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. 21, 2005	Fog Cutter Capital Group, Inc. Release No. 34-52993 See Also: Court of Appeals Opinion
Dec. 5, 2005	Thomas J. Donovan Release No. 34-52883
Dec. 2, 2005	Vladislav Steven Zubkis Release No. 34-52876
Dec. 2, 2005	Ira Weiss Release No. 33-8641 See Also: Court of Appeals Opinion
Nov. 30, 2005	Paul K. Grassi, Jr. Release No. 34-52858
Oct. 28, 2005	Fox & Company Investments, Inc., and James W. Moldermaker Release No. 34-52697
Oct. 28, 2005	Paz Securities, Inc. and Joseph Mizrachi Release No. 34-52693 See Also: Court of Appeals Opinion
Oct. 13, 2005	Mark F. Mizenko Release No. 34-52600
Oct. 11, 2005	Castle Securities Corp. Release No. 34-52580
Oct. 7, 2005	Jeffrey A. King Release No. 34-52571
Oct. 4, 2005	Monetta Financial Services, Inc. Release No. IA-2438 File Number: 3-9546
Oct. 3, 2005	Steven E. Muth and Richard J. Rouse Release No. 33-8622, 34-52551
Sept. 19, 2005	Frederick W. Wall Release No. 34-52467
Aug. 5, 2005	Anthony Johnson and Ara Proudian Release No. 34-52215
July 29, 2005	Clarke T. Blizzard Release No. IA-2409 File Number: 3-10007-EAJA
July 22, 2005	Ko Securities, Inc. and Terrance Y. Yoshikawa Release No. 34-52106
July 6, 2005	Robert J. Prager and James Alexander Release No. 34-51974 File Number: 3-11627
June 30, 2005	Rita J. McConville Release No. 34-51950, AAER-2271 See Also: Court of Appeals Decision , Court of Appeals Order Supplementing Decision
June 30, 2005	Larry A. Saylor Release No. 34-51949
June 24, 2005	Robert W. Armstrong, III Release No. 34-51920, AAER-2264
June 17, 2005	SIG Specialists, Inc. f/k/a Susquehanna Specialists, Inc. and Thomas A. Caterina Release No. 34-51867
June 2, 2005	Davrey Financial Services, Inc. and Pravin R. Davrey Release No. 34-51780
May 23, 2005	Fundamental Portfolio Advisors, Inc., Lance M. Brofman and Fundamental Service Corporation Release No. 33-8574, 34-51725, IA-2389, IC-26875
May 5, 2005	James Thomas McCurdy, CPA Release No. 34-51660, AAER-2245 See Also: CPA Release No. AAER-1952 PDF version
April 29, 2005	Jose P. Zollino Release No. 34-51632, IA-2381
April 29, 2005	Nicholas T. Avello Release No. 34-51633 See Also: Court of Appeals Decision
April 15, 2005	Rooney A. Sahai Release No. 34-51549
April 6, 2005	E. Magnus Oppenheim & Co., Inc. Release No. 34-51479
April 1, 2005	Michael A. Rooms Release No. 34-51467 See Also: Court of Appeals Opinion
March 18, 2005	Philip L. Pascale, CPA Release No. 33-8555, 34-51393, AAER-2214
Feb. 25, 2005	Leslie A. Arouh Release No. 34-51254 See Also: Reconsideration Order File Number: 3-10884
Feb. 22, 2005	Morton Kantrowitz Release No. 34-51238 See Also: PDF version File Number: 3-11372
Feb. 22, 2005	Harry M. Richardson Release No. 34-51236 See Also: PDF version File Number: 3-11437
Feb. 22, 2005	Reuben D. Peters and Peters Securities Co., LP Release No. 34-51237 See Also: PDF version File Number: 3-11277
Jan. 14, 2005	Guang Lu Release No. 34-51047 See Also: PDF version File Number: 3-11522
Jan. 14, 2005	Paul Joseph Benz Release No. 34-51046 See Also: PDF version File Number: 3-11523

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