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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).

Additional Archives

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

Modified: 10/16/2014