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Commission Opinions & Orders Archive 1998

This list below provides links to opinions and orders issued by the Commission on appeal of Initial ALJ Decisions or disciplinary decisions issued by self-regulatory organizations (such as the NYSE or NASD).

Additional Archives

Release No. Date Respondents
34-40768 Dec. 10, 1998 Kenneth C. Krull
34-40738 Dec. 2, 1998 Lance E. Van Alstyne
34-40727 Nov. 30, 1998 Sharon M. Graham and Stephen C. Voss
See also:  Court of Appeals Opinion
34-40726 Nov. 30, 1998 Adrian C. Havill
34-40719 Nov. 30, 1998 Richard D. Chema
34-40690 Nov. 19, 1998 Russell A. Simpson
IA-1774 Nov. 18, 1998 Valicenti Advisory Services, Inc., Vincent R. Valicenti Investment
34-40673 Nov. 12, 1998 William J. Haberman
See also:  Court of Appeals Opinion
34-40672 Nov. 12, 1998 Stephen B. Carlson
34-40671 Nov. 12, 1998 Richard T. Sullivan
34-40663 Nov. 12, 1998 Shamrock Partners, Ltd.
34-40654 Nov. 10, 1998 Robert L. Wallace
34-40648 Nov. 9, 1998 Rocky Mountain Power Company
34-40647 Nov. 9, 1998 James S. Pritula
34-40646 Nov. 9, 1998 Scattered Corporation and Leon Aaron Greenblatt, III, Andrew Alvin Jahelka, Richard Owen Nichols, and Laura Bryant
34-40639 Nov. 4, 1998 William H. Gerhauser, Sr. and William C. Gerhauser, Jr.
34-40630 Nov. 3, 1998 Cathy Jean Krause Kirkpatrick
34-40629 Nov. 3, 1998 Warren R. Schreiber
34-40600 Oct. 26,1998 Steven P. Sanders and Daniel M. Porush
34-40474 Sep. 24, 1998 John M. W. Crute
34-40438 Sep. 14, 1998 Joseph Patrick Hannan
34-40436 Sep. 14, 1998 First Colorado Financial Services Company, Inc.
IA-1752 Sep. 15, 1998 Ira William Scott
34-40392 Sep. 2, 1998 Richard H. Morrow
34-40387 Sep. 1, 1998 Alan E. Rosenthal
34-40335 Aug. 19, 1998 Justine Susan Fischer
34-40297 Aug. 3, 1998 Sidney C. Eng
34-40244 Jul. 22, 1998 Kevin Eric Shaughnessy
34-40243 Jul. 22, 1998 Daniel C. Montano
34-40237 Jul. 21, 1998 Richard R. Pendleton
34-40238 Jul. 21, 1998 Frank R. Rubba
34-40055 Jun. 2, 1998 Terry T. Steen
34-40046 May 29, 1998 L.C. Wegard & Co., Inc.
34-40013 May 20, 1998 Boleslaw Wolny
34-40010 May 20, 1998 Victor Teicher & Co., L.P., Ross S. Frankel
Release No. IA1722
See also:  Court of Appeals Opinion
34-40000 May 18, 1998 John P. Goldsworthy
34-39999 May 18, 1998 Castle Securities Corporation
34-40028 May 17, 1998 Leonard John Ialeggio
34-39800 Mar. 25, 1998 Eagle Supply Group, Inc.
34-39796 Mar. 25, 1998 James A. Goetz
34-39765 Mar. 17, 1998 Interactive Brokers LLC
34-39645 Feb. 11, 1998 Richard J. Adams
34-39565 Jan. 22, 1998 Gerald James Stoiber
IA-1696 Jan. 21, 1998 John Francis D'Acquisto
34-39544 Jan. 13, 1998 John J. Fiero
34-39543 Jan. 13, 1998 Hattier, Sanford & Reynoir, Gus A. Reynoir, and Vance G. Reynoir
See also:  Court of Appeals Opinion
34-39520 Jan. 7, 1998 Equity Securities Trading Co., Inc., Nathan Newman, Laurence Stuart Zipkin
34-39523 Jan. 7, 1998 Castle Securities Corp and Michael T. Studer
34-39518 Jan. 6, 1998 Rita Villa
34-39517 Jan. 6, 1998 D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, Duncan E. Wine

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch1998.shtml

Modified: 10/16/2014