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Commission Opinions & Orders Archive 2002
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 |
|
34-46780 |
Nov. 7, 2002 |
Nicholas T. Avello |
|
34-46746 |
Oct. 30, 2002 |
Frank Thomas Devine |
|
34-46708 |
Oct. 23, 2002 |
Daniel D. Manoff |
|
34-46710 |
Oct. 23, 2002 |
Ernst & Young LLP
Release No. AAER-1654 |
|
34-46709 |
Oct. 23, 2002 |
Warren B. Minton, Jr. |
| 33-8139 |
Oct. 22, 2002 |
David A. Hesterman and Kenneth L. Weeks
Release No. 34-46715 |
|
34-46511 |
Sept. 18, 2002 |
Gary A. Fox |
| 34-46439 |
Aug. 30, 2002 |
David E. Lynch |
| IA-2052 |
Aug. 30, 2002 |
Christopher A. Lowry
See also: Court of Appeals Opinion |
| 34-46405 |
Aug. 23, 2002 |
Joseph P. Galluzzi |
| 34-46269 |
Jul. 26, 2002 |
Daniel Richard Howard
See also: Court of Appeals Opinion and Reconsideration order |
| 34-46161 |
Jul. 3, 2002 |
John S. Brownson |
| 34-46127 |
Jun. 26, 2002 |
George J. Kolar |
| 33-8102 |
May 17, 2002 |
Daniel R. Lehl, Robert Schlien, American Capital Network, Inc., Melvin L. Levine, William David Jones, and Philip M. Georgeson
|
| 34-45926 |
May 15, 2002 |
John P. Goldsworthy |
| 34-45923 |
May 14, 2002 |
Sandra K. Simpson and Daphne Ann Pattee
Note: See also the Erratum (File name: 34-45923A.htm)
|
| 34-45846 |
Apr. 29, 2002 |
John R. D'Alessio, and D'Alessio Securities, Inc. |
| IA-2032 |
Apr. 23, 2002 |
Clarke T. Blizzard and Rudolph Abel |
| IA-2030 |
Apr. 23, 2002 |
Clarke T. Blizzard |
| 34-45694 |
Apr. 4, 2002 |
Fu-Sung Peter Wu |
| 33-8078 |
Apr. 4, 2002 |
Erik W. Chan
Rel. No.: 34-45693 |
| 34-45691 |
Apr. 4, 2002 |
Howard R. Perles and Laurence M. Geller |
| 34-45609 |
Mar. 21, 2002 |
Herbert Moskowitz |
| 34-45439 |
Feb. 13, 2002 |
Keith Springer
(Note: Reconsideration order available) |
| 34-45437 |
Feb. 13, 2002 |
Frank Kufrovich |
| 34-45426 |
Feb. 8, 2002 |
David Wong |
| 33-8061 |
Jan. 24, 2002 |
Brian A. Schmidt, John Aristotle Dilworth, II, and Euro-Atlantic Securities, Inc.
Rel. No.: 34-45330 |
| 34-45290 |
Jan. 16, 2002 |
Kevin D. Kunz and Kunz and Cline Investment Mgmt., Inc.
See also: Court of Appeals Opinion |
| 34-45281 |
Jan. 15, 2002 |
Michael Lubin |
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2002.shtml
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