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Commission Opinions & Orders Archive 2001
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 |
| 34-45161 |
Dec. 17, 2001 |
Kirk Montgomery |
| 33-8031 |
Nov. 5, 2001 |
IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave, and Jerome B. Vernazza |
| 34-44956 |
Oct. 19, 2001 |
Robert Fitzpatrick |
| 34-44953 |
Oct. 18, 2001 |
Hal S. Herman |
| 34-44945 |
Oct. 18, 2001 |
Jim Newcomb |
| 34-44944 |
Oct. 17, 2001 |
Outsource International, Inc. |
| 34-44935 |
Oct. 15, 2001 |
Quest Capital Strategies, Inc. and David Chen Yu |
| 34-44933 |
Oct. 15, 2001 |
Stonegate Securities, Inc. and J. W. Barclay & Co., Inc. |
| 34-44632 |
Aug. 1, 2001 |
Brian Prendergast |
| 34-44627 |
Jul. 31, 2001 |
BFG Securities, Inc. |
| 34-44624 |
Jul. 31, 2001 |
Abraham and Sons Capital, Inc. and Brett G. Brubaker |
| 34-44367 |
May 30, 2001 |
Whitehall Wellington Investments, Inc. |
| 34-44357 |
May 29, 2001 |
Michael B. Jawitz |
| 34-44329 |
May 21, 2001 |
Pasquale Schettino |
| 34-44328 |
May 21, 2001 |
A. S. Goldmen & Co., Inc. and Stuart E. Winkler |
| 34-44239 |
May 1, 2001 |
Morton Kantrowitz |
| 34-44224 |
Apr. 26, 2001 |
Martin Lee Eng |
| 34-44205 |
Apr. 19, 2001 |
Richard J. Adams
See also: Court of Appeals Opinion |
| 34-44186 |
Apr. 17, 2001 |
Russo Securities, Inc., and Kimberly Kent |
| 34-44086 |
Mar. 20, 2001 |
Michael J. Markowski |
| 34-43991 |
Feb. 21, 2001 |
American Investment Services, Inc. |
| 34-43963 |
Feb. 14, 2001 |
Marc N. Geman
See also: Court of Appeals Opinion |
| 34-43929 |
Feb. 6, 2001 |
D. E. Wine Investments, W. Randal Miller and Duncan E. Wine; |
| 34-43889 |
Jan. 26, 2001 |
Steven D. Goodman |
| 34-43884 |
Jan. 25, 2001 |
Jean-Paul Bolduc, Brian J. Smith, CPA, Richard N. Sukenik, CPA, Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, CPA
|
| 34-43862 |
Jan. 19, 2001 |
KPMG Peat Marwick LLP
See also: Court of Appeals Opinion and Rehearing order |
| 34-43842 |
Jan. 16, 2001 |
Clarence Wurts |
| ia-1918 |
Jan. 10, 2001 |
Seaboard Investment Advisers, Inc. and Eugene W. Hansen |
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2001.shtml
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