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Commission Opinions & Orders Archive 2006

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
34-54991 Dec. 21, 2006 Philip A. Lehman
Other Release No.: IA-2574
See also: Opinion: Release No. 34-54660
34-54913 Dec. 11, 2006 Dennis A. Pearson, Jr.
See also: Reconsideration Order
34-54892 Dec. 7, 2006 The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, and Clifford C. Thygesen
Other Release No.: IC-27593
See also: Court of Appeals Opinion, Reconsideration Order
34-54840 Nov. 30, 2006 Calvin David Fox
Note: See also Release Nos. 34-55452, 34-48731, and 34-48927
34-54824 Nov. 28, 2006 Kenneth W. Haver, CPA
Other Release No.: AAER-2517
34-54723 Nov. 8, 2006 Philippe N. Keyes
34-54722 Nov. 8, 2006 Raghavan Sathianathan
Note: See also Court of Appeals Opinion, Order, Release No. 34-55227
34-54711 Nov. 6, 2006 May Capital Group, LLC and Melvin Rokeach
See also: Opinion: Release No. 34-53796
34-54710 Nov. 3, 2006 James T. Patten
34-54708 Nov. 3, 2006 Irfan Mohammed Amanat
See also: Court of Appeals Opinion
34-54699 Nov. 3, 2006 Justin F. Ficken
34-54660 Oct. 27, 2006 Philip A. Lehman
Other Release No.: IA-2565
See also: Reconsideration Order
34-54600 Oct. 13, 2006 Lawrence Gage
Third Quarter
34-54481 Sep. 22, 2006 David C. Ho.
See also: Court of Appeals Order
34-54434 Sep. 13, 2006 PennMont Securities
34-54384 Aug. 30, 2006 Arthur James Niebauer
34-54363 Aug. 25, 2006 Jay Alan Ochanpaugh
34-54278 Aug. 7, 2006 Morton Kantrowitz
33-8721 Jul. 13, 2006 Dolphin and Bradbury, Incorporated and Robert J. Bradbury
Other Release No.: 34-54143
See also: Court of Appeals Opinion
34-54127 Jul. 11, 2006 IFG Network Securities, Inc., William Kissinger, and David Ledbetter
Other Release No.: IA-2533
34-54095 Jul. 5, 2006 Eagletech Communications, Inc.
Second Quarter
34-53957 Jun. 8, 2006 Ryan R. Henry
34-53907 May 31, 2006 Gateway International Holdings, Inc. and Lawrence A. Consalvi
34-53796 May 12, 2006 May Capital Group, LLC and Melvin Rokeach
34-53731 Apr. 26, 2006 Terrance Yoshikawa
33-8679 Apr. 14, 2006 Vladlen "Larry" Vindman
Other Release No.: 34-53654
33-8678 Apr. 13, 2006 Registration Statement of Apollo Publication Corporation
34-53651 Apr. 13, 2006 Vladislav Steven Zubkis
See also: Opinion: Release No. 34-52876
First Quarter
34-53547 Mar. 24, 2006 Frank P. Quattrone
34-53201 Jan. 31, 2006 Schield Management Company and Marshall Schield
Other Release No.: IA-2477
34-53145 Jan. 19, 2006 Elliot M. Hershberg
34-53146 Jan. 19, 2006 Baunita M. Greer
34-53136 Jan. 18, 2006 Alvin W. Gebhart, Jr. and Donna T. Gebhart
34-53128 Jan. 13, 2006 Application of The Nasdaq Stock Market LLC for Registration as a National Securities Exchange
34-53122A Jan. 13, 2006 Harold F. Harris and Ronald E. Crews
34-53066 Jan. 6, 2006 Joseph Abbondante

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2006.shtml

Modified: 10/16/2014