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. 26, 2000	Claude Cossu Release No. 34-43772 File Number: 3-10399
Dec. 21, 2000	H.J. Meyers & Co., Inc., James A. Villa and James C. Witzel Release No. 34-43759 File Number: 3-10141
Dec. 21, 2000	Vincent Deuschel and Tucker Anthony, Inc. Release No. 34-43760 File Number: 3-10396
Dec. 21, 2000	International Business Machines Corporation Release No. 34-43761, AAER-1355 File Number: 3-10397
Dec. 21, 2000	Jon F. Williams Release No. 34-43764 File Number: 3-10398
Dec. 21, 2000	Vincent Deuschel and Tucker Anthony, Inc. Release No. 33-7930 File Number: 3-10396
Dec. 20, 2000	US Diagnostic Inc. and Jeffrey Goffman Release No. 33-7928 File Number: 3-10394
Dec. 20, 2000	Marion Bass Securities Corp. and Gerald Chandik Release No. 33-7929 File Number: 3-9471
Dec. 20, 2000	SAF T LOK, INC. Release No. 34-43753 File Number: 3-10395
Dec. 19, 2000	Christopher A. Lowry Brenda P. Murray, Chief Administrative Law Judge Release No. IA-1915 File Number: 3-10390
Dec. 14, 2000	Microstrategy, Inc. Release No. 34-43724, AAER-1350 File Number: 3-10388
Dec. 14, 2000	Antoinette A. Parsons and Stacy L. Hamm Release No. 34-43725, AAER-1351 File Number: 3-10389
Dec. 13, 2000	Suzanne Pelosie Release No. 33-7927 File Number: 3-9930
Dec. 13, 2000	Craig Consumer Electronics, Inc. Release No. 34-43715, AAER-1353 File Number: 3-10315
Dec. 13, 2000	Robin R. McEachin Release No. 34-43722, IA-1914
Dec. 12, 2000	James K. McKillop d/b/a BKL BrokerLink Capital Research and Communications Release No. 34-43712 File Number: 3-10385
Dec. 12, 2000	Michael T. Fearnow d/b/a Financial Broker Relations, and Focus Tech Investments, Inc. Release No. 34-43713 File Number: 3-10386
Dec. 12, 2000	Jeffrey S. Honigman Release No. 34-43708 File Number: 3-10381
Dec. 12, 2000	Kevin H. Kading, Kading Companies, S.A., Joning Corp. f/k/a Global Stock Exchange Corp., and John O. Jones, Jr. Release No. 34-43709 File Number: 3-10382
Dec. 12, 2000	John B. Longman and Longman & Associates, Inc. Release No. 34-43710 File Number: 3-10383
Dec. 12, 2000	Sidney J. Golub and Adar International, Inc. d/b/a The Adar Group Release No. 34-43711 File Number: 3-10384
Dec. 11, 2000	Lawrence M. Artz, Neurotech Corp., Enhance Resources, Inc. and Bruce W. Lynch Release No. 33-7926 File Number: 3-9897
Dec. 11, 2000	Vincent Poliseno Release No. 34-43702 File Number: 3-10380
Dec. 11, 2000	Vincent Poliseno Release No. 34-43703 File Number: 3-9256
Dec. 8, 2000	David Blech Release No. 34-43693 File Number: 3-10379
Dec. 7, 2000	United Stock Transfer, Inc. and John J. Donnelly Release No. 34-43687 File Number: 3-10378
Dec. 6, 2000	Brett S. Henderson Release No. 34-43681 File Number: 3-10376
Dec. 6, 2000	Monarch Investment Properties Inc. and Anthony E. Gurino Release No. 34-43682, AAER-1349 File Number: 3-10377
Dec. 5, 2000	William J. Nordvik, Jon F. Williams and John G. Wright, Jr. Release No. 34-43672
Dec. 5, 2000	William J. Nordvik, Jon F. Williams and John G. Wright, Jr. Release No. 34-43673
Dec. 5, 2000	John G. Wright, Jr. Release No. 34-43674 File Number: 3-10375
Dec. 5, 2000	Bearcat, Inc., Peter Fineberg, Seth Diamond, Salvatore DiAmbrosio, D&D Securities, Inc., Nicholas DiCicco, and Dominic DiCicco Robert G. Mahony, Administrative Law Judge Release No. 33-7925, 34-43669 File Number: 3-10373
Dec. 5, 2000	William J. Nordvik, Jon F. Williams and John G. Wright, Jr. Release No. 34-43670
Dec. 4, 2000	David Coleman Release No. 34-43661 File Number: 3-10374
Dec. 4, 2000	National Stock Transfer, Inc., Krista Castleton Nielsen, and Roger Lee Greer Release No. 33-7924, 34-43662 File Number: 3-9949
Dec. 4, 2000	National Stock Transfer, Inc., Krista Castleton Nielsen, and Roger Lee Greer Release No. 34-43663 File Number: 3-9949
Dec. 1, 2000	Leslie E. Rossello Release No. 33-7922, 34-43650 File Number: 3-10371
Dec. 1, 2000	Stanley Schulman Release No. 34-43649 File Number: 3-10370
Dec. 1, 2000	Steven Eugene Scott Release No. 33-7923, 34-43656 File Number: 3-10372
Nov. 30, 2000	Joseph A. Monaco Release No. 34-43644 File Number: 3-10213
Nov. 29, 2000	Pinnacle Business Management, Inc. Release No. 34-43633 File Number: 3-10363
Nov. 27, 2000	H.J. Meyers & Co., Inc., James A. Villa and James C. Witzel Release No. 34-43622, AAER-1348 File Number: 3-10141
Nov. 22, 2000	Barry H. Peterson-Ross Release No. 33-7920, 34-43609, AAER-1346 File Number: 3-10368
Nov. 22, 2000	Detour Magazine, Inc. Release No. 33-7921, 34-43610, AAER-1347 File Number: 3-10369
Nov. 17, 2000	Stephen V. Burns Release No. 34-43578 File Number: 3-10367
Nov. 17, 2000	H. J. Meyers & Co., Inc., Robert Setteducati, William Masucci, Michael Vanechanos, and James Alan Villa James T. Kelly, Administrative Law Judge Release No. 33-7918, 34-43579 File Number: 3-10140
Nov. 16, 2000	Per-Se Technologies, Inc., formerly known as Medaphis Corporation Release No. 34-43570, AAER-1343 File Number: 3-10364
Nov. 16, 2000	Glen Donald Lang Release No. 33-7916, 34-43571, AAER-1344 File Number: 3-10365
Nov. 16, 2000	James Steele Douglass Release No. 33-7917, 34-43572, AAER-1345 File Number: 3-10366
Nov. 16, 2000	David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge Release No. 34-43569 File Number: 3-8955
Nov. 14, 2000	Waltzer and Associates, Lewis N. Waltzer, and Karney E. Waltzer Release No. 33-7914, 34-43561, IA-1908, IC-24738 File Number: 3-10142
Nov. 14, 2000	Waltzer and Associates, Lewis N. Waltzer, and Karney E. Waltzer Release No. 33-7915, 34-43562, IA-1909, IC-24739 File Number: 3-10142
Nov. 14, 2000	Dean C. Turner Release No. 34-43560
Nov. 8, 2000	Luis R. Hidalgo Jr., CPA Release No. 34-43531, AAER-1341 File Number: 3-10357
Nov. 8, 2000	Donald E. Studer Release No. 34-43532, AAER-1342 File Number: 3-10358
Nov. 1, 2000	Michael J. Markowski and Joseph F. Riccio Release No. 34-43503 File Number: 3-9671
Oct. 31, 2000	Pat A. Rossetti and Jeffrey M. Yonkers Release No. 34-43497, AAER-1338 File Number: 3-10354
Oct. 31, 2000	Horton & Company and Edward C. Horton Release No. 34-43498, AAER-1339
Oct. 27, 2000	David W. Benner Release No. 34-43486 File Number: 3-10353
Oct. 24, 2000	First Union Securities, Inc. Release No. 34-43478 File Number: 3-10352
Oct. 23, 2000	Marc B. Nogid Release No. 34-43472 File Number: 3-10351
Oct. 20, 2000	Edward R. Cox and Cox Securities, Inc. Release No. 34-43466 File Number: 3-10350
Oct. 17, 2000	Asif Ameen and Bruce W. Bertsch Release No. 34-43449 File Number: 3-9906
Oct. 17, 2000	Asif Ameen and Bruce W. Bertsch Release No. 34-43450 File Number: 3-9906
Oct. 16, 2000	Victor Douenias Release No. 34-43445, AAER-1334 File Number: 3-10347
Oct. 16, 2000	Robert G. Herndon Release No. 34-43446, AAER-1336 File Number: 3-10348
Oct. 12, 2000	High Speed Net Solutions, Inc. Release No. 34-43434 File Number: 3-10206
Oct. 11, 2000	Gregg A. Thaler Release No. 34-43432 File Number: 3-10345
Oct. 11, 2000	Victor M. Wang Release No. 34-43433 File Number: 3-10346
Oct. 11, 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. 34-43431 File Number: 3-10150
Oct. 10, 2000	Shamrock Partners Ltd., James T. Kelly, John R. Doyle, and Stephen J. Fischer Release No. 33-7909, 34-43425
Oct. 10, 2000	Richard Langley, Jr. and Gerald Larder Release No. 33-7910, 34-43428
Oct. 6, 2000	Herbert M. Campbell II Release No. 34-43422
Oct. 6, 2000	PalmWorks, Inc. Release No. 34-43423 File Number: 3-10200
Oct. 5, 2000	Engineering Animation, Inc. and Michael J. Jablo Release No. 34-43416, AAER-1332 File Number: 3-10343
Sept. 29, 2000	CGI Capital, Inc. Release No. 33-7904, 34-43387 File Number: 3-10331
Sept. 29, 2000	William J. Bosso Release No. 33-7905, 34-43397 File Number: 3-10338
Sept. 29, 2000	Victor Caron Release No. 33-7906, 34-43398 File Number: 3-10339
Sept. 29, 2000	Todd Hansen Release No. 34-43385
Sept. 29, 2000	Hugh D. Cooper Release No. 33-7907, 34-43399 File Number: 3-10340
Sept. 29, 2000	David Barroso, Jr. Release No. 34-43386 File Number: 3-10328
Sept. 29, 2000	Larry H. Weltman Release No. 33-7908, 34-43400 File Number: 3-10341
Sept. 29, 2000	Drew Bergman Release No. 34-43388, AAER-1321 File Number: 3-10332
Sept. 29, 2000	Charles K. Seavey Carol Fox Foelak, Administrative Law Judge Release No. 34-43392 File Number: 3-10336
Sept. 29, 2000	Luis E. Gomez, CPA Release No. 34-43389, AAER-1322 File Number: 3-10333
Sept. 29, 2000	First Springfield Securities, Inc., Donald E. Radle and Michael S. Dwyer Release No. 34-43393
Sept. 29, 2000	Theodore R. Hunter Release No. 34-43390, IA-1903 File Number: 3-10334
Sept. 29, 2000	Donald C. Yount, CPA Release No. 34-43391, AAER-1323 File Number: 3-10335
Sept. 29, 2000	Timothy Charles Sweeney Release No. IA-1901 File Number: 3-10329
Sept. 29, 2000	Susan M. Gorski Release No. IA-1902 File Number: 3-10330
Sept. 28, 2000	Charles T. Bennett Release No. 34-43375 File Number: 3-10322
Sept. 28, 2000	Douglas R. Shisler Release No. 34-43378 File Number: 3-10323
Sept. 28, 2000	Stanley H. Van Etten Release No. 34-43379 File Number: 3-10324
Sept. 28, 2000	Paul Nortman Release No. 34-43381 File Number: 3-10325
Sept. 28, 2000	Alex Moore Co., Inc., Livetrade.com, Inc., and Michael Weissman Release No. 34-43382 File Number: 3-10326
Sept. 28, 2000	E.ON AG Release No. 34-43372 File Number: 3-10318
Sept. 28, 2000	Richard J. Fulcher, Thomas J. Dolan, Walter G. Lapp, and Lawrence E. Seppanen Release No. 34-43373 File Number: 3-10320
Sept. 28, 2000	Mumtaz Saxena Release No. IA-1899, IC-24668 File Number: 3-10319
Sept. 28, 2000	Dean H. Harris Release No. 34-43374 File Number: 3-10321
Sept. 27, 2000	Craig Consumer Electronics, Inc. Release No. 34-43362, AAER-1318 File Number: 3-10315

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