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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).
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1996
| 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
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