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Commission Opinions & Orders Archive 1998
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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| Release No. |
Date |
Respondents |
| 34-40768 |
Dec. 10, 1998 |
Kenneth C. Krull |
| 34-40738 |
Dec. 2, 1998 |
Lance E. Van Alstyne |
| 34-40727 |
Nov. 30, 1998 |
Sharon M. Graham and Stephen C. Voss
See also: Court of Appeals Opinion |
| 34-40726 |
Nov. 30, 1998 |
Adrian C. Havill |
| 34-40719 |
Nov. 30, 1998 |
Richard D. Chema |
| 34-40690 |
Nov. 19, 1998 |
Russell A. Simpson |
| IA-1774 |
Nov. 18, 1998 |
Valicenti Advisory Services, Inc., Vincent R. Valicenti Investment |
| 34-40673 |
Nov. 12, 1998 |
William J. Haberman
See also: Court of Appeals Opinion |
| 34-40672 |
Nov. 12, 1998 |
Stephen B. Carlson |
| 34-40671 |
Nov. 12, 1998 |
Richard T. Sullivan |
| 34-40663 |
Nov. 12, 1998 |
Shamrock Partners, Ltd. |
| 34-40654 |
Nov. 10, 1998 |
Robert L. Wallace |
| 34-40648 |
Nov. 9, 1998 |
Rocky Mountain Power Company |
| 34-40647 |
Nov. 9, 1998 |
James S. Pritula |
| 34-40646 |
Nov. 9, 1998 |
Scattered Corporation and Leon Aaron Greenblatt, III, Andrew Alvin Jahelka, Richard Owen Nichols, and Laura Bryant |
| 34-40639 |
Nov. 4, 1998 |
William H. Gerhauser, Sr. and William C. Gerhauser, Jr. |
| 34-40630 |
Nov. 3, 1998 |
Cathy Jean Krause Kirkpatrick |
| 34-40629 |
Nov. 3, 1998 |
Warren R. Schreiber |
| 34-40600 |
Oct. 26,1998 |
Steven P. Sanders and Daniel M. Porush |
| 34-40474 |
Sep. 24, 1998 |
John M. W. Crute |
| 34-40438 |
Sep. 14, 1998 |
Joseph Patrick Hannan |
| 34-40436 |
Sep. 14, 1998 |
First Colorado Financial Services Company, Inc. |
| IA-1752 |
Sep. 15, 1998 |
Ira William Scott |
| 34-40392 |
Sep. 2, 1998 |
Richard H. Morrow |
| 34-40387 |
Sep. 1, 1998 |
Alan E. Rosenthal |
| 34-40335 |
Aug. 19, 1998 |
Justine Susan Fischer |
| 34-40297 |
Aug. 3, 1998 |
Sidney C. Eng |
| 34-40244 |
Jul. 22, 1998 |
Kevin Eric Shaughnessy |
| 34-40243 |
Jul. 22, 1998 |
Daniel C. Montano |
| 34-40237 |
Jul. 21, 1998 |
Richard R. Pendleton |
| 34-40238 |
Jul. 21, 1998 |
Frank R. Rubba |
| 34-40055 |
Jun. 2, 1998 |
Terry T. Steen |
| 34-40046 |
May 29, 1998 |
L.C. Wegard & Co., Inc. |
| 34-40013 |
May 20, 1998 |
Boleslaw Wolny |
| 34-40010 |
May 20, 1998 |
Victor Teicher & Co., L.P., Ross S. Frankel
Release No. IA1722
See also: Court of Appeals Opinion |
| 34-40000 |
May 18, 1998 |
John P. Goldsworthy |
| 34-39999 |
May 18, 1998 |
Castle Securities Corporation |
| 34-40028 |
May 17, 1998 |
Leonard John Ialeggio |
| 34-39800 |
Mar. 25, 1998 |
Eagle Supply Group, Inc. |
| 34-39796 |
Mar. 25, 1998 |
James A. Goetz |
| 34-39765 |
Mar. 17, 1998 |
Interactive Brokers LLC |
| 34-39645 |
Feb. 11, 1998 |
Richard J. Adams |
| 34-39565 |
Jan. 22, 1998 |
Gerald James Stoiber |
| IA-1696 |
Jan. 21, 1998 |
John Francis D'Acquisto |
| 34-39544 |
Jan. 13, 1998 |
John J. Fiero |
| 34-39543 |
Jan. 13, 1998 |
Hattier, Sanford & Reynoir, Gus A. Reynoir, and Vance G. Reynoir
See also: Court of Appeals Opinion |
| 34-39520 |
Jan. 7, 1998 |
Equity Securities Trading Co., Inc., Nathan Newman, Laurence Stuart Zipkin |
| 34-39523 |
Jan. 7, 1998 |
Castle Securities Corp and Michael T. Studer |
| 34-39518 |
Jan. 6, 1998 |
Rita Villa |
| 34-39517 |
Jan. 6, 1998 |
D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, Duncan E. Wine |
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch1998.shtml
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