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. 29, 2003	Paul Joseph Sheehan dba Paul J. Sheehan & Associates Release No. IA-2207 File Number: 3-11365
Dec. 29, 2003	Gregg Becker Release No. 34-49005 File Number: 3-11366
Dec. 29, 2003	Edward Becker James T. Kelly, Administrative Law Judge Release No. 34-49006 File Number: 3-11367
Dec. 29, 2003	Eric Stuerken Release No. 34-49007 File Number: 3-11368
Dec. 23, 2003	Rocky Mountain Energy Corporation Release No. 34-48974 File Number: 3-11364
Dec. 22, 2003	Mark Gilbert Platt, John Wayne Ezell and Richard M. Ohlhaber Release No. 34-48968 File Number: 3-11161
Dec. 19, 2003	Mary E. Crabtree Release No. 34-48961, AAER-1929 File Number: 3-11362
Dec. 19, 2003	Genesco Inc. Release No. 34-48962, AAER-1930 File Number: 3-11363
Dec. 18, 2003	Alliance Capital Management, L.P. Release No. IA-2205, IC-26312, IA-2205A File Number: 3-11359
Dec. 18, 2003	Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence) Release No. 34-48956 File Number: 3-11361
Dec. 18, 2003	Hanover Compressor Company and William S. Goldberg, Release No. 34-48951, AAER-1927 File Number: 3-11360
Dec. 15, 2003	Wilfred Meckel and Robert T. Littell Release No. IA-2203 File Number: 3-11357
Dec. 12, 2003	Cornerstone Propane Partners, L.P. Release No. 34-48916 File Number: 3-11356
Dec. 11, 2003	Jon D. Hammes, Albert Gary Shilling, Allan H. Stefl, and Linda F. Stephenson Release No. 33-8346, IC-26290, 33-8346A See Also: Rel. No. 33-8346A, Dissent of Commissioner Roel Campos File Number: 3-11351
Dec. 11, 2003	Thomas D. Costello Release No. 34-48906, AAER-1921 File Number: 3-11353
Dec. 11, 2003	Marco G. Fiore, Jr., Benjamin V. Salmonese, Jr., Thomas Deceglie, And David C. Lavender Release No. 34-48905 File Number: 3-11350
Dec. 11, 2003	Robert H. Pozner Release No. 34-48907 File Number: 3-11354
Dec. 11, 2003	IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave, and Jerome B. Vernazza; Brenda P. Murray, Chief Administrative Law Judge Release No. 33-8342, 34-48899, IA-2198 File Number: 3-9042
Dec. 11, 2003	FT Interactive Data, f/k/a Interactive Data Corporation Release No. IA-2201, IC-26291 File Number: 3-11352
Dec. 10, 2003	John M. Youngdahl, Jr. Release No. 34-48900, IA-2199 File Number: 3-11349
Dec. 10, 2003	Peter F. Kuebler, CPA Release No. 34-48901, AAER-1920 File Number: 3-9568
Dec. 9, 2003	e-Smart Technologies, Inc. f/k/a Plainview Laboratories, Inc. Lillian A. McEwen, Administrative Law Judge Release No. 34-48895 File Number: 3-10977
Dec. 4, 2003	Shane Ferras Release No. 34-48873 File Number: 3-11283
Dec. 3, 2003	Joseph F. Doody IV Release No. 34-48870, IA-2197 File Number: 3-11348
Dec. 1, 2003	Professional Transportation Group Ltd. Release No. 34-48856 File Number: 3-11279
Dec. 1, 2003	Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Matthew D. Stone and Haskell P. Stone Release No. 34-48862 File Number: 3-11347
Nov. 26, 2003	Schneider Securities, Inc. Release No. 34-48849 File Number: 3-11321
Nov. 26, 2003	Vladlen "Larry" Vindman Carol Fox Foelak, Administrative Law Judge Release No. 34-48850 File Number: 3-11247
Nov. 26, 2003	James Patrick Driver Release No. 34-48852 File Number: 3-11345
Nov. 26, 2003	Steven E. Muth, Richard J. Rouse and Bruce J. Bates Release No. 33-8341, 34-48853
Nov. 24, 2003	Lawrence M. Barsi Release No. 34-48824, IA-2195 File Number: 3-11342
Nov. 24, 2003	Bruce Follick, Salvatore Tavolacci, Donald Brooks, Karl Donovan,Aaron Sandstrom, and Derek Shapiro Release No. 34-48826 See Also: see corrected version File Number: 3-11343
Nov. 24, 2003	George F. Fahey Release No. 34-48830, IA-2196 File Number: 3-11344
Nov. 20, 2003	Kaufman, Bernstein, Oberman, Tivoli & Miller, LLC, and Howard M. Bernstein Release No. IA-2194 File Number: 3-11341
Nov. 19, 2003	Sherman S. Smith Release No. IA-2193 File Number: 3-11340
Nov. 17, 2003	Lytle E. Foglesong Release No. 34-48792 File Number: 3-11337
Nov. 17, 2003	James H. Malbaff Release No. 34-48793 File Number: 3-11338
Nov. 17, 2003	Thomas Gregory Cook Release No. 34-48794 File Number: 3-11339
Nov. 17, 2003	Morgan Stanley DW Inc. Release No. 33-8339 File Number: 3-11335
Nov. 17, 2003	David P. Melillo Release No. 34-48790 File Number: 3-11336
Nov. 14, 2003	William Slone Release No. 33-8336, 34-48776 File Number: 3-11331
Nov. 14, 2003	Marion Sherrill Release No. 33-8337, 34-48777 File Number: 3-11332
Nov. 13, 2003	Putnam Investment Management, LLC Release No. IA-2192, IC-26255 File Number: 3-11317
Nov. 13, 2003	Gateway, Inc. Release No. 33-8338, AAER-1911 File Number: 3-11333
Nov. 13, 2003	Axeda Systems Inc., Jason C. Liu and Stewart C. Adams Release No. 34-48783, AAER-1913 File Number: 3-11334
Nov. 12, 2003	Rita J. McConville and Kevin M. Harris Release No. 34-48770, AAER-1910
Nov. 6, 2003	Wendell D. Belden Release No. 34-48753, IA-2191 File Number: 3-11213
Nov. 5, 2003	Remmington Advisors, Inc., and Kenneth Randall Ward Release No. IA-2190 File Number: 3-11276
Nov. 5, 2003	Kirkpatrick, Pettis, Smith, Polian Inc., Peter N. Lahti and Gregory D. Adams Release No. 34-48748 File Number: 3-11328
Nov. 4, 2003	Larry R. Crowder and John R. Powell Robert G. Mahony, Administrative Law Judge Release No. 34-48747 File Number: 3-11287
Nov. 3, 2003	Andrew Doney Release No. 34-48739 File Number: 3-11326
Nov. 3, 2003	B. Roland Frasier, III Release No. 34-48741 File Number: 3-11327
Oct. 31, 2003	Henry M. Blodget Release No. 34-48724, IA-2188 File Number: 3-11322
Oct. 31, 2003	Jack Benjamin Grubman Release No. 34-48725, IA-2189 File Number: 3-11323
Oct. 31, 2003	Michael A. Sylver Release No. 34-48732 File Number: 3-11325
Oct. 30, 2003	Brut, LLC Release No. 34-48718 File Number: 3-11320
Oct. 29, 2003	Lisa A. Thiesfield Release No. IA-2186 File Number: 3-11318
Oct. 29, 2003	Paul A. Barrios III And Dennis P. O'Connell, Jr. Release No. 34-48715 File Number: 3-11319
Oct. 28, 2003	Putnam Investment Management, LLC Release No. IA-2185, IC-26232 File Number: 3-11317
Oct. 27, 2003	William A. Wilkerson and The Phoenix Group of Florida, Inc. Release No. 34-48703 File Number: 3-11315
Oct. 27, 2003	The Children's Beverage Group, Inc. Release No. 34-48704 File Number: 3-11185
Oct. 27, 2003	Steven Hanna, Angelo John Bosco, Thomas Fede, Scott Follett, Paul Karkenny, Robert Palumbo, Stephen Palumbo, Raymond Saulon, Brian Scanlon and Joseph Tuozzo Release No. 34-48705 File Number: 3-11316
Oct. 23, 2003	SmallCap Solutions, Inc., Complete Financial and Operations, LLC, Tyler T. Fleming, Research Investment Group, Inc., and Scott H. Wilding Release No. 33-8305 File Number: 3-11307
Oct. 23, 2003	EquityAlert.com, Inc., Innotech Corporation, Bhupinder S. Mann, Harmel S. Rayat,T&G 2 , Inc. and Virilitec Industries, Inc. Release No. 33-8306 File Number: 3-11308
Oct. 23, 2003	OTC Live, Inc. and Mark A. Suleymanov Lillian A. McEwen, Administrative Law Judge Release No. 33-8307 File Number: 3-11309
Oct. 23, 2003	Lorsin, Inc., Loretta M. Lockhart, Craig K. Hjalmarson, Russell Management, Inc., George R. Siembida, Harold Engel, Jr., Microcap Marketing, Inc., and Shane M. Nelson Robert G. Mahony, Administrative Law Judge Release No. 33-8308 File Number: 3-11310
Oct. 23, 2003	Research Capital, LLC, Carl L. Smith, III, Richard Craig Hall, IR Specialists, Inc. andWayne H. Jenkins Release No. 33-8309 File Number: 3-11311
Oct. 23, 2003	First Capital International, Inc., Alexander Genin and Edwin M. Koziol Release No. 33-8310 File Number: 3-11312
Oct. 23, 2003	Energy & Engine Technology Corporation and ProActive Computer Services, Inc. Release No. 33-8311 File Number: 3-11313
Oct. 22, 2003	Anne H. Long, CPA Release No. 34-48679, AAER-1905 File Number: 3-11306
Oct. 22, 2003	Victor Herman, CPA Release No. 34-48682, AAER-1906 File Number: 3-11314
Oct. 20, 2003	Louis B. Lloyd Release No. 34-48661 File Number: 3-11305
Oct. 17, 2003	Peter C. Ferraro and William G. Stayduhar Release No. 34-48654, AAER-1899 File Number: 3-9045
Oct. 17, 2003	Peter C. Ferraro and William G. Stayduhar Release No. 34-48655, AAER-1900 File Number: 3-9045
Oct. 16, 2003	Arabian American Development Company and Hatem El-Khalidi Release No. 34-48638, AAER-1898 File Number: 3-11301
Oct. 16, 2003	Charles G. Dyer Release No. 34-48642, IA-2182 File Number: 3-11302
Oct. 16, 2003	James Patrick Connelly Jr. Release No. 33-8304, 34-48643, IA-2183, IC-26209 File Number: 3-11303
Oct. 16, 2003	Stephen A. White Release No. 34-48645, IA-2184 File Number: 3-11304
Oct. 15, 2003	VantageMed Corporation Release No. 34-48629, AAER-1897 File Number: 3-11298
Oct. 15, 2003	James Mulhearn Release No. 34-48633 File Number: 3-11299
Oct. 15, 2003	Mid-Ohio Securities Corp. Release No. 34-48635 File Number: 3-11300
Oct. 15, 2003	Joseph C. Kane, Jr. Release No. 34-48628 File Number: 3-11297
Oct. 9, 2003	NCI Building Systems, Inc. Release No. 34-48608, AAER-1892
Oct. 8, 2003	J.P. Morgan Securities, Inc. Release No. 33-8301
Oct. 8, 2003	J.P. Morgan Securities, Inc. Release No. 33-8302, 34-48602
Oct. 6, 2003	Adrian Balboa Release No. 34-48593 File Number: 3-11294
Oct. 6, 2003	Jeffrey S. Schneider Release No. 33-8300, 34-48594, AAER-1889 File Number: 3-11295
Oct. 2, 2003	Steven B. Markovitz Release No. 33-8298, 34-48588, IA-2180, IC-26201 File Number: 3-11292
Oct. 2, 2003	Rubin Investment Group, Inc., et al. Release No. 33-8299, 34-48589 File Number: 3-11293
Oct. 1, 2003	Laurence M. Simon, CPA Release No. 34-48580, AAER-1885 File Number: 3-11291
Oct. 1, 2003	Richard Fiedelman, CPA Release No. 34-48578, AAER-1884 File Number: 3-11290
Sept. 30, 2003	The Chicago Stock Exchange Release No. 34-48566 File Number: 3-11282
Sept. 30, 2003	Shane Ferras Release No. 34-48567 File Number: 3-11283
Sept. 30, 2003	Matthew P. Brady Release No. IA-2178 File Number: 3-11286
Sept. 30, 2003	Adam S. Richards Release No. 34-48570, AAER-1880 File Number: 3-11284
Sept. 30, 2003	Scott Miller Release No. 34-48571, AAER-1881 File Number: 3-11285
Sept. 30, 2003	Scott Alexander Gryskiewicz Release No. 34-48427A File Number: 3-11239
Sept. 30, 2003	Larry R. Crowder and John R. Powell Robert G. Mahony, Administrative Law Judge Release No. 34-48572 File Number: 3-11287
Sept. 30, 2003	Rodney L. Hinkle Release No. 34-48574 File Number: 3-11288
Sept. 30, 2003	Timothy McCool Release No. 33-8296, 34-48575, AAER-1882 File Number: 3-11289

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