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Commission Opinions & Orders Archive 2003

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).

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Respondents
Fourth Quarter
35-27782 Dec. 29, 2003 Enron Corporation
PDF version
34-49002 Dec. 29, 2003 Edward I. Frankel
34-49001 Dec. 29, 2003 Ciro Cozzolino
34-49000 Dec. 29, 2003 Stephen S. Wien
33-8348 Dec. 17, 2003 Stuart E. Winkler
PDF version
34-48927 Dec. 16, 2003 Calvin David Fox
PDF version
Note: See also Release Nos. 34-54840, 34-55452, and 34-48731
34-48917 Dec. 12, 2003 Marshall Financial, Inc.
PDF version
33-8345A Dec. 11, 2003 Zion Capital Management LLC and Ricky A. Lang
Release Nos. 34-48904A; IC-26289A; IA-2200A
PDF version
33-8344 Dec. 11, 2003 William C. Piontek
Release No. 34-48903
PDF version
34-48866 Dec. 3, 2003 Nicholas T. Avello
PDF version
33-8334 Nov. 7, 2003 Robert J. Setteducati
PDF version
34-48760 Nov. 7, 2003 David M. Levine and Triple J Partners, Inc.
PDF version
(Court of Appeals Opinion available)
33-8333 Nov. 7, 2003 RichMark Capital Corporation and Doyle Mark White
Release No. 34-48758
PDF version
(Note: Order Making Sanctions Effective)
(Court of Appeals Opinion available)
34-48731 Oct. 31, 2003 Calvin David Fox
PDF version
Note: See also Release Nos. 34-54840, 34-55452, and 34-48927
34-48707 Oct. 28, 2003 Richard Kwiatkowski
PDF version
33-8314 Oct. 24, 2003 Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, and Matthew R. Jennings
Release No. 34-48691
PDF version
(Note: Reconsideration order available)
33-8313 Oct. 23, 2003 Robert G. Weeks
Release No. 34-48684
PDF version
34-48618 Oct. 9, 2003 Anthony A. Adonnino and Thomas Cannizzaro
(Court of Appeals Opinion available)
34-48590 Oct. 2, 2003 The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, John C. Power
(Note: Reconsideration order available)
(Court of Appeals Opinion available)
IA-2179 Oct. 2, 2003 The Barr Financial Group, Inc. and Alfred E. Barr
(Note: Reconsideration order available)
Third Quarter
34-48573 Sep. 30, 2003 National Association of Securities Dealers, Inc. and NASDAQ Stock Market, Inc.
34-48554 Sep. 26, 2003 Edward John McCarthy
(Court of Appeals Opinion available
34-48550 Sep. 26, 2003 Ko Securities, Inc. and Terrance Y. Yoshikawa
34-48473 Sep. 10, 2003 Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams
34-48433 Sep. 03, 2003 Perpetual Securities, Inc.
Rel. No. 34-48433
33-8276 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
(Court of Appeals Opinion available)
33-8274 Aug. 25, 2003 Byron G. Borgardt and Eric M. Banhazl
Rel. No. IC-26169
33-8273 Aug. 25, 2003 Robert M. Fuller
Rel. No. 34-48406
33-8271 Aug. 21, 2003 Terence Michael Coxon, Alan Michael Sergy and World Money Managers
Rel. Nos. 34-48385; IA-2161; IC-26165
34-48378 Aug. 20, 2003 Wheat, First Securities, Inc., f/k/a First Union Capital Markets Corp. and Teressa L. Cawley
34-48372 Aug. 20, 2003 Carroll A. Wallace, C.P.A.
Rel. No. AAER-1846
See Order
33-8265 Aug. 15, 2003 Mark David Anderson
Rel. No. 34-48352
33-8264 Aug. 13, 2003 Derek L. DuBois
Rel. No. 34-48332
34-48292 Aug. 6, 2003 James L. Bari, Jr.
34-48255 Jul. 30, 2003 Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.
Rel. No.: IA-2152
34-48254 Jul. 30, 2003 Ralph W. LeBlanc
34-48246 Jul. 29, 2003 Michael J. Marrie, CPA and Brian L. Berry, CPA
Rel. No.: AAER-1823
(Court of Appeals Opinion available)
34-48245 Jul. 29, 2003 Nolan Wayne Wade
34-48238 Jul. 28, 2003 Barry C. Scutillo
Rel. No.: AAER-1822
IA-2151 Jul. 25, 2003 Marshall E. Melton and Asset Management & Research, Inc.
Rel. No.: 34-48228
33-8251 Jul. 15, 2003 Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation
33-8249 Jul. 10, 2003 Feeley & Willcox Asset Management Corp. and Michael J. Feeley
Rel. Nos.: 34-48162 , IA-2143
(Note: Reconsideration order available)
34-48146 Jul. 9, 2003 Richard J. Adams
34-48143 Jul. 9, 2003 Robert Thomas Clawson
Second Quarter
34-48092 Jun. 26, 2003 Robert Bruce Lohmann
34-48087 Jun. 25, 2003 David I. Cassuto
33-8239 Jun. 9, 2003 Monetta Financial Services, Inc., Robert S. Bacarella, and Richard D. Russo
Release Nos.: 34-48001; IA-2136; IC-26070
(Court of Appeals Opinion available)
34-47980 Jun. 4, 2003 WHX Corporation
(Court of Appeals Opinion available)
34-47859 May 14, 2003 Wendell D. Belden
33-8234 May 14, 2003 John J. Kenny and Nicholson/Kenny Capital Management, Inc.
(Court of Appeals Opinion available)
34-47784 May 2, 2003 Clarence Z. Wurts
34-47627 Apr. 3, 2003 John R. D'Alessio, and D'Alessio Securities, Inc.
(Note: Reconsideration order available)
(Court of Appeals Opinion available)
34-47626 Apr. 3, 2003 MFS Securities Corp.
(Court of Appeals Opinion available)
First Quarter
IA-2119 Mar. 27, 2003 Charles K. Seavey
34-47572 Mar. 26, 2003 Robert L. McCook
33-8213 Mar. 21, 2003 The City of Miami, Florida
34-47542 Mar. 20, 2003 Javed Anver Latef and Larry Alan Stockett
34-47537 Mar. 19, 2003 Tower Trading, L.P.
(Note: Reconsideration order available)
34-47534 Mar. 19, 2003 Robert Tretiak
33-8210 Mar. 19, 2003 Kenneth R. Ward
Release No. 34-47535
(Court of Appeals Opinion available)
34-47504 Mar. 14, 2003 Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.
(Note: Reconsideration order available)
34-47502 Mar. 14, 2003 John Roger Faherty
34-47501 Mar. 14, 2003 William J. Gallagher
34-47476 Mar. 10, 2003 James B. Chase
34-47461 Mar. 7, 2003 Barry Wayne Blank
34-47357 Feb. 12, 2003 Nicholas P. Howard
See also:  Court of Appeals Opinion
34-47335 Feb. 10, 2003 Jack H. Stein
34-47227 Jan. 22 2003 John Montelbano, Gerard McMahon, and Michael Galasso, Jr.
(Note: Reconsideration order available)
33-8174 Jan. 9, 2003 Charles F. Kirby and Gene C. Geiger
(Court of Appeals Opinion available)
34-47142 Jan. 8, 2003 Michael F. Flannigan

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2003.shtml

Modified: 10/16/2014