Commission Opinions and Adjudicatory Orders

The Commission recently amended its Rules of Practice to include new electronic filing requirements.

The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.

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Date Sort ascending	Respondents
Dec. 29, 2003	Enron Corporation Release No. 35-27782 See Also: PDF version File Number: 3-10909
Dec. 29, 2003	Stephen S. Wien Release No. 34-49000 File Number: 3-6102
Dec. 29, 2003	Edward I. Frankel Release No. 34-49002 File Number: 3-2783
Dec. 29, 2003	Ciro Cozzolino Release No. 34-49001 File Number: 3-4403
Dec. 17, 2003	Stuart E. Winkler Release No. 33-8348 See Also: PDF version File Number: 3-9933
Dec. 16, 2003	Calvin David Fox Release No. 34-48927, 34-54840 See Also: PDF version File Number: 3-11062
Dec. 12, 2003	Marshall Financial, Inc. Release No. 34-48917 See Also: Inc. PDF version File Number: 3-11073
Dec. 11, 2003	Zion Capital Management LLC and Ricky A. Lang Release No. 33-8345A, 34-48904A, IC-26289A, IA-2200A PDF version See Also: IA-2200A PDF version File Number: 3-10659
Dec. 11, 2003	William C. Piontek Release No. 33-8344, 34-48903 PDF version See Also: PDF version File Number: 3-10310
Dec. 3, 2003	Nicholas T. Avello Release No. 34-48866 See Also: PDF version File Number: 3-10391
Nov. 7, 2003	David M. Levine and Triple J Partners, Inc. Release No. 34-48760 See Also: Inc. PDF version , Court of Appeals Opinion File Number: 3-10816
Nov. 7, 2003	Robert J. Setteducati Release No. 33-8334 See Also: PDF version
Nov. 7, 2003	RichMark Capital Corporation and Doyle Mark White Release No. 33-8333, 34-48758 PDF version See Also: PDF version File Number: 3-9954
Oct. 31, 2003	Calvin David Fox Release No. 34-48731, 34-54840 See Also: PDF version File Number: 3-11062
Oct. 28, 2003	Richard Kwiatkowski Release No. 34-48707 See Also: PDF version File Number: 3-10864
Oct. 24, 2003	Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, and Matthew R. Jennings Release No. 33-8314, 34-48691 PDF version See Also: and Matthew R. Jennings Release No. 34-48691 PDF version , Reconsideration order available File Number: 3-9959
Oct. 23, 2003	Robert G. Weeks Release No. 33-8313, 34-48684 PDF version See Also: PDF version File Number: 3-9952
Oct. 9, 2003	Anthony A. Adonnino and Thomas Cannizzaro Release No. 34-48618 See Also: Court of Appeals Opinion File Number: 3-10916
Oct. 2, 2003	The Barr Financial Group, Inc. and Alfred E. Barr Release No. IA-2179 See Also: Reconsideration order available File Number: 3-9918
Oct. 2, 2003	The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, John C. Power Release No. 34-48590 File Number: 3-9615
Sept. 30, 2003	National Association of Securities Dealers, Inc. and NASDAQ Stock Market, Inc. Release No. 34-48573 File Number: 3-10772
Sept. 26, 2003	Edward John McCarthy Release No. 34-48554 See Also: Court of Appeals Opinion File Number: 3-10999
Sept. 26, 2003	Ko Securities, Inc. and Terrance Y. Yoshikawa Release No. 34-48550 File Number: 3-11000
Sept. 10, 2003	Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams Release No. 34-48473 File Number: 3-11001
Sept. 3, 2003	Perpetual Securities, Inc. Rel. No. 34-48433 Release No. 34-48433 File Number: 3-10958
Aug. 26, 2003	Piper Capital Management, Inc., Marijo A. Goldstein, Robert H. Nelson, Amy K. Johnson, and Molly J. Destro Rel. Nos. 34-48409, IC-26167, IA-2163 Release No. 33-8276, 34-48409, IC-26167, IA-2163 See Also: Court of Appeals Opinion File Number: 3-9657
Aug. 25, 2003	Robert M. Fuller Rel. No. 34-48406 Release No. 33-8273, 34-48406 File Number: 3-10576
Aug. 25, 2003	Byron G. Borgardt and Eric M. Banhazl Rel. No. IC-26169 Release No. 33-8274, IC-26169 File Number: 3-9730
Aug. 21, 2003	Terence Michael Coxon, Alan Michael Sergyand World Money Managers Rel. Nos. 34-48385, IA-2161, IC-26165 Release No. 33-8271, 34-48385, IA-2161, IC-26165 File Number: 3-9218
Aug. 20, 2003	Wheat, First Securities, Inc., f/k/a First Union Capital Markets Corp. and Teressa L. Cawley Release No. 34-48378
Aug. 20, 2003	Carroll A. Wallace, C.P.A. Rel. No. AAER-1846 See Order (public://migration/litigation/opinions/34-50480.htm) Release No. 34-48372, AAER-1846 File Number: 3-9862
Aug. 15, 2003	Mark David Anderson Rel. No. 34-48352 Release No. 33-8265, 34-48352 File Number: 3-9499
Aug. 13, 2003	Derek L. DuBois Rel. No. 34-48332 Release No. 33-8264, 34-48332 File Number: 3-10033
Aug. 6, 2003	James L. Bari, Jr. Release No. 34-48292 File Number: 3-11048
July 30, 2003	Ralph W. LeBlanc Release No. 34-48254 File Number: 3-10065
July 30, 2003	Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc. Rel. No.: IA-2152 Release No. 34-48255, IA-2152 File Number: 3-9784
July 29, 2003	Michael J. Marrie, CPA and Brian L. Berry, CPA Rel. No.: AAER-1823 Release No. 34-48246, AAER-1823 File Number: 3-9966
July 29, 2003	Nolan Wayne Wade Release No. 34-48245 File Number: 3-10650
July 28, 2003	Barry C. Scutillo Rel. No.: AAER-1822 Release No. 34-48238, AAER-1822 File Number: 3-9863
July 25, 2003	Marshall E. Melton and Asset Management & Research, Inc. Rel. No.: 34-48228 Release No. IA-2151, 34-48228 File Number: 3-9865
July 15, 2003	Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation Release No. 33-8251 File Number: 3-9461
July 10, 2003	Feeley & Willcox Asset Management Corp. and Michael J. Feeley Rel. Nos.: 34-48162 , IA-2143 Release No. 33-8249, 34-48162, IA-2143 See Also: Reconsideration order available File Number: 3-9571
July 9, 2003	Robert Thomas Clawson Release No. 34-48143 File Number: 3-9208
July 9, 2003	Richard J. Adams Release No. 34-48146 File Number: 3-8327-EAJ
June 26, 2003	Robert Bruce Lohmann Release No. 34-48092 File Number: 3-10611
June 25, 2003	David I. Cassuto Release No. 34-48087 File Number: 3-10944
June 9, 2003	Monetta Financial Services, Inc., Robert S. Bacarella,and Richard D. Russo Release No. 33-8239, 34-48001, IA-2136, IC-26070 File Number: 3-9546
June 4, 2003	WHX Corporation Release No. 34-47980 File Number: 3-9634
May 14, 2003	Wendell D. Belden Release No. 34-47859 File Number: 3-10888
May 14, 2003	John J. Kenny and Nicholson/Kenny Capital Management, Inc. Release No. 33-8234 See Also: Court of Appeals Opinion File Number: 3-9611
May 2, 2003	Clarence Z. Wurts Release No. 34-47784 File Number: 3-9114-EAJ
April 3, 2003	John R. D'Alessio, and D'Alessio Securities, Inc. Release No. 34-47627 See Also: Reconsideration order available , Court of Appeals Opinion File Number: 3-10460
April 3, 2003	MFS Securities Corp. Release No. 34-47626 See Also: Court of Appeals Opinion File Number: 3-10696
March 27, 2003	Charles K. Seavey Release No. IA-2119 File Number: 3-10336
March 26, 2003	Robert L. McCook Release No. 34-47572 File Number: 3-9440-EAJA
March 21, 2003	The City of Miami, Florida Release No. 33-8213 File Number: 3-10022
March 20, 2003	Javed Anver Latef and Larry Alan Stockett Release No. 34-47542 File Number: 3-9374
March 19, 2003	Tower Trading, L.P. Release No. 34-47537 See Also: Reconsideration order available File Number: 3-10359
March 19, 2003	Robert Tretiak Release No. 34-47534 File Number: 3-10424
March 19, 2003	Kenneth R. Ward Release No. 33-8210, 34-47535 File Number: 3-9327
March 14, 2003	Russell W. Stein, Ford D. Albritton, Jr.,and Dover and Associates, Inc. Release No. 34-47504 File Number: 3-9309
March 14, 2003	John Roger Faherty Release No. 34-47502 File Number: 3-9778
March 14, 2003	William J. Gallagher Release No. 34-47501 File Number: 3-10749
March 10, 2003	James B. Chase Release No. 34-47476 File Number: 3-10586
March 7, 2003	Barry Wayne Blank Release No. 34-47461 File Number: 3-10671
Feb. 12, 2003	Nicholas P. Howard Release No. 34-47357 See Also: Court of Appeals Opinion File Number: 3-8873
Feb. 10, 2003	Jack H. Stein Release No. 34-47335 File Number: 3-10675
Jan. 22, 2003	John Montelbano, Gerard McMahon, and Michael Galasso, Jr. Release No. 34-47227 See Also: Reconsideration order available File Number: 3-10428
Jan. 9, 2003	Charles F. Kirby and Gene C. Geiger Release No. 33-8174 See Also: Court of Appeals Opinion File Number: 3-9602
Jan. 8, 2003	Michael F. Flannigan Release No. 34-47142 File Number: 3-10530

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