Administrative Proceedings

Please read the Commission’s October 1, 2025 order staying pending 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
Dec. 31, 1996	Mark S. Ferber Release No. 34-38102 File Number: 3-9211
Dec. 26, 1996	Dennis Lindsay Helliwell Release No. 34-38088
Dec. 24, 1996	Michael Donald McGahee Release No. 34-38083 File Number: 3-9209
Dec. 23, 1996	Stanley L. Swoyer Release No. 34-38074 File Number: 3-9090
Dec. 19, 1996	Dale E. Barlage Release No. 34-38061 File Number: 3-9207
Dec. 18, 1996	Peter M. Harrington Release No. 34-38055
Dec. 16, 1996	Sky Scientific, Inc., W.A. Dorow, Jr., Jerry L. Foster, Gilbert Marshall & Co., Inc., Michael A. Usher, Strategic Resource Management, Inc., William A. Moler, Daniel R. Lehl, Thomas Patrick Meehan, Douglas A. Glaser, Smith, Benton & Hughes, Inc., Michael Zaman, George T. Hellen, Robert Schlien, American Capital Network, Inc., Philip M. Georgeson, Melvin L. Levine, and William David Jones; Robert G. Mahony, Administrative Law Judge Release No. 33-7372 File Number: 3-9201
Dec. 16, 1996	Ernest W. Grendi Release No. 33-7374 File Number: 3-9202
Dec. 10, 1996	Michael Goodbread Release No. 34-38035 File Number: 3-9199
Dec. 10, 1996	Frederick V. Dona, Jr. Release No. 34-38037 File Number: 3-9126
Dec. 10, 1996	Robert Tatarowicz Release No. 33-7370 File Number: 3-9200
Dec. 9, 1996	Shaner & Company, Inc. and Mark S. Shaner Release No. 34-38027 File Number: 3-9197
Dec. 9, 1996	Steven A. Lapper Release No. 34-38028 File Number: 3-9198
Dec. 6, 1996	Stratton Oakmont, Inc. and Daniel M. Porush Release No. 34-38026 File Number: 3-9195
Dec. 4, 1996	Westcap Securities, L.P. Release No. 34-38016 File Number: 3-8947
Dec. 4, 1996	Portfolio Management Consultants, Inc. Release No. 33-7368 File Number: 3-9033
Dec. 2, 1996	Stuart, Coleman & Co., Inc. Release No. 34-38001 File Number: 3-8781
Dec. 2, 1996	David Anderson Release No. 34-38002 File Number: 3-9002
Dec. 2, 1996	James W. Adams Release No. 34-38003 File Number: 3-9193
Dec. 2, 1996	Philip S. Sindler Release No. 33-7367 File Number: 3-9194
Nov. 26, 1996	DeSoto Broadcasting, Inc. and Danford Sawyer, Jr. Release No. 33-7366 File Number: 3-9191
Nov. 25, 1996	Alliance Industries, Inc. Release No. 34-37984
Nov. 19, 1996	OmniGene Diagnostics, Inc. Release No. 34-37966
Nov. 18, 1996	Carmel Equity Partners, Richard L. Goodrich, Lawrence D.Isen, Peter P. Kim, Bruce E. Mesnekoff, John B. Morris, and KelseyVan Deventer Release No. 33-7365 File Number: 3-9187
Nov. 14, 1996	Quality Products, Inc. Release No. 33-7364 File Number: 3-9186
Nov. 12, 1996	Karl G. Wassmann III Release No. 34-37938 File Number: 3-9184
Nov. 12, 1996	George R. Johnston and Johnston Kent Securities, Inc. Release No. 33-7363 File Number: 3-8901
Nov. 12, 1996	Fox-Pitt, Kelton, Inc. Release No. 34-37940 File Number: 3-9185
Nov. 8, 1996	Atlantis Group, Inc. (formerly known as Microterra, Inc.), Richard Fox and James E. Sidbury Release No. 34-37932 File Number: 3-9127
Nov. 6, 1996	Robert Gann Release No. 33-7362 File Number: 3-9180
Nov. 6, 1996	Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-37926 File Number: 3-9181
Oct. 31, 1996	Peter C. Tosto Release No. 34-37898 File Number: 3-9178
Oct. 31, 1996	Troy Lee Wood Release No. 34-37905 File Number: 3-9179
Oct. 31, 1996	Gruntal & Co., Inc. Release No. 33-7359 File Number: 3-8983
Oct. 31, 1996	Gruntal & Co., Inc. and Gruntal Financial Corp. Release No. 33-7360 File Number: 3-8984
Oct. 29, 1996	International Energy, Development Coproation and Jerome B. Richter Release No. 34-37889 File Number: 3-9176
Oct. 29, 1996	Richard K. Steele, Sr. Release No. 34-37892 File Number: 3-9177
Oct. 28, 1996	Alan G. Lewis Release No. 34-37879 File Number: 3-9175
Oct. 22, 1996	Midisoft Corporation Release No. 34-37847 File Number: 3-9172
Oct. 22, 1996	Calvin M. Dyer Release No. 34-37848 File Number: 3-9173
Oct. 21, 1996	Greg Steven Kaplan Release No. 34-37843 File Number: 3-9171
Oct. 17, 1996	Cambridge Biotech Corporation Release No. 33-7358 File Number: 3-9169
Oct. 17, 1996	A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin Release No. 34-37830 File Number: 3-9010
Oct. 17, 1996	A.R. Baron & Co., Inc. Release No. 34-37831 File Number: 3-9167
Oct. 17, 1996	Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez Release No. 34-37832 File Number: 3-9168
Oct. 17, 1996	Calamos Asset Management, Inc. and John P. Calamos Release No. IA-1594 File Number: 3-9166
Oct. 17, 1996	Nir Kantor Release No. 34-37834 File Number: 3-9170
Oct. 15, 1996	Greenway Capital Corporation and Joseph M. Guccione Release No. 34-37804 File Number: 3-9014
Oct. 15, 1996	Novatek International, Inc. Release No. 34-37819
Oct. 15, 1996	Flagship Securities, Inc., Dennis G. Milewitz And Noreen M.Barrington Release No. 34-37820 File Number: 3-8981
Oct. 15, 1996	Alfred M. Bauer and J.Stephen Stout; Carol Fox Foelak, Administrative Law Judge Release No. 34-37821 File Number: 3-9034
Oct. 15, 1996	George A. Rotelli Release No. 34-37822
Oct. 11, 1996	Paul L. Parshall Release No. 34-37814 File Number: 3-9163
Oct. 10, 1996	Roland Acevedo, Alfred P. Avasso, George Badger, Steve Bingaman, IraBlackey, Thomas J. Browne, Daryl Buerge, Richard Cedrone, Cary Cimino, DaleEyman, John Fasano, Bartholomew Haring, Theodore Heitzman, Gary Hrycyk, RichardLangley, Jr., Michael Lapp, Gerald Larder, Norman Lescht, Miron Leshem, WilliamLucas, Richard Mallion, James Manas, Gamal Ashraf Marwan, Gerald Cash Mcneil,Gary Mitchell, Robert Mitchell, Gregory John Mouen, Timothy Murray, EdwardPadnos, George Panagiotou, Joseph Pignatiello, Jeff Pokross, Alexander Ruge,Blake Marshall Russ, Mark Anthony Savage, Robert Schulman, Andrew Scudiero, SySiegel, Bertram Slutsky, Jeffry Szur, Jeff Trenk, Dean Christopher Verrigni,Trung Vugia, Edward Williamson, Allen Wolfson John Chapman; Release No. 33-7357
Oct. 9, 1996	Richard Cannistraro Release No. 34-37798
Oct. 7, 1996	Systems of Excellence, Inc. Release No. 34-37791
Oct. 4, 1996	William Edwin Somdahl; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-37785 File Number: 3-8698
Oct. 2, 1996	Aura Systems Inc., Zvi Kurtzman, Francis T. Phalen andJoseph Bevacqua Release No. 33-7352 File Number: 3-9138
Oct. 2, 1996	Peacock, Hislop, Staley & Given, Inc. and Larry S. Given Release No. 33-7353 File Number: 3-9139
Oct. 2, 1996	Maricopa County Release No. 33-7354 File Number: 3-9118
Oct. 2, 1996	Daniel D. Dietrich and Robert J. Judge; Carol Fox Foelak, Administrative Law Judge Release No. 34-37775 File Number: 3-9050
Sept. 30, 1996	Rom N. De Guzman Release No. 34-37747 File Number: 3-9115
Sept. 30, 1996	Atlantis Group, Inc. (formerly known as Microterra, Inc.), Richard Fox and James E. Sidbury Release No. 34-37749 File Number: 3-9127
Sept. 30, 1996	Bernard Zelenka Release No. 34-37760
Sept. 30, 1996	Monte S. Colbert Release No. 34-37761 File Number: 3-9131
Sept. 30, 1996	Richard J. Line Release No. 34-3776 File Number: 3-9134
Sept. 30, 1996	Stires & Co., Inc., and Sidney H. Stires Release No. 33-7347
Sept. 30, 1996	Philip Greifeld Release No. 34-37765 File Number: 3-9135
Sept. 30, 1996	Curtis Lynch and David Hollander Release No. 33-7348 File Number: 3-9121
Sept. 30, 1996	Lawrence M. Gress Release No. 33-7343 File Number: 3-9116
Sept. 30, 1996	Maricopa County Release No. 33-7345 File Number: 3-9118
Sept. 30, 1996	Fahnestock and Co., Inc. and William E. Bierlin, Jr. Release No. 34-37754 File Number: 3-9122
Sept. 30, 1996	3Net Systems, Inc. Release No. 33-7344 File Number: 3-9117
Sept. 30, 1996	The O.N. Equities Sales Company Release No. 34-37755 File Number: 3-9123
Sept. 30, 1996	Michael D. Gibson, Gregory C. Moore, and Jay D. Liebowitz, andDavid McClure Release No. 34-37756 File Number: 3-9124
Sept. 30, 1996	Thomas A. Piechowicz, James M. Flynn and Christopher Conway Release No. 34-37757 File Number: 3-9125
Sept. 30, 1996	Frederick V. Dona, Jr. Release No. 34-37758 File Number: 3-9126
Sept. 30, 1996	Octagon, Inc. Release No. 34-37762 File Number: 3-9132
Sept. 30, 1996	Anthony Sarivola Release No. 34-37768 File Number: 3-9137
Sept. 30, 1996	Stephen J. Sogin and Steven N. Weiss Release No. 34-37766 File Number: 3-9136
Sept. 30, 1996	Vigil Asset Management Group, Inc. and Thomas Batterman Release No. IA-1588 File Number: 3-9128
Sept. 30, 1996	Domenic P. Ferrante Release No. IA-1589 File Number: 3-9133
Sept. 30, 1996	M. Charles Zanaty Release No. 33-7346 File Number: 3-9119
Sept. 30, 1996	American Financial Partners, Ltd. and Jeffrey S. Rosenberg Release No. 33-7349 File Number: 3-9129
Sept. 27, 1996	Gerald Johnson Release No. 34-377737 File Number: 3-9106
Sept. 27, 1996	Frederick W. Smith Release No. 34-37738 File Number: 3-9108
Sept. 27, 1996	Republic International Corporation Release No. 34-37741 File Number: 3-9112
Sept. 27, 1996	Michael G. Cohen Release No. 34-37742 File Number: 3-9113
Sept. 27, 1996	Concord Investment Company Release No. IA-1585 File Number: 3-9109
Sept. 27, 1996	Carolyn Safer Kenner Release No. 33-7341 File Number: 3-9110
Sept. 27, 1996	Norman L. Sirak Release No. 33-7342 File Number: 3-9111
Sept. 27, 1996	Philadelphia Investors, LTD. and Clarence Z. Wurts; G. Marvin Bober, Administrative Law Judge Release No. 34-37743 File Number: 3-9114
Sept. 27, 1996	Milton Puryear; Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1586 File Number: 3-8766
Sept. 27, 1996	Patricia Owen-Michael Release No. IA-1584 File Number: 3-9107
Sept. 26, 1996	Peter Tosto, Investor Relations, Inc., George Panagiotou, MarkSavage and Dean Verrigni Release No. 33-7339
Sept. 26, 1996	Ira William Scott; Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1582 File Number: 3-9105
Sept. 26, 1996	Richardt-Alyn & Co., and Richard B. Fienberg Release No. 34-37727 File Number: 3-9099
Sept. 26, 1996	Michael C. Robertson and M.C. Robertson & Associates, Inc. Release No. 33-7337
Sept. 26, 1996	Broad Capital Associates, Inc. and Murray Arron Huberfeld Release No. 33-7338 File Number: 3-9101
Sept. 26, 1996	Advanced Micro Devices, Inc. Release No. 34-37730 File Number: 3-9102

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