Administrative Proceeding File No. 3-16354

Respondents

Havanich, David B., Jr. DellaSala, Carmine A. Welch, Matthew D. Scurlock, Richard Hampton, III RTG Inc. d/b/a Retirement Tax Advisory Group Carrio, Jose F. Karasik, Dennis K. Carrio Karasik & Associates, LLP Salovay, Michael J.
Release Date Release Number Other Release Numbers Name of Document
935 Initial Decision as to Richard Hampton Scurlock, III, and Rtag Inc.
937 Initial Decision as to Michael J. Salovay
936 Initial Decision as to Jose F. Carrio, Dennis K. Karasik, and Carrio, Karasik & Associates, LLP
AP-3119 Prehearing Order as to Michael J. Salovay
AP-3107 Order
34-75810 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Ordering Continuation of Proceedings Against Michael J. Salovay
34-75538 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Ordering Continuation of Proceedings Against Carrio, Karasik & Associates, LLP
34-75537 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Ordering Continuation of Proceedings Against Jose F. Carrio
34-75539
  • IA-4147
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, and Ordering Continuation of Proceedings Against Dennis K. Karasik
AP-2861 Order
AP-2838 Order
AP-2740 Order
33-9792
  • 34-75044
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Against Carmine A. Dellasala Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934
33-9791
  • 34-75043
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Against David B. Havanich, Jr. Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934
33-9793
  • 34-75045
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Against Matthew D. Welch Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934
AP-2705 Order
AP-2709 Stay Order
AP-2632 Order
AP-2506 Order
AP-2470 Stay Order as to Three Respondents
AP-2424 Order
AP-2347 Postponement Order
AP-2315 Order
AP-2260 Order Scheduling Hearing and Designating Presiding Judge
33-9708
  • 34-74120
  • IA-4005
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and (f) of the Investment Advisers Act of 1940
Release Date Release Number Other Release Numbers Name of Document
Division of Enforcement's Notice That Documents Are Available for Inspection and Copying
Division of Enforcement's Motion to Convert Hearing to Telephonic Prehearing Conference
Division of Enforcement's Status Report
Respondents Scurlock and RTAG Inc.'s Answer
Joint Motion of Division and Respondents Havanich, DellaSala and Matthew Welch to Stay Proceeding Pending Commission's Consideration of Settlement Offer
Answer of Respondent Jose F. Carrie to Order Instituting Administrative and Cease-and-Desist Proceedings
Answer of Respondent Dennis K. Karasik to Order Instituting Administrative and Cease-and-Desist Proceedings
Answer of Respondent Carrie, Karasik & Associates LLP to Order Instituting Administrative and Cease-and-Desist Proceedings
Division of Enforcement's Motion for Partial Summary Disposition Against Respondents Richard Hampton Schurlock, II and Rtag Inc.
Division of Enforcement's Motion for Partial Summary Disposition Against Respondent Michael Salovay
Division of Enforcement's Notice of Nature of Respondents' Settlement Offer
Response in Opposition of the Division of Enforcement's Motion for Partial Summary Disposition
Division of Enforcement's Reply in Support of Its Motion for Partial Summary Disposition Against Respondent Michael Salovay
Division of Enforcement's Reply in Support of Its Motion for Partial Summary Disposition Against Respondents Richard Hampton Scurlock, III and RTAG, Inc.
Division of Enforcement's Prehearing Brief with Respect to Respondents Richard Hampton Scurlock, III and RTAG, Inc.
Division of Enforcement's Prehearing Brief with Respect to Respondent Michael J. Salovay
Respondents Richard H. Scurlock, III, ancl RTAG Inc's Prehearing Memorandum
Division of Enforcement's Motion for Partial Summary Disposition Against Respondents Jose F. Carrio, Dennis S. Karasik and Carrio, Karasik & Associates, LLP
Division of Enforcement's Proposed Initial Post-Hearing Brief and Proposed Findings of Fact and Conclusions of Law
Respondents Richard H. Scurlock, III and RTAG, Inc.'s Proposed Findings of Fact and Conclusions of Law
Division of Enforcement's Post Hearing Reply Brief ISO Its Proposed Findings of Fact and Conclusions of Law
Division of Enforcement's Motion for Summary Disposition Against Respondent Salovay on Issues of Disgorgement, Prejudgment Interest, and Civil Penalties
Division of Enforcement's Reply in Support of Its Motion for Summary Disposition Against Respondent Salovay On Issues of Disgorgement, Prejudgment Interest, and Civil Penalties
Initial Decision as to Michael J. Salovay
Initial Decision as to Jose F. Carrio, Dennis K. Karasik, and Carrio, Karasik & Associates, LLP
Initial Decision as to Richard Hampton Scurlock, III, and Rtag Inc.
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Ordering Continuation of Proceedings Against Michael J. Salovay
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, and Ordering Continuation of Proceedings Against Dennis K. Karasik
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Ordering Continuation of Proceedings Against Carrio, Karasik & Associates, LLP
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Ordering Continuation of Proceedings Against Jose F. Carrio
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Against Matthew D. Welch Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Against Carmine A. Dellasala Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Against David B. Havanich, Jr. Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and (f) of the Investment Advisers Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order
Postponement Order
Order
Stay Order as to Three Respondents
Order
Order
Stay Order
Order
Order
Order
Order
Order
Prehearing Order as to Michael J. Salovay

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