Administrative Proceedings

The links below direct you to the individual case pages for litigated administrative proceedings adjudicated by the Commission, including its consideration of appeals from initial decisions issued by administrative law judges or from SRO or PCAOB action. The case pages contain the Commission opinions and orders as well as significant filings in such matters. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

Below is a chronological list of links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, pursuant to delegated authority. The orders and other issuances in litigated administrative proceedings below also may be found on the individual case pages linked on the Open Litigated Administrative Proceedings and Closed Litigated Administrative Proceedings pages, together with filings made in the proceedings. The issuances pertaining to distribution proceedings may also be found in the individual case charts on the Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds page.

E-mail Updates

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

Administrative Proceedings RSS Feed


Date Sort descending	Respondents
Dec. 31, 1997	New Jersey Resources Corp., Laurence M. Downes and Glenn C. Lockwood Release No. 34-39506 File Number: 3-9521
Dec. 31, 1997	Oliver G. Richard III, and Jay B. Corn Release No. 34-39507 File Number: 3-9522
Dec. 31, 1997	Kerrigan Sean Weber Release No. 33-7493, 34-39508
Dec. 30, 1997	Payne & Thornton, Inc. d/b/a Retirement Investment Group Release No. 33-7492, 34-39501 File Number: 3-8703
Dec. 23, 1997	Eugene Bilotti Release No. 33-7490, IA-1689 File Number: 3-9517
Dec. 23, 1997	James A. Terrano, Lynn R. Michl, CPA Release No. 34-39485 File Number: 3-9516
Dec. 23, 1997	H. Thomas Fehn Release No. 34-39486 File Number: 3-9518
Dec. 22, 1997	Presstek, Inc. Release No. 34-39472 File Number: 3-9515
Dec. 22, 1997	Renaissance Capital Advisors, Inc. and Richard N. Fine Release No. IA-1688 File Number: 3-9514
Dec. 22, 1997	Rocky Mountain International, Ltd. Release No. 34-39471
Dec. 18, 1997	Graham F. Lacey Release No. 34-39464 File Number: 3-9512
Dec. 18, 1997	Alan R. Mishkin Release No. 34-39463 File Number: 3-9511
Dec. 12, 1997	Warren L. Rawls, C.P.A. Release No. 34-39447, AAER-995
Dec. 11, 1997	Brian Patrick Cork Release No. 33-7484, 34-39424 File Number: 3-9503
Dec. 11, 1997	Michael Graber Release No. 33-7485, 34-39425 File Number: 3-9504
Dec. 11, 1997	Kenneth Alan Larson Release No. 33-7486, 34-39426 File Number: 3-9505
Dec. 11, 1997	Craig Curtis Peterson Release No. 33-7487, 34-39427 File Number: 3-9506
Dec. 11, 1997	Anthony Lollis Release No. 33-7488, 34-39428 File Number: 3-9507
Dec. 11, 1997	Phillip Pepe Release No. 33-7489, 34-39429 File Number: 3-9508
Dec. 11, 1997	Charles O. Huttoe Release No. 34-39431 File Number: 3-9509
Dec. 11, 1997	Simon Dominic Baier Release No. 34-39430 File Number: 3-9385
Dec. 11, 1997	Simon Dominic Baier Release No. 34-39432 File Number: 3-9385
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. 4, 1997	A. Morgan Maree, Jr. & Associates, Inc., and Hugh Duff Robertson Release No. IA-1683, 34-39397 File Number: 3-9497
Dec. 4, 1997	Armscott Securities, Ltd. Release No. 33-7482, 34-39398 File Number: 3-9498
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	Anthony S. Battaglia, Jr. Release No. 34-39360 File Number: 3-9489
Nov. 26, 1997	Freeman B. Irby III Release No. 34-39362 File Number: 3-9490
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	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. 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. 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	Duane Green Release No. 34-39210 File Number: 3-9475
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. 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	Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 33-7467, 34-39208 File Number: 3-9125
Oct. 3, 1997	Pinnacle Micro, Inc., Scott A. Blum, and Lilia Craig Release No. 34-39194AAE-975 File Number: 3-9473
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	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	Joseph P. Greenwald Release No. 34-39160 File Number: 3-9462
Sept. 30, 1997	Frank Klaus Release No. 34-39165 File Number: 3-9466
Sept. 30, 1997	Laser Photonics, Inc. Release No. 33-746334-39166AAE-971 File Number: 3-9467
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	John R. Alfson Release No. 33-746434-39167AAE-972 File Number: 3-9468
Sept. 30, 1997	Marion Bass Securities Corp. ("MBSC"), and Gerald P. Chandik("Chandik") Release No. 33-746534-39170
Sept. 30, 1997	Philip Mcinnes Release No. AAE-96834-39147 File Number: 3-9450
Sept. 30, 1997	Christopher Laporte and Government Securities Corporation Release No. 34-39171 File Number: 3-9472
Sept. 30, 1997	Mary Brennan Release No. AAE-96934-39148 File Number: 3-9451
Sept. 30, 1997	William H. Malek Release No. 34-39150 File Number: 3-9453
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	Michael L. Cooperstock Release No. 34-39151 File Number: 3-9454
Sept. 30, 1997	Mark Coleman Graves Release No. 34-39152 File Number: 3-9455
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	Schuylkill Capital Management, Ltd. and Howard A. Trauger Release No. IA-1675 File Number: 3-9457
Sept. 30, 1997	Sam Moore Release No. 34-39155 File Number: 3-9459
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. 29, 1997	Curtis L. Dally Release No. 34-39144AAE-967 File Number: 3-9447
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. 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	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	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	Michael J. Oberholzer Release No. 34-39127 File Number: 3-9434
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	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. 25, 1997	Edward Christian Farni Release No. 34-39133 File Number: 3-9438
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. 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. 23, 1997	Smith Barney, Inc. Release No. 34-39118 File Number: 3-9426
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. 33-745334-39107IA-1669IC-22829 File Number: 3-9100
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

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in this Section

Administrative Proceedings

E-mail Updates