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.

E-mail Updates

To sign up for updates, please enter your e-mail address below.

Administrative Proceedings RSS Feed


Date Sort descending	Respondents
Feb. 24, 1997	Vincent Poliseno Release No. 34-38327 File Number: 3-9256
Feb. 24, 1997	Norman Gelman Release No. 34-38325 File Number: 3-9255
Feb. 21, 1997	M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, III, Alex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III; Lillian A. McEwen, Administrative Law Judge Release No. 33-7395 File Number: 3-8772
Feb. 20, 1997	Philip Greifeld Release No. 34-38316 File Number: 3-9135
Feb. 18, 1997	Alan D. Rosskamm Release No. 33-7389 File Number: 3-9248
Feb. 18, 1997	Milton Weinger Release No. 34-38300 File Number: 3-9250
Feb. 18, 1997	William D. Kyle Release No. 34-38297 File Number: 3-9247
Feb. 18, 1997	Linda A. Hodge Release No. 34-38301 File Number: 3-9251
Feb. 18, 1997	Kent A. Ahrens Release No. IA-1615 File Number: 3-9249
Feb. 11, 1997	Howard F. Rubin Release No. 34-38264 File Number: 3-9245
Feb. 11, 1997	Marsh Block & Co., Inc., Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller Release No. 34-38263
Feb. 10, 1997	Twenty First Century Health, Inc. Release No. 34-38260
Feb. 10, 1997	Oakwood Counselors, Inc. and Paul J. Sherman Release No. IA-1614 File Number: 3-9243
Feb. 7, 1997	Lyle Moss Release No. 34-38258 File Number: 3-9242
Feb. 6, 1997	Daniel C. Langford, Daniel C. Langford, Jr., Stephanus A. de Kockand and Peter P. Irby Release No. 34-38249 File Number: 3-9238
Feb. 6, 1997	Harry T. Couch Release No. 34-38250 File Number: 3-9239
Feb. 6, 1997	William T. Manak Release No. 33-7387 File Number: 3-9240
Feb. 5, 1997	Frederick R. Grant Release No. 34-38239 File Number: 3-9236
Feb. 3, 1997	Jerry Silva Release No. 34-38228 File Number: 3-9234
Feb. 3, 1997	James Zimmerman and Old Naples Securities, Inc. Release No. 34-38227 File Number: 3-9233
Jan. 31, 1997	Benjamin Franklin Bush, III and Ben Bush Investment Management, Inc. Release No. IA-1612 File Number: 3-9232
Jan. 30, 1997	Jon Edelman Release No. 34-38220 File Number: 3-8950
Jan. 30, 1997	David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge Release No. 33-7385 File Number: 3-8955
Jan. 29, 1997	David Keery Release No. 34-38217 File Number: 3-9231
Jan. 28, 1997	Halsey Drug Company, Inc. Release No. 34-38210 File Number: 3-9230
Jan. 24, 1997	Ronald M. Zook Release No. IA-1611 File Number: 3-9059
Jan. 23, 1997	Cecil H. Suter Release No. IA-1610 File Number: 3-9228
Jan. 22, 1997	Cortland First Financial Corporation, Donald S. Ames, andFrederick G. Compagni, Sr. Release No. 34-38192 File Number: 3-9227
Jan. 21, 1997	Norman L. Yu & Co., Inc., and Norman L. Yu Release No. IA-1607 File Number: 3-9226
Jan. 16, 1997	Robert Albert Merrifield Release No. 34-38177 File Number: 3-9225
Jan. 16, 1997	Brian J. McCahery Release No. 34-38176
Jan. 16, 1997	Bernard Zelenka Release No. 34-38178 File Number: 3-9130
Jan. 15, 1997	Royal Alliance Associates, Inc. Release No. 34-38174 File Number: 3-9223
Jan. 15, 1997	GKN Securities Corp. and Robert H. Gladstone Release No. 34-38173 File Number: 3-9222
Jan. 15, 1997	Mark Anthony and Michelle Suppes Release No. 34-38171 File Number: 3-9220
Jan. 15, 1997	Suppes Securities, Inc. Release No. 33-7381 File Number: 3-9221
Jan. 13, 1997	Michael Coxon, Alan Michael Sergy, World Money Managersand World Money Securities, Inc. Release No. 33-7379
Jan. 13, 1997	Ronald V. Speaker and Janus Capital Corporation Release No. C-22461 File Number: 3-9219
Jan. 10, 1997	National Financial Services Corporation Release No. 34-38150 File Number: 3-9217
Jan. 8, 1997	David P. Schwartz Release No. 34-38135 File Number: 3-9216
Jan. 8, 1997	Carolyn Safer Kenner Release No. 33-7378 File Number: 3-9110
Jan. 8, 1997	Peter C. Tosto Release No. 34-38136 File Number: 3-9178
Jan. 8, 1997	Republic International Corporation Release No. 34-38137 File Number: 3-9112
Jan. 6, 1997	Matthew E. Klenovic Release No. 34-38121 File Number: 3-9213
Jan. 6, 1997	R. E. Anderson Cain Release No. 34-38122 File Number: 3-9214
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	Gruntal & Co., Inc. and Gruntal Financial Corp. Release No. 33-7360 File Number: 3-8984
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. 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	Nir Kantor Release No. 34-37834 File Number: 3-9170
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. 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

Rules & Regulations

Enforcement & Litigation

Compliance

Administrative Proceedings

E-mail Updates

More in this Section

Administrative Proceedings

E-mail Updates