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: Dec. 29, 2004	Respondents: Kenneth A. Orr Release No. 34-50941 File Number: 3-11650
Date: Dec. 29, 2004	Respondents: John N. Salerno Release No. 34-50943 File Number: 3-11700
Date: Dec. 28, 2004	Respondents: Robert J. Cassandro Release No. 34-50938 File Number: 3-11785
Date: Dec. 27, 2004	Respondents: Dimitrios Kostopoulos Release No. 34-50933 See Also: the Order in this matter File Number: 3-11784
Date: Dec. 27, 2004	Respondents: Frank D. Edwards, CA Release No. 34-50931, AAER-2156 File Number: 3-11782
Date: Dec. 27, 2004	Respondents: Laurence D. Cohen (CPA) Release No. 34-50932, AAER-2157 File Number: 3-11783
Date: Dec. 22, 2004	Respondents: Edward D. Jones & Co., L.P. Release No. 33-8520, 34-50910 File Number: 3-11780
Date: Dec. 22, 2004	Respondents: Mark K. Menzel Release No. 33-8519, 34-50908 File Number: 3-11779
Date: Dec. 22, 2004	Respondents: Mark J. Chavez Release No. 34-50913 File Number: 3-11781
Date: Dec. 22, 2004	Respondents: Keith M. Roberts Release No. 34-50918, AAER-2155 File Number: 3-11471
Date: Dec. 21, 2004	Respondents: Michael I. Nnebe, Nelson C. Walker, and Hildreth J. Fleming, Jr. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-50899 File Number: 3-11647
Date: Dec. 20, 2004	Respondents: American Multiplexer Corp., DMT Energy, Inc., JTS Corp., and Webvan Group, Inc. Release No. 34-50881 File Number: 3-11760
Date: Dec. 20, 2004	Respondents: The Walt Disney Company Release No. 34-50882 File Number: 3-11777
Date: Dec. 20, 2004	Respondents: Scott Hamilton Release No. 34-50884 File Number: 3-11778
Date: Dec. 20, 2004	Respondents: American International Group, Inc. Release No. 33-8516, 34-50890
Date: Dec. 20, 2004	Respondents: American International Group, Inc. Release No. 33-8517, 34-50891
Date: Dec. 17, 2004	Respondents: Lonnie Dragon Release No. 34-50875 See Also: the Order in this matter , the Order in this matter , Final Order in this matter File Number: 3-11776
Date: Dec. 17, 2004	Respondents: American Multiplexer Corp., DMT Energy, Inc., JTS Corp., and Webvan Group, Inc. Release No. 34-50876 File Number: 3-11760
Date: Dec. 17, 2004	Respondents: Donald L. Knight Release No. 34-50879 File Number: 3-11684
Date: Dec. 16, 2004	Respondents: Knight Securities L.P. Release No. 34-50867 File Number: 3-11771
Date: Dec. 16, 2004	Respondents: Pennichuck Corporation Release No. 34-50869 File Number: 3-11773
Date: Dec. 16, 2004	Respondents: Ulysses "Thomas" Ware Carol Fox Foelak, Administrative Law Judge Release No. 34-50873 File Number: 3-11774
Date: Dec. 16, 2004	Respondents: Bio One Corporation Release No. 33-8515 File Number: 3-11775
Date: Dec. 15, 2004	Respondents: First Command Financial Planning, Inc. Release No. 33-8513 File Number: 3-11770
Date: Dec. 15, 2004	Respondents: Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA Release No. 34-50861, AAER-2151 File Number: 3-11377
Date: Dec. 13, 2004	Respondents: Franklin Advisers, Inc. and Franklin / Templeton Distributors, Inc. Release No. 34-50841A, IA-2337A, IC-26692A
Date: Dec. 13, 2004	Respondents: Franklin Advisers, Inc. and Franklin / Templeton Distributors, Inc. Release No. 34-50841, IA-2337, IC-26692 File Number: 3-11769
Date: Dec. 13, 2004	Respondents: Michael Carnicle Release No. 34-50842 File Number: 3-11682
Date: Dec. 10, 2004	Respondents: David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi, and David Weeks Release No. 34-50835 File Number: 3-11632
Date: Dec. 9, 2004	Respondents: Marshall S. Klein Release No. 34-50824 File Number: 3-11688
Date: Dec. 9, 2004	Respondents: Koji Goto Release No. 34-50825, IA-2336 See Also: the Order in this matter File Number: 3-11768
Date: Dec. 9, 2004	Respondents: Graham Andrews Release No. 34-50826 File Number: 3-11596
Date: Dec. 7, 2004	Respondents: Fidelity National Capital Investors, Inc. Release No. 34-50801 File Number: 3-11514
Date: Dec. 7, 2004	Respondents: Emanuele Cardaci Release No. 34-50802 File Number: 3-11637
Date: Dec. 7, 2004	Respondents: Thomas H. Keesee Release No. 34-50803 File Number: 3-11766
Date: Dec. 7, 2004	Respondents: Michael A. Lomas and Michael L. Young Release No. 34-50804 File Number: 3-11710
Date: Dec. 7, 2004	Respondents: Agra-Tech, Incorporated, Consolidated Oil & Gas, Inc., Kilimanjaro Group.Com Inc., New Hampshire Industrials, Inc., Oyster Creek Group Inc., Savannah River Group, Inc., 2ksounds Corporation, Xunantunich, Inc. Lillian A. McEwen, Administrative Law Judge Release No. 34-50805 File Number: 3-11690
Date: Dec. 7, 2004	Respondents: Marc Freeman Release No. 33-8509, 34-50815 File Number: 3-11767
Date: Dec. 7, 2004	Respondents: Steven Ingrassia and Slava Volman Release No. 33-8510, 34-50816
Date: Dec. 6, 2004	Respondents: Daniel E. Charboneau Carol Fox Foelak, Administrative Law Judge Release No. 34-50798 See Also: the Order in this matter File Number: 3-11765
Date: Dec. 3, 2004	Respondents: Vladislav Steven Zubkis Lillian A. McEwen, Administrative Law Judge Release No. 34-50793 File Number: 3-11625
Date: Dec. 2, 2004	Respondents: Ari Dinov and Eli Dinov Release No. 34-50782 File Number: 3-11763
Date: Dec. 2, 2004	Respondents: Thomas L. Taylor Release No. 34-50783, AAER-2148 File Number: 3-11764
Date: Dec. 1, 2004	Respondents: 21st Century Wireless Group, Inc. Release No. 34-50761 File Number: 3-11749
Date: Dec. 1, 2004	Respondents: Marchfirst, Inc. Release No. 34-50762 File Number: 3-11750
Date: Dec. 1, 2004	Respondents: Healthwatch, Inc. Release No. 34-50763 File Number: 3-11751
Date: Dec. 1, 2004	Respondents: Directshoes.Com, Inc. Release No. 34-50764 File Number: 3-11752
Date: Dec. 1, 2004	Respondents: Centura Software Corp. Release No. 34-50765 File Number: 3-11753
Date: Dec. 1, 2004	Respondents: Biogan International, Inc. Release No. 34-50766 File Number: 3-11754
Date: Dec. 1, 2004	Respondents: Bluestar Enterprises, Inc. Release No. 34-50767 File Number: 3-11755
Date: Dec. 1, 2004	Respondents: Bigmar, Inc. Release No. 34-50768 File Number: 3-11756
Date: Dec. 1, 2004	Respondents: Learncom, Inc. Release No. 34-50769 File Number: 3-11757
Date: Dec. 1, 2004	Respondents: Winstar Communications, Inc. Release No. 34-50770 File Number: 3-11758
Date: Dec. 1, 2004	Respondents: Abacan Resources Corp., Heroes, Inc., American Multiplexer Corp., DMT Energy, Inc., JTS Corp., Webvan Group, Inc., Asset Equity Group, Inc., Household Direct, Inc., International Brands, Inc., Interspace Enterprises, Inc., JSJ Capital II, Inc., Mega Micro Technologies Group, Inc., S D E Holdings 2, Inc., Vertical Computer Systems, Inc. and VSAT Net, Inc. Release No. 34-50771 See Also: File No. 3-11759 , File No. 3-11760 , File No. 3-11761 File Number: 3-11759
Date: Dec. 1, 2004	Respondents: Schield Management Company and Marshall L. Schield Brenda P. Murray, Chief Administrative Law Judge Release No. 34-50772, IA-2331 See Also: the Order in this matter File Number: 3-11762
Date: Nov. 30, 2004	Respondents: Joseph L. Lents Carol Fox Foelak, Administrative Law Judge Release No. 34-50750 File Number: 3-11693
Date: Nov. 30, 2004	Respondents: Joseph L. Lents Carol Fox Foelak, Administrative Law Judge Release No. 34-50757 File Number: 3-11693
Date: Nov. 29, 2004	Respondents: Bruce D. Oakes Release No. 34-50743, AAER-2142 File Number: 3-11746
Date: Nov. 29, 2004	Respondents: Charles A. Dairaghi, C.P.A. Release No. 34-50744, AAER-2143 File Number: 3-11747
Date: Nov. 29, 2004	Respondents: Kenneth L. Rubin, CPA and Michael W. Lewis, CPA Robert G. Mahony, Administrative Law Judge Release No. 34-50745, AAER-2144 See Also: the Order in this matter File Number: 3-11748
Date: Nov. 26, 2004	Respondents: Matter of Steven Bocchino and Sharon Harosh Release No. 34-50739 File Number: 3-11628
Date: Nov. 24, 2004	Respondents: Michael I. Nnebe, Nelson C. Walker, and Hildreth J. Fleming, Jr. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-50738 File Number: 3-11647
Date: Nov. 23, 2004	Respondents: John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A. Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'investissement S.A., and Spencer Edwards, Inc. James T. Kelly, Administrative Law Judge Release No. 33-8508, 34-50721 File Number: 3-11626
Date: Nov. 22, 2004	Respondents: Soulfood Concepts, Inc. Release No. 34-50711 File Number: 3-11703
Date: Nov. 22, 2004	Respondents: Frederick J. Gilliland Release No. 34-50720 See Also: the Order in this matter File Number: 3-11745
Date: Nov. 19, 2004	Respondents: Robotic Vision Systems, Inc. Release No. 34-50704, AAER-2137 File Number: 3-11741
Date: Nov. 19, 2004	Respondents: Gary Moe and ID Integration Release No. 34-50705, AAER-2138 File Number: 3-11742
Date: Nov. 19, 2004	Respondents: eFunds Corporation Release No. 34-50706, AAER-2139 File Number: 3-11743
Date: Nov. 19, 2004	Respondents: Jerry K. Lester Release No. 34-50707, AAER-2140 File Number: 3-11744
Date: Nov. 19, 2004	Respondents: Barry J. Goodman Release No. IA-2330 File Number: 3-11708
Date: Nov. 18, 2004	Respondents: Anthony Gianninoto and Eileen Laine Release No. 34-50696 File Number: 3-11660
Date: Nov. 18, 2004	Respondents: Anthony Gianninoto and Eileen Laine Release No. 34-50697 File Number: 3-11660
Date: Nov. 18, 2004	Respondents: David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi, and David Weeks Release No. 34-50701 File Number: 3-11632
Date: Nov. 17, 2004	Respondents: Gary L. Pilgrim Release No. 33-8505, 34-50680 File Number: 3-11739
Date: Nov. 17, 2004	Respondents: Harold J. Baxter Release No. 33-8506, 34-50681 File Number: 3-11740
Date: Nov. 16, 2004	Respondents: Michael John Hanchar Release No. 34-50675, IA-2327 File Number: 3-11738
Date: Nov. 15, 2004	Respondents: Marlon D. Tropeano Release No. 34-50660 File Number: 3-11624
Date: Nov. 15, 2004	Respondents: Frederick Tropeano Release No. 34-50661 File Number: 3-11633
Date: Nov. 15, 2004	Respondents: Fischer Imaging Corporation Release No. 33-8503, 34-50663, AAER-2134 File Number: 3-11736
Date: Nov. 15, 2004	Respondents: Wesley H. Colwell, CPA, Release No. 34-50664, AAER-2135 File Number: 3-11737
Date: Nov. 10, 2004	Respondents: Steven Woghin, Esq. Release No. 34-50653, AAER-2133 File Number: 3-11735
Date: Nov. 10, 2004	Respondents: Kenneth B. MacQueen Release No. IA-2326 File Number: 3-11681
Date: Nov. 9, 2004	Respondents: Adam G. Kruger Release No. IA-2323 File Number: 3-11664
Date: Nov. 9, 2004	Respondents: Bruce H. Barbers and Craig H. Colwell Release No. 34-50648 File Number: 3-11549
Date: Nov. 9, 2004	Respondents: William H. Black Release No. 34-50650, IA-2324 See Also: the Order in this matter File Number: 3-11734
Date: Nov. 8, 2004	Respondents: Carlos H. Soto Release No. 34-50646 File Number: 3-11732
Date: Nov. 5, 2004	Respondents: David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi, and David Weeks Release No. 34-50638 File Number: 3-11632
Date: Nov. 5, 2004	Respondents: Neal R. Wadhwa Release No. 34-50644, IA-2322 File Number: 3-11730
Date: Nov. 4, 2004	Respondents: Morgan Stanley Release No. 34-50632, AAER-2132 File Number: 3-11725
Date: Nov. 4, 2004	Respondents: Fremont Investment Advisors, Inc. Release No. IA-2317, IC-26650 File Number: 3-11726
Date: Nov. 4, 2004	Respondents: Nancy C. Tengler Release No. IA-2318, IC-26651 File Number: 3-11727
Date: Nov. 4, 2004	Respondents: Larry Adams Release No. IA-2319, IC-26652 See Also: the Order in this matter File Number: 3-11728
Date: Nov. 4, 2004	Respondents: Matter of Steven Bocchino and Sharon Harosh Release No. 34-50631 File Number: 3-11628
Date: Nov. 4, 2004	Respondents: John D. Barry, Thomas P. Daniels, John M. Irwin, and Mark P. Miszkiewicz Release No. IA-2320 File Number: 3-11729
Date: Nov. 3, 2004	Respondents: Harold F. Harris and Ronald E. Crews Lillian A. McEwen, Administrative Law Judge Release No. 34-50623 File Number: 3-11573
Date: Oct. 29, 2004	Respondents: Fanam Capital Management, Richard J. Ennis, and Seth Morgulas Release No. IA-2316 File Number: 3-11723
Date: Oct. 29, 2004	Respondents: Salvatore Piazza, et al. Robert G. Mahony, Administrative Law Judge Release No. 33-8500, 34-50609 File Number: 3-10229
Date: Oct. 29, 2004	Respondents: Neurotech Development Corporation James T. Kelly, Administrative Law Judge Release No. 34-50612 See Also: the Order in this matter File Number: 3-11724
Date: Oct. 27, 2004	Respondents: David Kaplan, CPA Release No. 34-50597, AAER-2129 File Number: 3-11721
Date: Oct. 27, 2004	Respondents: David Rivard, CPA Release No. 34-50598, AAER-2130 File Number: 3-11722