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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).

Additional Archives

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

Modified: 10/16/2014