Administrative Proceedings

Between January 31, 2026, and February 3, 2026, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying certain administrative proceedings. On February 4, 2026, 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
Aug. 19, 1999	Peachtree Partners Release No. 34-41760 File Number: 3-9981
Aug. 19, 1999	Michael P. Traba Release No. 34-41761, 33-7727 File Number: 3-9788
Aug. 19, 1999	Scott A. Rude Release No. 34-41764 File Number: 10b-5
Aug. 18, 1999	Welco Securities, Inc., William S. Shapiro, and Kenneth S. Shapiro Release No. 34-41753 File Number: 3-9977
Aug. 18, 1999	John J. McGarry Release No. 34-41754, 33-7726 File Number: 3-9978
Aug. 18, 1999	Christian R. Higgins, Charles L. Powell, James P. Gallaher, Dale J. Engelhardt, and Trey L. Friedmann Release No. 34-41756 File Number: 3-9979
Aug. 17, 1999	Raymond R. Kripaitis Release No. 34-41749 File Number: 3-9974
Aug. 17, 1999	Steven Gale Trapp Release No. 34-41750 File Number: 3-9975
Aug. 17, 1999	Inamed Corporation Release No. 34-41751 File Number: 3-9976
Aug. 16, 1999	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. 34-41744 File Number: 3-9201
Aug. 16, 1999	Meda Belle McKinney Release No. 34-41745 File Number: 3-9711
Aug. 13, 1999	Michael William Ribant Release No. 34-41741 File Number: 3-9972
Aug. 13, 1999	Craig Freeman, William Lashbrook, and Robert Sewell Release No. 34-41739 File Number: 3-9869
Aug. 13, 1999	Ronald Obsgarten Release No. 34-41740 File Number: 3-9971
Aug. 12, 1999	Jeffrey Feld Release No. 34-41734 File Number: 3-9970
Aug. 12, 1999	Bing Sung Release No. IA-1814 File Number: 3-9968
Aug. 11, 1999	Americorp Securities, Inc. and Drew Edgar Schaefer Release No. 33-7722 File Number: 3-9367
Aug. 11, 1999	Owen D. Taranta, CPA Release No. 34-41729 File Number: 3-9969
Aug. 10, 1999	Michael J. Marrie, CPA and Brian L. Berry, CPA James T. Kelly, Administrative Law Judge Release No. 34-41720 File Number: 3-9966
Aug. 6, 1999	Bell Capital Management, Inc., Ronnie H. Bell, Thomas C. Comsudes, and Mark S. Palmer Release No. IA-1813 File Number: 3-9755
Aug. 6, 1999	Laurie Jones Canady; Glenn Robert Lawrence, Administrative Law Judge Release No. 34-41713 File Number: 3-8531
Aug. 5, 1999	Jennifer D'Antoni Release No. 34-41710 File Number: 3-9965
Aug. 5, 1999	Bear, Stearns Securities Corporation Release No. 34-41707, 33-7718 File Number: 3-9962
Aug. 5, 1999	Richard Harriton Release No. 34-41708, 33-7719 File Number: 3-9963
Aug. 3, 1999	DeWayne R. VonFeldt Release No. 34-41697 File Number: 3-9961
Aug. 3, 1999	Jon Mark Stewart Release No. 34-41696 File Number: 3-9665
Aug. 2, 1999	Energy Equities Inc. and David G. Snow Release No. IA-1811 File Number: 3-9953
Aug. 2, 1999	Fastlane Footwear, Inc. and John H. Lefere Release No. 33-7710 File Number: 3-9950
Aug. 2, 1999	Steven J. Cook Release No. 34-41679, 33-7708 File Number: 3-9944
Aug. 2, 1999	Gerald R. Hinshaw Release No. 34-41680 File Number: 3-9945
Aug. 2, 1999	American Telephone + Data, Inc. Release No. 34-41681 File Number: 3-9946
Aug. 2, 1999	Michael R. Reilly Release No. 34-41685 File Number: 3-9947
Aug. 2, 1999	John J. Kenna Release No. 34-41686 File Number: 3-9948
Aug. 2, 1999	National Stock Transfer, Inc., Krista Castleton Nielsen, and Roger Lee Greer Release No. 34-41687, 33-7709 File Number: 3-9949
Aug. 2, 1999	Dynamic American Corporation Release No. 34-41688 File Number: 3-9951
Aug. 2, 1999	Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks James T. Kelly, Administrative Law Judge Release No. 34-41689, 33-7711 File Number: 3-9952
Aug. 2, 1999	Richmark Capital Corporation and Doyle Mark White Robert G. Mahony, Administrative Law Judge Release No. 34-41690, 33-7712 File Number: 3-9954
Aug. 2, 1999	G. Bradley Taylor Lillian A. McEwen, Administrative Law Judge Release No. 34-41691, 33-7713 File Number: 3-9955
Aug. 2, 1999	Jeffery W. Berns Release No. 34-41692, 33-7714 File Number: 3-9956
Aug. 2, 1999	Nicholas Catalano Release No. 34-41693, 33-7715 File Number: 3-9957
Aug. 2, 1999	Morton B. Lempel Release No. 34-41694, 33-7716 File Number: 3-9958
Aug. 2, 1999	Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, Matthew R. Jennings, Philip S. Brandon, and Jai Chaudhuri Carol Fox Foelak, Administrative Law Judge Release No. 34-41695, 33-7717 File Number: 3-9959
July 30, 1999	Richard I. Brewer, CPA Release No. 34-41676 File Number: 3-9943
July 28, 1999	Micro Warehouse, Inc. Release No. 34-41665 File Number: 3-9940
July 28, 1999	Great White Marine & Recreation, Inc. Release No. 34-41667 File Number: 3-9942
July 27, 1999	Hartley T. Bernstein Release No. 34-41656 File Number: 3-9939
July 26, 1999	Bobby L. Rodgers Release No. 33-7705 File Number: 3-9896
July 26, 1999	Bobby L. Rodgers Release No. 33-7706 File Number: 3-9896
July 22, 1999	Sean P. Brennan and Keith E. Walsh Release No. 34-41639, 33-7704, IA-1810 File Number: 3-9716
July 21, 1999	Theodore Sotirakis Release No. 33-7701 File Number: 3-9935
July 21, 1999	WowAuction.com Inc. and Steven Michael Gaddis, Sr. Release No. 33-7702 File Number: 3-9936
July 21, 1999	Joe Loofbourrow Release No. 34-41631, 33-7700 File Number: 3-9934
July 21, 1999	Web Works Marketing.com, Inc. and Trace D. Cornell Release No. 34-41632, 33-7703 File Number: 3-9937
July 13, 1999	Peter W. Zent and Michael A. Cornblum Release No. 34-41616
July 7, 1999	Gary J. Pierce and C.S.I. Ag. Release No. 33-7697 File Number: 3-9892
July 7, 1999	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. 34-41601 File Number: 3-9933
July 1, 1999	City of Anaheim, City of Irvine, Irvine Unified School District, North Orange County Community College District, and Orange County Board Of Education Release No. 33-7696 File Number: 3-9739
July 1, 1999	James T. Staples Release No. 34-41587 File Number: 3-9931
June 30, 1999	W.R. Grace & Co.; Release No. 34-41578 File Number: 3-9926
June 30, 1999	H.J. Meyers & Co., Inc. and Tobin J. Senefeld Release No. 33-7694, 34-41579 File Number: 3-9754
June 30, 1999	Eugene F. Gaughan, C.P.A. Release No. 34-41580 File Number: 3-9927
June 30, 1999	Thomas J. Scanlon, C.P.A. Release No. 34-41581 File Number: 3-9928
June 30, 1999	Dougherty Summit Securities LLC, Successor to Dougherty Dawkins, Inc., Thomas M. Strand, Ralph L. Mcginley, and Daniel G. Eitrheim Release No. 34-41584 File Number: 3-9929
June 30, 1999	Joseph B. Septimus and Suzanne Pelosi Release No. 33-7695, 34-41585
June 29, 1999	New York Stock Exchange, Inc. Release No. 34-41574 File Number: 3-9925
June 28, 1999	MPI Investment Management, David Pequet and Ashok Shende Release No. IA-1807 File Number: 3-9922
June 28, 1999	LT Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato Release No. 33-7692, 34-41565
June 28, 1999	Thomas J. Dalton Release No. 33-7693, 34-41566 File Number: 3-9924
June 25, 1999	Gerard Burns Release No. 34-41559 File Number: 3-9853
June 24, 1999	Medisys Technologies, Inc. Release No. 34-41554 File Number: 3-9920
June 18, 1999	Certain market making activities on NASDAQ Release No. 34-41537 File Number: 3-9803
June 10, 1999	British Biotech PLC, Keith McCullagh, Peter Lewis and James Noble Release No. 34-41505 File Number: 3-9915
June 10, 1999	Boston Investment Counsel, Inc. and Robert E. Campanella Release No. IA-1801 File Number: 3-9916
June 7, 1999	Greenway Capital Corporation and Joseph M. Guccione Release No. 34-41484 File Number: 3-9014
June 7, 1999	Raul N. Rodriguez Release No. 34-41485 File Number: 3-9080
May 27, 1999	Jerome Edward Stockdale Release No. 34-41458 File Number: 3-9914
May 25, 1999	Derrick P. Dumont Release No. 34-41447 File Number: 3-9912
May 25, 1999	H. Michael Richardson Release No. 34-41448 File Number: 3-9913
May 25, 1999	Michael D. Young Release No. 33-7688 File Number: 3-9911
May 25, 1999	Michael A. Perozzi Release No. 33-7687 File Number: 3-9910
May 25, 1999	MGSI Securities, Inc., Bradford A. Orosey, Larry J. Bagwell, Connie L. Bally, Joseph O. Fallin, and James W. Ogg; William J. Cowan, Administrative Law Judge Release No. 33-7686 File Number: 3-9702
May 25, 1999	William A. Fain, Jr. Release No. 34-41443 File Number: 3-9909
May 21, 1999	Asif Ameen and Bruce W. Bertsch Release No. 34-41433 File Number: 3-9906
May 21, 1999	Fred F. Liebau, Jr. Release No. 34-41434 File Number: 3-9907
May 20, 1999	Herbert Moskowitz; Carol Fox Foelak, Administrative Law Judge Release No. 34-41429 File Number: 3-9435
May 20, 1999	William E. Willoughby Release No. 34-41428 File Number: 3-9905
May 19, 1999	Moore Stephens, P.C., Linda F. O'Donnell, CPA, and Angelo J. Coppolino, CPA Release No. 34-41425 File Number: 3-9903
May 19, 1999	Dennis M. Gaito, CPA Release No. 34-41426 File Number: 3-9904
May 19, 1999	Charles E. Falk, CPA Release No. 34-41424 File Number: 3-9902
May 18, 1999	John F. Walsh, III Release No. 34-41416 File Number: 3-9900
May 18, 1999	Datek Online Brokerage Services Corp. and Moishe Zelcer Release No. 34-41417 File Number: 3-9901
May 17, 1999	Insignia Solutions PLC Release No. 34-41409 File Number: 3-9899
May 14, 1999	Gilbert A. Zwetsch Release No. 34-41405 File Number: 3-9898
May 13, 1999	Robert G. Bettiga Release No. 33-7682 File Number: 3-9648
May 13, 1999	Dominion Capital Corporation, Douglas Woodrow Powell, Charles Dewey Elliott, and William Carl Berry Release No. 33-7683 File Number: 3-9369
May 11, 1999	Gary J. Pierce and C.S.I. Ag. Release No. 33-7676 File Number: 3-9892
May 11, 1999	Derrick C. Johnson Release No. 33-7677 File Number: 3-9893
May 11, 1999	David V. Francis, II Release No. 33-7679 File Number: 3-9895
May 11, 1999	Bobby L. Rodgers Release No. 33-7680 File Number: 3-9896
May 11, 1999	Lawrence M. Artz, Neurotech Corp., Enhance Resources, Inc. and Bruce W. Lynch Release No. 33-7681 File Number: 3-9897

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