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Commission Opinions & Orders Archive 1996

This list below provides links to opinions and orders issued by the Commission on appeal of Initial ALJ Decisions or disciplinary decisions issued by self-regulatory organizations (such as the NYSE or NASD).

Additional Archives

Release No. Date Respondents
34-38076 Dec. 23, 1996 McLaughlin Piven Vogel Securities, Inc.
34-38029 Dec. 9, 1996 Bradford John Titus and Marcie Anne Milner
34-37991 Nov. 26, 1996 Henry James Fargalli, Jr.
34-37990 Nov. 26, 1996 New Allied Development Corporation
34-37952 Nov. 15, 1996 William S. Mentis
34-37955 Nov. 15, 1996 William Jackson Blalock
34-37954 Nov. 15, 1996 Ashvin R. Shah
34-37953 Nov. 15, 1996 Robert J. Sayegh
34-37919A Nov. 6, 1996 Prairie Pacific Energy Corporation
34-37910 Oct. 31, 1996 Leonard John Ialeggio
34-37895 Oct. 30, 1996 Robert A. Grunberg
34-37866 Oct. 25, 1996 Tiger Options
34-37867 Oct. 25, 1996 Barry C. Wilson
34-37865 Oct. 25, 1996 Micah C. Douglas
34-37849 Oct. 22, 1996 Richard J. Puccio
34-37835 Oct. 17, 1996 Larry Ira Klein
34-37795 Oct. 8, 1997 Robert I. Moses
34-37601 Aug. 26, 1996 Escalator Securities, Inc.,and Howard A. Scala
34-37600 Aug. 26, 1996 Everest Securities, Inc. and Jeanne Alyce Kunkel
See also:  Court of Appeals Opinion
34-37613 Aug. 28, 1996 David Post
34-37611 Aug. 27, 1996 Creative Medical Development, Inc.
34-37572 Aug. 14, 1996 Toney L. Reed
34-37559 Aug. 13, 1996 Domestic Securities, Inc.
34-37503 Jul. 31, 1996 Michael H. Novick
34-37463 Jul. 22, 1996 James Alan Schneider
34-37409 Jul. 8 1996 Charles E. French
34-37351 Jun. 24, 1996 Ralph Joseph Presutti
34-37305 Jun. 12, 1996 Herbert J. Burns
3437259 May 30, 1996 First Jersey Securities, Inc. and Robert E. Brennan
34-37218 May 14, 1996 Peter C. Bucchieri
34-37217 May 14, 1996 John G. Pearce
34-37170 May 8, 1996 Brian L. Gibbons
34-37156 May 1, 1996 Jay Houston Meadows
See also:  Court of Appeals Opinion
34-37092 Apr. 10, 1996 Mayer A. Amsel
34-37091 Apr. 10, 1996 Jonathan Feins
34-37075 Apr. 5, 1996 Eli Boggs Combs
Admin. Proc. File No. 3-8654
34-37074 Apr. 5, 1996 Ronald H. V. Justiss
Admin. Proc. File No. 3-8697
34-37073 Apr. 5, 1996 Gunther International Ltd.
Admin. Proc. File No. 3-8792
34-37072 Apr. 5, 1996 Charles E. Kautz
Admin. Proc. File No. 3-8768
34-37071 Apr. 5, 1996 Morton Kantrowitz
Admin. Proc. File No. 3-8775
34-37070 Apr. 5, 1996 Rosario R. Ruggiero
Admin. Proc. File No. 3-8751
34-37069 Apr. 5, 1996 DHB Capital Group, Inc.
Admin. Proc. File No. 3-8676

 

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch1996.shtml

Modified: 10/16/2014