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. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

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Date Sort ascending	Respondents
Dec. 31, 2001	Jonathan Aerospace Materials Corporation Release No. 33-8050 File Number: 3-10585
Dec. 28, 2001	W. J. Nolan & Company, Inc. Release No. 34-45208 File Number: 3-10662
Dec. 27, 2001	Rachel Eckhaus, CPA Release No. 34-45195, AAER-1481
Dec. 27, 2001	Jeffrey Bacsik, CPA Release No. 34-45196, AAER-1482
Dec. 27, 2001	Barbara Horvath, CPA Release No. 34-45197, AAER-1483
Dec. 27, 2001	Banjamin J. Maldonado, III Release No. 34-45198 File Number: 3-10666
Dec. 21, 2001	James D. Cooper, III Release No. 34-45186, IA-2004 File Number: 3-10660
Dec. 21, 2001	Lawrence B. Irwin and Burton Financial Management Associates, Inc. Release No. 33-8047, 34-45187, IA-2005 File Number: 3-10661
Dec. 20, 2001	Zion Capital Management LLC, and Ricky A. Lang Carol Fox Foelak, Administrative Law Judge Release No. 33-8046, 34-45175, IA-2003, IC-25322 File Number: 3-10659
Dec. 19, 2001	Carmel Equity Partners, Richard L. Goodrich, Lawrence D.Isen, Peter P. Kim, Bruce E. Mesnekoff, John B. Morris, and KelseyVan Deventer Release No. 33-8045, 34-45173 File Number: 3-9187
Dec. 19, 2001	Zila, Inc. and Joseph Hines Release No. 34-45169 File Number: 3-10657
Dec. 19, 2001	Dennis M. Wilson Release No. 33-8042 File Number: 3-10658
Dec. 19, 2001	Carmel Equity Partners, Richard L. Goodrich, Lawrence D.Isen, Peter P. Kim, Bruce E. Mesnekoff, John B. Morris, and KelseyVan Deventer Release No. 33-8043, 34-45171 File Number: 3-9187
Dec. 19, 2001	Carmel Equity Partners, Richard L. Goodrich, Lawrence D.Isen, Peter P. Kim, Bruce E. Mesnekoff, John B. Morris, and KelseyVan Deventer Release No. 33-8044, 34-45172 File Number: 3-9187
Dec. 19, 2001	Robert C. Ellenburg Release No. 34-45168 File Number: 3-10656
Dec. 17, 2001	Republic New York Securities Corp. Release No. 34-45157 File Number: 3-10653
Dec. 14, 2001	Corrine Davies Release No. 34-45158, AAER-1478 File Number: 3-10654
Dec. 14, 2001	Timothy Tuttle Release No. 34-45159, AAER-1479 File Number: 3-10655
Dec. 14, 2001	Market Timing Systems, Inc., Gregory Meadors and Mark Shinnick Release No. IA-2002 File Number: 3-10652
Dec. 12, 2001	Cambridge Equity Advisors, Inc. and Michael E. Goldston Release No. IA-2001 File Number: 3-10651
Dec. 10, 2001	Kenneth R. Grossfield Release No. 34-45142 File Number: 3-10649
Dec. 10, 2001	Nolan W. Wade Robert G. Mahony, Administrative Law Judge Release No. 34-45143 File Number: 3-10650
Dec. 7, 2001	Lee E. Gahr Release No. 34-45140 File Number: 3-10648
Dec. 6, 2001	Pinnacle Holdings, Inc. Release No. 34-45135, AAER-1476 File Number: 3-10647
Dec. 5, 2001	Christopher A. Lowry Brenda P. Murray, Chief Administrative Law Judge Release No. 34-45131 File Number: 3-10390
Dec. 4, 2001	Raffi T. King Release No. 34-45123 File Number: 3-10573
Dec. 3, 2001	Felix Anthony Berry Release No. IA-2000 File Number: 3-10646
Nov. 28, 2001	Clyde Wayne Gregory Release No. 33-8038 File Number: 3-10252
Nov. 27, 2001	John Montelbano and Gerard McMahon Release No. 34-45107 File Number: 3-10428
Nov. 21, 2001	Bernadette Stevens a/k/a Bernadette Stevens Bell Release No. 34-45092 File Number: 3-10645
Nov. 21, 2001	Wayne L. Prichason Release No. 34-45091 File Number: 3-10644
Nov. 20, 2001	Edward Bracken Release No. 34-45084 File Number: 3-10603
Nov. 20, 2001	Michael A. Furr Release No. 33-8037, 34-45085 File Number: 3-10581
Nov. 19, 2001	The State Bank of India and Citibank, N.A. Release No. 33-8036 File Number: 3-10643
Nov. 16, 2001	George W. Guttman Release No. 34-45069 File Number: 3-10641
Nov. 16, 2001	Joseph M. Blumenthal Release No. 34-45070 File Number: 3-10642
Nov. 15, 2001	Vector Index Advisors, Inc. and Steven H. Adler Release No. 33-8034, 34-45064, IA-1996, IC-25268 File Number: 3-10253
Nov. 15, 2001	R-Tec Technologies, Inc. Release No. 34-45055 File Number: 3-10637
Nov. 15, 2001	Vector Index Advisors, Inc. and Steven H. Adler Release No. 33-8035, 34-45065, IA-1997, IC-25269 File Number: 3-10253
Nov. 15, 2001	Disease Sciences, Inc. Release No. 34-45056 File Number: 3-10638
Nov. 15, 2001	The Classica Group, Inc. Release No. 34-45057 File Number: 3-10639
Nov. 15, 2001	Bruce E. Straughn Release No. 34-45058 File Number: 3-10640
Nov. 14, 2001	Kent T. Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook Lillian A. McEwen, Administrative Law Judge Release No. 33-8033, 34-45052 File Number: 3-9440
Nov. 13, 2001	Toks Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 33-8032 File Number: 3-10635
Nov. 7, 2001	Leroy K. Messenger Release No. 34-45042 File Number: 3-10633
Nov. 7, 2001	Richard M. Eisenmenger Release No. 34-45044 File Number: 3-10634
Nov. 7, 2001	James L. Binge and Eric V. Bartoli Release No. IA-1995 File Number: 3-10526
Nov. 5, 2001	Israel M. Shenker Release No. 33-8029, 34-45017 File Number: 3-10631
Nov. 5, 2001	Joseph R. Blackwell, Bradford D. Blackwell, and Timothy R. Blackwell Release No. 33-8030, 34-45018 File Number: 3-10632
Oct. 31, 2001	Roger J. Walstra Release No. 34-45006, IA-1992 File Number: 3-10630
Oct. 31, 2001	Henry Salzhauer and Michael Salzhauer Release No. 34-45005 File Number: 3-10629
Oct. 30, 2001	Mark Steven Snader, individually and d/b/a, e-highyields.com and The High Yield Club Release No. 34-45002 File Number: 3-10628
Oct. 25, 2001	Dale E. Frey, Roger A. Rawlings, and William C. Piontek Lillian A. McEwen, Administrative Law Judge Release No. 34-44982 File Number: 3-10310
Oct. 23, 2001	Gisela de Leon-Meredith Release No. 34-44970, AAER-1471 File Number: 3-10626
Oct. 22, 2001	Madera International, Inc. Release No. 34-44966
Oct. 19, 2001	Leonard B. Greer Release No. 34-44959 File Number: 3-10538
Oct. 19, 2001	F.X.C. Investors Corp. and Francis X. Curzio James T. Kelly, Administrative Law Judge Release No. IA-1991 File Number: 3-10625
Oct. 18, 2001	Hunter Adams, Gregg Adams, Alan Berkun, Robert Lisnoff, James L. Bila, Leonard Bila, Christian Blake, Brian Carroll, Joseph Digirolamo, and Joseph Mannino Release No. 33-8026, 34-44954 File Number: 3-10624
Oct. 18, 2001	NexPub, Inc., formerly known as PrintontheNet.com, Inc. Release No. 33-8025, 34-44951, AAER-1469 File Number: 3-10623
Oct. 15, 2001	Joseph F. Denson, Jr. Release No. 34-44925 File Number: 3-10619
Oct. 15, 2001	Philip A. Sharpton Release No. 34-44926 File Number: 3-10620
Oct. 15, 2001	Eric John Watson Release No. 34-44934 File Number: 3-10621
Oct. 11, 2001	Millennium Group of New York, LLC, Roman Suleymanov, Alex Rovner, and Gennady Favelyukis Release No. 33-8023, 34-44919 File Number: 3-10618
Oct. 5, 2001	Arete Industries, Inc. f/n/a Travis Industries, Inc. Release No. 34-44911 File Number: 3-10616
Oct. 5, 2001	Thomas P. Raabe Release No. 34-44912 File Number: 3-10617
Oct. 3, 2001	Tiffany Capital Advisors, Inc. and Curtis Townsend Release No. IA-1988, IC-25203 File Number: 3-10614
Oct. 3, 2001	James L. Binge and Eric V. Bartoli Release No. 34-44901 File Number: 3-10526
Oct. 3, 2001	Chiquita Brands International, Inc. Release No. 34-44902, AAER-1463 File Number: 3-10613
Sept. 28, 2001	Edward Bracken Release No. 34-44877 File Number: 3-10603
Sept. 28, 2001	George T. Helm, Jr. Release No. 34-44873 File Number: 3-10599
Sept. 28, 2001	Kevin G. Quinn Robert G. Mahony, Administrative Law Judge Release No. 33-8020, 34-44879 File Number: 3-10098
Sept. 28, 2001	Western Asset Management Co. and Legg Mason Fund Adviser, Inc. Release No. IA-1980 File Number: 3-10600
Sept. 28, 2001	Rajiv Vohra Release No. 34-44869 File Number: 3-10596
Sept. 28, 2001	Wayne C. Stevens Release No. IA-1983 File Number: 3-10605
Sept. 28, 2001	Trudie D. Whitehead Release No. 33-8018, 33-44875, IA-1981, IC-25198 File Number: 3-10601
Sept. 28, 2001	Enrico Cortesano Release No. 33-8017 File Number: 3-10597
Sept. 28, 2001	James S. Saltzman Release No. IA-1976 File Number: 3-10593
Sept. 28, 2001	Duff & Phelps Investment Management Co., Inc. Release No. IA-1984, IC-25200, 3-10606 File Number: 3-10606
Sept. 28, 2001	Kyle R. Kirkland Release No. 33-8019, 34-44876, IA-1982, IC-25199 File Number: 3-10602
Sept. 28, 2001	David F. Bellet Release No. IA-1979 File Number: 3-10598
Sept. 28, 2001	Robert Bruce Lohmann Release No. 34-44883, IA-1987
Sept. 28, 2001	Chris Woessner Robert G. Mahony, Administrative Law Judge Release No. IA-1985, 3-10607 File Number: 3-10607
Sept. 28, 2001	PriorityAccess, Inc., Endpoint Technologies, Inc. and Roger Shearer Release No. 33-8021 File Number: 3-10612
Sept. 28, 2001	Benefit Concepts Group, Inc. and James D. Cannon Release No. 34-44880, IA-1986 File Number: 3-10608
Sept. 28, 2001	Daniel J. Murphy d/b/a Financial Picks Release No. 34-44881 File Number: 3-10609
Sept. 28, 2001	Lawrence P. Grady Release No. 34-44882, IC-25201
Sept. 27, 2001	Charles K. Springer, CPA; Robert S. Haugen, CPA; Haugen, Springer & Co., PC Release No. 34-44858, AAER-1456
Sept. 27, 2001	Joseph H. Kiser Release No. 34-44859, AAER-1457 File Number: 3-10590
Sept. 27, 2001	Paul S. Jurewicz Release No. 34-44860, AAER-1459 File Number: 3-10591
Sept. 27, 2001	Rauscher Pierce Refsnes, Inc. now known as Dain Rauscher Incorporated Release No. 33-8013, 34-44864 File Number: 3-10592
Sept. 27, 2001	Performance Analytics, Inc. and Robert P. Moseson Release No. IA-1978 File Number: 3-10595
Sept. 27, 2001	Rauscher Pierce Refsnes, Inc. now known as Dain Rauscher Incorporated Release No. 33-8014 File Number: 3-10592
Sept. 27, 2001	Rauscher Pierce Refsnes, Inc. now known as Dain Rauscher Incorporated Release No. 33-8015, 34-44865 File Number: 3-10592
Sept. 27, 2001	Merrimac Advisors Company and Fredric J. French Release No. IA-1977, IC-25195 File Number: 3-10594
Sept. 26, 2001	Michael D. Young Release No. 33-8011, 34-44851 File Number: 3-9911
Sept. 25, 2001	Jonathan Aerospace Materials Corporation Release No. 33-8009 File Number: 3-10585
Sept. 25, 2001	Gunther International, Ltd. Release No. 34-44842, AAER-1454 File Number: 3-10584
Sept. 24, 2001	W.J. Nolan & Co. and William J. Nolan Release No. 33-8006, 34-44833 File Number: 3-10582
Sept. 24, 2001	The Chase Manhattan Bank Release No. 34-44835 File Number: 3-10583
Sept. 20, 2001	Michael A. Furr Release No. 34-44821 File Number: 3-10581

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