34-38676 File Number: 3-9315
May 27, 1997	Arthur A. Graves, III Release No. 34-38674 File Number: 3-9314
May 22, 1997	Herbert G. Brown, George W. Cook, Jared D. Brown, and Robert G. Brown Release No. 34-38666 File Number: 3-9312
May 21, 1997	James G. Freeman Release No. 34-38661 File Number: 3-9311
May 19, 1997	Combined Companies International Corp. Release No. 4-38653 File Number: 4-38653
May 19, 1997	Thomas H. Ehrlich Release No. 34-38652 File Number: 3-9310
May 17, 1997	William Rossi Release No. 34-38677 File Number: 3-9316
May 9, 1997	Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.; Lillian A. McEwen, Administrative Law Judge Release No. 34-38596 File Number: 3-9309
May 8, 1997	Kenneth J. Schulte; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-38583 File Number: 3-9051
May 7, 1997	Douglas R. Damon, Robert M. Davis, and Kenneth C. Klovitz Release No. 34-38579 File Number: 3-9307
May 7, 1997	Gary J. Divall and Paul E. Magnuson Release No. 34-38578 File Number: 3-9306
May 5, 1997	Nicholas J. Pace Release No. 34-38572 File Number: 3-9305
April 30, 1997	Richard J. Lajoie, Jr. Release No. 34-38559 File Number: 3-9303
April 30, 1997	Ronald H. Hoffman Release No. 34-38560 File Number: 3-9304
April 29, 1997	Dorothea Bossio, Michael Imbriale and Rocco Leone Release No. 34-38555 File Number: 3-9302
April 28, 1997	Alliance Capital Management L.P. Release No. IA-1630 File Number: 3-9301
April 22, 1997	Gregory C. Moore Release No. 34-38538
April 22, 1997	David McClure Release No. 34-38539
April 21, 1997	Stanley J. Feminella Release No. 34-38529 File Number: 3-9300
April 18, 1997	James L. D'Angelo Release No. 34-38524 File Number: 3-9299
April 17, 1997	Peter M. Harrington Release No. 34-38518 File Number: 3-9205
April 16, 1997	Joseph P. Brooks Release No. 34-38517 File Number: 3-9215
April 15, 1997	Stephen J. Sogin and Steven N. Weiss Release No. 34-38508 File Number: 3-9136
April 15, 1997	Michael D. Gibson, Gregory C. Moore, and Jay D. Liebowitz, andDavid McClure Release No. 33-7414 File Number: 3-9124

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