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: Jan. 26, 2009	Respondents: Jordan H. Mintz Release No. 34-59296, AAER-2926
Date: Jan. 26, 2009	Respondents: Rex R. Rogers Release No. 34-59297, AAER-2927
Date: Jan. 22, 2009	Respondents: BBJ Environmental Technologies, Inc. Release No. 34-59272 See Also: the Order in this matter
Date: Jan. 22, 2009	Respondents: Cablevision Systems Corporation Release No. 34-59277, AAER-2920
Date: Jan. 22, 2009	Respondents: Catherine R. McEnroe, Noreen O'Loughlin and Martin R. von Ruden Release No. 34-59278, AAER-2921
Date: Jan. 22, 2009	Respondents: Stephen R. Moynahan Release No. 34-59279
Date: Jan. 22, 2009	Respondents: Alliance Capital Management, LP Release No. 34-59280
Date: Jan. 21, 2009	Respondents: Weiss Research, Inc., Martin Weiss, and Lawrence Edelson Release No. 34-59269
Date: Jan. 16, 2009	Respondents: Jarrod W. McMillin Release No. 34-59263
Date: Jan. 16, 2009	Respondents: Alberto W. Vilar and Gary Alan Tanaka Brenda P. Murray, Chief Administrative Law Judge Release No. IA-2832 See Also: the Order in this matter File Number: 3-13345
Date: Jan. 15, 2009	Respondents: K-2 Logistics.Com, Inc., et al. Release No. 34-59256
Date: Jan. 15, 2009	Respondents: Kings Road Entertainment, Inc. Release No. 34-59257
Date: Jan. 14, 2009	Respondents: American Custom Components, Inc., ClearLogic, Inc., Creditgroup Com, Inc.(n/k/a Tradex Global Financial Services, Inc.), Frederick Brewing Co., Infinicall Corp. Release No. 34-59245
Date: Jan. 14, 2009	Respondents: Michael K. Brugman Release No. 34-59249, IA-2831, IC-28601
Date: Jan. 13, 2009	Respondents: The JPM Company, Maxxis Group, Inc., Metrotrans Corp, and Tidalwave Holdings, Inc. Release No. 34-59236 See Also: the Order in this matter
Date: Jan. 13, 2009	Respondents: Diane M. Keefe Release No. IA-2828, IC-28582, 34-59237 See Also: the Order in this matter File Number: IC-28582
Date: Jan. 13, 2009	Respondents: Peter Sherlock Release No. 34-59239
Date: Jan. 13, 2009	Respondents: Kevin J. Heron Release No. 34-59240
Date: Jan. 13, 2009	Respondents: Joseph Lando Release No. 34-59241
Date: Jan. 13, 2009	Respondents: Paul G. Risoli Release No. 34-59242, IA-2829 File Number: 3-13341
Date: Jan. 12, 2009	Respondents: Howard Graham Release No. 34-59226
Date: Jan. 12, 2009	Respondents: Mark E. Salyer Release No. 34-59227, IA-2826
Date: Jan. 12, 2009	Respondents: Laurence G. Young Release No. 34-59228 See Also: the Order in this matter
Date: Jan. 12, 2009	Respondents: Gabelli Funds, LLC Release No. IA-2827, IC-28580 File Number: 3-13332
Date: Jan. 12, 2009	Respondents: Peter J. Dawson Release No. 34-59232
Date: Jan. 9, 2009	Respondents: Debra McClister, CPA Release No. 34-59224, AAER-2918
Date: Jan. 8, 2009	Respondents: Baldwin Piano & Organ Co., Banner Holding Corp., Be Safe Services, Inc., Belmoral Mines Ltd., Benefund, Inc., Benz Energy Ltd. (n/k/a Benz Energy, Inc.), and Beyond Belief, Inc. Release No. 34-59215
Date: Jan. 8, 2009	Respondents: Jason A. Kolakowski Release No. 34-59220
Date: Jan. 6, 2009	Respondents: R.K. Dhawan, Chartered Accountant Release No. 34-59204, AAER-2914
Date: Jan. 6, 2009	Respondents: Pavlos Meletiou, Certified Accountant Release No. 34-59205, AAER-2915
Date: Jan. 6, 2009	Respondents: R.K. Dhawan & Co. Release No. 34-59206, AAER-2916
Date: Jan. 5, 2009	Respondents: Robert L. Flickinger II Release No. 34-59195