Administrative Proceedings

The links below direct you to the individual case pages for litigated administrative proceedings adjudicated by the Commission, including its consideration of appeals from initial decisions issued by administrative law judges or from SRO or PCAOB action. The case pages contain the Commission opinions and orders as well as significant filings in such matters. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.

Below is a chronological list of links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, pursuant to delegated authority. The orders and other issuances in litigated administrative proceedings below also may be found on the individual case pages linked on the Open Litigated Administrative Proceedings and Closed Litigated Administrative Proceedings pages, together with filings made in the proceedings. The issuances pertaining to distribution proceedings may also be found in the individual case charts on the Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds page.

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Date Sort descending	Respondents
July 18, 2000	Janney Montgomery Scott LLC and Norman T. Wilde, Jr. Release No. 34-43050 File Number: 3-10255
July 18, 2000	JWGenesis Financial, Inc., formerly known as JW Charles Financial Services, Inc. Release No. 34-43053 File Number: 3-10256
July 10, 2000	Timothy J. Tyrrell Release No. 34-43018 File Number: 3-10248
July 10, 2000	Charles F. Parisi Release No. IA-1885 File Number: 3-10249
July 7, 2000	Jerry W. Anderson and Robert M. Kerns; Robert G. Mahony, Administrative Law Judge Release No. 34-43015 File Number: 3-10027
July 6, 2000	Dwight H. Stephens Release No. 33-7871 File Number: 3-10055
June 30, 2000	Allegheny Health, Education and Research Foundation Release No. 34-42992, AAER-1283 File Number: 3-10245
June 29, 2000	Ronald G. Davies Release No. 34-42987, AAER-1281 File Number: 3-10244
June 28, 2000	Dwight H. Stephens Release No. 33-7869 File Number: 3-10055
June 26, 2000	Gregory A. Alba, CPA Release No. 34-42981, AAER-1280 File Number: 3-10243
June 23, 2000	Albinas Kurkulis Release No. 34-42976 File Number: 3-10240
June 23, 2000	Reuben D. Peters Release No. 34-42977 File Number: 3-10241
June 23, 2000	Schnitzer & Kondub, P.C., Richard S. Kondub, CPA, and Ross J. Schnitzer, CPA Release No. 34-42979, AAER-1278 File Number: 3-10242
June 21, 2000	Malcolm McGuire III Release No. 34-42972 File Number: 3-10239
June 21, 2000	Waste Management, Inc. Release No. 34-42968, AAER-1277 File Number: 3-10238
June 20, 2000	James L. Foster, Steven M. Bolla, Laurie F. Foster, and William E. Busacker, Jr. Release No. IA-1881, 34-42963 File Number: 3-10236
June 20, 2000	Timothy J. Lyons Release No. IA-1882 File Number: 3-10237
June 19, 2000	Linda Ballou, Ronald Wackler and Bruce Harlan Release No. 34-42955 File Number: 3-10234
June 19, 2000	Luis Bulas, Jr. Release No. 34-42956
June 15, 2000	Founders Asset Management LLC and Bjorn K. Borgen Release No. IA-1879 File Number: 3-10232
June 15, 2000	Owen-Joseph Asset Management Corp. and William O. Foster Release No. IA-1880, 34-42945 File Number: 3-10233
June 14, 2000	Salvatore Piazza, et al. Robert G. Mahony, Administrative Law Judge Release No. 33-7864, 34-42939 File Number: 3-10229
June 14, 2000	Allen Z. Wolfson, Michael T. Grecco, John M. Black, Jr., Spiro, Lazaretos, Robert Balsamo, Vladimir Carvallo, and Konstantinos Dino Sonitis Release No. 33-7865, 34-42940 File Number: 3-10230
June 14, 2000	William M. Stephens Release No. 33-7866, 34-42941, IA-1878 File Number: 3-10231
June 14, 2000	Paul Hiznay Release No. 34-42934, AAER-1273 File Number: 3-10226
June 14, 2000	Steven Speaks, C.P.A. Release No. 34-42935, AAER-1274 File Number: 3-10227
June 14, 2000	Mary Sattler Polverari, C.P.A. Release No. 34-42936, AAER-1275 File Number: 3-10228
June 14, 2000	Cendant Corporation Release No. 34-42933, AAER-1272 File Number: 3-10225
June 13, 2000	Edward Williamson Release No. 33-7863, 34-42924
June 13, 2000	Lambert D. Vander Tuig Release No. 34-42923 File Number: 3-10223
June 13, 2000	Donald G. Brooks Release No. 34-42927, IA-1877 File Number: 3-10224
June 12, 2000	Al Avasso and Robert Schulman Release No. 33-7862
June 12, 2000	City Investment Group, LLC, John Barris, and Tigran Papazian Release No. 34-42919 File Number: 3-10222
June 12, 2000	MPI Investment Management, David Pequet and Ashok Shende Release No. IA-1876 File Number: 3-9922
June 9, 2000	John S. Reger II and Business & Financial Advisors, Inc. Release No. 33-7861 File Number: 3-10221
June 8, 2000	Firstmark Corp. Release No. 34-42909, AAER-1270 File Number: 3-10219
June 8, 2000	Scott E. Edwards, CPA Lillian A. McEwen, Administrative Law Judge Release No. 34-42810 File Number: 3-10220
June 7, 2000	Brian T. Lenihan Release No. IA-1874 File Number: 3-10155
June 6, 2000	Eric P. Furman, CPA Release No. 34-42901, AAER-1267 File Number: 3-10217
June 1, 2000	Joseph A. Monaco Release No. 34-42877 File Number: 3-10213
June 1, 2000	David E. Trotter Release No. 34-42878 File Number: 3-10214
June 1, 2000	Samuel L. White Release No. 34-42879, AAER-1263 File Number: 3-10215
June 1, 2000	Peter G. Mintz Release No. 34-42880 File Number: 3-10216
June 1, 2000	Danny R. Auerbach, Michael L. Glaser, and James Montgomery, II Release No. 34-42881, AAER-1265 File Number: 3-10042
June 1, 2000	Danny R. Auerbach, Michael L. Glaser, and James Montgomery, II Release No. 34-42882, AAER-1266 File Number: 3-10042
May 31, 2000	Schield Management Company, Marshall L. Schield, and Troy Schield Release No. IA-1872 File Number: 3-10008
May 31, 2000	Rafi M. Khan Release No. 34-42867 File Number: 3-10212
May 31, 2000	Schield Management Company, Marshall L. Schield, and Troy Schield Release No. IA-1871 File Number: 3-10008
May 30, 2000	Brian Walfish Release No. 34-42856 File Number: 3-10211
May 25, 2000	Joseph P. Galluzzi James T. Kelly, Administrative Law Judge Release No. 34-42826 File Number: 3-10209
May 25, 2000	R. Gordon Jones and Mark F. Jensen Release No. 34-42828, AAER-1261
May 25, 2000	Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester Release No. 33-7859, 34-42827, AAER-1260 File Number: 3-9345
May 23, 2000	Arnold Zousmer Release No. 34-42809 File Number: 3-10207
May 23, 2000	Intile Designs, Inc. Release No. 34-42813, AAER-1259 File Number: 3-10208
May 16, 2000	Sandra L. Reeder Release No. 34-42788 File Number: 3-10205
May 15, 2000	America Online, Inc. Release No. 34-42781, AAER-1257 File Number: 3-10203
May 10, 2000	The Dreyfus Corporation and Michael L. Schonberg Release No. 33-7857, IA-1870, ic-24450
May 8, 2000	All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish Release No. 34-42765 File Number: 3-10150
May 8, 2000	All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish Release No. 34-42766 File Number: 3-10150
May 3, 2000	Cynthia Pfaltzgraff, CMA Release No. 34-42753, AAER-1255 File Number: 3-10198
May 2, 2000	Stephen H. Spargo Release No. 34-42742, AAER-1252 File Number: 3-10195
May 2, 2000	Albert Adamczak, CPA Release No. 34-42743, AAER-1253 File Number: 3-10196
May 1, 2000	Genesis Trading and Robert Garganese Release No. 34-42737 File Number: 3-10194
May 1, 2000	Intelispan, Inc. Release No. 34-42738 File Number: 3-10132
May 1, 2000	Millenia Hope, Inc., c/o Irving Rothstein, Esq., Heller, Horowitz & Feit, P.C. Release No. 34-42739 File Number: 3-10171
April 28, 2000	Steven G. Barkus Release No. 34-42731 File Number: 3-10000
April 25, 2000	Gerald M. Wetzler Release No. 34-42719 File Number: 3-10192
April 25, 2000	Louis G. Karabochos Release No. 34-42718 File Number: 3-10191
April 21, 2000	Charles E. Wessman Release No. 33-7854, 34-72709, AAER-1251 File Number: 3-9861
April 20, 2000	Richard Harriton Release No. 33-7853, 34-42707 File Number: 3-9963
April 17, 2000	Peter Tosto, Investor Relations, Inc. Release No. 33-7852 File Number: 3-9104
April 17, 2000	Aura Systems Inc., Zvi Kurtzman, Francis T. Phalen andJoseph Bevacqua Release No. 34-42695, 34-42684, AAER-1249 File Number: 3-9138
April 14, 2000	The City of Miami, Florida, Cesar Odio and Manohar Surana; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7851, AAER-1248 File Number: 3-10022
April 14, 2000	Gold Asset Management, Inc. and Marc L. Gold Release No. IA-1868 File Number: 3-10188
April 13, 2000	Jerry C. Berman Release No. 33-7850 File Number: 3-10092
April 13, 2000	Clarke T. Blizzard and Rudolph Abel Carol Fox Foelak, Administrative Law Judge Release No. IA-1865 File Number: 3-10007
April 13, 2000	Clarke T. Blizzard and Rudolph Abel Carol Fox Foelak, Administrative Law Judge Release No. IA-1866 File Number: 3-10007
April 13, 2000	Clarke T. Blizzard and Rudolph Abel Carol Fox Foelak, Administrative Law Judge Release No. IA-1867 File Number: 3-10007
April 13, 2000	Peritus Software Services, Inc. Release No. 34-42673, AAER-1247 File Number: 3-10186
April 13, 2000	Kenneth R. Starnes Release No. 34-42674 File Number: 3-10105
April 13, 2000	Rita L. Schwartz Release No. 34-42684 File Number: 3-10187
April 12, 2000	Phelps M. Wood Release No. 34-42670 File Number: 3-10185
April 10, 2000	Nova Communications Ltd., formerly known as First Colonial Ventures Ltd. and Murray W. Goldenberg Release No. 33-7849, 34-42656 File Number: 3-10184
April 7, 2000	Steven J. Erlsten, William H. Clark, Derek L. DuBois, and Aaron Finkelstein Lillian A. McEwen, Administrative Law Judge Release No. 33-7847 File Number: 3-10033
April 7, 2000	Steven J. Erlsten, William H. Clark, Derek L. DuBois, and Aaron Finkelstein Lillian A. McEwen, Administrative Law Judge Release No. 33-7848 File Number: 3-10033
April 6, 2000	William R. Hough & Co. Release No. 33-7826 File Number: 3-10176
April 6, 2000	Shan Michael Hefley Release No. 34-42625 File Number: 3-10172
April 6, 2000	Prudential Securities Incorporated Release No. 33-7817 File Number: 3-10173
April 6, 2000	Warburg Dillion Read LLC Release No. 33-7820 File Number: 3-10174
April 6, 2000	Painewebber Incorporated Release No. 33-7823 File Number: 3-10175
April 6, 2000	Salomon Smith Barney Inc. Release No. 33-7829 File Number: 3-10177
April 6, 2000	Goldman, Sachs & Co. Release No. 33-7832, 34-42636 File Number: 3-10178
April 6, 2000	Lehman Brothers Inc. Release No. 33-7835, 34-42638 File Number: 3-10179
April 6, 2000	Merrill Lynch, Pierce, Fenner & Smith Incorporated Release No. 33-7838, 34-42640 File Number: 3-10180
April 6, 2000	Morgan Stanley & Co. Incorporated Release No. 33-7841, 34-42642 File Number: 3-10181
April 6, 2000	Rauscher Pierce Refsnes, Inc., Dain Rauscher Incorporated, and James R. Feltham Release No. 33-7844, 34-42644, IA-1863 File Number: 3-10182
April 4, 2000	Systems of Excellence, Inc. Release No. 34-42616 File Number: 3-10170
March 31, 2000	Brad Haddy; Carol Fox Foelak, Administrative Law Judge Release No. 34-42602 File Number: 3-10125
March 29, 2000	Beth A. Morris and Steven H. Grant Release No. 34-42587, AAER-1243 File Number: 3-10168
March 29, 2000	Seth P. Joseph Release No. 34-42588, AAER-1244 File Number: 3-10169

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