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Commission Opinions & Orders Archive 1999

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
34-42255 Dec. 20, 1999 Harry Gliksman and William J. Gallagher
34-42144 Nov. 16, 1999 Keith L. Mohn
34-42121 Nov. 10, 1999 Russo Securities, Inc.
34-42060 Oct. 26, 1999 Healthtech International, Inc.
34-42008 Oct. 14, 1999 James J. Pasztor
34-41989 Oct. 7, 1999 Coastline Financial, Inc., and Donald Allyson Williams
34-41943 Sep. 29, 1999 Jonathan Feins
34-41816 Sep. 1, 1999 Rafael Pinchas
34-41815 Sep. 1, 1999 SC&T International, Inc.
34-41813 Aug. 31, 1999 Jacob Adoni
34-41804 Aug. 27, 1999 William J. Murphy
34-41777 Aug. 23, 1999 Donald R. Gates
34-41755 Aug. 18, 1999 La Jolla Capital Corporation and Harold B. Gallison, Jr.
34-41725 Aug. 11, 1999 Al Rizek
See also:  Court of Appeals Opinion
34-41629 Jul. 20, 1999 Martin R. Kaiden
34-41628 Jul. 20, 1999 Stephen J. Gluckman
34-41633 Jul. 21, 1999 Imaging Diagnostic Systems, Inc.
34-41330 Apr. 26, 1999 Sierra Nevada Securities, Inc.
34-41285 Apr. 14, 1999 Jon G. Symon and J.G. Symon & Companies
34-41278 Apr. 13, 1999 Transnet Corporation
34-41250 Apr. 5, 1999 Laurie Jones Canady
See also:  Court of Appeals Opinion
34-41226 Mar. 30, 1999 Robert Sayegh
34-41229 Mar. 30, 1999 Eliezer Gurfel
See also:  Court of Appeals Opinion
34-41126 Mar. 1, 1999 Ted Harold Westerfield
34-41123 Mar. 1, 1999 Jacob Wonsover
See also:  Court of Appeals Opinion
34-41034 Feb. 10, 1999 Joseph J. Barbato
34-41008 Feb. 1, 1999 Kenneth C. Krull
34-41007 Feb. 1, 1999 James Harvey Thornton and Payne & Thornton, Inc.
See also:  Court of Appeals Opinion

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch1999.shtml

Modified: 10/16/2014