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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

Additional Archives

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

Modified: 10/16/2014