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Commission Opinions & Orders Archive 2004

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
34-50917 Dec. 22, 2004 Robert Langley
PDF version
34-50889 Dec. 20, 2004 Leslie A. Arouh
PDF version
See also: Reconsideration Order
IA-2334 Dec. 3, 2004 Michael Batterman and Randall B. Batterman III
PDF version
(Court of Appeals Opinion available)
34-50786 Nov. 30, 2004 Michael T. Studer and Castle Securities Corp.
PDF version
34-50543A Nov. 30, 2004 Michael T. Studer and Castle Securities Corp.
PDF version
34-50737 Nov. 24, 2004 PTR, Inc. and Dennis McBride
PDF version
See also:  Court of Appeals Opinion
34-50730 Nov. 23, 2004 Mark S. Parnass
PDF version
34-50729 Nov. 23, 2004 Daniel S. Lezak
Other Release No.: AAER-2149
PDF version
34-50691 Nov. 18, 2004 Joseph J. Vastano, Jr.
PDF version
34-50695 Nov. 18, 2004 John A. Carley, et al.
PDF version
34-50633 Nov. 4, 2004 Nicholas P. Howard
PDF version
See also:  Court of Appeals Opinion
34-50570 Oct. 20, 2004 Lee Gura
PDF version
34-50543 Oct. 14, 2004 Michael T. Studer and Castle Securities Corp.
PDF version
34-50514 Oct. 12, 2004 e-Smart Technologies, Inc.
PDF version
34-50513 Oct. 12, 2004 Allen Douglas Securities, Inc.
PDF version
Third Quarter
34-50480 Sep. 30, 2004 Carroll A. Wallace, CPA
Other No.: AAER-2119
See Opinion
PDF version
33-8498 Sep. 30, 2004 James F. Glaza, d/b/a Falcon Financial Services, Inc.
Other No.: 34-50474
PDF version
34-50411 Sep. 20, 2004 Michael T. Studer
PDF version
(Note: Reconsideration order available)
(Court of Appeals Opinion available)
34-50393 Sep. 16, 2004 Scott E. Wiard
PDF version
34-50343 Sep. 10, 2004 Marshall Financial, Inc.
PDF version
34-50324 Sep. 7, 2004 Lek Securities Corp. and Samuel F. Lek
PDF version
34-50219 Aug. 19, 2004 Joseph J. Vastano, Jr.
PDF version
34-50168 Aug. 9, 2004 Russell W. Stein
PDF version
Other No.: IA-2274
(Note: Reconsideration order; see Opinion in this matter)
34-50031 Jul. 16, 2004 Chris Dinh Hartley
PDF version
34-50030 Jul. 16, 2004 e-Smart Technologies, Inc. f/k/a Plainview Laboratories, Inc.
PDF version
33-8441 Jul. 13, 2004 MicroCap Marketing, Inc. and Shane M. Nelson
PDF version
34-50008 Jul. 13, 2004 IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter
PDF version
See also: Release No. 33-8252
33-8437 Jul. 7, 2004 Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.
PDF version
Other Nos.: 34-49979; IA-2258
33-8436 Jul. 6, 2004 Edgar B. Alacan
PDF version
Second Quarter
IA-2253 Jun. 23, 2004 Clarke T. Blizzard and Rudolph Abel
PDF version
34-49894 Jun. 18, 2004 Peter F. Comas
PDF version
34-49819 Jun. 7, 2004 Reuben D. Peters and Peters Securities Co., LP
PDF version
34-49788 Jun. 1, 2004 The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power
PDF version
(Note: Reconsideration order; see Opinion in this matter)
(Court of Appeals Opinion available)
34-49727 May 19, 2004 Gina M. Guzzone
PDF version
34-49666 May 7, 2004 Citadel Securities Corp.
PDF version
33-8417 Apr. 30, 2004 RichMark Capital Corporation and Doyle Mark White
PDF version
(Note: Order Making Sanctions Effective; see Opinion in this matter)
34-49542 Apr. 8, 2004 Anthony H. Barkate
PDF version
(Court of Appeals Opinion available)
First Quarter
34-49389 Mar. 10, 2004 Amr Elgindy and Key West Securities, Inc.
PDF version
(Court of Appeals Opinion available)
34-49375 Mar. 8, 2004 Bearcat, Inc., Seth Diamond, and Peter Fineberg
PDF version
33-8395 Mar. 5, 2004 Orlando Joseph Jett
Release No. 34-49366
PDF version
33-8391 Feb. 23, 2004 Charles Trento
34-49255 Feb. 13, 2004 Toni Valentino
PDF version
34-49248 Feb. 13, 2004 Mark H. Love
PDF version
34-49216 Feb. 10, 2004 Dane S. Faber
PDF version
34-49182 Feb. 4, 2004 James Thomas McCurdy, CPA
Release No. AAER-1952
PDF version
(Court of Appeals Opinion available)
34-49076 Jan. 14, 2004 Bloomberg L.P.
PDF version
34-49052 Jan. 12, 2004 Stephen Michael Sohmer and Spyder Securities, Inc.
PDF version

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2004.shtml

Modified: 10/16/2014