Administrative Proceedings

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. 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.

The list below provides 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.

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Date Sort descending	Respondents
May 14, 1998	David Walter Connochie Release No. 34-39993 File Number: 3-9605
May 14, 1998	George Craig Stayner, CPA Glenn Robert Lawrence, Administrative Law Judge Release No. 34-39994 File Number: 3-8330
May 12, 1998	Pepsi-Cola Puerto Rico Bottling Company Release No. 34-39984 File Number: 3-9603
May 7, 1998	Alfred Peeper, Charles F. Kirby, Gene C. Geiger, and Edward H. Price Release No. 33-7538, 34-39971
May 6, 1998	Paul I. Comi Release No. 34-39968
May 6, 1998	Jean M. Yawn Release No. 34-39961 File Number: 3-9600
May 5, 1998	County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7537 File Number: 3-9542
May 5, 1998	County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7536 File Number: 3-9542
May 5, 1998	County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7535 File Number: 3-9542
May 5, 1998	Timothy J. Brannon, Jr. Release No. 33-7533, 34-39949 File Number: 3-9597
May 5, 1998	William D. Tetsworth, Jr. Release No. 34-39950 File Number: 3-9598
May 4, 1998	NationsSecurities and NationsBank, N.A. Release No. 33-7532
May 4, 1998	John Gardner Black and Devon Capital Management, Inc. Release No. IA-1720 File Number: 3-9599
May 1, 1998	H. Beck, Inc. and Gary S. Hurvitz Release No. 34-39943 File Number: 3-9357
April 30, 1998	Leslie Danish Release No. 34-39931 File Number: 3-9594
April 30, 1998	Robert Francis Buchheit, Sr. Release No. 33-7531, 34-39932 File Number: 3-9595
April 29, 1998	Schneider Securities, Inc., Barry D. Tull, and Paul E. Pinholster Release No. 33-7530, 34-39929 File Number: 3-9591
April 29, 1998	Raymond A. Basile Release No. 34-39930 File Number: 3-9592
April 28, 1998	R. James Brower Release No. 34-39926 File Number: 3-9590
April 27, 1998	Albert Glenn Yesner, CPA; Robert G. Mahony, Administrative Law Judge Release No. 33-7528 File Number: 3-9586
April 27, 1998	Thomas F. Ferris Release No. 33-7529 File Number: 3-9587
April 27, 1998	A. Morgan Maree, Jr. & Associates, Inc., and Hugh Duff Robertson Release No. 34-39917 File Number: 3-9497
April 27, 1998	Joseph Sanfellipo Release No. 34-39919 File Number: 3-9588
April 27, 1998	George E. Brooks & Associates, Inc., Morehead Investment Advisors, Inc., and George E. Brooks Release No. 34-39921 File Number: 3-9589
April 24, 1998	David T. Barr; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7527 File Number: 3-9585
April 24, 1998	Reservoir Capital Management, Inc. and Roann Costin Release No. IA-1717 File Number: 3-9584
April 23, 1998	Meridian Securities, Inc., CoreStates Capital Markets and Martin J. Stallone Release No. 33-7525 File Number: 3-9582
April 23, 1998	Steven T. Snyder Release No. 33-7526 File Number: 3-9583
April 22, 1998	Michael W. Crow Release No. 34-39902
April 22, 1998	Jeffrey A. Lobel Release No. 34-39901 File Number: 3-9580
April 13, 1998	Rothschild Investment Corporation Release No. IA-1714 File Number: 3-9577
April 13, 1998	Steven L. Down Release No. IA-1715 File Number: 3-9578
April 10, 1998	Jamie Charles Spangler Release No. 34-39848 File Number: 3-9576
April 9, 1998	Lee Pharmaceuticals, Henry L. Lee, Jr., Ronald G. Lee and Michael L. Agresti Release No. 34-39843 File Number: 3-9573
April 9, 1998	Jeffrey Price and Michael Ostrach Release No. 34-39844 File Number: 3-9574
April 6, 1998	William P. Carroll Release No. 33-7522 File Number: 3-9364
March 30, 1998	Mitchell Hutchins Asset Management Inc. Release No. 33-7521, 34-39817, IA-1712, IC-23090 File Number: 3-9383
March 27, 1998	George J. Kolar Release No. 34-39812
March 27, 1998	Feeley and Willcox Asset Management Corporation and Michael J. Feeley; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-7520 File Number: 3-9571
March 26, 1998	Jerry G. Allison Release No. 34-39807 File Number: 3-9569
March 25, 1998	Sensormatic Electronics Corporation Release No. 33-7518 File Number: 3-9563
March 25, 1998	Joy Lynn Schneider Green Release No. 34-39792 File Number: 3-9564
March 25, 1998	Thomas H. Pike Release No. 34-39793 File Number: 3-9565
March 25, 1998	Thomas Anthony Calise Release No. 34-39795 File Number: 3-9566
March 25, 1998	Holiday Stock Transfer, Inc. and Sharon M. Owen Release No. 33-7519 File Number: 3-9567
March 25, 1998	Peter F. Kuebler, CPA Release No. 34-39801 File Number: 3-9568
March 23, 1998	Paul D. Blasetti Release No. 33-7517 File Number: 3-9368
March 18, 1998	Eugene Bilotti Release No. 33-7515 File Number: 3-9517
March 13, 1998	James D. Rocco Release No. 34-39752 File Number: 3-9558
March 13, 1998	Scott S. Bell and Theta Group, LLC Release No. 34-39753 File Number: 3-9559
March 10, 1998	Jerry Stone Release No. 34-39737 File Number: 3-9556
March 4, 1998	Paul L. Nieto Release No. 34-39714 File Number: 3-9552
March 3, 1998	Kuslima Shogen, Stanislaw Mikulski and Allen Siegel Release No. 34-39710 File Number: 3-9550
Feb. 27, 1998	Robert Hardy Release No. 34-39702 File Number: 3-9547
Feb. 27, 1998	Daniel E. Goodman Release No. 34-39703 File Number: 3-9548
Feb. 26, 1998	Monetta Financial Services, Inc., Robert S. Bacarella, William M. Valiant, Paul W. Henry, and Richard D. Russo; Brenda P. Murrary, Chief Administrative Law Judge Release No. 33-7510, 34-39701, IA-1702, IC-23048 File Number: 3-9546
Feb. 20, 1998	Michael Lissack Release No. 34-39687
Feb. 11, 1998	David P. Silver Release No. 34-39642 File Number: 3-9358
Feb. 9, 1998	William F. Lincoln; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-39629 File Number: 3-8998
Feb. 2, 1998	County of Nevada (Calif.), City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay Release No. 33-7503, 34-39612
Feb. 2, 1998	Alexander Ruge, Bertram Slutzky, Jeffrey Szur, and Andrew Scudiero Release No. 34-39605
Jan. 30, 1998	Pacific Matrix Financial Group, Inc. Release No. 33-7501, 34-39600 File Number: 3-9539
Jan. 30, 1998	Dean McDermott, Stephen Compos and Daniel Shaffer Release No. 33-7502 File Number: 3-9540
Jan. 30, 1998	Paul G. Mount Release No. 34-39601 File Number: 3-9541
Jan. 29, 1998	Credit Suisse First Boston Corporation, Jerry L. Nowlin, and Douglas S. Montague Release No. 33-7498, 34-39595 File Number: 3-9535
Jan. 29, 1998	Ronald W. Driol Release No. 33-7499 File Number: 3-9536
Jan. 28, 1998	Steven C. Wolfe, Sr. Release No. 34-39589
Jan. 28, 1998	Paul Francis Mabry Release No. 34-39592 File Number: 3-9464
Jan. 26, 1998	Sheldon Kraft Release No. 34-39579 File Number: 3-9534
Jan. 22, 1998	August Mezzetta Release No. 34-39568
Jan. 20, 1998	Robert Bogutski Release No. 34-39559 File Number: 3-9531
Jan. 20, 1998	Brian D. Schrauger and Questor Group, Inc. Release No. 33-7496 File Number: 3-9532
Jan. 9, 1998	Struthers Industries, Inc. Release No. 34-39531
Jan. 9, 1998	Bret L. Boteler Release No. 34-39533 File Number: 3-9525
Jan. 9, 1998	Dyke Ferrell Release No. 34-39534 File Number: 3-9526
Jan. 9, 1998	James B. Boswell Release No. 34-39535 File Number: 3-9527
Jan. 9, 1998	Cecil R. Glass III Release No. 34-39536 File Number: 3-9528
Jan. 7, 1998	F.N. Wolf & Co., Inc., Hibbard Brown & Co., Inc., L.C. Wegard & Co., Inc., Franklin N. Wolf, Richard P. Brown, And Leonard B. Greer; Glenn Robert Lawrence, Administrative Law Judge Release No. 34-39522 File Number: 3-8533
Jan. 7, 1998	Richard Cannistraro Release No. 34-39521 File Number: 3-9140
Jan. 2, 1998	James E. Eaton Release No. 34-39515 File Number: 3-9524
Dec. 31, 1997	New Jersey Resources Corp., Laurence M. Downes and Glenn C. Lockwood Release No. 34-39506 File Number: 3-9521
Dec. 31, 1997	Oliver G. Richard III, and Jay B. Corn Release No. 34-39507 File Number: 3-9522
Dec. 31, 1997	Kerrigan Sean Weber Release No. 33-7493, 34-39508
Dec. 30, 1997	Payne & Thornton, Inc. d/b/a Retirement Investment Group Release No. 33-7492, 34-39501 File Number: 3-8703
Dec. 23, 1997	Eugene Bilotti Release No. 33-7490, IA-1689 File Number: 3-9517
Dec. 23, 1997	James A. Terrano, Lynn R. Michl, CPA Release No. 34-39485 File Number: 3-9516
Dec. 23, 1997	H. Thomas Fehn Release No. 34-39486 File Number: 3-9518
Dec. 22, 1997	Presstek, Inc. Release No. 34-39472 File Number: 3-9515
Dec. 22, 1997	Renaissance Capital Advisors, Inc. and Richard N. Fine Release No. IA-1688 File Number: 3-9514
Dec. 22, 1997	Rocky Mountain International, Ltd. Release No. 34-39471
Dec. 18, 1997	Alan R. Mishkin Release No. 34-39463 File Number: 3-9511
Dec. 18, 1997	Graham F. Lacey Release No. 34-39464 File Number: 3-9512
Dec. 12, 1997	Warren L. Rawls, C.P.A. Release No. 34-39447, AAER-995
Dec. 11, 1997	Brian Patrick Cork Release No. 33-7484, 34-39424 File Number: 3-9503
Dec. 11, 1997	Michael Graber Release No. 33-7485, 34-39425 File Number: 3-9504
Dec. 11, 1997	Kenneth Alan Larson Release No. 33-7486, 34-39426 File Number: 3-9505
Dec. 11, 1997	Craig Curtis Peterson Release No. 33-7487, 34-39427 File Number: 3-9506
Dec. 11, 1997	Anthony Lollis Release No. 33-7488, 34-39428 File Number: 3-9507
Dec. 11, 1997	Phillip Pepe Release No. 33-7489, 34-39429 File Number: 3-9508
Dec. 11, 1997	Charles O. Huttoe Release No. 34-39431 File Number: 3-9509

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