Administrative Proceedings

Between October 1, 2025, and November 12, 2025, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying administrative proceedings. On November 13, 2025, the Commission issued an order lifting the stay and extending dates in the proceedings previously subject to the stay.

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. 30, 2002	Laurie Jones Canady; Glenn Robert Lawrence, Administrative Law Judge Release No. 34-47107 File Number: 3-8531
Dec. 27, 2002	Gemisys Corporation and Stephen A. Finn Release No. 34-47102 File Number: 3-10777
Dec. 23, 2002	Gordon J. Rollert Release No. IA-2095 File Number: 3-10996
Dec. 23, 2002	Jeffrey M. Goldberg Release No. 34-47079 File Number: 3-10997
Dec. 23, 2002	Robert A. Putnam Release No. 33-8172, 34-47083, AAER-1696 File Number: 3-10998
Dec. 20, 2002	Guillermo Wydler Release No. 34-47063, IA-2093 File Number: 3-10989
Dec. 20, 2002	Luis Martinez Release No. 34-47064, IA-2094 File Number: 3-10990
Dec. 20, 2002	D.H. Blair & Co., Inc. Release No. 34-47070 File Number: 3-10991
Dec. 20, 2002	Kenton Wood Release No. 34-47071 File Number: 3-10992
Dec. 20, 2002	Kalman Renov Release No. 34-47074 File Number: 3-10995
Dec. 20, 2002	Alan Stahler Release No. 34-47072 File Number: 3-10993
Dec. 20, 2002	Vito Capotorto Release No. 34-47073 File Number: 3-10994
Dec. 19, 2002	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Brenda P. Murray, Chief Administrative Law Judge Release No. 33-8165, 34-47037 File Number: 3-9933
Dec. 19, 2002	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Brenda P. Murray, Chief Administrative Law Judge Release No. 33-8166, 34-47038 File Number: 3-9933
Dec. 19, 2002	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Brenda P. Murray, Chief Administrative Law Judge Release No. 33-8167, 34-47039 File Number: 3-9933
Dec. 19, 2002	Christopher D. Panza Release No. 34-47047 File Number: 3-10983
Dec. 19, 2002	Christopher J. Richardson Release No. 34-47048 File Number: 3-10984
Dec. 19, 2002	John Tripp Sines, III Release No. 34-47049 File Number: 3-10985
Dec. 19, 2002	Stephen E. Sokoloff Release No. 34-47050 File Number: 3-10986
Dec. 19, 2002	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Brenda P. Murray, Chief Administrative Law Judge Release No. 33-8168, 34-47040 File Number: 3-9933
Dec. 19, 2002	Erika D. Whitman Release No. 34-47051 File Number: 3-10987
Dec. 19, 2002	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Brenda P. Murray, Chief Administrative Law Judge Release No. 33-8169, 34-47041 File Number: 3-9933
Dec. 19, 2002	Alexis Stock Transfer and Gina Ann Zapara Release No. 34-47058 File Number: 3-10988
Dec. 19, 2002	Vincent Caracciolo Release No. 34-47042 File Number: 3-10978
Dec. 19, 2002	Stephen H. Kaplan Release No. 34-47043 File Number: 3-10979
Dec. 19, 2002	Salvatore C. Marchiano Release No. 34-47044 File Number: 3-10980
Dec. 19, 2002	John J. Messina Release No. 34-47045 File Number: 3-10981
Dec. 19, 2002	Stacey Meyers Release No. 34-47046 File Number: 3-10982
Dec. 16, 2002	Ira A. Gerard and Karen S. Harris Release No. 33-8163, 34-47001, AAER-1692 File Number: 3-10974
Dec. 16, 2002	Mercator Software, Inc. Release No. 34-47000, AAER-1691 File Number: 3-10973
Dec. 16, 2002	Allen E. Weintraub and Florida Stock Transfer, Inc. Release No. 34-47002 File Number: 3-10975
Dec. 16, 2002	Hamilton Bancorp., Inc. Release No. 34-47004, AAER-1693
Dec. 16, 2002	e-Smart Technologies, Inc. Release No. 34-47005
Dec. 13, 2002	Frank Thomas Devine Release No. 34-46991 File Number: 3-10518
Dec. 13, 2002	Strata Coal Company (f/k/a WesPac Technologies Corp.) and Terrence A. Tecco Release No. 34-46993 File Number: 3-10972
Dec. 13, 2002	Millenium Capital Advisors of Pennsylvania, Inc. and Louis J. Sozio Release No. IA-2092 File Number: 3-10971
Dec. 12, 2002	Susan Moore Release No. 34-46988, AAER-1689 File Number: 3-10970
Dec. 11, 2002	Rodona Garst Release No. 33-8161, 34-46987 File Number: 3-10843
Dec. 10, 2002	Syncor International Corporation Release No. 34-46979, AAER-1687 File Number: 3-10969
Dec. 10, 2002	John Vailati Release No. 33-8159, 34-46978 File Number: 3-10968
Dec. 9, 2002	Craig A. Herl Release No. 34-46969, IA-2089 File Number: 3-10966
Dec. 9, 2002	Mark May Release No. 34-46970, IA-2090 File Number: 3-10967
Dec. 6, 2002	Bruce B. Edmondson, CPA Release No. 34-46953, AAER-1680 File Number: 3-10961
Dec. 6, 2002	Elliot S. Fisher, Esq. Release No. 34-46954, AAER-1681 File Number: 3-10962
Dec. 6, 2002	Buford Yates, Jr. Release No. 33-8156, 34-46962, AAER-1684 File Number: 3-10964
Dec. 6, 2002	David F. Myers Release No. 33-8157, 34-46963, AAER-1685 File Number: 3-10965
Dec. 6, 2002	Betty L. Vinson, CPA Release No. 33-8158, 34-46964, AAER-1686 File Number: 3-10963
Dec. 6, 2002	Harvey M. Burstein and James D. Loeffelbein Release No. 33-8155, 34-46955 File Number: 3-10545
Dec. 6, 2002	Birte Boock and Irwin Boock Release No. 34-46952 File Number: 3-10960
Dec. 5, 2002	Neoteric Group, Inc. formerly knowns as Voyager Group, Inc. Release No. 34-46950 File Number: 3-10886
Dec. 4, 2002	Thomas E. Hall Release No. 34-46945 File Number: 3-10959
Dec. 3, 2002	Deutsche Bank Securities, Inc., Goldman, Sachs & Co., Morgan Stanley & Co. Incorporated, Salomon Smith Barney Inc., and U.S. Bancorp Piper Jaffray Inc. Release No. 34-46937
Nov. 27, 2002	William L. Bates Release No. 33-8152, IC-25837 File Number: 3-10956
Nov. 27, 2002	Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy Release No. IA-2087, 33-8153, 34-46928 File Number: 3-46928
Nov. 26, 2002	Anicom, Inc. Release No. 34-46907, AAER-1675 File Number: 3-10779
Nov. 26, 2002	Michael Sullivan, CPA Release No. 34-46908, AAER-1676 File Number: 3-10953
Nov. 26, 2002	First Virtual Communications, Inc. Release No. 34-46909, AAER-1677 File Number: 3-10954
Nov. 26, 2002	Yezhak Dov Knoll Release No. 34-46910 File Number: 3-10955
Nov. 25, 2002	Secure Computing Corporation and John McNulty Release No. 34-46895 File Number: 3-10948
Nov. 25, 2002	Siebel Systems, Inc. Release No. 34-46896 File Number: 3-10949
Nov. 25, 2002	Raytheon Company and Franklyn A. Caine Release No. 34-46897 File Number: 3-10950
Nov. 25, 2002	David C. Watt Release No. 34-46899 File Number: 3-10951
Nov. 25, 2002	Nils O. Johannesson Release No. 34-46900 File Number: 3-10952
Nov. 21, 2002	Cesare J. Iori, Jr. Release No. 34-46865 File Number: 3-10940
Nov. 21, 2002	Nicola A. Liantonio, Jr. Release No. 34-46866 File Number: 3-10941
Nov. 21, 2002	Peter C. Restivo Release No. 34-46867 File Number: 3-10942
Nov. 21, 2002	James A. Fitzhenry Release No. 34-46870, AAER-1670 File Number: 3-10943
Nov. 21, 2002	Schwendiman Partners, LLC Release No. 33-8149, 34-46863, IA-2083 File Number: 3-10829
Nov. 21, 2002	Sharad Kapoor Release No. 34-46871, IA-2084 File Number: 3-10945
Nov. 21, 2002	Arjun Sekhri Release No. 34-46873, IA-2085 File Number: 3-10946
Nov. 21, 2002	BDO International, Minas Ioannou, and Christakis Ioannou Release No. 34-46880, AAER-1672 File Number: 3-10947
Nov. 21, 2002	Peter Restivo, Inc. d/b/a U.S. Funding Release No. 34-46864 File Number: 3-10939
Nov. 20, 2002	Rodolfo Luzardo Release No. 34-46854 File Number: 3-10938
Nov. 20, 2002	Enrique E. Perusquia Release No. 34-46856 File Number: 3-10890
Nov. 18, 2002	Michael G. Horsey, CPA, Michael D. Watson, CPA, and Sallie D. Feldman, CPA Release No. 34-46845, AAER-1667 File Number: 3-10937
Nov. 18, 2002	J. Charles Reives Release No. 34-46842, IA-2082 File Number: 3-10923
Nov. 14, 2002	James Silver Release No. 34-46836 File Number: 3-10934
Nov. 14, 2002	David E. Morris Release No. 34-46837 File Number: 3-10935
Nov. 14, 2002	Jeffrey R. Patterson and Terrance Turman Release No. 33-8148, 34-46838 File Number: 3-10936
Nov. 13, 2002	Ernst & Young LLP Release No. 33-8146, 34-46821, AAER-1661
Nov. 12, 2002	Jess H. Nealy (Pickard & Company, Incorporated, et al.) (8-10500; 801-3605) Sidney Ullman, Hearing Examiner Release No. 34-46813, AAER-1660 File Number: 3-1660
Nov. 8, 2002	Robert F. Curley Release No. 34-46791 File Number: 3-10893
Nov. 8, 2002	Robert C. Sears Release No. IA-2078 File Number: 3-10929
Nov. 8, 2002	Gintel Asset Management, Inc., Gintel & Co. LLC, Robert M. Gintel, and Stephen G. Stavrides Release No. IA-2079 File Number: 3-10930
Nov. 8, 2002	Dennis S. Herula Release No. IA-2080 File Number: 3-10931
Nov. 6, 2002	Frederick W. Kolling III, CPA Release No. 34-46777, AAER-1659 File Number: 3-10718
Nov. 5, 2002	U.S. Bancorp Piper Jaffray Inc. Release No. 34-46770 File Number: 3-10926
Nov. 5, 2002	Salman Shariff Release No. 34-46773, IA-2077 File Number: 3-10927
Nov. 5, 2002	Max C. Tanner, Esq. Release No. 34-46775 File Number: 3-10928
Nov. 4, 2002	William M. Stephens Release No. 33-8143, 34-46766 File Number: 3-10231
Oct. 31, 2002	Greater Northwest Research & Development Group, Inc. Release No. 34-46754 File Number: 3-10925
Oct. 30, 2002	John Raymond Linney Clain Release No. IA-2074 File Number: 3-10891
Oct. 30, 2002	J. Charles Reives Release No. 34-46748, IA-2073 File Number: 3-10923
Oct. 30, 2002	Sidney A. Johnson and Leslie H. Fleishman Release No. 34-46749 File Number: 3-10924
Oct. 29, 2002	Kenneth D. Ough Release No. 33-8141, 34-46736 File Number: 3-10922
Oct. 29, 2002	Craig P. Scanlon Release No. IA-2072 File Number: 3-10698
Oct. 25, 2002	Edgar M. Reed Release No. IA-2069 File Number: 3-10919
Oct. 25, 2002	Back Bay Advisors, L.P. Release No. IA-2070 File Number: 3-10920
Oct. 25, 2002	Paul J. House and Brandon R. Moore Release No. IA-2071 File Number: 3-10921
Oct. 24, 2002	Ambassador Eyewear Group, Inc. Release No. 34-46715 File Number: 3-10900

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