Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

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Date Sort ascending	Respondents
Dec. 27, 1999	John F. LaSala Release No. 34-42276 File Number: 3-10124
Dec. 27, 1999	Brad Haddy; Carol Fox Foelak, Administrative Law Judge Release No. 34-42277 File Number: 3-10125
Dec. 27, 1999	Robert A. Schatz Release No. 34-42278 File Number: 3-10126
Dec. 27, 1999	Ronald A. Martini Release No. 34-42275 File Number: 3-10123
Dec. 22, 1999	Scudder Kemper Investments, Inc. and Gary Paul Johnson Release No. IA-1848 File Number: 3-10121
Dec. 22, 1999	Michael T. Sullivan, III Release No. IA-1849 File Number: 3-10122
Dec. 21, 1999	Peachtree Stock Transfer and Robert J. Crain, Jr. Release No. 34-42262 File Number: 3-9989
Dec. 21, 1999	Taft Womack and Frank Gaines Release No. 34-42261 File Number: 3-10064
Dec. 17, 1999	Alan B. Schlussel Release No. 34-42243, 33-7785 File Number: 3-10118
Dec. 17, 1999	John H. Kim Release No. 34-42244, 33-7786 File Number: 3-10119
Dec. 17, 1999	Robert J. Strauss Release No. 34-42245 File Number: 3-10120
Dec. 15, 1999	Brian D. O'Toole, d/b/a O'Toole Capital Management, Spectrum Securities Inc., and Steven D. Pirrone Release No. 34-42237 File Number: 3-10018
Dec. 14, 1999	Jose E. Rivera, CPA Release No. 34-42229, AAER-1212 File Number: 3-10117
Dec. 14, 1999	William A. Fain, Jr. Release No. 34-42234
Dec. 10, 1999	Michael L. Pitts Release No. 33-7784 File Number: 3-10115
Dec. 10, 1999	Richard J. Michael Release No. 33-7783 File Number: 3-10114
Dec. 9, 1999	Ronald A. Knittle and Gregory G. Vernon Release No. 34-42211 File Number: 3-10056
Dec. 7, 1999	Scott A. Rude Release No. 34-42206 File Number: 10b-5
Dec. 6, 1999	Paschal Gene Allen Release No. 34-42204 File Number: 3-10110
Dec. 3, 1999	Paul Thomas Fink, C.P.A. Release No. 34-42199, 33-7782, AAER-1211 File Number: 3-10045
Dec. 2, 1999	Thomas Gaeton Scalzo, Jr. Release No. 34-42196 File Number: 3-10108
Dec. 2, 1999	County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-42197 File Number: 3-9542
Nov. 29, 1999	Eugene Laff, Stanley Aslanian, Jr., and Lawrence Caito Release No. 34-42182 File Number: 3-9654
Nov. 29, 1999	Eugene Laff, Stanley Aslanian, Jr., and Lawrence Caito Release No. 34-42181 File Number: 3-9654
Nov. 23, 1999	Americorp Securities, Inc. and Drew Edgar Schaefer Release No. 33-7781 File Number: 3-9367
Nov. 23, 1999	Rodger Evans Rees Release No. 34-42172 File Number: 3-9854
Nov. 22, 1999	Windswept Environmental Group, Inc. Release No. 33-7780 File Number: 3-10107
Nov. 19, 1999	Michael J. Hooper, CPA Release No. 34-42157, AAER-1210 File Number: 3-10104
Nov. 19, 1999	Kenneth R. Starnes Release No. 34-42158 File Number: 3-10105
Nov. 18, 1999	Minotaur Capital, Inc. and David J. Feingold Release No. 33-7779 File Number: 3-10103
Nov. 17, 1999	BT Alex. Brown Incorporated Release No. 33-7778
Nov. 17, 1999	JMS Associates, Inc. and John M. Seidman Release No. 33-7776 File Number: 3-10101
Nov. 17, 1999	HDI, Inc. and. Dennis E. Thiemann Release No. 33-7777 File Number: 3-10102
Nov. 16, 1999	City of Anaheim, City of Irvine, Irvine Unified School District, North Orange County Community College District, and Orange County Board Of Education Release No. 34-42140 File Number: 3-9739
Nov. 15, 1999	The Cronos Group Release No. 34-42139, AAER-1208 File Number: 3-10096
Nov. 10, 1999	Jimmy L. Duckworth, CPA Release No. 34-42124, AAER-1205 File Number: 3-10094
Nov. 10, 1999	Joseph Salamon Release No. 34-42125
Nov. 5, 1999	Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks James T. Kelly, Administrative Law Judge Release No. 34-42109, AAER-1201 File Number: 3-9952
Nov. 4, 1999	Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez Release No. 34-42103
Nov. 4, 1999	Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez Release No. 34-42104
Nov. 4, 1999	Robert W. Armstrong, III Carol Fox Foelak, Administrative Law Judge Release No. 34-42096, AAER-1202 File Number: 3-9793
Nov. 4, 1999	Michael W. Rehtorik Release No. 34-42097 File Number: 3-10090
Nov. 4, 1999	Jerry C. Berman Release No. 34-42107 File Number: 3-10092
Nov. 4, 1999	Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez Release No. 34-42105 File Number: 3-9168
Nov. 4, 1999	Lawrence J. Penna, Herman Epstein and Douglas J. Mangan Release No. 34-42106 File Number: 3-10091
Nov. 1, 1999	Lawrence A. Petersen Release No. 34-42084 File Number: 3-10088
Nov. 1, 1999	Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl Release No. 34-42080, AAER-1199 File Number: 3-9846
Nov. 1, 1999	Jamie T. Tsutsui Release No. 34-42085 File Number: 3-10089
Nov. 1, 1999	Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl Release No. 34-42082, AAER-1200 File Number: 3-9846
Nov. 1, 1999	Robert J. Carucci and R.M. Carucci Corp. Release No. 34-42083 File Number: 3-10087
Nov. 1, 1999	Apodaca Investment Group, Inc., Brower Financial Services, Inc., Ethical Investments, Inc., Ronald Allan McDow, Van Cleef Asset Management, Inc. and WWW Advisors, Inc Release No. IA-1844 File Number: 3-9888
Nov. 1, 1999	Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl Release No. 34-42079, AAER-1198 File Number: 3-9846
Oct. 28, 1999	Vincent J. Iovine Release No. 34-42066 File Number: 3-10086
Oct. 28, 1999	Cery B. Perle Release No. 34-41069 File Number: 3-9991
Oct. 27, 1999	Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward Lillian A. McEwen, Administrative Law Judge Release No. 34-42062 File Number: 3-9327
Oct. 27, 1999	Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward Lillian A. McEwen, Administrative Law Judge Release No. 34-42063 File Number: 3-9327
Oct. 27, 1999	Geoffrey A. Newman Release No. 34-42065 File Number: 3-9992
Oct. 27, 1999	Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward Lillian A. McEwen, Administrative Law Judge Release No. 34-42064 File Number: 3-9327
Oct. 26, 1999	Joseph J. Barbato, Neal C. Harper and Frederick J. Krause; Burton S. Kolko, Administrative Law Judge Release No. 34-42059 File Number: 3-8575
Oct. 21, 1999	Lee R. Fontaine, CPA Release No. 34-42045, AAER-1194 File Number: 3-10083
Oct. 21, 1999	Rick W. Gossett, CPA Release No. 34-42046, AAER-1195 File Number: 3-10084
Oct. 21, 1999	Stephen J.Kesh, CPA Release No. 34-42047, AAER-1196 File Number: 3-10085
Oct. 20, 1999	Louis Sitaras Release No. 33-7758 File Number: 3-10082
Oct. 20, 1999	Richard L. Davis Release No. 33-7756 File Number: 3-10080
Oct. 20, 1999	John R. Hoff Release No. 33-7757 File Number: 3-10081
Oct. 19, 1999	Albert Glenn Yesner, CPA; Robert G. Mahony, Administrative Law Judge Release No. 34-42030, AAER-1193 File Number: 3-9586
Oct. 19, 1999	David E. Stevenson Release No. 34-42031, AAER-1192 File Number: 3-10079
Oct. 18, 1999	Thor Industries, Inc. Release No. 34-42021, AAER-1190 File Number: 3-10077
Oct. 18, 1999	Jerry M. Walker, CPA Release No. 34-42022, AAER-1191 File Number: 3-10078
Oct. 13, 1999	Scott P. Flynn and Strategic Network Development, Inc. Release No. 33-7753, 34-42000
Oct. 5, 1999	Peter W. Zent and Michael A. Cornblum Release No. 34-41976
Oct. 4, 1999	James William Fuller Release No. IA-1842 File Number: 3-10073
Oct. 4, 1999	Gordon Richard Taubenheim Release No. IA-1843 File Number: 3-10074
Sept. 30, 1999	Derrick C. Johnson Release No. 33-7749 File Number: 3-9893
Sept. 30, 1999	Rupay-Barrington Investment Advisory Services, Inc. and Frederick A. Wolf Release No. IA-1839 File Number: 3-9734
Sept. 30, 1999	Jeno K. Koch Release No. 34-41949 File Number: 3-10054
Sept. 30, 1999	Jeffrey Brommer Release No. IA-1840 File Number: 3-10062
Sept. 30, 1999	Madlyn L. Ferro and Dwight H. Stephens Release No. 34-41950
Sept. 30, 1999	Marvin & Palmer Associates, Inc., David F. Marvin, MacThom Associates, Inc. and Thomas E. Dubis Release No. IA-1841 File Number: 3-10072
Sept. 30, 1999	Bobby L. Rodgers Release No. 33-7747 File Number: 3-9896
Sept. 30, 1999	J. Scott Eskind Release No. IA-1838 File Number: 3-10053
Sept. 30, 1999	Michael Paul Green Release No. 34-41965 File Number: 3-10070
Sept. 30, 1999	Howard Zalkin and Barry E. Adelson Release No. 34-41960 File Number: 3-10066
Sept. 30, 1999	Frank Grillo Release No. 34-41956 File Number: 3-10061
Sept. 30, 1999	Michael Goldberg, CPA Release No. 34-41952 File Number: 3-10057
Sept. 30, 1999	David E. Houge Release No. 34-41966 File Number: 3-10071
Sept. 30, 1999	Jerald F. Albin Release No. 34-41962
Sept. 30, 1999	Briant C. Patterson, Inc. and Briant Patterson Release No. 34-41957 File Number: 3-10063
Sept. 30, 1999	Amerivest Financial Group, Inc. Release No. 34-41953 File Number: 3-10058
Sept. 30, 1999	Legg Mason Wood Walker, Inc., Thomas M. Daly, and Joseph Sullivan Release No. 34-41963 File Number: 3-10068
Sept. 30, 1999	Frank Gaines Release No. 34-41958
Sept. 30, 1999	William J. Bramble, Jr. Release No. 34-41954
Sept. 30, 1999	Jeffrey A. Parker Release No. 34-41964 File Number: 3-10069
Sept. 30, 1999	Ralph W. LeBlanc; Robert G. Mahony, Administrative Law Judge Release No. 34-41959 File Number: 3-10065
Sept. 30, 1999	Seasongood & Mayer and Richard D. Reis Release No. 34-41955
Sept. 30, 1999	Ronald A. Knittle and Gregory G. Vernon Release No. 34-41951 File Number: 3-10056
Sept. 29, 1999	Sterling Foster & Company, Inc. and Adam Lieberman Release No. 34-41942 File Number: 3-10049
Sept. 29, 1999	Robert J. Smith Release No. IA-1837 File Number: 3-9782
Sept. 29, 1999	Christine A. Beyer Release No. 34-41944 File Number: 3-10050
Sept. 29, 1999	Mario Iacoviello Release No. 34-41940 File Number: 3-10047

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