Commission Opinions and Adjudicatory Orders

This page features opinions and orders issued by the Commission in connection with its adjudication of administrative proceedings, appeals from initial decisions of ALJs, and appeals from SRO or PCAOB action.

The links below direct you to the docket pages for such adjudicatory proceedings 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. 17, 1997	Respondents: Morgan Stanley & Co., Inc. Release No. 34-39459 File Number: 3-9289
Date: Dec. 11, 1997	Respondents: KO Securities, Inc., and Terrance Y. Yoshikawa Release No. 34-39443 File Number: 3-9254
Date: Nov. 5, 1997	Respondents: Revcon, Incorporated Release No. 34-39298 File Number: 3-9076
Date: Nov. 5, 1997	Respondents: Robert L. Den Herder Release No. 34-39297 File Number: 3-9253
Date: Nov. 4, 1997	Respondents: Excel Financial, Inc. , Gary R. Beynon, Robert L. Sperry Release No. 34-39296 File Number: 3-9067
Date: Oct. 27, 1997	Respondents: Louis F. Albanese Release No. 34-39280 File Number: 3-9189
Date: Oct. 15, 1997	Respondents: Martin J. Cunnane, Jr. Release No. 34-39242 File Number: 3-9296
Date: Oct. 8, 1997	Respondents: Robert I. Moses Release No. 34-37795 File Number: 3-8841
Date: Oct. 1, 1997	Respondents: Russo Securities Inc. and Ferdinand Russo Release No. 34-39181 File Number: 3-8573
Date: Oct. 1, 1997	Respondents: Meyer Blinder Release No. 34-39180 File Number: 3-8305
Date: Sept. 24, 1997	Respondents: Robert D. Potts, CPA Release No. 34-39126 File Number: 3-7998
Date: Sept. 22, 1997	Respondents: Gerald James Stoiber Release No. 34-39112 See Also: Court of Appeals Opinion
Date: Sept. 3, 1997	Respondents: Herbert Garrett Frey Release No. 34-39007 File Number: 3-9281
Date: Sept. 2, 1997	Respondents: Ryan-Murphy Incorporated Release No. 34-38999 File Number: 3-9064
Date: Aug. 1, 1997	Respondents: Raymond James & Associates, Inc. Release No. 34-38893 File Number: 3-8801
Date: July 3, 1997	Respondents: The Stuart-James Co., Inc., et al. Release No. 34-38815 File Number: 3-7164
Date: June 17, 1997	Respondents: Donald A. Roche Release No. 34-38742 File Number: 3-8370
Date: June 2, 1997	Respondents: Suzanne L. Cook Release No. 34-38705 File Number: 3-8294
Date: May 20, 1997	Respondents: Russell G. Koch Release No. 34-38658 File Number: 3-8832
Date: May 20, 1997	Respondents: Richard M. Kulak (order dismissing proceeding) Release No. 34-38657 File Number: 3-8509
Date: May 5, 1997	Respondents: William K. Cantrell Release No. 34-38570 File Number: 3-9023
Date: April 8, 1997	Respondents: Prime Investors, Inc, Kenneth James Wright and Michael Lyn Johnson Release No. 34-38487 File Number: 3-8820
Date: April 8, 1997	Respondents: Stephen Thorlief Rangen Release No. 34-38486 File Number: 3-8994
Date: April 8, 1997	Respondents: Benjamin G. Sprecher Release No. 34-38485 File Number: 3-8230
Date: March 26, 1997	Respondents: Christopher J. Benz Release No. 34-38440 File Number: 3-8986
Date: March 20, 1997	Respondents: C. James Padgett, Stuart Graff, Robert E. Gibbs, Shaw Sullivan, John W. Sutton, John Beaird and Dirk Nye Release No. 34-38423, 34-38815 File Number: 3-7164
Date: March 19, 1997	Respondents: Henry Irvin Judy, Jr. Release No. 34-38418 File Number: 3-9039
Date: March 12, 1997	Respondents: Stratton Oakmont, Inc. Release No. 34-38390 File Number: 3-9005
Date: March 12, 1997	Respondents: Demitrios Julius Shiva Release No. 34-38389 File Number: 3-8803
Date: March 7, 1997	Respondents: Martin B. Sloate Release No. 34-38373 File Number: 3-8232
Date: Jan. 21, 1997	Respondents: David J. Checkosky and Norman A. Aldrich Release No. 34-38183 See Also: Court of Appeals Opinion File Number: 3-6776