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: April 15, 1997	Respondents: Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 33-7416 File Number: 3-9125
Date: April 14, 1997	Respondents: H. Ralph Sylvester, Donald R. Krueger and John C. Hawver Release No. 3438500 File Number: 3-9103
Date: April 11, 1997	Respondents: J. M. Levy & Co. , Sol Greenbaum, and David Cohen Release No. 34-38498 File Number: 3-9295
Date: April 10, 1997	Respondents: Lynn K. Blattman Release No. 34-38493 File Number: 3-9291
Date: April 10, 1997	Respondents: Philip S. Present II, and William J. Scanlon Release No. 34-38494 File Number: 3-9292
Date: April 10, 1997	Respondents: Dennis T. Palmeri, Sr. Release No. 34-38497 File Number: 3-9294
Date: April 10, 1997	Respondents: Historic Hotel Holdings, Inc. Release No. 3438492
Date: April 10, 1997	Respondents: Janak C. Patel Release No. 34-38496
Date: April 4, 1997	Respondents: Steven K. Clark Release No. 34-38476 File Number: 3-9287
Date: April 4, 1997	Respondents: Ronald W. Daw and J. Weston Daw Release No. 34-38477 File Number: 3-9286
Date: April 3, 1997	Respondents: Jaron Equities Corp.. Sheridan Manhattan Group. Inc. and Dermot Sheridan Release No. 34-38475 File Number: 3-9285
Date: April 3, 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. 33-7412 File Number: 3-9201
Date: April 1, 1997	Respondents: Quality Products, Inc. Release No. 33-7410 File Number: 3-9186
Date: April 1, 1997	Respondents: Robert D. Gersh Release No. 34-38459 File Number: 3-9284
Date: March 31, 1997	Respondents: Brooklyn Capital & Securities Trading, Inc., and DavidRybstein Release No. 3438454 File Number: 3-8952
Date: March 27, 1997	Respondents: Sheldon S. Traube and George F. Sweeney Release No. 33-7409 File Number: 3-9283
Date: March 26, 1997	Respondents: Robert C. White Release No. 34-38441 File Number: 3-9282
Date: March 25, 1997	Respondents: Michael P. Sweeney Release No. 34-38436 File Number: 3-9280
Date: March 24, 1997	Respondents: Peter Tosto, Investor Relations, Inc. Release No. 33-7406 File Number: 3-9104
Date: March 24, 1997	Respondents: Matt Matson; Lillian A. McEwen, Administrative Law Judge Release No. 34-38433 File Number: 3-9279
Date: March 20, 1997	Respondents: Michael J. Markowski Release No. 34-38424
Date: March 20, 1997	Respondents: Joseph Riccio Release No. 34-38425 File Number: 3-9278
Date: March 18, 1997	Respondents: H.P. Hambrick Co., Inc. and Henry P. Hambrick Release No. IA-1622 File Number: 3-9275
Date: March 17, 1997	Respondents: Vigil Asset Management Group, Inc. and Thomas Batterman Release No. IA-1621 File Number: 3-9128
Date: March 17, 1997	Respondents: Robert Pierce and Carrie L. Williams Pierce Release No. IA-1620 File Number: 3-9273
Date: March 13, 1997	Respondents: Danny G. Pinkerton and Kevin N. Campbell; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7402 File Number: 3-8805
Date: March 13, 1997	Respondents: Duane V. Midgley Release No. 34-38395 File Number: 3-9272
Date: March 12, 1997	Respondents: Merle S. Finkel Release No. 33-7401 File Number: 3-9271
Date: March 11, 1997	Respondents: Jon D. Aldrich Release No. 34-38382
Date: March 5, 1997	Respondents: Garcis U.S.A., Inc. Release No. 34-38367
Date: March 5, 1997	Respondents: Pace American Group, Inc. Release No. 34-38368 File Number: 3-9268
Date: March 4, 1997	Respondents: John Thomas Royall Release No. 34-38358 File Number: 3-9264
Date: March 4, 1997	Respondents: Robert Jarkow Release No. 34-38359 File Number: 3-9265
Date: March 4, 1997	Respondents: Michael Anthony Pierce Release No. 34-38361 File Number: 3-9266
Date: Feb. 28, 1997	Respondents: Anthony J. Negus Release No. IC-22535 File Number: 3-8934
Date: Feb. 27, 1997	Respondents: David Gore, Robert Puetz, William McClure, Robert P. Murphy Release No. 34-38343 File Number: 3-9262
Date: Feb. 27, 1997	Respondents: Twenty First Century Health, Inc. Release No. 34-38345
Date: Feb. 27, 1997	Respondents: David Schaen Release No. 34-38347 File Number: 3-9261
Date: Feb. 26, 1997	Respondents: Selheimer & Co. and Perry A. Selheimer Release No. 34-38337 File Number: 3-9260
Date: Feb. 26, 1997	Respondents: David P. Schwartz Release No. 34-38335 File Number: 3-9216
Date: Feb. 26, 1997	Respondents: DeSoto Broadcasting, Inc. and Danford Sawyer, Jr. Release No. 33-7397 File Number: 3-9191
Date: Feb. 24, 1997	Respondents: Vincent Poliseno Release No. 34-38327 File Number: 3-9256
Date: Feb. 24, 1997	Respondents: Norman Gelman Release No. 34-38325 File Number: 3-9255
Date: Feb. 21, 1997	Respondents: 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. 33-7395 File Number: 3-8772
Date: Feb. 20, 1997	Respondents: Philip Greifeld Release No. 34-38316 File Number: 3-9135
Date: Feb. 18, 1997	Respondents: Alan D. Rosskamm Release No. 33-7389 File Number: 3-9248
Date: Feb. 18, 1997	Respondents: Milton Weinger Release No. 34-38300 File Number: 3-9250
Date: Feb. 18, 1997	Respondents: William D. Kyle Release No. 34-38297 File Number: 3-9247
Date: Feb. 18, 1997	Respondents: Linda A. Hodge Release No. 34-38301 File Number: 3-9251
Date: Feb. 18, 1997	Respondents: Kent A. Ahrens Release No. IA-1615 File Number: 3-9249
Date: Feb. 11, 1997	Respondents: Howard F. Rubin Release No. 34-38264 File Number: 3-9245
Date: Feb. 11, 1997	Respondents: Marsh Block & Co., Inc., Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller Release No. 34-38263
Date: Feb. 10, 1997	Respondents: Twenty First Century Health, Inc. Release No. 34-38260
Date: Feb. 10, 1997	Respondents: Oakwood Counselors, Inc. and Paul J. Sherman Release No. IA-1614 File Number: 3-9243
Date: Feb. 7, 1997	Respondents: Lyle Moss Release No. 34-38258 File Number: 3-9242
Date: Feb. 6, 1997	Respondents: William T. Manak Release No. 33-7387 File Number: 3-9240
Date: Feb. 6, 1997	Respondents: Daniel C. Langford, Daniel C. Langford, Jr., Stephanus A. de Kockand and Peter P. Irby Release No. 34-38249 File Number: 3-9238
Date: Feb. 6, 1997	Respondents: Harry T. Couch Release No. 34-38250 File Number: 3-9239
Date: Feb. 5, 1997	Respondents: Frederick R. Grant Release No. 34-38239 File Number: 3-9236
Date: Feb. 3, 1997	Respondents: Jerry Silva Release No. 34-38228 File Number: 3-9234
Date: Feb. 3, 1997	Respondents: James Zimmerman and Old Naples Securities, Inc. Release No. 34-38227 File Number: 3-9233
Date: Jan. 31, 1997	Respondents: Benjamin Franklin Bush, III and Ben Bush Investment Management, Inc. Release No. IA-1612 File Number: 3-9232
Date: Jan. 30, 1997	Respondents: Jon Edelman Release No. 34-38220 File Number: 3-8950
Date: Jan. 30, 1997	Respondents: David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge Release No. 33-7385 File Number: 3-8955
Date: Jan. 29, 1997	Respondents: David Keery Release No. 34-38217 File Number: 3-9231
Date: Jan. 28, 1997	Respondents: Halsey Drug Company, Inc. Release No. 34-38210 File Number: 3-9230
Date: Jan. 24, 1997	Respondents: Ronald M. Zook Release No. IA-1611 File Number: 3-9059
Date: Jan. 23, 1997	Respondents: Cecil H. Suter Release No. IA-1610 File Number: 3-9228
Date: Jan. 22, 1997	Respondents: Cortland First Financial Corporation, Donald S. Ames, andFrederick G. Compagni, Sr. Release No. 34-38192 File Number: 3-9227
Date: Jan. 21, 1997	Respondents: Norman L. Yu & Co., Inc., and Norman L. Yu Release No. IA-1607 File Number: 3-9226
Date: Jan. 16, 1997	Respondents: Robert Albert Merrifield Release No. 34-38177 File Number: 3-9225
Date: Jan. 16, 1997	Respondents: Brian J. McCahery Release No. 34-38176
Date: Jan. 16, 1997	Respondents: Bernard Zelenka Release No. 34-38178 File Number: 3-9130
Date: Jan. 15, 1997	Respondents: Royal Alliance Associates, Inc. Release No. 34-38174 File Number: 3-9223
Date: Jan. 15, 1997	Respondents: GKN Securities Corp. and Robert H. Gladstone Release No. 34-38173 File Number: 3-9222
Date: Jan. 15, 1997	Respondents: Mark Anthony and Michelle Suppes Release No. 34-38171 File Number: 3-9220
Date: Jan. 15, 1997	Respondents: Suppes Securities, Inc. Release No. 33-7381 File Number: 3-9221
Date: Jan. 13, 1997	Respondents: Michael Coxon, Alan Michael Sergy, World Money Managersand World Money Securities, Inc. Release No. 33-7379
Date: Jan. 13, 1997	Respondents: Ronald V. Speaker and Janus Capital Corporation Release No. C-22461 File Number: 3-9219
Date: Jan. 10, 1997	Respondents: National Financial Services Corporation Release No. 34-38150 File Number: 3-9217
Date: Jan. 8, 1997	Respondents: David P. Schwartz Release No. 34-38135 File Number: 3-9216
Date: Jan. 8, 1997	Respondents: Carolyn Safer Kenner Release No. 33-7378 File Number: 3-9110
Date: Jan. 8, 1997	Respondents: Peter C. Tosto Release No. 34-38136 File Number: 3-9178
Date: Jan. 8, 1997	Respondents: Republic International Corporation Release No. 34-38137 File Number: 3-9112
Date: Jan. 6, 1997	Respondents: Matthew E. Klenovic Release No. 34-38121 File Number: 3-9213
Date: Jan. 6, 1997	Respondents: R. E. Anderson Cain Release No. 34-38122 File Number: 3-9214
Date: Dec. 31, 1996	Respondents: Mark S. Ferber Release No. 34-38102 File Number: 3-9211
Date: Dec. 26, 1996	Respondents: Dennis Lindsay Helliwell Release No. 34-38088
Date: Dec. 24, 1996	Respondents: Michael Donald McGahee Release No. 34-38083 File Number: 3-9209
Date: Dec. 23, 1996	Respondents: Stanley L. Swoyer Release No. 34-38074 File Number: 3-9090
Date: Dec. 19, 1996	Respondents: Dale E. Barlage Release No. 34-38061 File Number: 3-9207
Date: Dec. 18, 1996	Respondents: Peter M. Harrington Release No. 34-38055
Date: Dec. 16, 1996	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. 33-7372 File Number: 3-9201
Date: Dec. 16, 1996	Respondents: Ernest W. Grendi Release No. 33-7374 File Number: 3-9202
Date: Dec. 10, 1996	Respondents: Michael Goodbread Release No. 34-38035 File Number: 3-9199
Date: Dec. 10, 1996	Respondents: Frederick V. Dona, Jr. Release No. 34-38037 File Number: 3-9126
Date: Dec. 10, 1996	Respondents: Robert Tatarowicz Release No. 33-7370 File Number: 3-9200
Date: Dec. 9, 1996	Respondents: Shaner & Company, Inc. and Mark S. Shaner Release No. 34-38027 File Number: 3-9197
Date: Dec. 9, 1996	Respondents: Steven A. Lapper Release No. 34-38028 File Number: 3-9198
Date: Dec. 6, 1996	Respondents: Stratton Oakmont, Inc. and Daniel M. Porush Release No. 34-38026 File Number: 3-9195