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Commission Opinions & Orders Archive 2005
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).
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
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| Release No. |
Date |
Respondents |
| Fourth Quarter |
| 34-52993 |
Dec. 21, 2005 |
Fog Cutter Capital Group, Inc.
See also: Court of Appeals Opinion
|
| 34-52883 |
Dec. 5, 2005 |
Thomas J. Donovan
|
| 34-52876 |
Dec. 2, 2005 |
Vladislav Steven Zubkis
|
| 33-8641 |
Dec. 2, 2005 |
Ira Weiss
See also: Court of Appeals Opinion
|
| 34-52858 |
Nov. 30, 2005 |
Paul K. Grassi, Jr.
|
| 34-52697 |
Oct. 28, 2005 |
Fox & Company Investments, Inc., and James W. Moldermaker
|
| 34-52693 |
Oct. 28, 2005 |
Paz Securities, Inc. and Joseph Mizrachi
See also: Court of Appeals Opinion
|
| 34-52600 |
Oct. 13, 2005 |
Mark F. Mizenko
|
| 34-52580 |
Oct. 11, 2005 |
Castle Securities Corp.
|
| 34-52571 |
Oct. 7, 2005 |
Jeffrey A. King |
| IA-2438 |
Oct. 4, 2005 |
Monetta Financial Services, Inc. |
| 33-8622 |
Oct. 3, 2005 |
Steven E. Muth and Richard J. Rouse
Other Release No.: 34-52551
|
| Third Quarter |
| 34-52467 |
Sep.19, 2005 |
Frederick W. Wall
|
| 34-52215 |
Aug. 5, 2005 |
Anthony Johnson and Ara Proudian
|
| IA-2409 |
Jul. 29, 2005 |
Clarke T. Blizzard
|
| 34-52106 |
Jul. 22, 2005 |
Ko Securities, Inc. and Terrance Y. Yoshikawa
|
| 34-51974 |
Jul. 6, 2005 |
Robert J. Prager and James Alexander
|
| Second Quarter |
| 34-51950 |
Jun. 30, 2005 |
Rita J. McConville
Other Release No.: AAER-2271
See also: Court of Appeals Decision, Court of Appeals Order Supplementing Decision
|
| 34-51949 |
Jun. 30, 2005 |
Larry A. Saylor
|
| 34-51920 |
Jun. 24, 2005 |
Robert W. Armstrong, III
Other Release No.: AAER-2264
|
| 34-51867 |
Jun. 17, 2005 |
SIG Specialists, Inc. f/k/a Susquehanna Specialists, Inc. and Thomas A. Caterina
|
| 34-51780 |
Jun. 2, 2005 |
Davrey Financial Services, Inc. and Pravin R. Davrey
|
| 33-8574 |
May 23, 2005 |
Fundamental Portfolio Advisors, Inc.,
Lance M. Brofman and Fundamental Service Corporation
Other Release Nos.: 34-51725, IA-2389, IC-26875
See also: Opinion
|
| 34-51660 |
May 5, 2005 |
James Thomas McCurdy, CPA
Other Release No.: AAER-2245
See also: 34-49182
|
| 34-51633 |
Apr. 29, 2005 |
Nicholas T. Avello
See also: Court of Appeals Decision
|
| 34-51632 |
Apr. 29, 2005 |
Jose P. Zollino
Other Release No.: IA-2381
|
| 34-51549 |
Apr. 15, 2005 |
Rooney A. Sahai
|
| 34-51479 |
Apr. 6, 2005 |
E. Magnus Oppenheim & Co., Inc.
|
| 34-51467 |
Apr. 1, 2005 |
Michael A. Rooms
See also: Court of Appeals Opinion
|
| First Quarter |
| 33-8555 |
Mar. 18, 2005 |
Philip L. Pascale, CPA
Other Release Nos.: 34-51393; AAER-2214
|
| 34-51254 |
Feb. 25, 2005 |
Leslie A. Arouh
(Note: Reconsideration order; see Opinion in this matter)
PDF version
|
| 34-51238 |
Feb. 22, 2005 |
Morton Kantrowitz
PDF version
|
| 34-51237 |
Feb. 22, 2005 |
Reuben D. Peters and Peters Securities
Co., LP
(Note: Reconsideration order; see Opinion in this matter)
PDF version
|
| 34-51236 |
Feb. 22, 2005 |
Harry M. Richardson
PDF version
|
| 34-51047 |
Jan. 14, 2005 |
Guang Lu
PDF version
|
| 34-51046 |
Jan. 14, 2005 |
Paul Joseph Benz
PDF version
|
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2005.shtml
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