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. 29, 2004	Kenneth A. Orr Release No. 34-50941 File Number: 3-11650
Dec. 29, 2004	John N. Salerno Release No. 34-50943 File Number: 3-11700
Dec. 28, 2004	Robert J. Cassandro Release No. 34-50938 File Number: 3-11785
Dec. 27, 2004	Dimitrios Kostopoulos Release No. 34-50933 See Also: the Order in this matter File Number: 3-11784
Dec. 27, 2004	Frank D. Edwards, CA Release No. 34-50931, AAER-2156 File Number: 3-11782
Dec. 27, 2004	Laurence D. Cohen (CPA) Release No. 34-50932, AAER-2157 File Number: 3-11783
Dec. 22, 2004	Mark K. Menzel Release No. 33-8519, 34-50908 File Number: 3-11779
Dec. 22, 2004	Mark J. Chavez Release No. 34-50913 File Number: 3-11781
Dec. 22, 2004	Keith M. Roberts Release No. 34-50918, AAER-2155 File Number: 3-11471
Dec. 22, 2004	Edward D. Jones & Co., L.P. Release No. 33-8520, 34-50910 File Number: 3-11780
Dec. 21, 2004	Michael I. Nnebe, Nelson C. Walker, and Hildreth J. Fleming, Jr. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-50899 File Number: 3-11647
Dec. 20, 2004	American Multiplexer Corp., DMT Energy, Inc., JTS Corp., and Webvan Group, Inc. Release No. 34-50881 File Number: 3-11760
Dec. 20, 2004	The Walt Disney Company Release No. 34-50882 File Number: 3-11777
Dec. 20, 2004	Scott Hamilton Release No. 34-50884 File Number: 3-11778
Dec. 20, 2004	American International Group, Inc. Release No. 33-8516, 34-50890
Dec. 20, 2004	American International Group, Inc. Release No. 33-8517, 34-50891
Dec. 17, 2004	American Multiplexer Corp., DMT Energy, Inc., JTS Corp., and Webvan Group, Inc. Release No. 34-50876 File Number: 3-11760
Dec. 17, 2004	Donald L. Knight Release No. 34-50879 File Number: 3-11684
Dec. 17, 2004	Lonnie Dragon Release No. 34-50875 See Also: the Order in this matter , the Order in this matter , Final Order in this matter File Number: 3-11776
Dec. 16, 2004	Knight Securities L.P. Release No. 34-50867 File Number: 3-11771
Dec. 16, 2004	Pennichuck Corporation Release No. 34-50869 File Number: 3-11773
Dec. 16, 2004	Ulysses "Thomas" Ware Carol Fox Foelak, Administrative Law Judge Release No. 34-50873 File Number: 3-11774
Dec. 16, 2004	Bio One Corporation Release No. 33-8515 File Number: 3-11775
Dec. 15, 2004	First Command Financial Planning, Inc. Release No. 33-8513 File Number: 3-11770
Dec. 15, 2004	Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA Release No. 34-50861, AAER-2151 File Number: 3-11377
Dec. 13, 2004	Franklin Advisers, Inc. and Franklin / Templeton Distributors, Inc. Release No. 34-50841A, IA-2337A, IC-26692A
Dec. 13, 2004	Franklin Advisers, Inc. and Franklin / Templeton Distributors, Inc. Release No. 34-50841, IA-2337, IC-26692 File Number: 3-11769
Dec. 13, 2004	Michael Carnicle Release No. 34-50842 File Number: 3-11682
Dec. 10, 2004	David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi, and David Weeks Release No. 34-50835 File Number: 3-11632
Dec. 9, 2004	Marshall S. Klein Release No. 34-50824 File Number: 3-11688
Dec. 9, 2004	Koji Goto Release No. 34-50825, IA-2336 See Also: the Order in this matter File Number: 3-11768
Dec. 9, 2004	Graham Andrews Release No. 34-50826 File Number: 3-11596
Dec. 7, 2004	Fidelity National Capital Investors, Inc. Release No. 34-50801 File Number: 3-11514
Dec. 7, 2004	Emanuele Cardaci Release No. 34-50802 File Number: 3-11637
Dec. 7, 2004	Thomas H. Keesee Release No. 34-50803 File Number: 3-11766
Dec. 7, 2004	Michael A. Lomas and Michael L. Young Release No. 34-50804 File Number: 3-11710
Dec. 7, 2004	Agra-Tech, Incorporated, Consolidated Oil & Gas, Inc., Kilimanjaro Group.Com Inc., New Hampshire Industrials, Inc., Oyster Creek Group Inc., Savannah River Group, Inc., 2ksounds Corporation, Xunantunich, Inc. Lillian A. McEwen, Administrative Law Judge Release No. 34-50805 File Number: 3-11690
Dec. 7, 2004	Marc Freeman Release No. 33-8509, 34-50815 File Number: 3-11767
Dec. 7, 2004	Steven Ingrassia and Slava Volman Release No. 33-8510, 34-50816
Dec. 6, 2004	Daniel E. Charboneau Carol Fox Foelak, Administrative Law Judge Release No. 34-50798 See Also: the Order in this matter File Number: 3-11765
Dec. 3, 2004	Vladislav Steven Zubkis Lillian A. McEwen, Administrative Law Judge Release No. 34-50793 File Number: 3-11625
Dec. 2, 2004	Ari Dinov and Eli Dinov Release No. 34-50782 File Number: 3-11763
Dec. 2, 2004	Thomas L. Taylor Release No. 34-50783, AAER-2148 File Number: 3-11764
Dec. 1, 2004	Bluestar Enterprises, Inc. Release No. 34-50767 File Number: 3-11755
Dec. 1, 2004	Bigmar, Inc. Release No. 34-50768 File Number: 3-11756
Dec. 1, 2004	Learncom, Inc. Release No. 34-50769 File Number: 3-11757
Dec. 1, 2004	Winstar Communications, Inc. Release No. 34-50770 File Number: 3-11758
Dec. 1, 2004	Abacan Resources Corp., Heroes, Inc., American Multiplexer Corp., DMT Energy, Inc., JTS Corp., Webvan Group, Inc., Asset Equity Group, Inc., Household Direct, Inc., International Brands, Inc., Interspace Enterprises, Inc., JSJ Capital II, Inc., Mega Micro Technologies Group, Inc., S D E Holdings 2, Inc., Vertical Computer Systems, Inc. and VSAT Net, Inc. Release No. 34-50771 See Also: File No. 3-11759 , File No. 3-11760 , File No. 3-11761 File Number: 3-11759
Dec. 1, 2004	21st Century Wireless Group, Inc. Release No. 34-50761 File Number: 3-11749
Dec. 1, 2004	Marchfirst, Inc. Release No. 34-50762 File Number: 3-11750
Dec. 1, 2004	Healthwatch, Inc. Release No. 34-50763 File Number: 3-11751
Dec. 1, 2004	Directshoes.Com, Inc. Release No. 34-50764 File Number: 3-11752
Dec. 1, 2004	Centura Software Corp. Release No. 34-50765 File Number: 3-11753
Dec. 1, 2004	Biogan International, Inc. Release No. 34-50766 File Number: 3-11754
Dec. 1, 2004	Schield Management Company and Marshall L. Schield Brenda P. Murray, Chief Administrative Law Judge Release No. 34-50772, IA-2331 See Also: the Order in this matter File Number: 3-11762
Nov. 30, 2004	Joseph L. Lents Carol Fox Foelak, Administrative Law Judge Release No. 34-50750 File Number: 3-11693
Nov. 30, 2004	Joseph L. Lents Carol Fox Foelak, Administrative Law Judge Release No. 34-50757 File Number: 3-11693
Nov. 29, 2004	Bruce D. Oakes Release No. 34-50743, AAER-2142 File Number: 3-11746
Nov. 29, 2004	Charles A. Dairaghi, C.P.A. Release No. 34-50744, AAER-2143 File Number: 3-11747
Nov. 29, 2004	Kenneth L. Rubin, CPA and Michael W. Lewis, CPA Robert G. Mahony, Administrative Law Judge Release No. 34-50745, AAER-2144 See Also: the Order in this matter File Number: 3-11748
Nov. 26, 2004	Matter of Steven Bocchino and Sharon Harosh Release No. 34-50739 File Number: 3-11628
Nov. 24, 2004	Michael I. Nnebe, Nelson C. Walker, and Hildreth J. Fleming, Jr. Brenda P. Murray, Chief Administrative Law Judge Release No. 34-50738 File Number: 3-11647
Nov. 23, 2004	John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A. Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'investissement S.A., and Spencer Edwards, Inc. James T. Kelly, Administrative Law Judge Release No. 33-8508, 34-50721 File Number: 3-11626
Nov. 22, 2004	Soulfood Concepts, Inc. Release No. 34-50711 File Number: 3-11703
Nov. 22, 2004	Frederick J. Gilliland Release No. 34-50720 See Also: the Order in this matter File Number: 3-11745
Nov. 19, 2004	Robotic Vision Systems, Inc. Release No. 34-50704, AAER-2137 File Number: 3-11741
Nov. 19, 2004	Gary Moe and ID Integration Release No. 34-50705, AAER-2138 File Number: 3-11742
Nov. 19, 2004	eFunds Corporation Release No. 34-50706, AAER-2139 File Number: 3-11743
Nov. 19, 2004	Jerry K. Lester Release No. 34-50707, AAER-2140 File Number: 3-11744
Nov. 19, 2004	Barry J. Goodman Release No. IA-2330 File Number: 3-11708
Nov. 18, 2004	Anthony Gianninoto and Eileen Laine Release No. 34-50697 File Number: 3-11660
Nov. 18, 2004	David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi, and David Weeks Release No. 34-50701 File Number: 3-11632
Nov. 18, 2004	Anthony Gianninoto and Eileen Laine Release No. 34-50696 File Number: 3-11660
Nov. 17, 2004	Gary L. Pilgrim Release No. 33-8505, 34-50680 File Number: 3-11739
Nov. 17, 2004	Harold J. Baxter Release No. 33-8506, 34-50681 File Number: 3-11740
Nov. 16, 2004	Michael John Hanchar Release No. 34-50675, IA-2327 File Number: 3-11738
Nov. 15, 2004	Marlon D. Tropeano Release No. 34-50660 File Number: 3-11624
Nov. 15, 2004	Frederick Tropeano Release No. 34-50661 File Number: 3-11633
Nov. 15, 2004	Fischer Imaging Corporation Release No. 33-8503, 34-50663, AAER-2134 File Number: 3-11736
Nov. 15, 2004	Wesley H. Colwell, CPA, Release No. 34-50664, AAER-2135 File Number: 3-11737
Nov. 10, 2004	Kenneth B. MacQueen Release No. IA-2326 File Number: 3-11681
Nov. 10, 2004	Steven Woghin, Esq. Release No. 34-50653, AAER-2133 File Number: 3-11735
Nov. 9, 2004	Adam G. Kruger Release No. IA-2323 File Number: 3-11664
Nov. 9, 2004	Bruce H. Barbers and Craig H. Colwell Release No. 34-50648 File Number: 3-11549
Nov. 9, 2004	William H. Black Release No. 34-50650, IA-2324 See Also: the Order in this matter File Number: 3-11734
Nov. 8, 2004	Carlos H. Soto Release No. 34-50646 File Number: 3-11732
Nov. 5, 2004	David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi, and David Weeks Release No. 34-50638 File Number: 3-11632
Nov. 5, 2004	Neal R. Wadhwa Release No. 34-50644, IA-2322 File Number: 3-11730
Nov. 4, 2004	Morgan Stanley Release No. 34-50632, AAER-2132 File Number: 3-11725
Nov. 4, 2004	Fremont Investment Advisors, Inc. Release No. IA-2317, IC-26650 File Number: 3-11726
Nov. 4, 2004	Matter of Steven Bocchino and Sharon Harosh Release No. 34-50631 File Number: 3-11628
Nov. 4, 2004	John D. Barry, Thomas P. Daniels, John M. Irwin, and Mark P. Miszkiewicz Release No. IA-2320 File Number: 3-11729
Nov. 4, 2004	Nancy C. Tengler Release No. IA-2318, IC-26651 File Number: 3-11727
Nov. 4, 2004	Larry Adams Release No. IA-2319, IC-26652 See Also: the Order in this matter File Number: 3-11728
Nov. 3, 2004	Harold F. Harris and Ronald E. Crews Lillian A. McEwen, Administrative Law Judge Release No. 34-50623 File Number: 3-11573
Oct. 29, 2004	Fanam Capital Management, Richard J. Ennis, and Seth Morgulas Release No. IA-2316 File Number: 3-11723
Oct. 29, 2004	Salvatore Piazza, et al. Robert G. Mahony, Administrative Law Judge Release No. 33-8500, 34-50609 File Number: 3-10229
Oct. 29, 2004	Neurotech Development Corporation James T. Kelly, Administrative Law Judge Release No. 34-50612 See Also: the Order in this matter File Number: 3-11724
Oct. 27, 2004	David Kaplan, CPA Release No. 34-50597, AAER-2129 File Number: 3-11721
Oct. 27, 2004	David Rivard, CPA Release No. 34-50598, AAER-2130 File Number: 3-11722

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