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
Nov. 7, 2002	Nicholas T. Avello Release No. 34-46780 File Number: 3-10391
Oct. 30, 2002	Frank Thomas Devine Release No. 34-46746 File Number: 3-10518
Oct. 23, 2002	Ernst & Young LLP Release No. 34-46710, AAER-1654 File Number: 3-10786
Oct. 23, 2002	Warren B. Minton, Jr. Release No. 34-46709 File Number: 3-10636
Oct. 23, 2002	Daniel D. Manoff Release No. 34-46708 File Number: 3-10499
Oct. 22, 2002	David A. Hesterman and Kenneth L. Weeks Release No. 33-8139, 34-46715 File Number: 3-9952
Sept. 18, 2002	Gary A. Fox Release No. 34-46511 File Number: 3-10787
Aug. 30, 2002	Christopher A. Lowry Release No. IA-2052 File Number: 3-10390
Aug. 30, 2002	David E. Lynch Release No. 34-46439 File Number: 3-9440
Aug. 23, 2002	Joseph P. Galluzzi Release No. 34-46405 File Number: 3-10209
July 26, 2002	Daniel Richard Howard Release No. 34-46269 See Also: Court of Appeals Opinion , and Reconsideration order File Number: 3-10392
July 3, 2002	John S. Brownson Release No. 34-46161 File Number: 3-10295
June 26, 2002	George J. Kolar Release No. 34-46127 File Number: 3-9570
May 17, 2002	Daniel R. Lehl, Robert Schlien, American Capital Network, Inc., Melvin L. Levine, William David Jones, and Philip M. Georgeson Release No. 33-8102 File Number: 3-9201
May 15, 2002	John P. Goldsworthy Release No. 34-45926 File Number: 3-9339
May 14, 2002	Sandra K. Simpson and Daphne Ann Pattee Release No. 34-45923 File Number: 3-9458
April 29, 2002	John R. D'Alessio, and D'Alessio Securities, Inc. Release No. 34-45846 File Number: 3-10460
April 23, 2002	Clarke T. Blizzard Release No. IA-2030 File Number: 3-10007
April 23, 2002	Clarke T. Blizzard and Rudolph Abel Release No. IA-2032 File Number: 3-10007
April 4, 2002	Fu-Sung Peter Wu Release No. 34-45694 File Number: 3-9024
April 4, 2002	Howard R. Perles and Laurence M. Geller Release No. 34-45691 File Number: 3-10288
April 4, 2002	Erik W. Chan Rel. No.: 34-45693 Release No. 33-8078, 34-45693 File Number: 3-9697
March 21, 2002	Herbert Moskowitz Release No. 34-45609 File Number: 3-9435
Feb. 13, 2002	Keith Springer Release No. 34-45439 See Also: Reconsideration order available File Number: 3-10247
Feb. 13, 2002	Frank Kufrovich Release No. 34-45437 File Number: 3-10461
Feb. 8, 2002	David Wong Release No. 34-45426 File Number: 3-10360
Jan. 24, 2002	Brian A. Schmidt, John Aristotle Dilworth, II, and Euro-Atlantic Securities, Inc. Rel. No.: 34-45330 Release No. 33-8061, 34-45330 File Number: 3-9402
Jan. 16, 2002	Kevin D. Kunz and Kunz and Cline Investment Mgmt., Inc. Release No. 34-45290 See Also: Court of Appeals Opinion File Number: 3-9960
Jan. 15, 2002	Michael Lubin Release No. 34-45281 File Number: 3-10183

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